[Federal Register Volume 84, Number 40 (Thursday, February 28, 2019)]
[Rules and Regulations]
[Pages 6910-6952]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-02491]



[[Page 6909]]

Vol. 84

Thursday,

No. 40

February 28, 2019

Part III





 Department of Transportation





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 Pipeline and Hazardous Materials Safety Administration





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49 CFR Parts 107, 130, 171, et al.





 Hazardous Materials: Oil Spill Response Plans and Information Sharing 
for High-Hazard Flammable Trains (FAST Act); Final Rule

  Federal Register / Vol. 84 , No. 40 / Thursday, February 28, 2019 / 
Rules and Regulations  

[[Page 6910]]


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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

49 CFR Parts 107, 130, 171, 173, and 174

[Docket No. PHMSA-2014-0105 (HM-251B)]
RIN 2137-AF08


Hazardous Materials: Oil Spill Response Plans and Information 
Sharing for High-Hazard Flammable Trains (FAST Act)

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA), 
Department of Transportation (DOT).

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: PHMSA, in consultation with the Federal Railroad 
Administration and pursuant to the Fixing America's Surface 
Transportation Act (FAST Act) of 2015, issues this final rule to revise 
and clarify requirements for comprehensive oil spill response plans 
(COSRPs) and to expand their applicability based on petroleum oil 
thresholds that apply to an entire train consist. Specifically, this 
final rule: Expands the applicability for COSRPs; modernizes the 
requirements for COSRPs; requires railroads to share information about 
high-hazard flammable train (HHFT) operations with State and tribal 
emergency response commissions to improve community preparedness; and 
incorporates by reference a voluntary standard. The amendments in this 
final rule will provide regulatory flexibility and improve response 
readiness to mitigate effects of rail accidents and incidents involving 
petroleum oil and HHFTs.

DATES: 
    Effective date: This final rule is effective as of April 1, 2019.
    Voluntary compliance date: PHMSA is authorizing voluntary 
compliance beginning February 28, 2019.
    Delayed compliance date: Unless otherwise specified, compliance 
with the amendments adopted in this final rule is required beginning 
August 27, 2019.
    Incorporation by reference: The incorporation by reference of 
certain publications listed in the rule is approved by the Director of 
the Federal Register as of April 1, 2019.

ADDRESSES: Information about this rulemaking (Docket Number PHMSA-2014-
0105) is available at the Federal eRulemaking Portal: http://www.regulations.gov, or at DOT's Docket Operation Office: Room W12-140 
on the ground floor of the West Building, 1200 New Jersey Avenue SE, 
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Alexander Wolcott, (202) 366-8553, 
Standards and Rulemaking Division, Pipeline and Hazardous Materials 
Safety Administration, U.S. Department of Transportation, 1200 New 
Jersey Avenue SE, Washington, DC 20590-0001; or Mark Maday, (202) 493-
0479, Office of Safety Assurance and Compliance, Federal Railroad 
Administration, U.S. Department of Transportation, 1200 New Jersey 
Avenue SE, Washington, DC 20590-0001.

SUPPLEMENTARY INFORMATION: 

Abbreviations and Terms

AAR Association of American Railroads
ACP Area Contingency Plan
AFPM American Fuel & Petrochemical Manufacturers
ANPRM Advance Notice of Proposed Rulemaking
ANSI American National Standards Institute
API American Petroleum Institute
ASLRRA American Short Line and Regional Railroad Association
ASTM ASTM International
BSEE Bureau of Safety and Environmental Enforcement
CFR Code of Federal Regulations
COSRP Comprehensive Oil Spill Response Plan
Crude Oil Petroleum crude oil
CWA Clean Water Act (see Federal Water Pollution Control Act)
DHS U.S. Department of Homeland Security
DOE U.S. Department of Energy
DOI U.S. Department of the Interior
DOT U.S. Department of Transportation
E.O. Executive Order
EPA Environmental Protection Agency
EPCRA Emergency Planning and Community Right-to-Know Act
ESA Environmentally Sensitive/Significant Area
FAST Act Fixing America's Surface Transportation Act of 2015
FEMA Federal Emergency Management Agency
FMCSA Federal Motor Carrier Safety Administration
FR Federal Register
FRA Federal Railroad Administration
FRP Facility Response Plan
FRSA Federal Railroad Safety Act
FWPCA Federal Water Pollution Control Act (see Clean Water Act)
GIUE Government Initiated Unannounced Exercises
GRP Geographic Response Plan
HHFT High-Hazard Flammable Train
HMR Hazardous Materials Regulations (see 49 CFR parts 171-180)
HMT Hazardous Materials Table (see 49 CFR 172.101)
HMTA Hazardous Materials Transportation Act
IAFC International Association of Fire Chiefs
IBP Initial Boiling Point
ICS Incident Command System
ICP Integrated Contingency Plan
IMT Incident Management Team
LEPC Local Emergency Planning Committee
MPMS API Manual of Petroleum Measurement Standards
NASTTPO National Association of SARA Title III Program Officials
NCP National Contingency Plan
NFPA National Fire Protection Association
NIMS National Incident Management System
NPRM Notice of Proposed Rulemaking
NTSB National Transportation Safety Board
OMB Office of Management and Budget
OPA 90 Oil Pollution Act of 1990
OSC Federal On-Scene Coordinator
OSRO Oil Spill Removal Organization
OSRP Oil Spill Response Plan
PG Packing Group
PHMSA Pipeline and Hazardous Materials Safety Administration
PREP National Preparedness for Response Exercise Program
RCP Regional Contingency Plan
RFA Regulatory Flexibility Act
RIA Regulatory Impact Analysis
RP Recommended Practice
RSPA Research and Special Programs Administration
SACP Sub-Area Contingency Plans
SERC State Emergency Response Commission
SSI Sensitive Security Information
TERC Tribal Emergency Response Commission
TRANSCAER Transportation Community Awareness and Emergency Response
TSA Transportation Security Administration
TTCI Transportation Technology Center Inc.
U.S.C. United States Code
USCG United States Coast Guard
USFA United States Fire Administration

Table of Contents

I. Executive Summary
    A. Comprehensive Oil Spill Response Plans
    B. HHFT Information Sharing Notification for Emergency Response 
Planning
    C. Initial Boiling Point Test
II. Background
    A. Oil Spill Response Plans
    B. HHFT Information Sharing Notification for Emergency Response 
Planning
    C. Initial Boiling Point Test
III. Recent Spill Events
IV. National Transportation Safety Board Safety Recommendations
V. Summary and Discussion of Public Comment
    A. Overview of NPRM Comments
    B. Summary of Oil Spill Response Plans Comments
    C. Summary of HHFT Information Sharing Notification Comments 
(Sec.  174.312)
    D. Summary of Initial Boiling Point Test Comments (Sec.  
173.121)
VI. Incorporated by Reference

[[Page 6911]]

VII. Section-by-Section Review
VIII. Regulatory Analyses and Notices
    A. Statutory/Legal Authority for This Rulemaking
    B. Executive Order 12866 and DOT Regulatory Policies and 
Procedures
    C. Executive Order 13771
    D. Executive Order 13132
    E. Executive Order 13175
    F. Regulatory Flexibility Act, Executive Order 13272, and DOT 
Policies and Procedures
    G. Paperwork Reduction Act
    H. Executive Order 13211
    I. Unfunded Mandates Reform Act
    J. Executive Order 13609 and International Trade Analysis
    K. Environmental Assessment
    L. Regulation Identifier Number (RIN)
    M. Privacy Act
    List of Subjects

I. Executive Summary

    The Pipeline and Hazardous Materials Safety Administration (PHMSA), 
in consultation with the Federal Railroad Administration (FRA), issues 
this final rule to improve oil spill response readiness and mitigate 
effects of rail accidents and incidents involving petroleum oil and 
high-hazard flammable trains (HHFTs). See 49 CFR 171.8 for definition. 
This final rule is necessary due to expansion in U.S. energy production 
having led to significant challenges for the country's transportation 
system. PHMSA is finalizing this rule in accordance with sections 7302 
and 7307 of the FAST Act, Public Law 114-94, and the Consolidated 
Appropriations Act of 2018, division L, title I, Public Law 115-141.
    On July 29, 2016, PHMSA, in consultation with FRA, published a 
Notice of Proposed Rulemaking (NPRM) under the same title as this final 
rule (81 FR 50068). The NPRM proposed regulations in three areas: 
Comprehensive oil spill response plans (COSRPs), HHFT information 
sharing, and incorporation of an initial boiling point test for 
determination of light hydrocarbons in stabilized petroleum crude oils. 
Overall, this final rule adopts the requirements proposed in the NPRM 
with minor changes for plain language or clarification in consideration 
of the comments received to the NRPM. The estimated costs and benefits 
for this final rule are described in Table 1 below:

       Table 1--10 Year and Annualized Costs (in Millions) and Benefits by Stand-Alone Regulatory Proposal
----------------------------------------------------------------------------------------------------------------
                                                               Benefits  (7%)
                     Provision                      -----------------------------------        Costs  (7%)
                                                        Qualitative       Breakeven
----------------------------------------------------------------------------------------------------------------
Oil Spill Response Planning and Response...........            Cost-effective   10-Year: $21.4.
                                                      Improved          if this         Annualized: $3.1.
                                                      Communication/    requirement
                                                      Defined Command   reduces the
                                                      Structure may     consequences
                                                      improve           of oil spills
                                                      response.         by 6.7%.
                                                      Pre-
                                                      identified
                                                      Access to
                                                      Equipment and
                                                      Staging of
                                                      Appropriate
                                                      Equipment for
                                                      Response Zones.
                                                      Trained
                                                      Responders..
Information Sharing................................            Cost-effective   10-Year: $3.7.
                                                      Improved          if this         Annualized: $0.53.
                                                      Communication.    requirement
                                                                reduces the
                                                      Enhanced          consequences
                                                      Preparedness..    of oil spills
                                                                        by 1.2%.
IBR of ASTM D7900..................................            N/A............  No Cost Estimated.
                                                      Regulatory
                                                      Flexibility.
                                                     
                                                      Enhanced
                                                      Accuracy in
                                                      Packing Group
                                                      Assignments..
                                                                                       -------------------------
    Total..........................................  ................  Cost-effective   10-Year: $25.2.
                                                                        if this         Annualized: $3.6.
                                                                        requirement
                                                                        reduces the
                                                                        consequences
                                                                        of oil spills
                                                                        by 7.8%.
----------------------------------------------------------------------------------------------------------------

A. Comprehensive Oil Spill Response Plans

    This final rule adopts the requirements for COSRPs as proposed in 
the NPRM. The COSRP requirements are promulgated under the authority of 
the Oil Pollution Act of 1990 (OPA 90), Public Law 101-380, which 
amended the Federal Water Pollution Control Act (FWPCA), also known as 
the Clean Water Act (CWA), at 33 U.S.C. 1321. Table 2 below summarizes 
the applicable statutory requirements for COSRPs, the requirements 
adopted in this final rule, and the differences between the 
requirements adopted in this final rule and the proposals of the NPRM:

                             Table 2--COSRPs
------------------------------------------------------------------------
                               HM-251B final rule       HM-251B NPRM
 OSRP statutory requirements   COSRP requirements        differences
------------------------------------------------------------------------
 33 U.S.C. 1321(j)(5)(A)(i)      49 CFR part 130       49 CFR part 130
 
The President shall issue     Restructures part     Minimal
 regulations which require     130 to create         clarification and
 an owner or operator of a     subpart C for         plain language
 tank vessel or facility       COSRPs.               wording changes
 described in paragraph       Responds to            between NPRM and
 (j)(5)(C) to prepare and      commenter requests    final rule
 submit to the President a     to better align       throughout all
 plan for responding, to the   COSRPs with minimum   sections in
 maximum extent practicable,   requirements for      response to
 to a worst-case discharge,    other federally       comments.
 and to a substantial threat   mandated (Oil Spill  NPRM proposed that
 of such a discharge, of oil   Response Plans)       FRA would be
 or a hazardous substance.     OSRPs, especially     responsible for
                               those for pipelines   approving COSRPs,
                               in 49 CFR part 194.   and final rule
                               Requires PHMSA to     consolidates DOT's
                               approve COSRPs.       OSRP approval under
                                                     PHMSA.
 
                                 Sec.   130.105        Sec.   130.104
                                                      renumbered as Sec.
                                                            130.105
 

[[Page 6912]]

 
                              Provides general      Minimal. Clarifies
                               requirements for      COSRPs with only
                               recordkeeping, plan   one response zone
                               format, and           do not need to
                               information about     include separate
                               response structure.   ``core plan''
                              Permits use of         section.
                               Integrated           Adds greater
                               Contingency Plan      flexibility by
                               (ICP) and State       permitting use of
                               plans providing       State plans that
                               equivalent level of   provide equivalent
                               coverage.             protection.
 
 33 U.S.C. 1321(j)(5)(C)(iv)     Sec.   130.100        Sec.   130.101
                                                      renumbered as Sec.
                                                            130.100
 
An onshore facility [e.g.     Expands current       Minimal. Clarifies
 rolling stock] \1\ that,      applicability         COSRP are only
 because of its location,      (42,000 gallons of    required for routes
 could reasonably be           oil in a single       used to transport
 expected to cause             package) to also      applicable
 substantial harm to the       include route         quantities of oil.
 environment by discharging    segments which are
 into or on the navigable      used for:
 waters, adjoining             At least 20
 shorelines, or the            cars of liquid
 exclusive economic zone.      petroleum oil in a
                               continuous block or
                               35 cars of liquid
                               petroleum oil in a
                               train consist.
                               For
                               example, tank cars
                               containing crude
                               oil, fuel oil,
                               petroleum
                               distillates,
                               diesel, or gasoline
                               must be included
                               when counting cars
                               in the consist.
                               Mixtures that do
                               meet the criteria
                               for Class 3
                               flammable or
                               combustible
                               material in Sec.
                               173.120, or
                               containing residue
                               as defined in Sec.
                                171.8 of
                               subchapter C, are
                               not required to be
                               included when
                               determining the
                               number of tank cars
                               transporting liquid
                               petroleum oil.
                               Examples of
                               petroleum oils
                               which may not meet
                               the definition of a
                               Class 3 flammable
                               or combustible
                               liquid include
                               diluted waste water
                               and certain mineral
                               oils.
 
 33 U.S.C. 1321(j)(5)(D)(i)   Sec.  Sec.   130.105     Sec.   130.103
                                   and 130.110        renumbered as Sec.
                                                            130.110
 
Be consistent with the        Requires              Minimal. Clarifies
 requirements of the           certification that    railroads are
 National Contingency Plan     the plan is           identifying
 (NCP) and Area Contingency    consistent with a     Environmentally
 Plans (ACP).                  list of specific      Sensitive Areas
                               NCP/ACP               (ESAs) from
                               requirements for      existing Area or
                               ``minimum             Regional
                               compliance'' to       Contingency Plans.
                               clarify the
                               elements of NCP/ACP
                               applicable to rail
                               shipments.
 33 U.S.C. 1321(j)(5)(D)(ii)  Sec.  Sec.   130.120     Sec.  Sec.
                                   and 130.125          130.104 and
                                                        130.105
                                                        renumbered as
                                                        Sec.  Sec.
                                                        130.120 and
                                                        130.125,
                                                        respectively
 
Identify the qualified        Requires              Minimal. Clarifies
 individual having full        identification of     that communication
 authority to implement        Qualified             between Qualified
 removal actions, and          Individual for each   Individuals and
 require immediate             response zone in      appropriate Federal
 communications between that   quickly accessible    officials and
 individual and the            information           persons providing
 appropriate Federal           summary. Requires     response personnel
 official and the persons      immediate             and equipment, must
 providing personnel and       communication         be immediate.
 equipment pursuant to         between Qualified
 clause.                       Individual and
                               appropriate Federal
                               official and the
                               persons providing
                               personnel and
                               equipment.
                              Requires plan
                               include a checklist
                               of necessary
                               notifications,
                               contact
                               information, and
                               necessary
                               information to
                               clarify procedures..
 
33 U.S.C. 1321(j)(5)(D)(iii)  Sec.  Sec.   130.105     Sec.  Sec.
                                   and 130.130          130.102 and
                                                        130.106
                                                        renumbered as
                                                        Sec.  Sec.
                                                        130.105 and
                                                        130.130,
                                                        respectively
 
Identify, and ensure by       Includes the          Minimal. Clarifies
 contract or other means       establishment of      railroads determine
 approved by the President     response zones, to    the boundaries of
 the availability of,          ensure availability   each response zone,
 private personnel and         of personnel and      provided resources
 equipment necessary to        equipment in          are identified with
 remove to the maximum         different             appropriate
 extent practicable a worst-   geographic route      planning framework.
 case discharge (including a   segments. Requires    Clarifies use of
 discharge resulting from      planning framework    U.S. Coast Guard
 fire or explosion), and to    for response zones    (USCG) guidelines
 mitigate or prevent a         including ensuring    for determining and
 substantial threat of such    resources are         evaluating required
 a discharge.                  staged within 12      response resources
                               hours at any part     during the response
                               of the applicable     in accordance with
                               route                 appendix C of 33
                              Includes               CFR part 154.
                               requirements to
                               identify
                               organization,
                               personnel,
                               equipment, and
                               deployment location
                               thereof capable of
                               removal and
                               mitigation for a
                               worst-case
                               discharge (WCD).
                               Allows use of Oil
                               Spill Removal
                               Organization (OSRO)
                               which has been
                               classified by the
                               United States Coast
                               Guard under 33 CFR
                               154.1035 or
                               155.1035 to be used
                               in lieu of listing
                               personnel and
                               equipment.
 
 33 U.S.C. 1321(j)(5)(D)(iv)     Sec.   130.135...     Sec.   130.107
                                                        renumbered as
                                                        Sec.   130.135
 
Describe the training.......  Requires              Minimal. Clarifies
                               certification and     Incident Command
                               documentation         System (ICS)
                               employees have been   incident commander
                               trained in carrying   level training is
                               out their             recommended best
                               responsibilities      practice.
                               under the plan.
 

[[Page 6913]]

 
 33 U.S.C. 1321(j)(5)(D)(iv)     Sec.   130.140...     Sec.   130.108
                                                        renumbered as
                                                        Sec.   130.140
 
Describe . . . equipment      Requires description  Minimal. Edits
 testing.                      and certification     section number and
                               equipment testing     title.
                               meets the
                               manufacturer's
                               minimum
                               requirements.
 
 33 U.S.C. 1321(j)(5)(D)(iv)     Sec.   130.140...     Sec.   130.108
                                                        renumbered as
                                                        Sec.   130.140
 
Describe . . . periodic       Requires exercises    Minimal. Updates
 unannounced drills.           to be equivalent to   USCG website
                               the PREP Guidelines.  address and
                                                     replaces term
                                                     ``drill'' with
                                                     ``exercise.''
 
 33 U.S.C. 1321(j)(5)(D)(iv)     Sec.   130.130...     Sec.   130.106
                                                        renumbered as
                                                        Sec.   130.130
 
Describe . . . response       COSRPs describe:      Minimal. Adds a
 actions of persons on the     Activities    reference to
 vessel or at the facility.    and                   appendix C of 33
                               responsibilities of   CFR part 154 to
                               railroad personnel    clarify the
                               prior to arrival of   equivalent planning
                               Qualified             standards to use of
                               Individual;.          OSROs classified
                               Qualified     under 33 CFR
                               Individual's          154.1035 and
                               responsibilities      155.1035.
                               and actions; and.
                               Procedures
                               coordinating
                               railroad/Qualified
                               Individual actions
                               with On-Scene
                               Coordinator (OSC)..
 
 33 U.S.C. 1321(j)(5)(D)(v)      Sec.   130.150        Sec.   130.109
                                                      renumbered as Sec.
                                                            130.150
 
Be updated periodically.....  Clarifies plans       Minimal. In response
                               should be reviewed    to commenters, this
                               every 5 years, when   final rule
                               significant           clarifies that
                               information           railroads may
                               changes, or after a   operate for two
                               discharge requiring   years upon
                               plan activation       submission of
                               ocurs.                response plan to
                                                     PHMSA and
                                                     certification of
                                                     appropriate
                                                     resources, for
                                                     better consistency
                                                     with the CWA.
 
   33 U.S.C. 1321(j)(5)(E)       Sec.   130.150...     Sec.   130.111
                                                      renumbered as Sec.
                                                            130.150
 
(1) With respect to any       Requires approval of  Minimal. NPRM
 response plan submitted       plans by PHMSA        proposed FRA
 under this paragraph for an   provided minimum      approve railroad
 onshore facility that,        requirements for      COSRPs. Final rule
 because of its location,      the plan are met.     consolidates DOT's
 could reasonably be                                 approval of OSRPs
 expected to cause                                   under PHMSA. As
 significant and substantial                         with other PHMSA
 harm to the environment by                          programs and
 discharging into or on the                          procedures, PHMSA
 navigable waters or                                 will continue to
 adjoining shorelines or the                         work with FRA for
 exclusive economic zone,                            guidance on rail
 and with respect to each                            specific
 response plan submitted                             information and
 under this paragraph for a                          procedures,
 tank vessel, nontank                                including shared
 vessel, or offshore                                 review and
 facility, the President                             enforcement.
 shall--                                             Clarifies method to
                                                     submit plans in
                                                     electronic format.
    (i) promptly review such
     response plan;
    (ii) require amendments
     to any plan that does
     not meet the
     requirements of this
     paragraph;
    (iii) approve any plan
     that meets the
     requirements of this
     paragraph;
(2) A tank vessel, nontank       Sec.   130.100     Sec.   130.101 moved
 vessel, offshore facility,   Prohibits                 to Sec.  Sec.
 or onshore facility           transportation of     130.100 and 130.150
 required to prepare a         oil subject to       Minimal. Edits the
 response plan under this      COSRPs unless         section numbering
 subsection may not handle,    requirements for      and title for plain
 store, or transport oil       submission, review,   language.
 unless--                      and approval in
                               Sec.   130.150 are
                               met and the
                               railroad is
                               operating in
                               compliance with the
                               plan.
    (i) in the case of a
     tank vessel, nontank
     vessel, offshore
     facility, or onshore
     facility for which a
     response plan is
     reviewed by the
     President under
     paragraph (1), the plan
     has been approved by
     the President; and
    (ii) the vessel or
     facility is operating
     in compliance with the
     plan

[[Page 6914]]

 
(3) Notwithstanding              Sec.   130.100     Sec.   130.111 moved
 paragraph (1), the           Allows railroads to     to Sec.   130.100
 President may authorize a     temporarily          Minimal. PHMSA
 tank vessel, nontank          continue operating    receives plans.
 vessel, offshore facility,    for up to 2 years     Clarifies temporary
 or onshore facility to        while waiting for     continuation are
 operate without a response    plan approval,        limited to 2 years
 plan approved under this      provided the plan     per statutory
 paragraph, until not later    has been submitted    language.
 than 2 years after the date   to PHMSA and the
 of the submission to the      railroad submits a
 President of a plan for the   signed
 tank vessel, nontank          certification
 vessel, or facility, if the   statement of
 owner or operator certifies   appropriate
 that the owner or operator    resources..
 has ensured by contract or
 other means approved by the
 President the availability
 of private personnel and
 equipment necessary to
 respond, to the maximum
 extent practicable, to a
 worst-case discharge or a
 substantial threat of such
 a discharge.
------------------------------------------------------------------------

B. HHFT Information Sharing Notification for Emergency Response 
Planning
---------------------------------------------------------------------------

    \1\ ``Onshore facility'' means any facility (including, but not 
limited to, motor vehicles and rolling stock) of any kind located 
in, on, or under, any land within the United States other than 
submerged land. 33 U.S.C. 1321(a)(10).
---------------------------------------------------------------------------

    This final rule adopts the requirements for HHFT information 
sharing as proposed in the NPRM, with clarification for plain language 
and modifications in response to commenters. The information sharing 
notification requirements are promulgated under the authority of 
Federal hazardous materials transportation law (49 U.S.C. 5101-5128). 
Table 3 below summarizes the advanced notification information sharing 
requirements mandated by the Fixing America's Surface Transportation 
(FAST) Act of 2015 and adopted in this final rule.

                    Table 3--Information Sharing Notification for Emergency Response Planning
----------------------------------------------------------------------------------------------------------------
                                               FAST Act (advanced notification)  Final rule HM-251B (information
                    Topic                        Section 7302(a)(3), (4), (6)        sharing) 49 CFR 174.312
----------------------------------------------------------------------------------------------------------------
Who is subject?                                Class I railroads transporting    All railroads transporting HHFT
                                                HHFT (20 cars in a block, 35 in   (20 cars in a block, 35 in
                                                consist carrying ANY Class 3      consist carrying ANY Class 3
                                                flammable liquid).                flammable liquid).
Who must the railroads notify?                 Railroads must notify State       Railroads must notify SERCs,
                                                Emergency Response Commissions    Tribal Emergency Response
                                                (SERCs), who must provide the     Commissions (TERCs), or other
                                                notification information (and     appropriate State designated
                                                updates) to any political         entities who share information
                                                subdivision of a State or         with appropriate local
                                                public agency responsible for     authorities, upon their
                                                emergency response or law         request.
                                                enforcement, upon request of
                                                the political subdivision or
                                                public agency.
What security measures are required?           Required security and             If the disclosure includes
                                                confidentiality protections       information that railroads
                                                include protections from the      believe is security sensitive
                                                public release of proprietary     or proprietary and exempt from
                                                information or security-          public disclosure, the
                                                sensitive information, to         railroads should indicate that
                                                prevent the release to            in the notification.
                                                unauthorized persons.
What to include in the notification?           A reasonable estimate of the      A reasonable estimate of the
                                                number of implicated trains       number of HHFTs that are
                                                that are expected to travel,      expected to travel, per week,
                                                per week, through each county     through each county within the
                                                within the applicable state.      state.
                                               Identification of the routes      The routes over which the
                                                over which such liquid will be    affected trains will be
                                                transported.                      transported.
                                               Identification and a description  A description of the materials
                                                of the Class 3 flammable liquid   shipped and applicable
                                                being transported on such         emergency response information
                                                trains and applicable emergency   required by subparts C and G
                                                response information, as          of part 172 of this
                                                required by regulation.           subchapter.
                                               A point of contact at the Class   At least one point of contact
                                                I railroad responsible for        at the railroad (including
                                                serving as the point of contact   name or email address, title,
                                                for State emergency response      phone number, and address) for
                                                centers and local emergency       the SERC, TERC, and relevant
                                                responders related to the Class   emergency responders related
                                                I railroad's transportation of    to the railroad's
                                                such liquid.                      transportation of affected
                                                                                  trains.
When/how often?                                Update the notifications prior    Updates the notification for
                                                to making any material changes    changes in volume greater than
                                                to any volumes or frequencies     25 percent.
                                                of HHFTs traveling through a
                                                county. `Material changes' in
                                                Emergency Order means changes
                                                greater than 25%.
How are records maintained?                    Requires notification             Notification may be provided
                                                ``consistent with the             electronically or in writing.
                                                notification content              Railroads provide the
                                                requirements in Emergency Order   notification to DOT upon
                                                Docket No. DOT-OST-2014-0067''.   request.

[[Page 6915]]

 
What COSRP Information must be included?       N/A.............................  For petroleum oil trains
                                                                                  subject to the COSRP in part
                                                                                  130, includes the contact
                                                                                  information for Qualified
                                                                                  Individual and the response
                                                                                  zone description from the
                                                                                  COSRP.
----------------------------------------------------------------------------------------------------------------

C. Initial Boiling Point Test

    The NPRM proposed to incorporate by reference ASTM International's 
(ASTM) D7900, ``Standard Test Method for Determination of Light 
Hydrocarbons in Stabilized Crude Oils by Gas Chromatography'' related 
to initial boiling point for crude oils containing light hydrocarbons 
as an acceptable testing alternative to the boiling point tests 
specified in the current regulations. This ASTM standard is referenced 
by the industry best practice, American National Standards Institute 
(ANSI)/American Petroleum Institute (API) Recommended Practices 3000, 
``Classifying and Loading of Crude Oil into Rail Tank Cars,'' First 
Edition, September 2014.
    This final rule incorporates the test method by reference as 
proposed under the authority of Federal hazardous materials 
transportation law (49 U.S.C. 5101-5128). This final rule clarifies 
that initial boiling point, when determining the boiling distribution 
using ASTM D7900, is the temperature at which 0.5 weight percent is 
eluted. Inclusion of this additional boiling test option provides 
regulatory flexibility and promotes enhanced safety in transport 
through accurate Packing Group (PG) assignment.

II. Background

    Expansion in U.S. energy production has led to significant 
challenges for the country's transportation system. Traditionally, 
pipelines and oceangoing tankers have delivered most crude oil to U.S. 
refineries, accounting for approximately 93 percent of total receipts 
(in barrels) in 2012.\2\ Although other modes of transportation--rail, 
barge, and truck--have accounted for a relatively minor portion of 
crude oil shipments historically, volumes have risen rapidly in the 
2010s relative to previous decades.\3\ The rail transportation of large 
volumes of crude oil and other petroleum products presents unique 
safety risks. Rail accidents have tracked changes in production and 
rail shipments of crude oil-- rising when rail shipments increase in 
volume and falling when crude oil volumes fall according to FRA and 
PHMSA incident report data. Please see the RIA for further discussion 
and a graph of oil-by-rail shipments and derailments. This final rule 
will improve response readiness and mitigate effects of rail accidents 
and incidents by instituting information sharing requirements for HHFTs 
and COSRP requirements for petroleum oil trains.
---------------------------------------------------------------------------

    \2\ Bureau of Transportation Statistics, ``Crude Oil and 
Petroleum Products Transported in the United States by Mode.'' U.S. 
Department of Transportation. Last modified 01/2018. https://www.bts.gov/content/crude-oil-and-petroleum-products-transported-united-states-mode.
    \3\ U.S Energy Information Administration. ``Petroleum and Other 
Liquids.'' Independent Statistics and Analysis. Last modified 08/
2018. https://www.eia.gov/dnav/pet/hist/LeafHandler.ashx?n=PET&s=ESM_EPC0_RAIL_ZAMN-ZAMN_MBBL&f=M.
---------------------------------------------------------------------------

    DOT reached out to stakeholders in industry, emergency response, 
and State and tribal governments through various forums and events to 
better understand and increase community awareness and preparedness for 
response to bulk transportation incidents involving energy products. In 
May 2014, PHMSA published the ``Crude Oil Rail Emergency Response 
Lessons Learned Roundtable Report,'' which outlined key factors that 
were identified by a panel of fire chiefs and emergency response 
management officials as having a direct impact on success in managing 
the outcomes of a crude oil transportation incident.\4\ More 
information about DOT's actions related to community awareness of and 
preparedness for response to bulk transportation incidents involving 
energy products is available on PHMSA's ``Safe Transportation of Energy 
Products'' website.\5\
---------------------------------------------------------------------------

    \4\ https://www.phmsa.dot.gov/safe-transportation-energy-products/emergency-response-and-training.
    \5\ https://www.phmsa.dot.gov/safe-transportation-energy-products/safe-transportation-energy-products-overview.
---------------------------------------------------------------------------

A. Oil Spill Response Plans

    The Oil Pollution Act of 1990 (OPA 90) amended the Federal Water 
Pollution Control Act (FWPCA), also known as the Clean Water Act (CWA), 
at 33 U.S.C. 1321 by adding oil spill response planning requirements 
for ``facilities'' that handle oil. Railroads or ``rolling stock'' are 
included in the definition of ``onshore facility.'' \6\ The CWA 
requires owners and operators of onshore facilities to prepare and 
submit Oil Spill Response Plans (ORSPs) for facilities that ``could 
reasonably be expected to cause substantial harm to the environment by 
discharging into or on the navigable waters, adjoining shorelines, or 
the exclusive economic zone.'' The CWA directs the President to issue 
regulations requiring owners and operators of onshore oil facilities to 
develop, submit, update and in some cases obtain approval of OSRPs 
meeting certain minimum requirements in 33 U.S.C. 1321(j)(5).
---------------------------------------------------------------------------

    \6\ ``Onshore facility'' means any facility (including, but not 
limited to, motor vehicles and rolling stock) of any kind located 
in, on, or under, any land within the United States other than 
submerged land.'' 33 U.S.C. 1321(a)(10). ``Rolling stock'' refers to 
rail cars.
---------------------------------------------------------------------------

    On October 22, 1991, the President delegated authority to the 
Secretary of Transportation to regulate certain transportation-related 
facilities (i.e., motor carriers and railroads) under sections 
1321(j)(1)(C) and 1321(j)(5) of the CWA. See E.O. 12777, 56 FR 54757, 
sections 2(b)(2) and 2(d)(2). The Secretary later delegated this 
authority to PHMSA's predecessor agency, the Research and Special 
Programs Administration (RSPA). PHMSA's delegated authority under 
sections 1321(j)(1)(C) and 1321(j)(5) for certain transportation-
related facilities (i.e., motor vehicles and rolling stock) is solely 
the authority to promulgate regulations. When required, COSRPs are 
submitted to the Federal Highway Administration or the FRA, for motor 
carriers and railroads, respectively.
    On June 17, 1996, RSPA published a final rule carrying out its 
delegated authority under the CWA for motor carriers and railroads.\7\ 
The 1996 final rule established ``comprehensive plans'' under the 
authority of 33 U.S.C. 1321(j)(5) for anyone transporting oil in a 
quantity greater than 1,000 barrels or 42,000 gallons per package. The 
1996 final rule also adopted requirements in part 130 for the 
preparation of ``basic plans'' for containers with a capacity of

[[Page 6916]]

3,500 gallons or more carrying petroleum oil. Basic plans were adopted 
as a ``containment rule pursuant to Sec.  1321(j)(1)(C)'' of the CWA 
and therefore do not meet the minimum requirements for OSRPs in section 
1321(j)(5).\8\
---------------------------------------------------------------------------

    \7\ 61 FR 30533 (June 17, 1996).
    \8\ 61 FR 30537 (June 17, 1996).
---------------------------------------------------------------------------

    A rail tank car designed to carry liquid materials, including 
petroleum oil, has an approximate capacity of 30,000 gallons. Because 
the typical rail tank car has a capacity around 30,000 gallons, no rail 
carriers are currently transporting tank cars of petroleum oil subject 
to the 42,000-gallon packaging threshold for COSRPs adopted by the 1996 
final rule. On July 6, 2013, an unattended, runaway unit train carrying 
crude oil from the Bakken region of North Dakota derailed in the town 
of Lac-M[eacute]gantic, Quebec. The incident resulted in loss of life 
and destruction of property and the environment. The cause was found to 
be human error that led to the unattended train gathering speed before 
derailing near the center of Lac-M[eacute]gantic. While an OSRP may not 
have prevented this incident, the Lac-M[eacute]gantic incident prompted 
examination into the safety of crude oil transportation by rail. The 
National Transportation Safety Board (NTSB) recommended requiring 
COSRPs for unit trains of petroleum in Safety Recommendation R-14-005. 
Congress also directed DOT to develop and report on a plan to finalize 
updated requirements for OSRPs in section 7307 of the FAST Act. 
Additionally, in the Consolidated Appropriations Act of 2018, signed 
into law on March 23, 2018, Congress directed the Secretary to ``issue 
a final rule to expand the applicability of comprehensive oil spill 
response plans.''
    On July 29, 2016, PHMSA, in consultation with FRA, published an 
NPRM titled ``Oil Spill Response Plans and Information Sharing for 
High-Hazard Flammable Trains.'' The NPRM proposed to modernize COSRP 
requirements under 49 CFR part 130 in response to NTSB recommendations 
(including Safety Recommendation R-14-005), the FAST Act, and comments 
from the public to an August 1, 2014, Advance Notice of Proposed 
Rulemaking (ANPRM) (79 FR 45079). PHMSA also proposed the requirements 
to address needs identified by first responders in the ``Crude Oil Rail 
Emergency Response Lessons Learned Roundtable Report'' and challenges 
identified through analysis of recent spill events.\9\
---------------------------------------------------------------------------

    \9\ https://www.phmsa.dot.gov/safe-transportation-energy-products/emergency-response-and-training.
---------------------------------------------------------------------------

    Specifically, the NPRM proposed to expand COSRPs to routes over 
which railroads operate a single train containing 20 or more tank cars 
loaded with liquid petroleum oil in a continuous block or a single 
train containing 35 or more tanks cars loaded with liquid petroleum oil 
throughout the train consist.
    The NPRM also proposed to update the COSRP requirements in response 
to comments requesting greater specificity to plan contents through a 
closer alignment to other Federal OSRP regulations promulgated under 
the CWA. The proposed requirements in the NPRM are similar to PHMSA's 
Office of Pipeline Safety's (OPS) requirements for pipeline oil spill 
response plans in 49 CFR part 194. Developing OSRPs for both pipeline 
and rail require planning for routes spanning large geographic areas. 
The NPRM proposed railroads divide their routes into ``response zones'' 
that connect notification procedures and available response resources 
to the specific geographic area for the covered route segments. 
Response zones include geographic information, such as a planning 
framework, which ensures response resources are staged within 12 hours 
of any point along the route. The NPRM requested comments on providing 
regulatory flexibility for small businesses, requiring faster response 
times in certain ``High Volume Areas,'' and recommending that the 
Qualified Individual should be trained to the Incident Commander level 
using the Incident Command System (ICS).

B. HHFT Information Sharing Notification for Emergency Response 
Planning

    Federal hazardous materials transportation law (49 U.S.C. 5101-
5128) authorizes the Secretary to ``prescribe regulations for the safe 
transportation, including security, of hazardous material in 
intrastate, interstate, and foreign commerce.'' The Secretary delegates 
this authority to PHMSA under 49 CFR 1.97(b). PHMSA is responsible for 
overseeing a hazardous materials safety program that minimizes the 
risks to life and property inherent in the transportation of hazardous 
materials in commerce. The Hazardous Materials Regulations (HMR; 49 CFR 
parts 171-180) include operational requirements applicable to 
transportation of hazardous materials by highway, rail, aircraft, and 
vessel. The Secretary also has authority over all areas of railroad 
transportation safety (Federal railroad safety laws, principally 49 
U.S.C. chapters 201-213); this authority is delegated to FRA under 49 
CFR 1.89. FRA promulgates and enforces a comprehensive regulatory 
program (49 CFR parts 200-244) and inspects and audits railroads, tank 
car facilities, and hazardous material offerors for compliance with 
both FRA's regulations and the HMR. Because of the shared role in the 
safe and secure transportation of hazardous materials by rail, PHMSA 
and FRA work closely when considering regulatory changes. The agencies 
take a system-wide, comprehensive approach consistent with the risks 
posed by the bulk transport of hazardous materials by rail.
    On May 7, 2014, the Secretary, under the authority of 49 U.S.C. 
5121(d), issued an Emergency Restriction/Prohibition Order in Docket 
No. DOT-OST-2014-0067 (Order).\10\ The Order requires each railroad 
transporting 1 million gallons or more of Bakken crude oil in a single 
train in commerce within the United States to provide certain 
information in writing to the State Emergency Response Commission 
(SERC) for each state in which it operates such a train. Tribal 
Emergency Response Commissions (TERCs) are permitted to coordinate with 
the appropriate SERC(s) for access to data supplied under this 
Emergency Restriction/Prohibition Order.\11\ The Order also requires a 
railroad to provide SERCs information about the type of oil, volume, 
route, and emergency response procedures, as well as appropriate 
railroad contact information. It also requires railroads to provide 
SERCs updated notifications prior to any ``material change'' in the 
volume of affected trains and provide copies of notifications made to 
each SERC to FRA upon request. DOT subsequently issued a document 
compiling frequently asked questions (FAQs) to clarify several aspects 
of the Order.\12\
---------------------------------------------------------------------------

    \10\ https://www.regulations.gov/document?D=DOT-OST-2014-0067-0001.
    \11\ https://www.regulations.gov/document?D=DOT-OST-2014-0067-0003.
    \12\ See document number 0003 in Docket No. DOT-OST-2014-0067.
---------------------------------------------------------------------------

    On October 3, 2014, FRA published ``Proposed Agency Information 
Collection Activities; Notice and Request for Comments'' (79 FR 59891) 
to provide additional analysis of the requirements of the Order. FRA 
consulted with DOT, the U.S. Department of Homeland Security (DHS), and 
the Transportation Security Administration (TSA), and determined the 
information required by the Order was not commercially sensitive or 
Sensitive Security Information (SSI) as defined by DOT, DHS, or TSA 
regulations. Id. at 59892. FRA further noted that DOT found no basis to

[[Page 6917]]

conclude that the public disclosure of the information is detrimental 
to transportation safety.
    In the May 8, 2015, final rule ``Hazardous Materials: Enhanced Tank 
Car Standards and Operational Controls for High-Hazard Flammable 
Trains'' (HM-251 final rule), PHMSA decided against adopting an earlier 
proposal to codify the specific requirements of the Order for railroads 
transporting 1 million gallons or more of crude oil originating in the 
Bakken region, and instead adopted similar requirements more easily 
integrated into the HMR that achieved the desired result.
    On May 28, 2015, PHMSA announced plans to extend the Order 
indefinitely and to consider options for codifying the disclosure 
requirement on a permanent basis after further evaluating the issue 
within DOT.\13\ PHMSA recognized the desire for local communities to 
receive proactive notification of hazardous materials moving through 
their cities and towns. PHMSA noted that transparency is critical to 
DOT's comprehensive approach to safety and expressed support for the 
public disclosure of this information to the extent allowed by 
applicable State, local, and tribal laws.
---------------------------------------------------------------------------

    \13\ https://www.phmsa.dot.gov/news/phmsa-notice-regarding-emergency-response-notifications-shipments-petroleum-crude-oil-rail.
---------------------------------------------------------------------------

    On December 4, 2015, the FAST Act was signed into law. The FAST Act 
includes the ``Hazardous Materials Transportation Safety Improvement 
Act of 2015'' at sections 7001 through 7311, which provides direction 
for the hazardous materials safety program. Section 7302 directs the 
Secretary to issue regulations to require (1) real-time sharing of the 
electronic train consist information for hazardous materials shipments; 
and (2) advanced notification of HHFTs. DOT has initiated a separate 
rulemaking to address the requirements of section 7302(a)(1) related to 
real-time electronic train consists. Docket No. PHMSA-2016-0015 (HM-
263).\14\
---------------------------------------------------------------------------

    \14\ https://www.regulations.gov/docket?D=PHMSA-2016-0015.
---------------------------------------------------------------------------

    Section 7302(a)(3) of the FAST Act directs DOT to promulgate 
regulations requiring advanced notification consistent with 
notification content requirements of the Order. The FAST Act expands 
the Order to require Class I railroads to provide advanced notification 
and information on HHFTs to each SERC. The FAST Act requires SERCs 
receiving this advanced notification to provide the information to law 
enforcement and emergency response agencies upon request. The FAST Act, 
in section 7302(a)(6), also directs the Secretary to establish security 
and confidentiality protections for electronic train consist 
information and advanced notification information.
    In response to the FAST Act and DOT's commitment to codifying the 
Order, PHMSA proposed information sharing notification requirements in 
the ``Hazardous Materials: Oil Spill Response Plans and Information 
Sharing for High-Hazard Flammable Trains (HM-251B)'' NPRM published 
July 29, 2016. The NPRM proposed that all railroads transporting HHFTs 
notify SERCs, Tribal Emergency Response Commissions (TERCs), or other 
State-delegated agencies with information consistent with the Order. 
The NPRM proposed that the notification include key information from 
COSRPs, when applicable.
    The intent of these requirements is to ensure that local emergency 
responders and emergency response planning officials have access to 
sufficient information regarding the movement of HHFTs in their 
jurisdictions to adequately plan and prepare for emergency events 
involving HHFTs. This purpose is reaffirmed by the FAST Act's 
requirements for sharing and protection of information required by the 
advanced notification. Under the Emergency Planning and Community 
Right-to-Know Act (EPCRA) in title III of the Superfund Amendments and 
Reauthorization Act of 1986 (SARA), the Governor of each state is 
required to establish a SERC. The SERC is responsible for establishing 
emergency planning districts and appointing, supervising, and 
coordinating Local Emergency Planning Committees (LEPCs). For federally 
recognized tribal governments, the Chief Executive Officer of the Tribe 
appoints a Tribal Emergency Response Commission (TERC), as designated 
by the Environmental Protection Agency (EPA) in a final rule published 
July 26, 1990 (55 FR 30632). TERCs have the same responsibilities as 
SERCs. On July 26, 1990, EPA published a final rule designating Indian 
Tribes and their chief executive officers as the implementing 
authorities for EPCRA on all Indian lands.
    The NPRM proposed to protect information by allowing railroads to 
indicate information they ``believe is security sensitive or 
proprietary and exempt from public disclosure.'' Previous analysis by 
DOT, FRA, and DHS concluded that the aggregated information required to 
be shared by railroads does not qualify for withholding under Federal 
standards for business confidential information or SSI; however, as 
noted in FRA's previous discussion of this matter in its October 2014 
Information Disclosure Notice, State laws control, and may limit, the 
disclosure and dissemination of this information.\15\ Therefore, the 
NPRM acknowledged that states may differ in their methods and proposed 
an approach intended to provide flexibility for SERCs, TERCs, and other 
State-delegated agencies to disseminate information in accordance with 
state laws and procedures. As proposed, before fulfilling a request for 
information and releasing the information, the States and Tribes will 
be on notice of which information the railroads consider to be 
inappropriate for public release.
---------------------------------------------------------------------------

    \15\ 79 FR 59892 (June 30, 2014).
---------------------------------------------------------------------------

C. Initial Boiling Point Test

    The offeror's responsibility to classify and describe a hazardous 
material is a key requirement under the HMR. Improper classification 
and failure to identify applicable material properties can have 
significant negative impacts on transportation safety. Proper 
classification is necessary to ensure proper packaging, operational 
controls, and hazard communication requirements are met, all of which 
are important to mitigate the negative effects of a train derailment or 
other hazardous materials incident. It is an offeror's responsibility 
to accurately classify and describe a hazardous material. For 
transportation purposes, classification is ensuring the proper hazard 
class, packing group, and shipping name are assigned to a material. To 
determine whether a hazardous material should be classified as Class 3 
Flammable liquid, as well as determine the appropriate packing group, 
the HMR require testing for the material's flash point and initial 
boiling point (IBP) under Sec. Sec.  173.120 and 173.121.
    The American National Standards Institute (ANSI) recognized 
recommended practice includes guidance on the material 
characterization, transport classification, and quantity measurement 
for overfill prevention of petroleum crude oil for the loading of rail 
tank cars (see API RP 3000, ``Classifying and Loading of Crude Oil into 
Rail Tank Cars''). For crude oils containing volatile, low molecular 
weight components (e.g., light ends), the industry recommended best 
practice for IBP is to test using ASTM D7900. The initial boiling 
point, when determining the boiling distribution using ASTM D7900, is 
the temperature at which 0.5

[[Page 6918]]

weight percent is eluted. The ASTM D7900 differs from the boiling point 
tests currently in the HMR in that it is the only test that ensures a 
minimal loss of light ends; however, the ASTM D7900 is not currently 
included in the list of testing methods authorized in the HMR in Sec.  
173.121(a)(2).
    In this final rule, PHMSA is adopting the NPRM's proposal to 
incorporate by reference the ASTM D7900 test method identified within 
API RP 3000, thus permitting use of this IBP industry best practice. 
The incorporation of the ASTM D7900, which aligns with the API RP 3000, 
will not replace the currently authorized initial boiling point testing 
methods. Rather, it will serve as a testing alternative if one chooses 
to use that method. PHMSA believes this provides flexibility and 
promotes enhanced safety in transport through accurate packing group 
assignment.

III. Recent Spill Events

    PHMSA collected and reviewed information from various sources 
pertaining to recent derailments involving discharges of petroleum oil. 
In this rulemaking and the accompanying analysis, PHMSA has focused on 
the following derailments: Mosier, OR (June 2016); Watertown, WI 
(November 2015); Culbertson, MT (July 2015); Heimdal, ND (May 2015); 
Galena, IL (March 2015); Mt. Carbon, WV (February 2015); La Salle, CO 
(May 2014); Lynchburg, VA (April 2014); Vandergrift, PA (February 
2014); New Augusta, MS (January 2014); Casselton, ND (December 2013); 
Aliceville, AL (November 2013); and Parkers Prairie, MN (March 2013). 
In the Regulatory Impact Analysis (RIA), PHMSA provides narratives and 
discussion of the circumstances and consequences of these derailments. 
Please refer to the rulemaking docket (Docket No. PHMSA-2014-0105) for 
the preliminary and final RIA and all supporting documents.
    PHMSA's review of these derailments identified challenges during 
oil spill response that occurred in the past and could potentially 
occur in future derailment scenarios. PHMSA incorporates this 
understanding of response challenges into this rulemaking, which amends 
the requirements of 49 CFR part 130, to improve COSRPs by way of new 
and revised requirements. Improved oil spill response planning will, in 
turn, improve the actual response to future derailments involving 
petroleum oil and lessen potential negative effects on communities.

IV. National Transportation Safety Board Safety Recommendations

    This rulemaking partially addresses several recommendations from 
the NTSB, as summarized in Table 4:

                      Table 4--NTSB Recommendations Partially Addressed in This Rulemaking
----------------------------------------------------------------------------------------------------------------
                NTSB recommendation                       Recommendation summary        Rulemaking description
----------------------------------------------------------------------------------------------------------------
R-14-002: Issued January 23, 2014..................  Recommends that FRA develop a    Requires PHMSA to approve
                                                      program to audit response        COSRPs for rail.
                                                      plans for rail carriers of
                                                      petroleum products to ensure
                                                      that adequate provisions are
                                                      in place to respond to and
                                                      remove a worst-case discharge
                                                      to the maximum extent
                                                      practicable and to mitigate or
                                                      prevent a substantial threat
                                                      of a worst-case discharge.
R-14-005: Issued January 23, 2014..................  Recommends that PHMSA revise     Revises the spill planning
                                                      the spill response planning      thresholds to address 20
                                                      thresholds contained in 49 CFR   cars of liquid petroleum
                                                      part 130 to require              oil in a continuous block
                                                      comprehensive response plans     or 35 cars of liquid
                                                      to effectively provide for the   petroleum oil in a
                                                      carriers' ability to respond     consist.
                                                      to worst-case discharges
                                                      resulting from accidents
                                                      involving unit trains or
                                                      blocks of tank cars
                                                      transporting oil and petroleum
                                                      products.
R-14-014: Issued August 22, 2014...................  Recommends that PHMSA require    Adopts information sharing
                                                      railroads transporting           requirements for HHFTs.
                                                      hazardous materials through
                                                      communities to provide
                                                      emergency responders and local
                                                      and state emergency planning
                                                      committees with current
                                                      commodity flow data and assist
                                                      with the development of
                                                      emergency operations and
                                                      response plans.
R-14-006: Issued January 23, 2014..................  Recommends that PHMSA require    Adds ASTM D7900 test
                                                      shippers to sufficiently test    method as option to
                                                      and document the physical and    determine boiling point
                                                      chemical characteristics of      of certain crude oil.
                                                      hazardous materials to ensure
                                                      the proper classification,
                                                      packaging, and record-keeping
                                                      of products offered in
                                                      transportation.
----------------------------------------------------------------------------------------------------------------

V. Summary and Discussion of Public Comment

A. Overview of NPRM Comments

    In the NPRM, PHMSA solicited public comment on potential revisions 
to regulations that would: Expand the applicability of COSRPs to HHFTs 
based on the amount of petroleum oil in an entire train consist, rather 
than a single package or tank car; require rail carriers to share 
information regarding HHFTs with State authorities; and incorporate by 
reference of the ASTM D7900 test method. The NPRM summarized and 
discussed comments received in response to questions regarding 
potential revisions to the COSRP requirements asked by the earlier 
ANPRM. PHMSA received approximately 130 comments in response to the 
NPRM. See Table 5 describing commenter backgrounds:

                      Table 5--Commenter Background
------------------------------------------------------------------------
                                                     Description and
      Commenter background            Count        examples of category
------------------------------------------------------------------------
Non-Government Organizations...              35  Environmental groups
                                                  (30), emergency
                                                  response organizations
                                                  (4), and other non-
                                                  governmental
                                                  organizations (1).
Governments....................              19  Local (8), State (9),
                                                  Federal (2).
Private Individuals............              67  Members of the public.
Carrier Industry Stakeholders..               6  Railroads (1) and
                                                  related trade
                                                  associations (5).
Shipper Industry Stakeholders..               4  Shippers (2) and
                                                  petroleum-related
                                                  trade associations
                                                  (2).
------------------------------------------------------------------------


[[Page 6919]]

    Most commenters addressed proposed COSRP requirements. COSRP-
related comments comprised four general categories: (1) Reiterating 
comments provided to the ANPRM; (2) providing statements of general 
support for expanding COSRP requirements; (3) expressing general 
concern or requests to require faster response times for response 
zones; or (4) recommending additional requirements not proposed by the 
NPRM. Many commenters noted the negative impact that a petroleum oil 
spill or HHFT derailment would have on their individual communities and 
personal property, with most such comments coming from residents of the 
Hudson River Valley region. A few commenters provided detailed comments 
about specific proposals in the NPRM for COSRPs. Comments related to 
COSRPs are further discussed in ``Section V.B. Summary of Oil Spill 
Response Plan Comments'' of this final rule.
    PHMSA received approximately 20 comments on the proposed HHFT 
information sharing notification requirements. These comments fall into 
several categories, including: (1) Applicability; (2) notification 
recipients; (3) frequency of notification; and (4) information security 
and confidentiality concerns. Comments related to HHFT information 
sharing are further discussed in ``Section V.C. Summary of HHFT 
Information Sharing Notification Comments'' of this final rule.
    PHMSA received five comments addressing the proposed incorporation 
by reference of the ASTM D7900 test method. Comments related to 
incorporation by reference are further addressed in ``Section V.D. 
Summary of Initial Boiling Point Comments'' of this final rule.
    Additionally, PHMSA received several miscellaneous comments that 
voiced general concern about the public health, safety, and/or 
environmental risks of petroleum trains and/or fossil fuels. These 
comments either did not provide recommendations for regulatory action 
or exceeded the scope of PHMSA's authority.

B. Summary of Oil Spill Response Plans Comments

Summary and Response to Basic Spill Response Plan (Sec.  130.31) 
Comments
    The current threshold for a basic OSRP is 3,500 gallons of 
petroleum oil. Several commenters suggested that basic plans for 
packages exceeding this threshold should be eliminated and replaced 
with comprehensive oil spill response plans, which would effectively 
require a COSRP for all tank-car shipments of petroleum oil. Commenters 
suggested basic OSRPs be replaced because they do not meet the minimum 
requirements of the CWA in 33 U.S.C. 1321(j)(5)(D). The State of 
California Department of Fish and Wildlife, for example, disagreed that 
basic OSRPs could be issued under a containment rule pursuant to 
section 1321(j)(1)(C).
    The NPRM did not propose changes to the requirements for basic 
OSRPs; therefore, this rule does not make such changes. As stated in 
the NPRM and the initiating 1996 final rule, the requirements for a 
basic OSRP were issued as a ``containment rule pursuant to Sec.  
1321(j)(1)(C)'' of the CWA, and therefore were not intended to fulfill 
the requirements of 33 U.S.C. 1321(j)(5)(D). The requirements of 33 
U.S.C. 1321(j)(5)(D) for OSRPs are promulgated in the requirements for 
COSRPs.
Summary of Comments Regarding Applicability of COSRP (Sec.  130.100)
    The NPRM proposed to expand the applicability for COSRPs so that 
any railroad that transports a single train carrying 20 or more loaded 
tank cars of liquid petroleum oil in a continuous block or a single 
train carrying 35 or more loaded tank cars of liquid petroleum oil 
throughout the train consist must also have a current, written COSRP. 
The NPRM provided an exception for tank cars carrying residue as 
defined in Sec.  171.8 of subchapter C or diluted mixtures that do not 
meet the definition of a Class 3 flammable or combustible liquid. The 
NPRM maintained both the current exception in part 130 for mixtures 
that contain less than 10 percent oil by volume and the current 
threshold of 42,000 gallons per package for both petroleum oil and non-
petroleum oil.
    PHMSA received approximately 20 comments to the NPRM pertaining to 
the applicability of COSRPs. Most of these comments fell into two major 
categories: The volume of oil being transported and the type of 
materials that trigger COSRPs. Additionally, there were a few comments 
pertaining to applicability in response to a question in the NPRM that 
asked whether additional relief should be given to small entities, such 
as Class II or III railroads.
    While some commenters supported the proposed volume applicability 
threshold, many commenters provided alternative suggestions. Most 
comments reiterated suggestions regarding applicability provided in 
comments responding to the ANPRM. Generally, individuals and 
environmental organizations recommended using lower thresholds of 
petroleum oil to trigger COSRPs due to environmental concerns, safety 
concerns, or interpretations that the CWA requires oil spill response 
plans for all rolling stock carrying oil. Several commenters requested 
lower applicability thresholds without specifying an alternative 
number.\16\ Lower-volume thresholds proposed by commenters ranged from 
any amount of oil to 20 rail cars of oil. Commenters suggested 
replacing basic plans with COSRPs for packages exceeding 3,500 gallons. 
Commenters who suggested a threshold of one tank car--approximately 
29,000 gallons--believed that any rail line carrying an oil tank car 
should be subject to COSRPs. Commenters that suggested a two-tank car 
threshold did so to maintain consistency with the current requirement 
of 42,000 gallons in one tank car, but suggested changing the language 
to require COSRPs when a train is carrying 42,000 gallons of oil in any 
form, not just one tank car. It was also suggested that the 42,000-
gallon threshold be removed outright. The Minnesota Pollution Control 
Agency stated that the threshold is not meaningful and seems 
``arbitrary and outdated especially when you consider two 30,000-gallon 
tank cars pose the same or more risk and are not regulated.''
---------------------------------------------------------------------------

    \16\ See PHMSA-2014-0105-0250, PHMSA-2014-0105-0251, PHMSA-2014-
0105-0252, PHMSA-2014-0105-0253, PHMSA-2014-0105-0256, PHMSA-2014-
0105-0290.
---------------------------------------------------------------------------

    In addition to quantitative applicability comments, PHMSA received 
several qualitative applicability comments about the type of oil that 
should require a COSRP. Most of these comments were from environmental 
groups or private citizens and reiterated comments provided in response 
to the ANPRM, without providing additional data. Suggestions for 
expanded applicability of COSRPs included all hazardous substances, all 
Class 3 flammable liquids or other hazardous materials, all kinds of 
oil, or all kinds of liquid petroleum oils (irrespective of hazard 
class). Mandating COSRPs for all hazardous substances was suggested by 
state agencies and environmental groups, who cited the CWA statute 
requirements for hazardous substances, in addition to oil spills per 33 
U.S.C. 1321(j)(5). These commenters supported using the Federal On-
Scene Coordinator (OSC) to identify concerns evaluating a plan's 
compliance with the statutory and regulatory requirements and expressed 
concern about the potential harm from hazardous substances. In 
addition, commenters cited some state

[[Page 6920]]

plans, such as Minnesota's, in which COSRPs are required for all 
hazardous substances. Multiple commenters suggested adding all Class 3 
flammable liquids to the materials requiring a COSRP, with 
justifications mostly based on environmental or safety concerns. 
Commenters also cited ethanol as an example of a Class 3 flammable 
material that poses a risk by rail.
    NTSB opposed the exception from the COSRP requirements for unit 
trains carrying ``mixtures or solutions of petroleum oil not meeting 
the criteria for Class 3 flammable or combustible material.'' NTSB 
found use of the term ``mixtures or solutions'' confusing, as petroleum 
products are inherently a mixture. NTSB also stated:

    [S]pilled, petroleum products are significant environmental 
pollutants, whether or not they are Class 3 flammable or combustible 
liquids. In fact, less-flammable petroleum materials that are denser 
than water may sink to form emulsions, adhere to sediments, and 
produce tar balls that are often more difficult to remove from 
waterways than less viscous Class 3 flammable oils.

The Association of American Railroads (AAR) provided comments related 
to the identification of petroleum oil subject to the plan. AAR 
requested that PHMSA specify which UN or NA identification numbers are 
associated with the definition of petroleum oil. AAR suggested 
requiring railroads to determine which UN or NA numbers associated with 
Class 3 materials further meet the definition of petroleum oil and 
create an additional burden on railroads.
    AAR provided comments about the applicability of route segments in 
the plans and requested clarification that the COSRP requirements do 
not apply to route segments where applicable quantities of oil are not 
transported. AAR also suggested ``that plans should be required for 
only portions of HHFT routes situated within a half-mile (0.5 miles) of 
a navigable waterway'' so that railroads do not need to perform their 
own environmental reviews throughout the entire rail network, which 
would be overly burdensome. In addition, AAR stated that the use of a 
half-mile standard for planning purposes is consistent with existing 
standardized planning distances found in 40 CFR part 112, appendix C, 
section 5.
    The International Association of Fire Chiefs (IAFC) suggested 
revising the applicability proposed in Sec.  130.101 (``Any railroad 
which transports a single train transporting . . .''), so as to replace 
``transports'' with ``operates'' for ``better flow.''
    In the NPRM, PHMSA asked whether regulatory relief may be 
appropriate for certain small businesses (i.e., Class II and III short 
lines). Most commenters supported regulations based on the risk, 
quantity, and type of oil, regardless of business size. The State of 
California Department of Fish and Wildlife expressed concern that the 
threshold of 20 tank cars in a unit or 35 tank cars across the consist 
would exempt too many short lines from COSRPs. The American Short Line 
and Regional Railroad Association (ASLRRA) submitted comments stating 
that many Class II and III short lines only operate the first or last 
mile of an applicable route and that requiring them to create plans 
would be an undue burden. ASLRRA also described scenarios in which the 
short line acts as a tenant on track owned by a Class I railroad, 
suggesting that Class III railroads should be offered some level of 
relief if voluntarily entering into agreement to use a plan created by 
the Class I for the route section used by both railroads. ASLRRA 
further clarified:

    [This is not to] suggest the host railroad's oil spill response 
plan should address the tenant's operations as a matter of 
regulatory fiat. Rather, ASLRRA is asking PHMSA to acknowledge that 
it is permissible for a tenant railroad to contract with a host 
railroad for the latter to supply the oil spill response capability 
required by PHMSA.

Response to Comments Regarding Applicability of COSRP (Sec.  130.100)
    PHMSA initiated this rulemaking in response to changing conditions 
stemming from the increase in the volume of petroleum oil transported 
by rail and the consequent incidents and accidents; however, pursuant 
to the CWA requirement for rolling stock that ``could reasonably be 
expected to cause substantial harm,'' PHMSA seeks to minimize burdens 
by expanding requirements for COSRPs only where there is a demonstrated 
need. PHMSA does not have evidence of rail incidents involving unit 
trains carrying other non-petroleum oils (as defined in 49 CFR 130.5) 
that have demonstrated a need to expand the applicability of 
comprehensive plans to other non-petroleum oils. Commenters did not 
provide additional data on rail transportation of non-petroleum oil or 
hazardous substances identifying new conditions, nor did they identify 
rail incidents indicating new risks posed by other non-petroleum oils 
or hazardous substances. Therefore, we are continuing with a threshold 
of 42,000 gallons for tank cars carrying petroleum or other non-
petroleum oil. However, we may consider revising the requirements for 
other non-petroleum oils or hazardous substances in a future 
rulemaking.
    We disagree that the applicability should be expanded to include 
additional hazardous materials, such as all Class 3 flammable or 
combustible liquids. Commenters did not provide adequate data 
indicating that the type of planning and level of resources required by 
this rulemaking would be appropriate for cleaning up spills for 
materials other than oils. Furthermore, this rulemaking was promulgated 
to respond directly to the risks and unique response requirements 
related to the large volumes of petroleum oil being transported in unit 
trains.
    PHMSA disagrees that COSRPs would be appropriate for a lower volume 
of petroleum oil or a lesser number of tank cars. As discussed in the 
NPRM and HM-251 final rule, modeling data from FRA indicates that for 
trains with fewer than 20 tank cars in a block, or fewer than 35 tank 
cars dispersed throughout a train, relatively few tank cars containing 
petroleum oil would be breached on average in the event of an 
incident.\17\ The threshold of 20 cars in a block as used in the HM-251 
rulemaking comes from AAR's Circular OT-55, which provides 
``Recommended Railroad Operating Practices for Transportation of 
Hazardous Materials'' and defines ``key trains.'' Then, FRA performed 
an analysis to determine the average number of cars that would derail 
with 20 tank cars in a block. Once that number was determined, FRA did 
further analysis to determine at what number of tank cars dispersed 
throughout the consist would the number of tanks cars derailed be 
equivalent. The result was 35 tank cars throughout the consist. 
Therefore, in a derailment scenario, these lower-risk train 
configurations (i.e., fewer than 20 tank cars in a block or 35 tank 
cars throughout the train) are not ``reasonably expected'' to breach in 
a manner that could ``cause substantial harm to the environment by 
discharging into or on the navigable waters, adjoining shorelines, or 
the exclusive economic zone.'' Furthermore, given the enhanced tank car 
standards promulgated in the HM-251 final rule and resulting 
improvements in tank-car integrity, PHMSA believes the likelihood of a 
tank car releasing its total contents in a derailment has been 
significantly reduced.\18\ PHMSA maintains that lower-risk train 
configurations should not be the focus of this rulemaking because 
extending

[[Page 6921]]

the requirements of this rule to operators of lower-risk configurations 
would be burdensome, costly, and inefficient.
---------------------------------------------------------------------------

    \17\ 80 FR 26665 (May 8, 2015).
    \18\ 80 FR 26665 (May 8, 2015).
---------------------------------------------------------------------------

    PHMSA did not propose changes to the communication requirements in 
49 CFR 130.11, which apply to both basic and comprehensive plans. Basic 
plans already require that shipments of tank cars carrying petroleum 
oil be described on shipping papers or similar documents as containing 
oil, unless they are identified as ``aviation fuel, diesel fuel, fuel 
oil, gasoline, jet fuel, kerosene, motor fuel, or petroleum.'' While 
basic plans will be replaced with COSRPs for certain train 
configurations, the responsibility for offerors to identify oil will 
not change. Additionally, the U.S. Coast Guard (USCG) maintains a 
``List of Petroleum and Non-Petroleum Oils'' as a guide to determining 
whether a particular substance is an oil under their regulations.\19\ 
Therefore, PHMSA further disagrees that additional guidance is 
necessary to identify petroleum oil, and is adopting the definition of 
petroleum oil as proposed.
---------------------------------------------------------------------------

    \19\ United States Coast Guard, Hazardous Materials Division, 
available at: http://www.dco.uscg.mil/Our-Organization/Assistant-Commandant-for-Prevention-Policy-CG-5P/Commercial-Regulations-standards-CG-5PS/Design-Engineering-Standards/eng5/
---------------------------------------------------------------------------

    The definition of petroleum oil in Sec.  130.5 includes both 
refined and unrefined petroleum products. Oils which do not contain 
petroleum, such as synthetic oils or essential oils, continue to be 
defined as ``non-petroleum oil'' in Sec.  130.5. We are maintaining 
PHMSA's longstanding provision that any ``mixture or solution in which 
oil is in a concentration by weight of less than 10 percent'' is 
excluded from the requirements in part 130. Therefore, petroleum oil in 
part 130 includes mixtures containing at least 10 percent petroleum 
oil, such as denatured ethanol fuel E85 (ethanol containing 15 percent 
gasoline); however, mixtures containing less than 10 percent petroleum 
oil, such as diluted waste water or E95 (ethanol with 5 percent 
gasoline) continue to be excluded.
    We also disagree with NTSB that the exception for unit trains not 
carrying petroleum oil meeting the definition of a Class 3 flammable 
liquid or combustible liquid should be removed. Providing this 
exception aligns this rulemaking's applicability to unit trains with 
the subset of HHFTs carrying petroleum oil covered in other PHMSA 
rulemakings. Furthermore, the railroad can leverage information from 
the routing analysis required by 49 CFR 172.820 when developing plans.
    We agree with AAR that the intent of COSRPs is to cover routes 
where applicable quantities of oil are transported. Railroads are not 
required to include routes or route segments in response zones when 
applicable quantities of oil are not transported on these routes or 
route segments. We assume that routes transporting applicable 
quantities of oil are a subset of the routes that railroads must 
already identify under the requirements for routing analysis in the HM-
251 final rule. Therefore, we are editing the applicability language in 
Sec.  130.100 to state, ``any route or route segments used to 
transport. . .a single train carrying. . . .'' This clarification 
further addresses IAFC's recommendation to avoid using the term 
``transports a single train transporting'' in the requirements proposed 
in Sec.  130.101, adopted in Sec.  130.100.
    The CWA requires OSRPs for any facility that ``because of its 
location, could reasonably be expected to cause substantial harm to the 
environment by discharging into or on the navigable waters, adjoining 
shorelines, or the exclusive economic zone.'' PHMSA is not aware of 
evidence demonstrating that routes located more than 0.5 miles from 
navigable waters provide a sufficient buffer to ensure substantial harm 
could not occur in the event of a spill. The EPA's FRP requirements in 
section 5.0 of attachment C-III (``Calculation of the Planning 
Distance'') to appendix C of 40 CFR part 112 provide detailed planning 
calculations for facilities to determine the threat to fish and 
wildlife and sensitive environments or downstream public water intake 
as a result of a discharge of oil to navigable waters. For example, 
under section 5.6 of the above-referenced attachment, facilities 
located further than 0.5 miles from navigable waters must also consider 
the distance to nearby storm drains and factors that may be conducive 
to overland transport of oil to these storm drains. Additionally, 
section 5.7 of the above-referenced attachment requires an owner or 
operator to consider the ``proximity to fish and wildlife and sensitive 
environments, not bordering a navigable water'' in whether a facility 
poses substantial harm. PHMSA was unable to perform detailed analysis 
for features such as storm drains, or topographic features, along every 
point on an HHFT route, so PHMSA assumes that all rail routes used for 
applicable quantities of oil are expected to have the potential to 
impact navigable waters. Therefore, the entire route carrying 
applicable oils should be covered by the planning requirements for 
COSRPs.
    PHMSA disagrees that Class II or III railroads transporting 
petroleum oil should be excluded from COSRP requirements. As evidenced 
by the derailment in Aliceville, Alabama, which involved a 90-car crude 
oil unit train, Class II and Class III railroads are transporting 
quantities of petroleum oil that pose the same risk as Class I 
railroads. Nothing in the regulations precludes Class I railroads from 
assisting short lines in developing a plan or precludes one railroad 
from utilizing resources provided by another railroad through contract 
or other means; however, both railroads would be subject to submitting 
a plan covering their responsibilities to ensure those responsibilities 
are clearly delineated.
Summary of Comments Regarding General Requirements for COSRP Format 
(Sec.  130.105)
    In the NPRM, PHMSA proposed a COSRP format requiring a core plan 
with general information applicable to the entire plan and response 
zones with information specific to the route segment. The NPRM proposed 
that the plan must use and be consistent with the core principles of 
the National Incident Management System (NIMS), including use of the 
Incident Command System (ICS) throughout the plan. The NPRM also 
proposed use of the Integrated Contingency Plan (ICP) as an alternate 
format.\20\
---------------------------------------------------------------------------

    \20\ In June 1996, the National Response Team (NRT) published 
the Integrated Contingency Plan (ICP, or One Plan) Guidance with 
support from five agencies: The Environmental Protection Agency 
(EPA); the Coast Guard; the Occupational Safety and Health 
Administration (OSHA); the Office of Pipeline Safety of the 
Department of Transportation (DOT); and the Minerals Management 
Service (MMS) of the Department of the Interior. The ICP provides a 
mechanism for consolidating multiple facility response plans into 
one plan that can be used during an emergency. See 61 FR 28642
---------------------------------------------------------------------------

    NTSB commented in support of the general plan requirements in 
proposed Sec.  130.102, stating they would ``serve to ensure a 
carrier's ability to respond to worst-case oil and petroleum discharges 
called for by Safety Recommendation R-14-005.''
    We received comments from State government agencies and railroad 
stakeholders on the use of alternative plan formats. The Washington 
State Department of Ecology and AAR both supported the permissive use 
of ICPs as providing greater flexibility to meet planning standards 
when subject to requirements by other agencies. Both AAR and other 
State government commenters highlighted differences between 
requirements for State plans

[[Page 6922]]

and the proposed Federal plan requirements.
    Several commenters supported the requirement that plans integrate 
NIMS and ICS, while also requesting further clarification of their 
roles. API commented in support of ensuring that ``the terminology used 
and practices required are consistent with established response 
organizations and structures to include the National Response 
Framework, the National Contingency Plan, the National Preparedness and 
Response Exercise Program (NPREP), and National Incident Management 
System (NIMS).'' Additionally, industry commenters highlighted the 
importance of NIMS and ICS, and recommended additional clarity. AAR 
stated, ``PHMSA should clarify that railroads, at their discretion, may 
use EPA's or DHS's criteria to be consistent with the NCP'' in relation 
to the requirements to use NIMS/ICS terminology. API highlighted the 
importance of railroad personnel following NIMS and ICS using ``common 
terminology, training and management of change for staff,'' further 
suggesting that PHMSA and FRA ``should be prepared to provide guidance 
and oversight to the regulated community as they establish processes 
that support personnel and organizational changes.''
    IAFC recommended clarifying that NIMS and ICS are utilized 
throughout the plan by adding the underlined words to the proposed 
requirements: ``The plan must use and be consistent with the core 
principle of the National Incident Management System (NIMS) including 
the utilization of the ICS.''
Comments in Response to General Requirements for COSRP Format (Sec.  
130.105)
    PHMSA agrees with providing flexibility for railroads submitting 
multiple plans under differing Federal and State regulations. The ICP 
was developed to provide a single format for response plans in 
recognition that entities may be required to develop and submit plans 
for multiple Federal agencies to cover different facility types and 
activities. The ICP provides railroads with flexibility.
    We are also adding an alternative for railroads to submit plans 
that meet State requirements, provided the State plan also meets the 
minimum requirements of the Federal standard. In addition to the State 
plan, the railroad must include the information summary (including the 
contact information for the Qualified Individual) and ensure through 
contract or other approved means the availability of private personnel 
and equipment necessary to respond to a worst-case discharge (WCD) or a 
substantial threat of such a discharge. The use of State plans is 
voluntary and, therefore, does not impose any additional burdens. PHMSA 
is adding this alternative to ensure that railroads do not engage in 
unnecessary duplication and to provide regulatory flexibility in 
response to comments that discuss the potential burden from states with 
differing requirements and plan formats. PHMSA encourages railroads to 
make use of this alternative when possible to minimize compliance 
costs. This alternative will provide equivalent or greater protections 
to the Federal response plan. Furthermore, the allowance of ICP and 
state plans is consistent with the OPS requirements for pipelines. In 
addition, it is PHMSA's intention that railroads will be able to use 
the same data and other information gathered for other response plans 
(i.e., Federal, state, international) to inform the OSRPs required 
under this rulemaking action, provided they meet PHMSA's OSRP 
requirements.
    PHMSA agrees that consistency with NIMS and ICS is important. 
Requiring use of NIMS and ICS maintains consistency with EPA or DHS and 
ensures better consistency with the current response framework. We are 
adopting the requirements as proposed in the NPRM, with clarifications 
suggested by IAFC to highlight the role of the NIMS and ICS throughout 
the plan, and with minor edits for plain language.
Summary of Comments Regarding Worst-Case Discharge for COSRP 
(Sec. Sec.  130.105 and 130.5)
    Under the statute, worst-case discharge (WCD) means ``the largest 
foreseeable discharge in adverse weather conditions,'' as defined at 33 
U.S.C. 1321(a)(24). PHMSA proposed to define a WCD from a train consist 
as the greater of: (1) 300,000 gallons of liquid petroleum oil; or (2) 
15 percent of the total lading of liquid petroleum oil transported 
within the largest train consist reasonably expected to transport 
liquid petroleum oil in a given response zone.
    Environmental groups stated the WCD calculation was too low and 
should instead include the entire petroleum content of all tank cars on 
the train and additional factors affecting the incidence or severity of 
a derailment (e.g., bridge collapse, tide activity, etc.). The 
coalition comments from Riverkeeper, Center for Biological Diversity, 
et al. stated that the analysis for WCD was insufficient. They provided 
several arguments against specific analysis points in the agency's 
determination of WCD, citing an incomplete incident history, 
disagreeing with adjustments made to account for the protections from 
the enhanced tank car standard in the HM-251 final rule, and asserting 
that CWA only provides deviation from setting a WCD at a package's full 
contents when ``secondary containment'' is provided.
    The coalition comments from Riverkeeper, Center for Biological 
Diversity, et al. also stated the WCD should be redefined to include 
the full contents of all tank cars carrying petroleum oil in a train. 
They stated the full contents is a ``reasonable assumption'' and 
provided examples of Area Contingency Plans (ACP) that plan for a WCD 
using the full contents of all tank cars. The coalition comments from 
Riverkeeper, Center for Biological Diversity, et al. also stated that 
the final rule must ``appropriately account for a range of damages and 
resources required to rehabilitate communities and the environment 
after a worst-case disaster.''
    Some private individuals supported removing the ``300,000 gallon'' 
option for the WCD and requiring it to be 15 percent for all trains 
carrying petroleum oil. These commenters stated 300,000 gallons was too 
low of a calculation. However, they did not address train 
configurations for which 300,000 gallons is a greater volume than 15 
percent.
Response to Comments Regarding Worst-Case Discharge for COSRP 
(Sec. Sec.  130.105 and 130.5)
    This final rule adopts the proposed requirements for WCD. Under the 
statute, worst-case discharge means ``the largest foreseeable discharge 
in adverse weather conditions,'' as defined at 33 U.S.C. 1321(a)(24). 
The largest foreseeable discharge includes discharges resulting from 
fire or explosion.\21\ PHMSA and FRA have not observed any unit train 
derailments that have resulted in the release of the entirety of the 
train's contents. Furthermore, the likelihood of a unit train losing 
the entire contents of all tank cars is extremely low. Therefore, 
defining a WCD as the total contents of all tank cars overstates the 
``largest foreseeable discharge.''
---------------------------------------------------------------------------

    \21\ 33 U.S.C. 1321(j)(5)(D)(iii).
---------------------------------------------------------------------------

    PHMSA disagrees that the analysis for the WCD is inadequate; it is 
based on the U.S. incident record relevant to the applicability of this 
rule. PHMSA identified and analyzed the quantities released from tank 
cars in the major derailments involving petroleum oil that have 
occurred in recent years in the

[[Page 6923]]

United States to estimate the approximate volume of petroleum oil that 
would constitute a WCD in the United States. PHMSA continues to 
maintain that including rail incidents that have occurred outside of 
the United States is not appropriate for COSRP analysis. PHMSA's 
analysis indicates that the WCD, in terms of the quantity released from 
tank cars that punctured or experienced thermal tears, would be 
approximately 500,000 gallons of petroleum oil.
    Recognizing that the comprehensive safety enhancements, including 
tank car design enhancements promulgated in the HM-251 final rule, 
would reduce the overall quantity released in a derailment scenario 
occurring in the future, PHMSA did not propose 500,000 gallons as a 
planning volume for a WCD. The HM-251 final rule adopted lower speed 
limits for HHFTs during the phase-in period for the new tank car design 
to reduce risk. PHMSA believes the safety improvements for HHFTs 
adopted in the HM-251 final rule provide a reasonable basis for 
adopting a lower planning volume for WCDs. Adjusting the largest 
quantity released within the crude-by-rail derailment history (i.e., 
474,936 gallons) by the expected mitigation of damages (0.33) from the 
HM-251 rule, we expect related safety improvements over the 10-year 
period from 2017-2026.\22\ This calculation (474,936 x 0.67) yields 
318,000 gallons. Specifically, the quantity released in the Casselton, 
ND indicates that a WCD would involve 474,936 gallons. Expressed as a 
percentage of the total petroleum oil lading carried by the derailed 
Casselton, ND train, a WCD would involve approximately 15 percent of 
the total (474,936 gallons released divided by the 3,088,000 gallons 
carried by the train; rounded down from 15.38 percent). Specifically, 
104 tank cars loaded with petroleum oil were involved in that 
derailment, and we have assumed that the all tank cars contained 29,700 
gallons. Notably, there have been only two derailment incidents in the 
U.S. safety record that had greater than 15 percent of material 
released: Casselton, ND and Aliceville, AL. The crude oil tank car 
fleet has seen major improvements since the HM-251 final rule, and if 
those derailments would have occurred given the current fleet 
composition, we would expect the releases for both incidents to fall 
beneath the WCD threshold. In addition, the WCD is sufficiently high so 
that no incident has exceeded it to the degree that it seems unlikely 
that preparation for the WCD amount would have resulted in an 
inadequate response to the incident that occurred.
---------------------------------------------------------------------------

    \22\ Please see the benefits section, Section 3, in the RIA.
---------------------------------------------------------------------------

    As previously discussed, PHMSA accounted for the expected 
mitigation of damages achieved through the HM-251 final rule to 
determine the proposed 300,000 gallon WCD planning volume. However, for 
the proposed WCD planning volume based on the percentage of the total 
petroleum oil lading within a train consist, PHMSA did not incorporate 
the expected mitigation of damages of the HM-251 rulemaking because we 
believe that this percentage does not account for uncertainty in large 
train configurations. Large train configurations (e.g., 135-tank car 
trains) have an appropriate WCD planning volume, commensurate with 
their presentation of increased risk.
    As an illustration of the WCD definition and its application to WCD 
planning volumes for use in COSRPs, consider a 50-tank car train and a 
100-tank car train carrying petroleum oil. For the 50-tank car train, 
the WCD planning volume would be 300,000 gallons, since 300,000 gallons 
is greater than 15 percent of the total petroleum oil lading carried by 
that train (i.e., 225,000 gallons, assuming each tank car carries 
30,000 gallons). For the 100-tank car train, the WCD planning volume 
would be 450,000 gallons, since 15 percent of the petroleum oil carried 
by that train--or 450,000 gallons--is greater than 300,000 gallons. 
Furthermore, PHMSA acknowledges both the existence of even larger 
trains (e.g., 120-tank car trains), as well as the uncertainty 
surrounding the number of tank cars loaded with petroleum oil that 
might be transported by rail in the future.
    PHMSA maintains that distinguishing larger train configurations 
from relatively smaller ones is appropriate given differences in risk, 
and we further maintain that this calculation is to be used to 
determine the ``planning volume'' for WCDs within a given response 
zone. It is not re-calculated for each train in operation within a 
given response zone; rather, it is based on the largest train 
configuration that can reasonably be expected to transport petroleum 
oil within a response zone. Furthermore, nothing in the rulemaking 
prohibits a railroad from using a higher planning volume in their plan.
    Given that the discussion above applies to the WCD for the expanded 
applicability to unit trains of petroleum oil, we are clarifying that 
the calculation for 300,000 gallons or 15 percent of the lading across 
the train consist applies to unit trains. As stated in the NPRM, PHMSA 
did not propose to change the applicability requirements for tank cars 
exceeding 42,000 gallons. When separating the definition of ``maximum 
most probable discharge'' and ``worst-case discharge,'' the planning 
volume for tank cars exceeding 42,000 gallons was inadvertently 
omitted. Therefore, we are amending the definition of ``worst-case 
discharge'' to reinstate that the planning volume for tank cars 
exceeding 42,000 gallons ``equals the capacity of the cargo 
container.''
Summary of Comments Regarding the Response Zone for COSRP (Sec. Sec.  
130.105 and 130.5)
    In the NPRM, PHMSA proposed to define the term response zone as 
``one or more route segments identified by the railroad utilizing the 
response resources which are available to respond within 12 hours after 
the discovery of a WCD or to mitigate the substantial threat of such a 
discharge for a comprehensive plan meeting requirements of subpart C.'' 
PHMSA additionally asked whether the 12-hour response time was 
sufficient for all areas subject to the plan, or whether a shorter 
response time (e.g., 6 hours) would be appropriate for certain areas 
(e.g., High Volume Areas) which pose an increased risk for higher 
consequences from a spill. PHMSA further invited comments on the 
criteria and support-levels for ``high volume areas.'' Commenters to 
the NPRM provided recommendations for determination of the response 
zone and response times.
    Commenters recommended several different revisions to the 
definition of response zone. Environmental groups and State agencies 
recommended re-defining response zones as pre-defined ``geographic 
response areas.'' This suggestion promotes resource sharing and more 
closely aligns with the EPA response structure. For example, the 
Minnesota Pollution Control Agency gave the example of non-profits 
``WAKOTA CAER and Red Wing CAER,'' which have voluntarily formed a 
response cooperative. The Minnesota Pollution Control Agency further 
suggested utilizing response zones with pre-defined areas because, 
``all railroads/industries operating within that geographical area 
could be encouraged or required to establish caches of equipment, 
contractors and other response resources jointly. Those resources would 
then be available to any industry with similar preparedness/response 
requirements.''
    Other commenters supported resource sharing without linking the 
requirement to specific geographic response zone definition. ASLRRA 
requested that short

[[Page 6924]]

lines (Class II or III) operating as a tenant to a Class I railroad be 
permitted to enter into a voluntary agreement to use the plan and 
resources belonging to the Class I railroad for the area of track 
(e.g., response zone) which falls under the tenant/host relationship. 
NTSB encourages, ``small entities to enter into an agreement similar to 
the one managed by the Marine Preservation Association, a not-for-
profit membership corporation that helps its members address problems 
caused by spills of oil and petroleum in transportation and allows its 
members to enter into a OSRO [oil spill removal organization] service 
agreements.''
    AAR commented, ``PHMSA should allow each railroad (Class 1, 2 or 3) 
to define the number and location of `Response Zones' that meet the 
specific railroad's existing incident management team (``IMT'') 
location, organizational structure, and contractor network. Railroads 
should not be required to use a prescriptive set of planning standards 
that specify `Response Zones.' '' AAR provided sample regulatory text:

    Railroad plan holders will develop ``Response Zones'' with 
response resources located within 12 hours of each point along the 
HHFT route where ``Response Activities'' would occur. Additionally, 
Response Zone locations, boundaries and numbers will be based on the 
existing location and organizational structure of each railroad's 
incident management team (IMT) including Qualified Individuals 
(QIs), response resources, and railroad-contracted Oil Spill Removal 
Organization (OSROs) available to arrive onsite to mitigate a WCD or 
substantial threat of one.

    Overall, most commenters felt that 12 hours was too long and 
recommended a shorter response timeframe ranging from immediately to 6 
hours for all areas. Commenters expressed concerns about public safety 
and environmental damage that could be caused by spills, fires, or 
explosions during the first 12 hours and provided detailed descriptions 
of harm that could occur during that timeframe. Commenters claimed 
faster response times provide better protection, but they provided no 
quantitative data to support the effectiveness of faster response 
resources.
    Commenters provided examples of State requirements and proposed 
legislation specifying response times for various activities related to 
responding to rail incidents. The State of Minnesota requires railroads 
to: (1) Within one hour, provide qualified personnel on-scene to assess 
the discharge; (2) within the first 8 hours, be capable of deploying 
resources to contain and recover 10 percent of the volume of the worst-
case scenario and to protect sensitive areas and potable water intakes; 
and (3) within the first 60 hours, deploy full response resources for 
containing and recovering the worst-case scenario. The coalition 
comments from the Riverkeeper, Center of Biological Diversity, et al. 
provided the response times in the Emergency Response Guidebook and the 
requirements adopted in the HM-251 final rule for thermal protection 
capable of withstanding a pool fire for 100 minutes.
    Commenters provided support for including different areas with a 
faster response timeframe. NTSB suggested that no areas should have a 
longer response time than 12 hours, given the capability for the 12-
hour response time was already demonstrated. NTSB also suggested 
adopting a 6-hour response time for ``High Volume Areas'' (consistent 
with the definition in Sec.  194.5 of the pipeline regulations, 
excepting the pipeline diameter). NTSB further recommended that PHMSA 
adopt a High Volume Area definition ``that recognizes credible single 
HHFT exposure risks based on the proximity of the track to the river 
and natural drainage paths,'' citing the pipeline spill in Marshall 
Michigan \23\ and the Lac-M[eacute]gantic, Quebec derailment as having 
caused more than one billion dollars in damage and supporting a need 
for faster response times.
---------------------------------------------------------------------------

    \23\ https://www.ntsb.gov/investigations/AccidentReports/Pages/PAR1201.aspx.
---------------------------------------------------------------------------

    Commenters defined a wide range of features, such as population, 
schools, economic activity, cultural and ecological significance, 
geologic factors, speed of tides, and location of nuclear reactors or 
other higher risk activities, as necessitating a faster response time. 
Commenters most frequently described drinking water intakes, 
environmentally-sensitive areas, and specific local waterways, such as 
the Hudson River, as necessitating faster response times and more 
detailed identification or mapping in a plan. Commenters also included 
suggestions such as scaling response times based on the amount of time 
oil would take to reach water or the volume of applicable trains in an 
area as criteria for faster response times. The State of Idaho 
Department of Environmental Quality included concerns that inclement 
weather and fast moving water streams would delay response and lead to 
larger area of impact. Commenters also focused on risk factors, and 
suggested weighting factors from the railroad routing analysis required 
by Sec.  172.820 of the HMR. Commenters also provided the ``High 
Consequence Areas (HCA)'' from the part 195 of the OPS pipeline 
regulations as an example of risk-based criteria. These areas include 
population density in the definition and are related requirements for 
an operator's pipeline integrity management program. It should be noted 
this is a separate program from the OPS requirements for OSRPs in 49 
CFR part 194.
    AAR requested clarification that response times are a ``planning 
standard, not a compliance standard. For example, if a response vehicle 
has a flat tire on the way to a response, the company should not be 
cited as being out of compliance.'' AAR also requested that PHMSA 
``clarify that the 12-hour response timeframe applies only to track 
where HHFT trains traverse, and not to the entire rail network.'' AAR 
provided examples of specific changes to the regulatory text to clarify 
this responsibility.
Response to Comments Regarding Response Zone for COSRP (Sec. Sec.  
130.105 and 130.5)
    We are adopting the proposed requirements for response zones with 
clarification to the regulatory text in response to commenters. We 
disagree with limiting response zones to pre-defined areas, whether 
geographic response areas or similar criteria. Providing pre-defined 
response areas exceeds the scope of this rulemaking, as commenters did 
not have the opportunity to comment on such boundaries. Furthermore, 
the requirements for consistency with the NCP, ACP, along with the 
notification requirements, ensure that railroads have the necessary 
consistency with local and regional response structures.
    We agree with AAR that the intent of the requirement for response 
zones is to allow railroads the flexibility to develop response zones 
and stage resources, provided that the planning standards for resources 
are met. The draft RIA provided an estimate of the number of response 
zones for each railroad for the purpose of estimating costs. We did not 
intend for the assumptions and estimation in the draft RIA to prescribe 
a specific number of response zones. Furthermore, we did not intend for 
railroads to provide information and resources about route segments 
where applicable quantities of oil are not transported. Therefore, we 
are clarifying both the definition of response zone and the general 
requirements to communicate that railroads may determine the boundaries 
of response zones, provided that the plan demonstrates that resources 
within the response zone meet the planning criteria. We are also 
clarifying that plans

[[Page 6925]]

with only one response zone do not need to duplicate information 
between the core plan and response zone.
    In general, we agree that railroads and industries should be 
encouraged to share response resources; however, we disagree that 
adding pre-defined response zone boundaries for response zones is 
necessary to enable resource sharing. Nothing in this rulemaking 
prohibits the formation of cooperatives or other such resource sharing 
agreements, provided that each railroad required to have a plan 
demonstrates the availability of appropriate resources by contract or 
other means. Additionally, railroads communicate the response zone 
location to emergency response planning officials through the 
information sharing notification requirements adopted in Sec.  174.312, 
providing adequate information to enable resource sharing.
    The purpose of the response time requirement is to ensure railroads 
are demonstrating that they can identify, and ensure by contract or 
other means approved by the President, the availability of private 
personnel and equipment necessary to remove, to the maximum extent 
practicable, a worst-case discharge (including a discharge resulting 
from fire or explosion), and to mitigate or prevent a substantial 
threat of such a discharge.\24\ USCG has developed planning guidance 
and standard calculations for response times in the 2016 ``Guidelines 
for the U.S. Coast Guard Oil Spill Removal Organization Classification 
Program.'' \25\ Adopting a 12 hour response time and the USCG's 
assumption that response resources can travel according to a land speed 
of 35 miles per hour ensures that the resources listed in the plan are 
available for a response and that response personnel will know when the 
resources can reasonably be expected to be available on-site. However, 
we disagree with AAR's recommendation that it is necessary to include 
additional regulatory language stating 12 hours is not a performance 
guarantee.
---------------------------------------------------------------------------

    \24\ 33 U.S.C. 1321(j)(5)(D)(iii).
    \25\ https://homeport.uscg.mil/Lists/Content/Attachments/1286/Guidelines%20for%20the%20USCG%20OSRO%20Classification%20Program.pdf.
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    In this final rule, we are adopting the requirement for a single 
response time of 12 hours in all areas. This response time is 
consistent with the requirement for ``all other areas'' used by the OPS 
for pipelines. In the NPRM, PHMSA requested public comment on whether 
the 12-hour response time would be sufficient for all areas subject to 
the plan, or whether a shorter response time (e.g., 6-hours) would be 
appropriate for certain areas (e.g. High Volume Areas) that pose an 
increased risk for higher consequences from a spill; on criteria to 
define such ``High Volume Areas'' where a shorter response time should 
be required, as well as whether the definition for ``High Volume Area'' 
in 49 CFR 194.5 (excluding pipeline diameter) captures this increased 
risk, or if there is other criteria that can be used to reasonably and 
consistently identify such areas for rail; on whether requiring 
response resources to be capable of arriving within 6 hours would lead 
to improvements in response, and for specific evidence of these 
improvements; and on whether the final rule should have a longer 
response time than 12 hours for spills for all other areas subject to 
the plan requirements in order to offset costs from requiring shorter 
response times for High Volume Areas. Commenters did not provide 
adequate support to demonstrate that requiring the staging of resources 
for response times faster than 12 hours would bring about measurably 
improved protection or benefits, and that there were clear definitions 
for adequately defining high volume areas. Without sufficient data, 
PHMSA is unable to support a clear definition of a high volume area. 
Therefore, in the interest of safety and economic efficiency, PHMSA 
assumes the entire route threatens navigable water and that further 
identification for every point along the route would be impracticable. 
Rather, the use of 12 hours as a planning framework provides 
flexibility for OSROs to maintain larger inventory to be included 
within the response area. There is nothing prohibiting railroads from 
staging resources closer to specific route segments, and disagree that 
a voluntary designation will increase coverage for sensitive areas. We 
also note that providing response resources to remove, maintain, and 
mitigate WCD does not replace other emergency response procedures and 
resources for responding to a release of hazardous materials by rail.
Summary of Comments Regarding COSRP Consistency With NCP and ACP 
(Sec. Sec.  130.110 and 130.115)
    NTSB commented generally in support of compliance with the National 
Contingency Plan and Area Contingency Plan provisions proposed in Sec.  
130.103, stating they would ``serve to ensure a carrier's ability to 
respond to worst-case oil and petroleum discharges called for by Safety 
Recommendation R-14-005.''
    Coalition comments from Riverkeeper, Center for Biological 
Diversity, et al. questioned whether the proposed ``minimum 
consistency'' with the NCP and ACPs meets the requirements of OPA 90. 
Conversely, AAR stated that PHMSA ``must clarify which elements are 
necessary for minimum consistency with the National Contingency Plan.''
    IAFC supported the requirements for minimum consistency with NCP, 
but recommended additional clarification to ensure that the railroads 
understand that both Federal and state entities have an active role in 
the unified command, citing the NCP requirements in 40 CFR 300.105(d). 
The NCP requirements in 40 CFR 300.105(d) provide the ``organizational 
concepts of the national response system'' and describe a framework 
which, ``brings together the functions of the Federal Government, the 
state government, and the responsible party to achieve an effective and 
efficient response.'' IAFC suggested the proposed language for the 
requirement in Sec.  130.103(a)(1)(i), namely to ``[d]emonstrate a 
railroad's clear understanding of the function of the federal response 
structure'' be amended to include the ``applicable state and federal 
response structure.''
    Overall, commenters supported consistency with the ACP, but had 
several suggestions related to the inclusion of Environmentally 
Sensitive Areas (ESAs). Environmental groups and private citizens 
supported special identification and protections for ESAs. They also 
described many specific geographic areas, or suggested criteria for 
determining which environmentally sensitive areas require additional 
protection. They often cited cultural, economic, and ecological 
significance in their descriptions. The coalition comments of Scenic 
Hudson and Riverkeeper highlighted the importance of including 
additional strategies to protect and deflect oil from ESAs. They 
further recommended including a requirement to update and revise the 
plan contents.
    AAR noted that the burden of railroads determining ESAs would be 
too great and recommended limiting the requirement to:

    [R]eadily available U.S. Fish and Wildlife and Sensitive 
Environment Regional Contingency Plans (RCPs), Area Contingency 
Plans (ACPs), Sub-Area Contingency Plans (SACPs) or Geographic 
Response Plans (GRPs) Annex(s) or databases to identify 
environmentally sensitive or significant areas as defined in Sec.  
130.5 of this part, along the route, which could be adversely 
affected by a worst-case discharge and reference available SACPs or 
GRPs deflection and protection strategies to protect these areas.

    A private individual also requested that PHMSA ban the use of 
dispersants,

[[Page 6926]]

instead of limiting their use to scenarios where they are permitted and 
approved by the ACP and Federal OSC.
Response to Comments Regarding COSRP Consistence With NCP and ACP 
(Sec. Sec.  130.110 and 130.115)
    PHMSA maintains that the requirements for ``minimum consistency'' 
fulfill the requirements of the CWA. The requirements for the NCP and 
ACP in 40 CFR part 300 include many sections that may not be applicable 
to the rail context. Clarifying which requirements must be followed for 
minimum consistency ensures the most important elements are included. 
Doing so also responds to AAR's comments in response to both the ANPRM 
and NPRM requesting additional clarity and provides greater consistency 
with the OPS requirements for pipelines. We further agree with IAFC 
that the intent of requiring a clear understanding of the Federal 
response structure is to ensure that railroads can operate within a 
unified command, which may include State entities. Therefore, we are 
simplifying the requirement to state that OSRPs must, ``[d]emonstrate a 
railroad's clear understanding of the Incident Command System and 
Unified Command and the roles and responsibilities of the Federal On-
Scene Coordinator.'' Overall, we are adopting the requirements as 
proposed, with clarifications, as discussed in this section.
    We agree with AAR that the intent of including ESAs was to ensure 
consistency with the approach identified in ACPs. We did not intend to 
include the additional burden of requiring a new category for analysis. 
Therefore, we are adopting AAR's suggestion that we clarify that the 
inclusion of required ESAs be limited to those which have been 
identified in the existing contingency plans. We are further 
simplifying the definition of ESA to mean a ``sensitive area'' 
identified in the applicable Area Contingency Plan, or if no 
applicable, complete ACP exists, an area of environmental importance 
which is in or adjacent to navigable waters. We are not adopting the 
recommendation to expand the definition of ESAs to include additional 
areas and to include additional deflection strategies at this time. 
Doing so would require railroads to perform extensive analysis and 
develop new expertise, which would further delay the development and 
implementation of plans.
    We further disagree that DOT should ban the use of dispersants, but 
rather the appropriate use should be determined per the NCP, ACP, and 
Federal OSC. The use of dispersants is generally not authorized by the 
NCP or ACP for inland oil discharges.
Summary of Comments Regarding Notification Procedures and Contacts for 
COSRPs (Sec.  130.125)
    Overall, commenters supported the inclusion of notification 
requirements. The NTSB commented in support of the notification 
procedures proposed in Sec.  130.105, stating they would ensure a 
carrier's ability to respond to worst-case oil and petroleum discharges 
called for by Safety Recommendation R-14-005.
    Commenters also recommended providing time limits on the 
notification procedures. Riverkeeper, Center for Biological Diversity, 
et al. stated that because the proposed requirements do not explicitly 
require immediate communication ``between OSROs or the affected 
industry and the Federal official in charge of spill response,'' the 
proposed requirements do not meet the requirements of OPA 90.
    Several commenters also recommended that the notification 
procedures either include additional state or local resources (e.g., 
SERCs, TERCs, water utilities, etc.) or that the communication between 
the railroad and local resources be formalized with additional 
requirements. The State of Minnesota provided the State requirement for 
annual communication with emergency managers, fire departments, and 
employee unions as an example of more formal communication.
Response to Comments Regarding Notification Procedures and Contacts for 
COSRPs (Sec.  130.125)
    The proposed rule establishes a new section with requirements for 
the notification procedures and contact information that a railroad 
must include in a COSRP. The proposed rule sought to improve 
consistency with existing requirements for pipelines in Sec.  194.107 
and appendix A to part 194. Both part 194 and the combined comment of 
AAR and ASLRRA in response to the ANPRM include a requirement for 
immediate communication procedures. Therefore, in the final rule we are 
adding a requirement to include ``immediate notification procedures'' 
to the proposed language in Sec.  130.107(a)(4) stating, ``the 
circumstances and necessary time frames under which the notifications 
must be made.''
    We disagree that listing additional entities or further formalizing 
communication requirements is necessary at this time. The government 
structure and the entities that require contacting will vary between 
States or localities, and based upon the characteristics of the 
response zone. Furthermore, the plan requires consistency with the NCP 
and ACP, which requires the railroads to understand the response 
structure along the route. Additionally, the information sharing 
requirements adopted in part 174 provide contact between the railroad 
and State and tribal agencies.
Summary of Comments Regarding Response and Mitigation Activities for 
COSRPs (Sec.  130.130)
    Overall, commenters agreed that response and mitigation activities 
should be included in the plan. NTSB commented generally in support of 
the response and mitigation activities proposed in Sec.  130.106, 
stating they would ensure a carrier's ability to respond to worst-case 
oil and petroleum discharges called for by Safety Recommendation R-14-
005; however, commenters provided a range of suggestions on the 
response and mitigation activities included in the plan.
    Some commenters provided general support for the response and 
mitigation activities, but also recommended additional specificity or 
clarifications. IAFC recommended the proposed language requiring 
resources able to ``remove oil'' be edited to ``control and remove 
oil'' to clarify that the plan also includes common and necessary 
response resources which may not directly remove oil. The National 
Association of SARA Title Three Program Officials (NASTTPO) supported 
the proposed requirements for railroads to include the location and 
inventory of equipment that can be mobilized in a response, but 
recommended including the number and training level of personnel that 
will be mobilized and providing a description of the response time, 
assuming favorable weather.
    Many commenters offered multiple suggestions to require railroads 
to provide response resources which exceeded the scope of the proposed 
requirements. For example, some commenters suggested requiring 
railroads to stage additional resources that were not proposed or to 
require specific equipment, such as helicopters with firefighting 
capabilities or ``SAFETY Rail Cars'' which contain firefighting and 
containment equipment. One private individual suggested all equipment 
or supplies should be heavily duplicated. Other commenters recommended 
adding requirements for railroads to provide equipment to local 
responders. For example, the City of Berkeley commented that response

[[Page 6927]]

resources should be available to first responders, in addition to the 
clean-up resources and personnel.
    Commenters recommended requiring more detailed procedures. For 
example, commenters recommended including supplies and procedures to 
account for more specific WCD scenarios, such as specific adverse 
weather conditions, bridge collapses, and the effect of tides. Citizens 
Acting for Rail Safety-Twin Cities requested ``public education'' that 
includes evacuation procedures. Scenic Hudson and Riverkeeper suggested 
that, at a minimum, COSRPs should ensure, ``the maximum cleanup 
practicable, given both the weather, the physical conditions and other 
factors at the spill site.'' Commenters also recommended specifying 
requirements for differing procedures to account for different oil 
types, such as heavy- or light-crude oil, citing studies on differing 
clean-up procedures.
    The coalition comments from Riverkeeper, Center for Biological 
Diversity, et al. expressed concern that ``certifying'' that the 
identified resources are available by ``contract or other means'' is 
not sufficient to ensure that the preparations have been made. They 
requested that PHMSA reintroduce the requirement that OSRPs show--by 
contract--that preparations have been made to respond to the maximum 
extent practicable. They further specified that the proposed rulemaking 
should account for a range of damages and resources required to 
rehabilitate communities and the environment after a WCD. The comments 
included a list of examples of potential damages ranging from ``loss of 
life'' to ``fear of a future catastrophe,'' but do not specify figures 
or how to address these damages beyond ``inclusion'' in the WCD.
Response to Comments Regarding Response and Mitigation Activities for 
COSRPs (Sec.  130.130)
    Overall, we have adopted the proposed requirements, which continue 
to align with the pipelines requirements. Many of the additional 
response resources recommended by commenters would increase the burden 
of the rulemaking beyond what was proposed in the NPRM. Furthermore, 
the comments recommending additional resources and activities lacked 
data about the corresponding costs and benefits of these 
recommendations. We did not propose specific mitigation activities. We 
are clarifying in the final rule that the equipment and resources must 
meet the planning standards outlined in appendix C of 33 CFR part 154. 
This is consistent with the approval of OSRPs for pipelines in 49 CFR 
part 194 and the assumptions in the NPRM; it also maintains a level of 
OSRO response resources equivalent to that specified by the USCG in 33 
CFR 154.1035 and 155.1035. We are maintaining the exception from 
listing equipment for OSROs classified in the aforementioned sections. 
We expect railroads, in cooperation with OSROs, to determine and 
describe the appropriate mitigation and response activities they use 
relative to the response zone and available resources. The guidance in 
appendix C of 33 CFR part 154 provides the necessary flexibility to 
allow railroads and OSROs to tailor activities and equipment to the 
specific geographic conditions in the response zone.
    We agree with IAFC's proposed edit to include the word ``control.'' 
It clarifies that the range of activities may include those beyond the 
direct removal of oil.
    We disagree with coalition comments from Riverkeeper, Center for 
Biological Diversity, et al. that the language to ``certify'' response 
resources is inadequate. The plan requirements make it clear that the 
resources must be available by ``contract or other means.'' \26\ Plans 
must meet all requirements of subpart C of part 130 for approval and, 
therefore, must demonstrate a ``contract or other means'' of 
availability.
---------------------------------------------------------------------------

    \26\ ``Contract or other means'' is defined in 49 CFR 130.5. 
This rulemaking did not change the definition.
---------------------------------------------------------------------------

Summary of Comments Regarding Training Procedures for COSRPs (Sec.  
130.135)
    The NPRM proposed requirements for training of railroad employees 
to ensure that they are capable of carrying out a role in the plan and 
are familiar with the applicable requirements. The proposed training 
requirements further specify the minimum elements to be included in 
training for all reporting personnel and railroad employees subject to 
the plan. The NPRM also proposed requirements for the railroad to 
document and certify completion of this training. The NPRM asked 
commenters whether ICS incident commander-level training should be 
required for the Qualified Individual.
    PHMSA received several comments about COSRP training procedures. 
Many commenters highlighted the importance of training. NTSB commented 
generally in support of the training procedures proposed in Sec.  
130.107, stating they would ensure a carrier's ability to respond to 
worst-case oil and petroleum discharges, as called for by Safety 
Recommendation R-14-005. Many commenters provided suggestions for 
additional training requirements that exceeded the scope of the 
proposed rulemaking, such as requiring railroads or shippers to either 
train or provide additional funding for the training of firefighters 
and local responders. NTSB also recommended requiring the use of 
training referenced by OSHA in 29 CFR 1910.120(p) and (q) and by the 
National Fire Protection Association (NFPA) in Standard 472.12. The 
State of Idaho recommended increasing training frequency to every three 
years, instead of every five years.
    Some industry commenters suggested additional clarification was 
needed for training requirements. API suggested that the training 
standards lacked specificity and needed to describe the required 
training for the Qualified Individual and clarify differences ``for 
personnel on the train versus other railroad personnel, or whether or 
not plans and employee training records should be kept on the trains or 
with the conductor.'' They recommended aligning these practices with 
commonly accepted practices for other modes and facilities to provide 
consistency and confidence in railroad capabilities.
    AAR commented that the proposed training is too broad and does not 
sufficiently protect railroads from liability relating to volunteers 
working under the direction of state and other stakeholder groups. They 
provided suggested edits to the proposed regulatory text in Sec.  
130.107(c)(4)(d), including clarifying that ``[p]lan holders shall not 
be responsible for contracting with or training volunteers during 
responses working under the direction of state or stakeholder groups'' 
and distinguishing that additional training standards may apply to 
response personnel ``under contract to the plan holder.''
    Commenters also provided suggestions on the recordkeeping and re-
training requirements. The coalition comments from Riverkeeper, Center 
for Biological Diversity, et al. stated it is not sufficient to certify 
that employees received training, as 33 U.S.C. 1321(j)(5)(D)(iv) states 
that ``a response plan must describe the training to be carried out 
under the plan to ensure the safety of the facility and to mitigate or 
prevent the discharge.''
    Many commenters also responded to PHMSA's inquiry in the NPRM about 
whether the proposed training requirements were sufficient, or whether 
the Qualified Individual should be trained to the ICS Incident 
Commander-level. Commenters, including State governments and

[[Page 6928]]

emergency responder organizations provided support for requiring either 
the Qualified Individual or another individual to receive Incident 
Commander-level training. The Washington State Department of Ecology 
explained that the Qualified Individual and the Incident Commander do 
not perform the same functions, stating that railroads must identify an 
individual who will be trained and qualified to act as an Incident 
Commander, whether it is the Qualified Individual or some other 
individual. The IAFC further recommended requiring that Incident 
Commander training be consistent with the intent of ``Homeland Security 
Presidential Directive-5--Management of Domestic Incidents.'' Other 
commenters recommended further identifying and outlining the roles and 
responsibilities of an Incident Commander in the COSRP until the 
appropriate local, State, or Federal authorities take control of the 
incident. API supported a requirement to include Incident Commander 
training, as consistent with use of NIMS and ICS, but stated PHMSA and 
FRA should be prepared to provide guidance and oversight to the 
regulated community as they establish processes that support personnel 
and organizational changes.
Response to Training Procedures for COSRP Comments (Sec.  130.135)
    We disagree with adding requirements for railroads to train 
emergency responders in State and local governments, or otherwise 
provide training which exceeds the scope of the rulemaking. Such 
comments did not account for current programs available to improve 
training of emergency responders. For example, PHMSA's Hazardous 
Materials Emergency Preparedness (HMEP) Grant Program awards more than 
$20 million annually in grant funding to States, Territories, and 
Tribes to carry out planning and training activities to ensure State 
and local emergency responders are properly prepared and trained to 
respond to hazardous material transportation incidents.\27\
---------------------------------------------------------------------------

    \27\ https://www.phmsa.dot.gov/grants/hazmat/hazardous-materials-grants-program.
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    We agree with the industry, State and other governments, and 
emergency responder organizations that a best practice is for the 
individual acting as the Incident Commander to have Incident Commander-
level training to ensure the ability to operate in a unified command. 
We further agree that the railroads should have the flexibility to 
designate the Incident Commander, as someone other than the Qualified 
Individual to receive the training and serve in this role; however, we 
note that mandating that the railroad name the incident commander or 
requiring Incident Commander-level training may limit the railroad's 
ability to quickly establish an incident command after a release. 
Employees in proximity to an event may need to temporarily serve as the 
Incident Commander until additional employees arrive onsite to assume 
command. Therefore, we are encouraging, but not mandating, use of ICS-
300, Intermediate ICS for Expanding Incidents, or equivalent, and NFPA 
472 Chapter 8 for Incident Commander-level training as a best 
practice.\28\ Additional guidance can be found in NFPA High Hazard 
Flammable Trains (HHFT) On-Scene Incident Commander Field Guide.\29\
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    \28\ https://training.fema.gov/emicourses/crsdetail.aspx?cid=E300&ctype=R.
    \29\ http://www.nfpa.org/news-and-research/fire-statistics-and-reports/research-reports/for-emergency-responders/fireground-operations/high-hazard-flammable-trains-on-scene-incident-commander-field-guide.
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    We further disagree that the proposed training requirements lack 
clarity or create undue burdens to train volunteers. The training 
requirements allow railroads flexibility to provide training 
appropriate to an employee's role in carrying out the duties specified 
in the response plan. The regulatory text provides a note and 
illustrative examples as a reminder that other training may be 
applicable (see Sec.  130.135(d)). However, this cross-reference does 
not impose new training burdens on employees or volunteers. Therefore, 
we are adopting the training requirements as proposed.
Summary of Comments Regarding Recordkeeping, Plan Updates, Submission, 
and Approval for COSRPs (Sec. Sec.  130.145 and 130.150)
    The NPRM inquired whether the proposed mandatory compliance date of 
60 days after the date of publication of a final rule in the Federal 
Register was feasible. PHMSA received two comments in response to this 
inquiry. Citizens Acting for Rail Safety-Twin Cities supported the 60-
day compliance date. AAR requested 180 days, stating the time was 
necessary for the coordination, contracting, and planning required for 
covered routes. They further stated that additional time would be 
needed if PHMSA did not adopt their recommendation for clarifying use 
of previously identified ESAs. API also suggested additional time would 
be necessary for railroads to develop COSRPs.
    We also received other comments on various aspects of the 
recordkeeping and approval requirements. The coalition comments from 
Riverkeeper, Center for Biological Diversity, et al. recommended 
including ``CWA and OPA'' in the statement, ``FRA will approve the 
response plan if FRA determines that the response plan meets all 
requirements of this part to ensure plans meet both the regulations and 
the statute.''
    Many commenters, such as the NASTTPO, agreed that FRA was the 
appropriate agency to review and approve plans. Several commenters 
questioned whether FRA had the resources and knowledge to approve and 
enforce the oil spill response planning regulations. NTSB noted that 
the requirements for FRA approval would work toward implementing the 
intent of Safety Recommendation R-14-2. NSTB further stated:

    It is vital that the FRA develop a program and provide 
sufficient resources for thorough on-site audits. This will help to 
avoid the regulated industry essentially policing itself and spill 
response plans being approved without sufficient verification. 
Therefore, we believe that while the proposed requirements in the 
NPRM for comprehensive OSRPs are complete and admirable, it is not 
enough to approve plans without trained staff to verify that 
sufficient resources and tactics are in place to ensure timely and 
effective responses to worst-case oil discharges.

    API encouraged DOT to ensure that FRA receives the personnel, 
resources, and expertise necessary to execute its new role effectively 
and efficiently. API requested additional details related to FRA's 
COSRP administration, approval, and adjudication processes.
    The Washington State Department of Ecology supported FRA approval 
with the proposed consultation by EPA and USCG, as well as expanding 
consultation to include states. Several commenters recommended 
requiring approval from additional entities. Private individuals 
suggested public hearings on plans prior to approval. Riverkeeper, 
Center for Biological Diversity, Sierra Club, etc. requested inclusion 
of ``regulatory impact survey'' of FRA's ability to enforce these 
requirements.
    The coalition comments from Riverkeeper, Center for Biological 
Diversity, et al. further recommended adding a two-year limit to the 
time a railroad can operate without a plan, after submitting it for 
approval to better align with the OPA 90 law. The State of Idaho 
Department of Environmental Quality recommended requiring FRA to 
approve or deny plans within 180 days.

[[Page 6929]]

    Comments from State governments and others suggested stricter 
timelines for resubmission of plans. The State of Minnesota suggested 
plans should be resubmitted every three years, instead of the five 
years proposed in the rulemaking. The State of Idaho Department of 
Environmental Quality recommended that the railroad should only have 30 
days to revise plans that have been resubmitted after an initial 
denial. Citizens Acting for Rail Safety-Twin Cities suggested that 
railroad plans should be updated and tested at least annually and 
within 30 days of railroad ownership change.
    Other commenters requested additional clarification or criteria for 
conditions requiring resubmission of plans. Scenic Hudson and 
Riverkeeper stated that plans should be revised to reflect periodic 
updates to the ACP, especially when changes to the ESAs are made or the 
associated protection and/or deflection strategies are updated.
    AAR supported the inclusion of specific criteria that determine 
when railroads must update plans, but suggested the proposed language 
was overly broad and required clarification. Specifically, AAR 
suggested clarifying that the requirement to modify plans to include 
new routes should only apply to HHFT routes. AAR also suggested that 
ACP or NCP changes must be presented to the railroad before being 
required to be considered for plan changes. AAR also suggested removing 
the requirement, ``Any other information relating to circumstances that 
may affect full implementation of the plan.''
Response to Comments Regarding Recordkeeping, Plan Updates, Submission, 
and Approval for COSRPs (Sec. Sec.  130.145 and 130.150)
    We agree with AAR's comments that 180 days (6 months) is 
appropriate for plan development, given the inclusion of geographic 
information. Railroads have already developed basic plans that include 
some components of the comprehensive oil spill response plans. 
Railroads are required to perform a routing analysis in 49 CFR 172.820, 
which indicates the location of applicable route segments. Furthermore, 
many railroads have participated in voluntary programs to increase 
spill preparedness. However, other plan elements may require 
reformatting or additional data gathering. Therefore, we believe 180 
days is sufficient for the additional planning and coordination 
necessary to submit the COSRPs.
    The Secretary of Transportation has to approve OSRPs for rail tank 
cars. While this authority was originally delegated by the Secretary to 
FRA, after considering comments questioning FRA's resources to approve 
plans, this authority is transferred to PHMSA, so that a sole DOT 
administration will have the authority to approve OSRPs. In addition to 
reviewing and approving OSRPs, PHMSA also has authority to pursure 
administrative penalties for violation of part 130, as it is issued 
pursuant to its delegated authority of 33 U.S.C. 1321(j).\30\ PHMSA's 
Oil Spill Preparedness and Emergency Support Division is an established 
program with experience approving OSRPs for pipelines. However, as with 
other PHMSA programs and procedures, PHMSA will continue to work with 
FRA for guidance on rail specific information and procedures, including 
shared review and enforcement. We are also adopting the option for 
PHMSA to consult with the EPA or the USCG, as needed. As 33 U.S.C. 
1321(j)(5)(E) requires that a plan that meets the minimum requirements 
be approved, we maintain that mandating multi-agency, public 
participation, or additional approval activities would fail to provide 
enough value in an explicit approval process to justify the increased 
burden and potential delay.
---------------------------------------------------------------------------

    \30\ 33 U.S.C. 1321(b)(6) authorizes the Secretary of 
Transportation to assess ``Class I'' administrative penalies as 
specified and as updated in 40 CFR 19.4. The Attorney General has 
authority, pursuant to 33 U.S.C. 1321(b)(7), to pursue a civil 
penalty action in the district court in which is the defendant is 
located, resides, or is doing business.
---------------------------------------------------------------------------

    We disagree with Riverkeeper, Center for Biological Diversity, et 
al. that it is necessary to include ``the OPA and CWA'' in the 
regulatory text specifying plan approval. The regulatory authority for 
part 130 references the appropriate citations for CWA, and the 
requirements have been promulgated in accordance with the statutory 
requirements. Further specifying this law in the regulatory text as 
suggested by these comments may cause confusion.
    We agree with Riverkeeper, Center for Biological Diversity, et al. 
that a two-year limit for the time a railroad can operate without a 
plan after submitting it for approval should be added to better align 
with the OPA 90 law (33 U.S.C. 1321(j)(5)(G)). We have added language 
to meet the requirements of OPA 90. Although, the NPRM did not include 
language specifying two years, the additional burden to approve plans 
in a timely manner is placed on PHMSA; there is no additional burden on 
railroads.
    We disagree with States recommending a stricter timeline for 
resubmission of plans, as this goes beyond the proposed rulemaking and 
creates an additional burden for railroads not proposed. Furthermore, 
the requirement for resubmission every 5 years aligns with OPS 
requirements for pipelines and requires resubmission of plans within 90 
days of significant changes that affect the implementation of the plan. 
We do not expect that more frequent submission of non-significant 
changes (i.e., changes that will not affect the implementation of the 
plan) will improve response.
    We agree with commenters on many of the clarifications requested 
regarding the approval and submission requirements. We agree with 
Scenic Hudson and Riverkeeper comments that changes to the 
identification ESAs or deflection strategies may require resubmission 
of the plan. In the proposed rule, we included language requiring 
updates for ``[a] change in the NCP or an ACP that has significant 
[effect] on the equipment appropriate for response activities.'' As 
ESAs are a component of the ACP, they would fall under this 
requirement. We have added language clarifying this relationship and 
explaining that a change to applicable ESAs is an example of a 
significant change to the ACP, requiring an update. We have also added 
``the type of oil transported, if the type affects the required 
response resources, such as a change from crude oil to gasoline'' as an 
example of a change requiring an update. We agree with AAR that 
railroads only need to include updated route information if the route 
is used to transport trains requiring a COSRP.
    We disagree, however, that further clarification of the 
requirements triggering an update to the plan is necessary. We also 
disagree with AAR that NCP and ACP changes must be presented to the 
railroads. It is the railroads' responsibility to ensure they maintain 
consistency with the NCP and ACP for the route segments in which they 
are operating. We further disagree that including ``information 
relating circumstances that may affect full implementation of the 
plan'' is overly broad. This language is consistent with the 
longstanding language in the OPS requirements for pipelines, and 
ensures that railroads are updating plans to reflect changing 
conditions and informing those who need to know.
    We disagree with commenters that the methods proposed in Sec.  
130.109 and adopted in Sec.  130.145 for railroads to respond to 
alleged deficiencies are inadequate and should be either further 
limited or further elaborated. These requirements are parallel to the 
longstanding requirements adopted by the OPS for pipelines, which 
ensure a documented and timely response to

[[Page 6930]]

either fix or contest the identification of deficiencies by the 
approval agency.
Comments Regarding Confidentiality and Security Concerns for COSRPs 
(Sec.  130.150)
    Industry commenters described the plans as sensitive for both 
business and security concerns. AAR's comments highlighted concerns 
that releasing COSRPs to the public would lead to security risks. The 
comments emphasized that they considered routing information to be 
especially vulnerable. AAR cited terrorist propaganda targeting 
petroleum trains as support for their position. Other commenters 
highlighted the value of releasing plan information to a broader 
audience. These commenters expressed their belief in the importance of 
sharing information freely with State entities, emergency responders, 
and the public. The coalition comments from Riverkeeper, Center for 
Biological Diversity, et al. supported full public disclosure, but 
suggested that the plans be shared with public and local response 
agencies at a minimum. They requested details about which specific 
COSRP elements are sensitive. Members of Congress, States, and cities 
suggested both State and/or local authorities should receive unredacted 
plans, as they are familiar with protecting information, and since 
advance knowledge of the plans can help them better respond to 
incidents. For example, the City of Davis, California, provided 
examples of pipeline information and dam inundation maps, for which 
first responders and local entities who participate in NIMS structure 
sign non-disclosure agreements. Comments submitted on behalf of San 
Francisco Baykeeper requested the comprehensive plan information be 
provided online, including sensitive site strategies.
Response to Comments Regarding Confidentiality and Security Concerns 
for COSRPs (Sec.  130.150)
    PHMSA values transparency and provides resources to the emergency 
response community in many forms. We continue to disagree, however, 
that providing an entire COSRP to emergency responders or the public 
will lead to better preparedness. We agree with AAR and ASLRRA that 
some elements of a COSRP may contain information that is business 
confidential, SSI, or personally identifiable information. Other 
elements are specific to railroad operations and will not inform the 
actions of first responders or communities.
    Therefore, we are adopting the proposed requirements that railroads 
may follow existing procedures to request confidential treatment for 
documents filed with the agency, provided that the information is 
exempt by law from public disclosure (e.g., exempt from the mandatory 
disclosure requirements of the Freedom of Information Act (5 U.S.C. 
552), required to be held in confidence by 18 U.S.C. 1905). However, we 
are changing the citation for confidential information from FRA's 
procedures in 49 CFR 209.11 to PHMSA's equivalent procedures in 49 CFR 
105.30. Under this process, the railroads may submit a redacted version 
of the plan, but PHMSA retains the right to make its own determination 
in this regard. We disagree with the comment that specific examples of 
confidential information should be provided. These decisions are 
determined on a case-by-case basis as differences between the levels of 
detail provided by the railroad may impact the determination. We 
maintain that these procedures are well-established and allow for both 
transparency and the safe and secure flow of information.
    To ensure that State, tribal, and local government planning 
agencies receive advanced notification of the most pertinent 
information from COSRPs, we are adopting the proposed information 
sharing requirements in Sec.  174.312 to include a description of the 
response zone and the contact information for the Qualified Individual 
for HHFTs subject to the response plan.
Summary of Comments Regarding Equipment Testing and Drill/Exercise 
Procedures for COSRPs (Sec.  130.140)
    NTSB commented in support of the equipment testing and drill 
requirements proposed in Sec.  130.108. One commenter recommended 
requiring heavily duplicated equipment testing. No other comments 
addressing the proposed equipment testing requirements were received. 
The NPRM received several comments on the drills/exercises.
    NTSB and several other commenters recommended changing the term 
``drill'' to ``exercise'' for consistency with National Scheduling 
Coordination Committee and PREP Guidelines. API requests additional 
clarification on use of Government Initiated Unannounced Exercises 
(GIUEs) in accordance with the PREP Guidelines. Other commenters 
commented in support of government-led exercises and drills.
    Many commenters highlighted the value of regular exercises or 
drills between railroads and the local response community. Minnesota 
highlighted a State requirement for railroads to conduct at least one 
containment, recovery, and sensitive areas-protection drill every three 
years. NASTTPO described the need for exercises in rural areas, 
acknowledging, ``we have no expectation that rail carriers would be 
paying for the attendance of local first responders at training events 
and exercises, nor do we have an expectation that these exercises could 
rapidly be conducted in all areas,'' but continuing to request that 
rail carriers assess the local hazardous material response capability 
along their routes in conjunction with WCDs and prioritize field 
exercises and training for first responders in vulnerable areas.
Response to Comments Regarding Equipment Testing and Drill/Exercise 
Procedures for COSRPs (Sec.  130.140)
    We disagree with commenters that duplicate equipment testing is 
necessary for all equipment. We are adopting the proposed requirement 
to describe and certify that equipment testing meets the manufacturer's 
minimum requirements. This ensures that the equipment is maintained as 
intended by the manufacturer and aligns with other Federal OSRP 
requirements under the USCG.\31\
---------------------------------------------------------------------------

    \31\ 33 CFR 154.1057(a)(1).
---------------------------------------------------------------------------

    This final rule adopts the use of PREP Guidelines as proposed, with 
a minor change in wording. We agree with commenters that the word 
``drill'' should be replaced with ``exercise'' for better consistency 
with the PREP Guidelines. We disagree that commenters provided 
sufficient data to justify further prescribing exercise requirements at 
this time.
    On April 11, 2016, USCG announced that the updated 2016 PREP 
Guidelines have been finalized and are now publicly available.\32\ 
These updates included broadening section 5 of the PREP Guidelines to 
allow for the inclusion of other DOT/PHMSA-regulated facilities, such 
as rail. This provides an option for railroads to conduct exercises 
using the same guidelines as pipelines. The scope of the 2016 PREP 
Guidelines exercises is to: Demonstrate notification processes and 
accessibility between key facility personnel and the Qualified 
Individual; exercise the IMT's organization, communication, and 
decision[hyphen]making in managing a response; and demonstrate the 
ability to deploy response equipment identified in the Facility 
Response Plan (FRP). The 2016 PREP Guidelines also specify that DOT/
PHMSA has--and reserves--the

[[Page 6931]]

authority to conduct and require an operator to participate in a GIUE.
---------------------------------------------------------------------------

    \32\ 81 FR 21362.
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Summary of Comments Regarding Implementation of COSRPs and PHMSA 
Response (Sec.  130.155)
    The NTSB provided support for the response plan implementation 
requirements proposed in Sec.  130.112, stating they would ensure a 
carrier's ability to respond to worst-case oil and petroleum 
discharges, as called for by Safety Recommendation R-14-005. No other 
comments were received for this requirement. Therefore, we are adopting 
implementation language as proposed.
Summary of Comments Regarding Requirements for HHFT Operators and PHMSA 
Response (Sec.  174.310)
    The State of California Department of Fish and Wildlife opposed 
including a cross-reference to part 130 requirements for COSRPs in the 
requirements for operators of HHFTs in Sec.  174.310, stating that 
inclusion of the requirement inaccurately associates the plan with 
safety requirements related to the design, operation, and maintenance 
of railroads.
    We disagree. Section 174.310 provides a consolidated list of PHMSA 
requirements specific to HHFTs. The section includes both unique 
requirements and cross-references (e.g., additional security planning 
requirements in Sec.  177.820). Adding a cross-reference to COSRPs in 
part 130 for those HHFTs carrying petroleum oil provides better clarity 
for navigating PHMSA's regulations, consistent with the intent of the 
section. We have also added a cross-reference to the HHFT information 
sharing notification in Sec.  174.312 for clarity. These cross-
references do not impose new burdens on railroads.

C. Summary of HHFT Information Sharing Notification Comments (Sec.  
174.312)

    PHMSA received approximately 20 comments about the proposed HHFT 
information sharing requirements. These comments fall into several 
categories, including applicability, notification recipients, frequency 
of notification, data security, and confidentiality concerns. PHMSA 
also received several comments outside the scope of this rulemaking 
requesting advanced notification of all hazardous materials rail 
shipments or notification to various local entities following an 
incident. The Kentucky Emergency Response Commission supported the 
proposed requirements in Sec.  174.312 as written in the NPRM.
    PHMSA received a small number of comments on the appropriate 
quantity threshold at which the HHFT information sharing requirements 
would apply. These suggested thresholds included: One car of any 
hazardous material; any oil; any hazardous material in any quantity; 
and a general reduction in the number of cars triggering the 
notification requirements. NTSB stated that the HHFT applicability 
partly satisfies Safety Recommendation R-14-14 in that emergency 
response agencies would have access to periodic reports of flammable 
hazardous material commodities transported through their communities, 
but urged PHMSA to require all railroads to provide advanced 
notification to communities for all hazardous materials transported on 
a given route.
    Generally, most comments concerning notification recipients agreed 
with supplying HHFT information to the SERCs and TERCs. Several 
commenters also supported SERCs and TERCs further disseminating 
information to the appropriate local government officials. IAFC 
suggested adding fusion centers as an additional entity to receive 
notifications, but clarified that fusion centers should not replace 
SERCs. In terms of TERCs specifically, two commenters suggested that we 
work closely with tribes and allow their leadership to determine the 
best approach. One comment from AAR requested that the final rule 
mandate a registration system for SERCs and TERCs to receive 
information. NTSB supported expanding the notification requirements to 
include LEPCs.
    PHMSA received several comments about the frequency and type of 
information provided to SERCs and TERCs. IAFC agreed with the 
requirement for monthly updates and updates for when routes change a 
significant amount. They highlighted that receiving active, monthly 
notification was useful for emergency response planning by fire chiefs. 
AAR stated that the monthly reporting requirement would be redundant 
and asked that a new report should only be filed when there is a change 
in volume of 25 percent or greater. Commenters also requested more 
detailed notification of shipments either before or after incidents, 
including ``real-time notification'' of hazardous materials train 
consists. NTSB supported further inclusion of additional resources 
(i.e., an emergency coordinator who participates in the local emergency 
planning process), additional notice of any operational changes that 
could affect emergency planning, and any information necessary to 
develop and implement local emergency plans.
    The most discussed category was the topic of data security and 
confidentiality. PHMSA received several comments on this topic with 
commenters either asking for the information to be more widely 
available or requesting increased confidentiality measures. State 
governments, environmental organizations, and a private individual were 
in favor of keeping the information public. A local government, trade 
organizations, a carrier, and an emergency response organization were 
in favor of keeping information confidential. Both sides provided 
various reasoning for their given perspective. The Washington State 
Department of Ecology explained that the requirement to provide 
aggregate information weekly is ``consistent and complimentary with 
Washington law of aggregating crude rail information when releasing it 
to the public.'' The commenters advocating for this information to be 
public argued that making information private will put ``the SERC and 
TERC staff in a situation of undue legal jeopardy'' or cause confusion 
and delays in further providing information to appropriate entities. 
Commenters further supported public dissemination, as this information 
is not considered security sensitive information (SSI) by a number of 
States, right-to-know, and FRA's previous October 2014 Information 
Disclosure Notice.\33\ Several comments mentioned FRA's determination 
in the October 2014 Information Disclosure Notice that crude-by-rail 
information required to be reported is not business confidential or 
proprietary information. Industry commenters, such as Union Pacific 
Railroad, advocated for this information to be withheld from the 
public. They argued that the proposed rule fails to meet the FAST Act 
requirement to identify rail information as sensitive, and expressed 
security concerns over the requested information being publicly 
available. The American Fuel & Petrochemicals Manufacturers (AFPM) 
specifically requested that the information be exempt from public 
disclosure--including state FOIA and sunshine laws--for anyone without 
need-to-know, due to concerns over security.
---------------------------------------------------------------------------

    \33\ 79 FR 59892.
---------------------------------------------------------------------------

    Some comments supported a mixed approach, supporting both greater 
public availability of data and increased security measures. One 
comment requested that PHMSA and FRA establish guidelines as to what 
information is considered non-public

[[Page 6932]]

SSI. Another comment suggested that security and confidentiality should 
be controlled at the SERC level. Commenters explained that SERCs have 
experience properly controlling other sensitive information. Some 
commenters suggested that local governments should receive the 
notification, but sign non-disclosure agreements.
Response to Comments Regarding HHFT Information Sharing Notification 
(Sec.  174.312)
    PHMSA disagrees that the applicability threshold should be lowered. 
Lowering the threshold is outside the scope of this rulemaking, and was 
not sufficiently supported by commenters. Additionally, a lower 
threshold may include non-unit trains in the requirement and 
significantly increase cost for small businesses. As such, the HHFT 
threshold captures the risk of unit trains and provides a consistent 
approach with the requirement to perform routing analysis. This 
applicability aligns with the FAST Act requirement to apply the 
information sharing provision to HHFTs. It also expands the 
applicability from the FAST Act to include Class II and III railroads 
to provide a unified approach to the risk posed by HHFTs.
    We disagree with commenters that the proposed requirements are 
overly burdensome for ensuring SERCs, TERCs, and local responders 
receive the information contained in the notification. The entities 
included in the notification requirements align with the FAST Act. 
Furthermore, SERCs are already receiving the types of information 
specified in this requirement through the Emergency Order. The purpose 
of this notification is to actively inform communities about HHFTs 
which are transported through them. The routing notification 
requirements in Sec.  172.820 already provide a method for communities 
to request information. The AAR Circular OT-55-P outlines a voluntary 
procedure whereby local emergency response officials and emergency 
planning organizations may request and obtain a list of the types and 
volumes of hazardous materials that are transported through their 
communities.\34\ We also disagree with adding additional detailed 
information elements to the notification, as some of the suggestions by 
commenters for additional requirements exceed the scope of this 
rulemaking. Furthermore, PHMSA is addressing the FAST Act mandate in 
section 7302 to issue regulations that require real-time sharing of 
electronic train consist information for hazardous materials shipments 
in a separate rulemaking action.
---------------------------------------------------------------------------

    \34\ https://www.aar.org/boe.
---------------------------------------------------------------------------

    We agree with AAR that omitting the language for a ``change of 25 
percent or more'' may cause confusion in determining when use of a 
certification of no change is appropriate and that requiring monthly 
notifications is redundant. This is the standard used for the Emergency 
Order. Therefore, we are adopting a requirement to update the 
notification when changes in volume are greater than 25%.
    We disagree with commenters that the approach to security and 
confidentiality is inadequate. We maintain that notification to SERCs, 
TERCs, or other State-delegated agencies for the purpose of sharing 
with appropriate local officials is sufficient. Adoption of the 
proposed language, ``If the disclosure includes information that 
railroads believe is security sensitive or proprietary and exempt from 
public disclosure, the railroads should indicate that in the 
notification,'' is sufficient to ensure confidentiality and security. 
The purpose of SERCs and TERCs is to share information with local 
planning authorities, and adopting commenter recommendations for more 
prescriptive measures to disseminate information both exceeds the scope 
of the proposed rulemaking and places an additional burden on states. 
We acknowledge that states may differ in their methods. Maintaining 
this approach provides flexibility to ensure that SERCs, TERCs, and 
other State-delegated agencies disseminate information in accordance 
with State laws and procedures. Furthermore, this approach will help 
guard against inadvertent public disclosure of protected materials by 
ensuring that the information that railroads believe to be confidential 
for business or security reasons is marked appropriately. Before 
fulfilling a request for information and releasing the information, 
States will be on notice as to what information the railroads consider 
inappropriate for public release.
    The adopted information sharing notification elements include 
aggregated information, and analyses by DOT and DHS have indicated that 
the information elements in the notification are not considered SSI. 
Furthermore, railroads have not demonstrated specific prospective harm 
that would be caused by the release of such aggregated information. 
Commenters to the NPRM repeated the same previously raised concerns 
that the sharing of routing information for HHFTs required them to 
reveal proprietary business information. As discussed above, railroads 
argued that the Emergency Order routing information, if published or 
shared widely, could reveal information about customers. After 
considering the claim in an October, 2014 information collection 
notice, FRA concluded that the information would not be considered 
business confidential or SSI under Federal law. FRA's ``Proposed Agency 
Information Collection Activities; Notice and Request for Comments'' 
\35\ noted that the railroads did not specifically identify any 
prospective harm caused by the sharing of this information. DOT's 
previous analysis concluded that the information shared by railroads 
does not qualify for withholding under Federal standards as business 
confidential information or SSI. DOT requires railroads to share 
aggregated information about the volumes of HHFTs that travel through a 
jurisdiction on a weekly basis. This information does not include 
customer information or other business identifying details. Further, it 
does not provide specifics about the timing of HHFT trains.
---------------------------------------------------------------------------

    \35\ 79 FR 59891 (October 3, 2014).
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D. Summary of Initial Boiling Point Test Comments (Sec.  173.121)

    PHMSA received five comments addressing the proposed incorporation 
by reference of the ASTM D7900 test method. The coalition comments from 
Scenic Hudson, Riverkeeper, et al. stated that the new test method 
should be mandatory. NTSB supported use of the test, but recommended 
that PHMSA remove other boiling point test options they consider to be 
less accurate and, further, mandate additional requirements for best 
method of classification, such as API RP 3000 and the report on 
sampling methods by Sandia National Laboratories. NTSB described adding 
the test as partly addressing NTSB Safety Recommendation R-14-6, which 
recommends testing and documentation for all hazardous materials. 
Industry commenters provided a more detailed description and 
recommendations related to the use of the test. Commenters additionally 
provided recommendations related to additional testing and sampling 
requirements for petroleum crude oil, which exceeded the scope of this 
rulemaking.
    Both the AFPM and API stated that use of the test is not fully 
aligned with API RP 3000, pointing to differences between the API RP 
3000 and HMR regarding sampling methods and specificity about when to 
use the test.

[[Page 6933]]

For example, API stated that ASTM D7900 was applicable only to 
stabilized crude oils, defined as having a Reid vapor pressure 
equivalent to or less than 82.7 kPa (12 psi). Newer versions of the API 
RP 3000 incorporate additional IBP tests for other crude oils. AFPM 
explains:

    [The API RP 3000 requires] conducting an IBP analysis based on 
the definition of IBP in ASTM D7169, both the ASTM D7169 and ASTM 
D7900 tests must be run. The results of both tests are merged to 
obtain a boiling point distribution curve for the crude oil. The IBP 
is then calculated in accordance with the calculation procedures set 
out in ASTM D7169 to arrive at an IBP consistent with the IBP as 
defined in ASTM D7169 . . . The recommended practice for sampling in 
API RP 3000 differs substantially from the sampling methods 
prescribed in ASTM D7900, which requires that sampling be conducted 
in accordance with ASTM D4057 or D4177.

    Both AFPM and API supported adoption of the API RP 3000 but 
recommended incorporating specific, detailed language containing 
limitations or descriptions about when and how the test should be used, 
if adopted. API further recommended incorporation of additional 
standards for the collection of samples (e.g., the API Manual of 
Petroleum Measurement Standards (MPMS) Chapter 8.1/ASTM D4057, API MPMS 
Chapter 8.5/ASTM D8009, or ASTM D3700). AFPM recommended including an 
exception that crude oil may be classified as Packing Group (PG) I 
without further testing for better harmonization with requirements of 
Transport Canada.
Response to IBP Test Comments (Sec.  173.121)
    PHMSA mostly disagrees with commenters and is adopting the IBP test 
as proposed in the NPRM with the addition of the boiling point 
definition for clarity. The proposed rule included incorporation by 
reference of an additional initial boiling point test method, which 
would make no further changes to other testing and sampling 
requirements for petroleum products in Sec.  173.41, Sec.  173.120, or 
Sec.  173.121. The NPRM did not propose requiring mandatory use of the 
ASTM D7900 test or incorporating additional standards, nor did it 
provide an exception from all other sampling and testing requirements 
in the HMR by providing a PG I designation. Such requirements would 
reduce flexibility of industry stakeholders to comply with test 
requirements.
    Additionally, a more precise test to measure boiling point may 
provide a limited value, as it is unlikely to lead to a difference in 
classification of weathered and/or treated stable crude oils and may be 
unnecessarily costly to counter the limited outcome. However, PHMSA may 
consider incorporation of additional standards and further revising 
other sampling and testing criteria and methodology for petroleum crude 
oil in a future rulemaking action.
    Overall, PHMSA further disagrees that adding limitations to the use 
of ASTM D7900 initial boiling point test is necessary to ensure 
shippers use the right test for their flammable materials. Currently, 
Sec.  173.121 provides a list of initial boiling point tests. These 
tests do not apply to all Class 3 liquids; rather, shippers determine 
which test is most appropriate for their material. The full title of 
the test provided in Sec.  173.121 is ``Petroleum products containing 
known flammable gases--Standard Test Method for Determination of Light 
Hydrocarbons in Stabilized Crude Oils by Gas Chromatography (ASTM 
D7900),'' which clearly describes the test is appropriately used for 
certain petroleum products. However, use of the ASTM D7900 requires 
understanding the definition of ``initial boiling point, when 
determining the boiling distribution using ASTM D7900, is the 
temperature at which 0.5 weight percent is eluted.'' This definition is 
included in the ASTM D7169, which is referenced inside the ASTM D7900. 
Therefore, we are adopting the proposed requirement and including the 
aforementioned definition. This provides sufficient information for 
shippers to follow the current classification procedures to select the 
most appropriate test for their samples.

VI. Incorporated by Reference

    Section 171.7 lists all standards incorporated by reference into 
the HMR that are not set out in full text in the regulations. This 
final rule incorporates by reference the ASTM D7900-13\e1,\ Standard 
Test Method for Determination of Light Hydrocarbons in Stabilized Crude 
Oils by Gas Chromatography, 2013, available for interested parties to 
purchase in either print or electronic versions through ASTM's website 
at the following URL: https://www.astm.org/Standards/D7900.htm. The 
price charged for this standard at the time of publishing is $52.00. 
The price charged to interested parties helps cover the cost of 
developing, maintaining, hosting, and accessing these standards.
    This publication (i.e., test method) ensures a minimal loss of 
light ends for crude oils containing volatile, low molecular weight 
components (e.g., methane) because it determines the boiling range 
distribution from methane through n-nonane. Incorporation of this 
publication (i.e., test method) provides flexibility to use an industry 
best standard.

VII. Section-by-Section Review

Part 107

    Administrative update to authorities to include 33 U.S.C. 
1321(b)(6).
Section 107.301
    Updates section to include reference to subchapter B to reflect 
administrative update to amended authority for COSRP regulations 
promulgated under 33 U.S.C. 1321(j). Updates reference to the 
Secretary's delegation of authority from Sec.  1.53 of this title to 
Sec.  1.97 of this title.
Section 107.305
    Updates section to include reference to subchapter B to reflect 
administrative update to amended authority for COSRP regulations 
promulgated under 33 U.S.C. 1321(j).
Section 107.309
    Updates section to include reference to subchapter B to reflect 
administrative update to amended authority for COSRP regulations 
promulgated under 33 U.S.C. 1321(j).
Section 107.311
    Updates section to include reference to subchapter B to reflect 
administrative update to amended authority for COSRP regulations 
promulgated under 33 U.S.C. 1321(j).
Section 107.329
    Adds new paragraph (c) to include reference to the administrative 
civil penalty under 33 U.S.C. 1321(b)(6), as adjusted by 40 CFR 19.4, 
for violations of COSRP regulations promulgated under 33 U.S.C. 
1321(j).

Part 130

    We are restructuring part 130 to establish the following subparts:
    Subpart A--Applicability and General Requirements contains current 
Sec. Sec.  130.1-130.21 with minor revisions and clarifications.
    Subpart B--Basic Spill Prevention and Response Plans contains 
current Sec. Sec.  130.31-130.33 with minor revisions to remove 
comprehensive plan requirements.
    Subpart C--Comprehensive Oil Spill Response Plans is a new subpart 
with new requirements for COSRPs. The section number and titles have 
been updated for plain language as follows in Table 6:

[[Page 6934]]



   Table 6--Part 130 Subpart C--Comprehensive Oil Spill Response Plans
                                Sections
------------------------------------------------------------------------
                  NPRM                              Final rule
------------------------------------------------------------------------
130.101 Applicability for comprehensive  130.100 Applicability for
 plans.                                   comprehensive oil spill
                                          response plans.
130.102 General requirements for         130.105 Purpose and general
 comprehensive plans.                     format.
130.103 National Contingency Plan (NCP)  130.110 Consistency with the
 and Area Contingency Plan (ACP).         National Contingency Plan.
                                         130.115 Consistency with Area
                                          Contingency Plans.
130.104 Information summary for          130.120 Information summary.
 comprehensive plans.
130.105 Notification procedures and      130.125 Notification procedures
 contacts for comprehensive plans.        and contacts.
130.106 Response and mitigation          130.130 Response and mitigation
 activities for comprehensive plans.      activities.
130.107 Training procedures for          130.135 Training.
 comprehensive plans.
130.108 Equipment testing and drill      130.140 Equipment testing and
 procedures for comprehensive plans.      exercise procedures.
130.109 Recordkeeping and plan update    130.145 Plan review, update,
 procedures for comprehensive plans.      and recordkeeping procedures.
130.111 Submission and approval          130.150 Submission and approval
 procedures for comprehensive plans.      procedures.
130.112 Response plan implementation     130.155 Implementation of
 for comprehensive plans.                 comprehensive oil spill
                                          response plans.
------------------------------------------------------------------------

Section 130.2
    Paragraph (d) is updated to show that the requirements in Sec.  
130.31(b) have moved to subpart C. PHMSA does not propose any other 
changes to this section.
Section 130.5
    The changes to the definitions section are adopted as proposed in 
the NPRM. The introductory text is reformatted, including moving the 
definition for ``Animal fat'' to the correct alphabetical order as 
proposed in the NPRM. Definitions for ``Maximum Potential Discharge,'' 
``Oil Spill Removal Organization (OSRO),'' ``On-Scene Coordinator 
(OSC),'' ``Response activities,'' ``Response Plan,'' and ``Worst-Case 
Discharge'' are added as proposed in the NPRM. Definitions for 
``Adverse Weather,'' ``Maximum Potential Discharge,'' ``Person,'' 
``Petroleum Oil,'' and ``Worst-case discharge'' are revised as proposed 
in the NPRM. This final rule corrects an NPRM error in which OSRO used 
``response'' rather than the correct term ``removal''. The IBR 
reference is corrected for the definition of ``Liquid,'' as proposed in 
the NPRM, and the definition is updated to remain consistent with the 
HMR. In response to comments on the NPRM, the proposed definitions for 
``Environmentally Sensitive or Significant Areas'' and ``Response 
Zone'' have been further clarified in this final rule.
Section 130.31
    This section is revised editorially as proposed in the NPRM to 
clarify that it applies to basic OSRPs and remove references to COSRPs.
Section 130.33
    This section is revised as proposed in the NPRM to clarify that it 
only applies to basic OSRPs.
Section 130.100
    This final rule establishes a new section to describe the 
applicability requirements for COSRPs. This section has been adopted as 
proposed in the NPRM with revisions for plain language to clarify 
requirements in response to comments. This includes moving the current 
applicability of COSRPs of 42,000 gallons per packaging from Sec.  
130.31 to Sec.  130.100, and expanding the applicability of COSRPs to 
route segments in which railroads transport ``a single train 
transporting 20 or more loaded tank cars of liquid petroleum oil in a 
continuous block or a single train carrying 35 or more loaded tank cars 
of liquid petroleum oil throughout the train consist.'' This section 
also includes an exception proposed in the NPRM for oil that does not 
meet the definition of a Class 3 flammable or combustible liquid, and 
for tank cars carrying residue. Under this final rule, tank cars 
containing crude oil, fuel oil, petroleum distillates, diesel, and 
gasoline must be included when counting tank cars in the consist. 
However, mixtures that do not meet the criteria for Class 3 flammable 
or combustible material in Sec.  173.120 of part 173, or that contain 
residue as defined in Sec.  171.8 of subchapter C, are not required to 
be included when determining the number of tank cars transporting 
liquid petroleum oil. For example, waste water contaminated with 
petroleum oil or certain mineral oils may not meet the definition of a 
Class 3 flammable or combustible liquid. Additionally, oils which were 
already excepted from the applicability in part 130 by Sec.  130.2(b) 
are not required to be counted for COSRPs. Therefore, COSRPs would not 
be required for ``any mixture or solution in which oil is in a 
concentration by weight of less than 10 percent;'' or for ``any 
petroleum oil carried in a fuel tank for the purpose of supplying fuel 
for propulsion of the transport vehicle to which it is attached,'' or 
for ``oil transport exclusively within the confines of a non-
transportation-related or terminal facility in a vehicle not intended 
for use in interstate or intrastate commerce (see 40 CFR part 112, 
appendix A).''
Section 130.105
    This final rule establishes a new section for general requirements 
for the overall development of a COSRP as proposed in the NPRM. This 
section includes general requirements for the plan format, such as 
development of a core plan, and geographic response zones and 
accompanying response zone appendixes. This section also adds 
permission for railroads to use State plans to meet the requirements of 
part 130 provided they maintain an equivalent or greater level of 
protection as the Federal standard.
Section 130.110
    This final rule establishes a new section to require that COSRPs 
are certified for consistency with the NCP and demonstrate compliance 
through a list of minimum requirements. In response to comments, this 
section clarifies that the railroad must demonstrate a clear 
understanding of the ``Incident Command System and Unified Command.''

[[Page 6935]]

Section 130.115
    This final rule establishes a new section to require COSRPs are 
certified for consistency with each applicable ACP (or Regional 
Contingency Plan (RCP) for areas lacking an ACP) and demonstrate 
compliance through a list of minimum requirements. This section is 
adopted as proposed in the NPRM, with edits for plain language and 
clarification for ESAs. This section also clarifies that the 
identification of ESAs and protection strategies are determined by 
reviewing and summarizing readily available ACPs, or RCPs when an ACP 
is not available.
Section 130.120
    This final rule establishes a new section with requirements for 
COSRPs to include a front-page information summary. This section is 
adopted as proposed in the NPRM with minor edits for plain language.
Section 130.125
    This final rule establishes a new section with requirements for the 
notification procedures and contact information that a railroad must 
include in a COSRP. This section is adopted as proposed in the NPRM 
with minor edits for plain language and clarification that 
communication between Qualified Individuals and appropriate Federal 
officials and persons providing response personnel and equipment, must 
be immediate.
Section 130.130
    This final rule establishes a new section for railroads to describe 
the response and mitigation activities and the roles and 
responsibilities of participants in COSRPs. This section is adopted as 
proposed in the NPRM with minor edits for plain language and to clarify 
that appendix C of 33 CFR part 154 provides equivalent planning 
standards for use of OSROs classified under 33 CFR 154.1035 and 
155.1035.
Section 130.135
    This final rule establishes a new section requiring railroads to 
certify that employees are trained in accordance with the requirements 
of this section. This section is adopted as proposed in the NPRM with 
edits for plain language. In response to commenters, this final rule 
clarifies requirements for volunteers and adds requirements for the 
person acting as Incident Commander to be trained in ICS.
Section 130.140
    This final rule establishes a new section with requirements for 
equipment testing to be consistent with the manufacturer's minimum 
requirements. This section is adopted as proposed in the NPRM, with 
edits for plain language and to update the USCG website.
Section 130.145
    This final rule establishes a new section with requirements for 
exercise procedures consistent with current PREP requirements for 
COSRPs. This section is adopted as proposed in the NPRM, with edits for 
plain language and clarification. In response to commenters, this final 
rule replaces use of the term ``drill'' in the NPRM with ``exercise'' 
for consistency with the PREP guidelines.
Section 130.150
    This final rule establishes a new section with requirements for 
recordkeeping, review, and submission of COSRPs. The NPRM proposed that 
railroads submit plans to FRA. The final rule designates PHMSA as 
agency receiving plans and updates this section with submission 
procedures applicable to PHMSA, including specifying options for 
electronic submission of plans. In response to commenters, this final 
rule clarifies that railroads may operate for two years upon submission 
of response plan to PHMSA and certification of appropriate resources, 
for better consistency with the CWA.
Section 130.155
    This final rule establishes a new section to apply the current plan 
implementation requirements for COSRPs formerly under Sec.  130.33. 
This section has been adopted as proposed with changes to the section 
numbering and title for plain language.

Part 171

Section 171.7

    This section adds the ASTM D7900 standard to the list of ASTM 
materials incorporated by reference.

Part 173

Section 173.121
    This section adds the ASTM D7900 standard to the list of initial 
boiling point tests in Sec.  173.121(a)(2) that are incorporated by 
reference. This section adds a definition for initial boiling point 
when using the ASTM D7900 standard.

Part 174

Section 174.310
    Part 174, subpart G, provides detailed requirements for 
transporting flammable liquids by rail. The HM-251 final rule added 
Sec.  174.310 to this subpart to provide a consolidated list of 
requirements specific to transporting HHFTs. This final rule adds a new 
paragraph (a)(6) titled ``Oil spill response plans'' for clarity, to 
reference the part 130 requirements for HHFTs composed of trains 
carrying petroleum oil. A new paragraph (a)(7) titled ``Information 
sharing notification for emergency planning'' is added for consistency, 
to provide a reference to the new notification requirements in Sec.  
174.312. Although, the reference in (a)(7) was not proposed in the 
NPRM, no new requirements are being imposed.
Section 174.312
    This final rule adds a new Sec.  174.312 to subpart G of part 174 
to require rail carriers that operate HHFTs to provide notifications to 
each applicable SERC, TERC, or other appropriate State-delegated 
agencies for further distribution to appropriate local authorities, 
upon request. Railroads may identify information that they believe is 
security sensitive or proprietary and exempt from public disclosure. 
These requirements are adopted as proposed, with minor edits for plain 
language and clarification. The frequency of update is also modified to 
address commenter concerns. This section specifies that the HHFT 
information sharing notification must include:
     A reasonable estimate of the number of HHFTs that the 
railroad expects to operate each week, through each county within the 
State or through each tribal jurisdiction;
     The routes over which the HHFTs will operate;
     A description of the hazardous material being transported 
and all applicable emergency response information required by subparts 
C and G of part 172;
     At least one point of contact at the railroad (including 
name, title, phone number, and address) with knowledge of the 
railroad's transportation of affected trains (referred to as the ``HHFT 
point of contact''); and
     If a route is subject to the COSRPs, the notification must 
include a description of the response zones (including counties and 
States) and contact information for the Qualified Individual and 
alternate, as specified under Sec.  130.104(a).

Railroads may provide the required notifications electronically or in 
hard copy and must update the notifications for changes in volume 
greater than 25%. The frequency of updates aligns with the Emergency 
Order. The NPRM proposed monthly updates or statement of `no change.''
    Each point of contact must be clearly identified by name or title 
in

[[Page 6936]]

organization and by contact role (e.g., Qualified Individual, HHFT 
point of contact).
    Adding this new HHFT information sharing notification to Sec.  
174.312 builds upon the information sharing framework for HHFTs started 
by expansion of the routing requirements in Sec.  172.820 in the HM-251 
final rule (80 FR 26644). Together, these requirements enable the 
railroads to work with State officials to ensure that safety and 
security planning is occurring. Under existing Sec.  172.820(g) of the 
HMR, fusion centers and other State, local, and tribal officials with a 
need-to-know will continue to work with the railroads on routing and 
risk analysis information conducted pursuant to part 172, subpart I, 
for information that is deemed SSI. The HHFT notification in the newly 
established Sec.  174.312 ensures that SERCs, TERCs, or other 
appropriate State agencies will routinely receive and share non-
sensitive information from rail carriers regarding the movement of 
HHFTs in their jurisdictions that can aid local emergency responders 
and law enforcement in emergency preparedness and community awareness.

VIII. Regulatory Analyses and Notices

A. Statutory/Legal Authority for This Rulemaking

    This final rule is published under the authority of the Federal 
Water Pollution Control Act (FWPCA), 33 U.S.C. 1321, also known as the 
Clean Water Act (CWA), as amended by the Oil Pollution Act of 1990 (OPA 
90), which directs the President to issue regulations requiring owners 
and operators of certain vessels and onshore and offshore oil 
facilities to develop, submit, update, and in some cases, obtain 
approval of oil spill response plans. Executive Order 12777 delegated 
responsibility to the Secretary of Transportation for certain 
transportation-related facilities. The Secretary delegated to PHMSA the 
authority to promulgate regulations, 49 CFR 1.97(c), and to review and 
approve OSRPs.\36\ A Memorandum of Understanding (MOU) between the DOT 
and EPA further establishes jurisdictional guidelines for implementing 
OPA 90 (36 FR 24080). The changes to part 130 in this rule address 
minimizing the impact of discharge of oils into or on the navigable 
waters or adjoining shorelines.
---------------------------------------------------------------------------

    \36\ The Secretary has delegated the authority to review approve 
OSRPs by memorandum. Section 1.97 will be updated to reflect this 
delegation as part of the Department's next delegations rulemaking.
---------------------------------------------------------------------------

    This final rule is also published under the authority of the 
Federal hazardous materials transportation law, 49 U.S.C. 5103(b), 
which authorizes the Secretary of Transportation to ``prescribe 
regulations for the safe transportation, including security, of 
hazardous materials in intrastate, interstate, and foreign commerce.'' 
The changes in this rule to 49 CFR parts 171, 173, and 174 address 
safety and security vulnerabilities regarding the transportation of 
hazardous materials in commerce. The requirements proposed in Sec.  
174.312 are also mandated by the FAST Act (Pub. L. 114-94).
    The Federal railroad safety laws (49 U.S.C. 20103) provide the 
Secretary with authority over all areas of railroad transportation 
safety. The Secretary delegates this authority to the FRA in 49 CFR 
1.89. Pursuant to its statutory authority, FRA promulgates and enforces 
a comprehensive regulatory program (49 CFR parts 200-244) addressing 
issues such as railroad track, signal systems, railroad communications, 
and rolling stock. The FRA inspects railroads and shippers for 
compliance with both FRA and PHMSA regulations.

B. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule is considered a significant regulatory action under 
Executive Order 12866 and the Regulatory Policies and Procedures of the 
Department of Transportation (44 FR 11034). However, this final rule is 
not an economically significant regulatory action as defined by section 
3(f)(1) under Executive Order 12866, since it does not have an annual 
effect on the economy of $100 million or more or adversely affect in a 
material way the economy, a sector of the economy, productivity, 
competition, jobs, the environment, public health or safety, or State, 
local, or tribal governments or communities. A Regulatory Impact 
Analysis (RIA) is available for review in the public docket for this 
rulemaking and summarized below. Please see the RIA for more details on 
the benefits and costs of the final rule.

C. Executive Order 13771

    This final rule is considered an E.O. 13771 regulatory action. 
Details on the estimated costs of this rulemaking can be found in the 
rule's economic analysis.

D. Executive Order 13132

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132, ``Federalism,'' (64 FR 
43255; Aug. 10, 1999), and the presidential memorandum on 
``Preemption,'' (74 FR 24693; May 22, 2009). Executive Order 13132 
requires PHMSA 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.'' These 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.'' The agency may not issue a regulation 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, where 
practicable, seeks to consult with state and local officials in the 
process of developing the regulation.
    This final rule will not 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. The final rule amends the existing title 
49 of the Code of Federal Regulations in three areas. First, it updates 
part 130 by expanding the applicability of COSRPs to unit trains of 
flammable liquid petroleum oil, and by providing more detailed 
requirements for COSRPs. Second, it updates part 174 by requiring 
railroads to share additional information with state and tribal 
emergency response organizations. Finally, it updates part 173 to 
incorporate by reference an additional initial boiling point test for 
flammable liquids as an acceptable testing alternative to the current 
list of boiling point tests.
    The final rule does not impose any new requirements with effects on 
the States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among 
government entities. In addition, PHMSA has determined that this final 
rule will not impose substantial direct compliance costs on State and 
local governments. Therefore, the consultation and funding requirements 
of Executive Order 13132 do not apply.
    PHMSA issues this final rule under the following statutory 
authorities: The Hazardous Materials Transportation Act (HMTA), the 
Federal Railroad Safety Act (FRSA), and the Clean Water Act as

[[Page 6937]]

it is amended by the Oil Pollution Act of 1990.
    The HMTA provides that a State law or Indian tribe requirement is 
preempted in the following cases: Compliance with both the State law or 
Indian tribe requirement and the Federal requirement is not possible; 
the State law or Indian tribe requirement creates an obstacle to 
accomplishing or executing the Federal requirement; or where a Federal 
requirement has covered the subject and the state law or Indian 
requirement is not substantively the same. Covered subjects under the 
HMTA include:
    (1) The designation, description, and classification of hazardous 
materials;
    (2) The packing, repacking, handling, labeling, marking, and 
placarding of hazardous materials;
    (3) The preparation, execution, and use of shipping documents 
related to hazardous materials and requirements related to the number, 
contents, and placement of those documents;
    (4) The written notification, recording, and reporting of the 
unintentional release in transportation of hazardous materials and 
other written hazardous materials transportation incident reporting 
involving state or local emergency responders in the initial response 
to the incident; and
    (5) The design, manufacture, fabrication, inspection, marking, 
maintenance, reconditioning, repair, or testing of a package, 
container, or packaging component that is represented, marked, 
certified, or sold as qualified for use in transporting hazardous 
material in commerce.
    Under the FRSA, ``[l]aws, regulations, and orders related to 
railroad safety and laws, regulations, and orders related to railroad 
security shall be nationally uniform to the extent practicable.'' With 
narrow exceptions for essentially local safety or security hazards, 
states may not ``adopt or continue in force a law, regulation, or order 
related to railroad safety'' once the ``Secretary of Transportation . . 
. prescribes a regulation or issues an order covering the subject 
matter of the State requirement.'' (33 U.S.C. 20106(a)(2)). This 
standard applies to Federal regulations governing the transportation of 
hazardous materials by railroad, even when PHMSA or another agency 
promulgates those regulations.
    OPA 90 (codified into the CWA) provides the statutory authority for 
the oil spill response planning portions of this final rule. Regarding 
the changes to oil spill response planning requirements in 49 CFR part 
130, Federal regulation under 33 U.S.C. 1321 accommodates regulation by 
States and political subdivisions. Pursuant to 33 U.S.C. 1321(o)(2), 
states or political subdivisions are not preempted by the Federal oil 
spill requirements ``from imposing any requirement or liability with 
respect to the discharge of oil or hazardous substance into any waters 
within such State, or with respect to any removal activities related to 
such discharge.''
    As PHMSA noted in the NPRM, the preemption language of 33 U.S.C. 
1321 protects states' abilities to regulate requirements, liabilities, 
and removal activities with respect to the discharge of oil or 
hazardous substances. Elements of state oil spill response plan 
legislation may be preempted under the preemption standard established 
by FRSA and HMTA if the state legislation imposes railroad safety or 
hazardous materials containment requirements.
    PHMSA received several comments related to the NPRM's preemption 
discussion. These comments include several submissions from states in 
support of the proposition that this final rule does not preempt 
states' abilities to impose oil spill response requirements on 
entities, including railroads. Several states, including but not 
limited to Washington, California, and Minnesota, commented in support 
of the preemption standards discussed in the NPRM.
    Some commenters provided detailed explanations of the distinction 
between hazardous materials and rail safety regulations under those 
statutory authorities and the CWA's preemption standard. For example, 
the Pacific States and British Columbia Oil Spill Task Force (Task 
Force) noted that FRSA and HMTA may preempt State laws that focus on 
rail safety, but that states retain CWA authority to impose oil spill 
planning requirements. They noted that response plans are not relevant 
to traditional railroad safety or operational requirements. Oil spill 
response planning pursuant to the CWA is designed to minimize the 
environmental harm of spilled oil reaching state waters independent of 
the train and its normal operation. The Task Force supports PHMSA's 
continued reliance on the Clean Water Act's preemption standards and 
national framework of federal and state action. In another example, the 
coalition comments from organizations including Riverkeeper, the Center 
for Biological Diversity, Earthjustice, Scenic Hudson, Stand.earth, 
Sierra Club, the National Wildlife Federation, Waterkeeper Alliance, 
Lake Champlain Committee, Vermont Natural Resources Council, NY/NJ 
Baykeeper, Little River Waterkeeper, Lake Pend Oreille Waterkeeper, 
Snake River Waterkeeper, Puget Soundkeeper Alliance, Communities for a 
Better Environment and several local riverkeeper and baykeeper 
organizations discussed 33 U.S.C. 1321(o)(2) of the Oil Pollution Act's 
as follows:

    Under OPA, state and local authorities may impose any additional 
liabilities and requirements regarding oil spills and impose their 
own financial penalties for any legal violations related to oil 
spills. This broad non-preemption provision therefore covers more 
than mere oil spill planning requirements, as this notice of 
proposed rulemaking suggests. Any state and local laws that impose 
oil spill-related requirements, liabilities, or financial penalties 
on crude-by-rail owners or operators are expressly preserved under 
OPA and cannot be subject to preemption under the FRSA or HMTA.

PHMSA also received comments from railroad trade associations 
requesting that PHMSA reverse its initial preemption discussion and 
find that the Federal standards in 49 CFR part 130 preempt state oil 
spill response plans. AAR argued that efforts in Washington and 
California to promulgate state-specific requirements and control rail 
operations are creating a patchwork of different and potentially 
conflicting requirements across the United States that will overburden 
the railroads. The AAR opined that state oil spill response plan 
legislation is preempted under the preemption standard established by 
FRSA, HMTA, and the ICC Termination Act. Recent efforts by states to 
promulgate differing state-specific requirements demonstrate the need 
for a single Federal standard to avoid a patchwork of potentially 
conflicting requirements across the United States that will overburden 
the railroads and impede commerce. ASLRRA commented in agreement with 
AAR that PHMSA's preemption of State rules is critical to prevent 
unnecessary duplication, inefficiency, and confusion to the rail 
industry. ASLRRA recommended that PHMSA standards should preempt all 
current and future State rules requiring oil spill response plans for 
the rail industry.
    After evaluating the comments on the issue of Federal preemption 
and the permissibility of state oil spill response planning 
requirements for railroads, PHMSA continues to believe that the 
discussion in the proposed rule accurately states the application of 
the existing statutory authorities. The Clean Water Act allows for 
states to regulate requirements, liabilities, and removal activities 
with respect to the discharge of oil or hazardous substances, including 
oil spill response planning requirements; however, any state or

[[Page 6938]]

local regulation of railroad safety standards or hazardous materials 
containment or communication standards under the guise of oil spill 
response planning will be preempted under FRSA and HMTA.

E. Executive Order 13175

    Executive Order 13175, ``Consultation and Coordination with Indian 
Tribal Governments,'' (65 FR 67249; Nov. 9, 2000) requires agencies to 
assure meaningful and timely input from Indian tribal government 
representatives in the development of rules that have tribal 
implications. Agencies must determine whether a proposed rulemaking has 
tribal implications, which include any rulemaking that imposes 
``substantial direct effects'' on one or more Indian communities, on 
the relationship between the Federal Government and Indian tribes, or 
on the distribution of power between the Federal Government and Indian 
tribes. Further, to the extent practicable and permitted by law, 
agencies cannot promulgate two types of rules--(1) rules that have 
tribal implications that impose substantial direct compliance costs on 
Indian tribal governments and that are not required by statute, and (2) 
rules that have tribal implications and that preempt tribal law--unless 
they meet certain conditions.
    PHMSA is committed to tribal outreach and engaging tribal 
governments in dialogue. In the NPRM, PHMSA solicited comments on 
potential tribal impacts in an effort to capture tribal concerns as 
part of the regulatory process. Additionally, PHMSA regularly conducts 
outreach efforts. For instance, PHMSA representatives attended the 
National Joint Tribal Emergency Management Conference in September 2016 
and the Northwest Tribal Emergency Management Conference in May 2016. 
In the spirit of Executive Order 13175, and consistent with DOT Order 
5301.1, PHMSA will be continuing outreach to tribal officials 
independent of our assessment of the direct tribal implications of this 
final rule.

F. Regulatory Flexibility Act, Executive Order 13272, and DOT Policies 
and Procedures

    PHMSA must consider whether a rulemaking would have a ``significant 
economic impact on a substantial number of small entities,'' which 
include small businesses, not-for-profit organizations that are 
independently owned and operated and are not dominant in their fields, 
and governmental jurisdictions with populations under 50,000.
    To ensure potential impacts of rules on small entities are properly 
considered, PHMSA in coordination with the FRA, developed this final 
rule in accordance with Executive Order 13272 (``Proper Consideration 
of Small Entities in Agency Rulemaking'') and DOT's procedures and 
policies to promote compliance with the RFA.
    The RFA and Executive Order 13272 (67 FR 53461; August 16, 2002) 
require agency review of proposed and final rules to assess their 
impacts on small entities. An agency must prepare an initial regulatory 
flexibility analysis (IRFA) unless it determines and certifies that a 
rule, if promulgated, would not have a significant economic impact on a 
substantial number of small entities.
    After subjecting the rule to public comment, the Agency is required 
by E.O. 13272 to assess the comments received by small entities and the 
public and prepare a final regulatory flexibility analysis (FRFA) which 
address a series of topics (presented below) regarding the rule's 
expected impacts on small entities affected.
    Under the RFA at 5 U.S.C. 604(a), each final regulatory flexibility 
analysis is required to address the following topics:
    (1) A statement of the need for, and objectives of, the rule;
    (2) a statement of the significant issues raised by the public 
comments in response to the initial regulatory flexibility analysis, a 
statement of the assessment of the agency of such issues, and a 
statement of any changes made in the proposed rule as a result of such 
comments;
    (3) the response of the agency to any comments filed by the Chief 
Counsel for Advocacy of the Small Business Administration in response 
to the proposed rule, and a detailed statement of any change made to 
the proposed rule in the final rule as a result of the comments;
    (4) a description of and an estimate of the number of small 
entities to which the rule will apply or an explanation of why no such 
estimate is available;
    (5) a description of the projected reporting, recordkeeping and 
other compliance requirements of the rule, including an estimate of the 
classes of small entities which will be subject to the requirement and 
the type of professional skills necessary for preparation of the report 
or record;
    (6) a description of the steps the agency has taken to minimize the 
significant economic impact on small entities consistent with the 
stated objectives of applicable statutes, including a statement of the 
factual, policy, and legal reasons for selecting the alternative 
adopted in the final rule and why each one of the other significant 
alternatives to the rule considered by the agency which affect the 
impact on small entities was rejected; and
    (7) for a covered agency, as defined in section 609(d)(2), a 
description of the steps the agency has taken to minimize any 
additional cost of credit for small entities.
    The RFA requires that each initial regulatory flexibility analysis 
contain a description of any significant alternatives to the proposal 
that accomplish the statutory objectives and minimize the significant 
economic impact of the proposal on small entities. 5 U.S.C. 603(c). In 
this instance, none of the alternatives accomplish the statutory 
objectives and minimize the significant economic impact of the proposal 
on small entities.
(1) Need for, and Objectives of, the Rule
    PHMSA, in coordination with the FRA, is issuing this final rule in 
order to improve response readiness and mitigate effects of rail 
incidents involving petroleum oil and certain HHFTs. This is necessary 
due to the expansion in U.S. energy production, which has led to 
significant challenges for the country's transportation system. This 
final rule has requirements in two areas as shown below: Section I, 
Subsection A (``Oil Spill Response Plans'') and Subsection B 
(``Information Sharing'').\37\ The first requirement modernizes the 
Comprehensive Spill Plan requirements. 49 CFR part 130. Additionally, 
this final rule requires railroads to share additional information with 
state and tribal emergency response organizations (i.e., SERCs and 
TERCs) to improve community preparedness. The requirements of this 
final rule work in conjunction with the requirements adopted in the 
HHFT Final Rule (80 FR 26644) in order to continue the comprehensive 
approach toward ensuring the safe transportation of energy products and 
mitigating the consequences of such accidents should they occur. PHMSA 
is addressing below the potential impacts on small entities with the 
final rule requirements for

[[Page 6939]]

response plans and information sharing.\38\
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    \37\ This rulemaking also proposes incorporation and the 
voluntary use of the initial boiling point (IBP) test (ASTM D7900) 
to determine classification and packing group for Class 3 Flammable 
liquids. We note that the incorporation of API RP 3000 and 
consequently ASTM D7900 will not replace the currently authorized 
testing methods, rather serve as a testing alternative if one 
chooses to use that method. PHMSA believes this provides flexibility 
and promotes enhanced safety in transport through accurate PG 
assignment. This provision would not pose any impacts on small 
entities.
    \38\ We note that the incorporation of API RP 3000, which 
contains the ASTM D7900 test will not replace the currently 
authorized initial boiling point testing methods, but rather serve 
as a testing alternative if one chooses to use that method. PHMSA 
believes this provides flexibility and promotes enhanced safety in 
transport through accurate packing group assignment. This 
requirement will impose no new costs.
---------------------------------------------------------------------------

(A) Oil Spill Response Plans
    PHMSA is promulgating this final rule in response to recent train 
accidents involving the derailment of HHFTs. Shipments of large volumes 
of liquid petroleum oil pose a significant risk to life, property, and 
the environment. PHMSA has identified several recent derailments to 
illustrate the circumstances and consequences of derailments involving 
petroleum oil transported in higher-risk train configurations: 
Plainfield, IL (July 2017); Money, MS (May 2017); Mosier, OR (June 
2016); Heimdal, ND (May 2015); Galena, IL (March 2015); Mt. Carbon, WV 
(February 2015); La Salle, CO (May 2014); Lynchburg, VA (April 2014); 
Vandergrift, PA (February 2014); New Augusta, MS (January 2014); 
Casselton, ND (December 2013); Aliceville, AL (November 2013); and 
Parkers Prairie, MN (March 2013).
    For example, on December 30, 2013, a train carrying crude oil 
derailed and ignited near Casselton, North Dakota, prompting 
authorities to issue a voluntary evacuation of the city and surrounding 
area. On November 7, 2013, a train carrying crude oil to the Gulf Coast 
from North Dakota derailed in Aliceville, Alabama, spilling crude oil 
in a nearby wetland and igniting into flames. These train accidents 
involving derailments of HHFTs transporting crude oil resulted in 
discharges of petroleum oil that harmed or posed a threat of harm to 
the nation's waterways.
    Of note here is the NTSB's Safety Recommendation R-14-5,\39\ which 
requested that PHMSA revise the spill response planning thresholds 
prescribed in 49 CFR part 130 to require comprehensive OSRPs that 
effectively provide for the carriers' ability to respond to worst-case 
discharges resulting from accidents involving unit trains or blocks of 
tank cars transporting oil and petroleum products. In this 
recommendation, the NTSB raised a concern that, ``[b]ecause there is no 
mandate for railroads to develop comprehensive plans or ensure the 
availability of necessary response resources, carriers have effectively 
placed the burden of remediating the environmental consequences of an 
accident on local communities along their routes.'' In light of these 
accidents and NTSB Recommendation R-14-5, PHMSA has re-examined whether 
it is more appropriate to consider the train consist, rather than just 
the individual tank car, when setting the threshold for comprehensive 
OSRPs, and determined that such consideration is appropriate. The 
revisions included in the final rule expand the applicability of the 
comprehensive OSRP requirement. PHMSA holds that improved oil spill 
response planning will in turn improve the actual response to future 
derailments involving petroleum oil and lessen the negative impacts to 
the environment and communities.
---------------------------------------------------------------------------

    \39\ http://www.ntsb.gov/safety/safety-recs/recletters/R-14-004-006.pdf.
---------------------------------------------------------------------------

    On June 17, 1996, RSPA published a final rule issuing requirements 
that meet the intent of the Clean Water Act. This rule adopted 
requirements for packaging, communication, spill response planning, and 
response plan implementation intended to prevent and contain spills of 
oil during transportation. Under these current requirements, railroads 
are required to complete a basic OSRP for oil shipments in a package 
with a capacity of 3,500 gallons or more, and a comprehensive OSRP is 
required for oil shipments in a package containing more than 42,000 
gallons (1,000 barrels).
    Currently, most, if not all, of the rail community transporting 
oil, including crude oil transported as a hazardous material, is 
subject to the basic OSRP requirement of 49 CFR 130.31(a) since most, 
if not all, rail tank cars being used to transport crude oil have a 
capacity greater than 3,500 gallons. However, a comprehensive OSRP for 
shipment of oil was only required when the quantity of oil is greater 
than 42,000 gallons per tank car. Accordingly, the number of railroads 
required to have a comprehensive OSRP was much lower, or possibly non-
existent, because a very limited number of rail tank cars in use would 
be able to transport a volume of 42,000 gallons in a car.\40\
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    \40\ The 2014 AAR's Universal Machine Language Equipment 
Register numbers showed five tank cars listed with a capacity equal 
to or greater than 42,000 gallons, and none of these cars were being 
used to transport oil or petroleum products.
---------------------------------------------------------------------------

    The final rule expands the applicability of comprehensive OSRPs 
based on thresholds of crude oil that apply to the train consist. 
Specifically, the final rule expands the applicability for OSRPs so 
that no person may transport an HHFT quantity \41\ of liquid petroleum 
oil unless that person has implemented a comprehensive OSRP.
---------------------------------------------------------------------------

    \41\ An HHFT exists when a train has a block of 20 tank cars or 
35 tank cars dispersed throughout the train that are loaded with a 
Class 3 flammable liquid.
---------------------------------------------------------------------------

    Each railroad subject to the final rule must prepare and submit a 
comprehensive OSRP that includes a plan for responding, to the maximum 
extent practicable, to a worst-case discharge and to a substantial 
threat of such a discharge of oil. The OSRP must also be submitted to 
the PHMSA, where it will be reviewed and approved by PHMSA personnel.
    The changes respond to commenter requests for requirements for more 
detailed guidance and provide a better parallel to other federal oil 
spill response plan regulations promulgated under the OPA 90 authority. 
A full summary of the changes to the plan requirements are described in 
the final rule. Each comprehensive plan must include.\42\ I. Core Plan: 
A core plan includes an information summary, as required in 49 CFR 
130.105, and any components which do not change between response zones. 
Each plan must:
---------------------------------------------------------------------------

    \42\ The following text is provided as an overview of the rule 
and does not replace regulatory text included in the NPRM.
---------------------------------------------------------------------------

     Use and be consistent with the core principle of the 
National Incident Management System (NIMS) including the utilization of 
the Incident Command System (ICS):
     Include an information summary as required by Sec. Sec.  
130.105 and 130.120.
     Certify that the railroad reviewed the National 
Contingency Plan (NCP) and each applicable Area Contingency Plan (ACP) 
and that its response plan is consistent with the NCP and each 
applicable ACP and follows Immediate Notification procedures, as 
required by Sec. Sec.  130.110 and 139.115.
     Include notification procedures and a list of contacts as 
required in Sec.  130.125.
     Include response and mitigation activities and resources 
as required in Sec.  130.130.
     Certify that applicable employees were trained per Sec.  
130.135.
     Describe procedures to ensure equipment testing and a 
description of the exercise program per Sec.  130.140
     Describe plan review and update procedures per Sec.  
130.145.
     Submit the plan as required by Sec.  130.150.
    II. Response Zone Appendix: For each response zone, a railroad must 
include a response zone appendix to provide the information summary, as 
described in 49 CFR 130.120, and any additional components of the plan 
specific to the

[[Page 6940]]

response zones. Each response zone appendix must identify:
     A description of the response zone, including county(s) 
and state(s);
     Identification of any environmentally sensitive areas 
along the router per Sec.  130.115; and
     Identification of the location where the response 
organization will deploy and the location and description of equipment 
required by Sec.  130.130.
    In addition, the final rule requires plan holders to identify an 
OSRO, provided through a contract or other approved means, to respond 
to a worst-case discharge within 12 hours.
(B) Information Sharing
    On May 7, 2014, DOT issued Emergency Restriction/Prohibition Order 
in Docket No. DOT-OST-2014-0067,\43\ which required each railroad 
transporting 1,000,000 gallons or more of Bakken crude oil in a single 
train in commerce within the U.S. to provide certain information in 
writing to the SERC for each state in which it operates such a train. 
In the HM-251 (RIN 2137-AE91) NPRM published in 2014 (79 FR 45015; Aug. 
1, 2014), PHMSA proposed to codify and clarify the requirements of the 
Order in the HMR and requested public comment on the various facets of 
that proposal. Unlike many other requirements in the August 1, 2014 
NPRM, the notification requirements were specific to a single train 
that contains one million gallons or more of UN 1267, Petroleum crude 
oil, Class 3, sourced from the Bakken shale. In the HHFT Final Rule, 
PHMSA did not adopt the separate notification requirements proposed in 
the NPRM and instead relied on the expansion of the existing route 
analysis and consultation requirements of Sec.  172.820 to include 
HHFTs to satisfy information sharing needs.
---------------------------------------------------------------------------

    \43\ http://www.dot.gov/briefing-room/emergency-order.
---------------------------------------------------------------------------

    In response to the FAST Act and DOT's commitment to codifying the 
Order involving information sharing, we are requiring in this HM-251B 
final rule to add new Sec.  174.312 for information sharing provisions 
to the additional requirements for transportation of flammable liquids 
by rail. This addition creates a tiered approach to information 
sharing, whereas fusion centers will continue to act as the focal point 
for risk analysis information deemed SSI under the routing analysis in 
Sec.  172.820 and SERCs and TERCs will actively be provided with non-
sensitive security information that can aid in emergency preparedness 
and community awareness. The final rule requirements provide emergency 
responders with an integrated approach to receiving information about 
HHFTs.
    As required by this final rule, the notification must meet the 
following requirements:
     A reasonable estimate of the number of HHFT that the 
railroad expects to operate each week, through each county within the 
State or through each tribal jurisdiction;
     The routes over which the HHFTs will operate;
     A description of the hazardous material being transported 
and all applicable emergency response information required by subparts 
C and G of part 172 of this subchapter;
     An HHFT point of contact: At least one point of contact at 
the railroad (including name, title, phone number and address) related 
to the railroad's transportation of affected trains;
     If a route is additionally subject to the comprehensive 
spill plan requirements, the notification must include a description of 
the response zones (including counties and states) and contact 
information for the qualified individual and alternate, as specified 
under Sec.  130.104(a);
     Railroads must update the notifications for changes in 
volume greater than 25%.
     Notifications and updates may be transmitted 
electronically or by hard copy.
     Each point of contact must be clearly identified by name 
or title and role (e.g., qualified individual, HHFT point of contact) 
in association with the telephone number. One point of contact may 
fulfill multiple roles.
     Copies of HHFT notifications made must be made available 
to the Department of Transportation upon request.
    The required changes build upon the requirements adopted in HHFT 
Final Rule to continue to the comprehensive approach to ensuring the 
safe transportation of energy products.
    The Secretary has the authority to prescribe regulations for the 
safe transportation, including the security, of hazardous materials in 
intrastate, interstate, and foreign commerce (49 U.S.C. 5103(b)) and 
has delegated this authority to PHMSA via 49 CFR 1.97(b).
    (2) A Statement of the Significant Issues Raised by the Public 
Comments in Response to the Initial Regulatory Flexibility Analysis, a 
Statement of the Assessment of the Agency of Such Issues, and a 
Statement of any Changes Made in the Proposed Rule as a Result of Such 
Comments
    In response to the NPRM, PHMSA received several comments on whether 
regulatory relief for oil spill response plans may be appropriate for 
certain small businesses (i.e., short lines). As discussed in the 
Section B ``Comment Summary'' of this rulemaking, most commenters 
supported regulations based on the risk, quantity, and type of oil, 
regardless of business size.
    The American Short Line and Regional Railroad Association (ASLRRA) 
provided a global rulemaking comment which questioned whether the 
rulemaking ``provides either a meaningful or operationally sustainable 
path to addressing safety, particularly from a small business 
perspective.'' ASLRRA also noted that Class III railroads ``meet the 
economic criteria established for inclusion in 49 CFR 1201.1'' and 
suggested requirements under the under the Small Business Regulatory 
Enforcement Fairness Act of 1996 (Pub. L. 104-121) (``SBREFA''), apply 
along with the RFA. ASLRRA did not provide any data analysis of the 
impact to Class III railroads. Their comments focused on three topics: 
(1) That short lines be exempt from comprehensive OSRP requirements; 
(2) that it should be permissible under the regulations for a short 
line to be covered by Class I comprehensive OSRPs when the short line 
is effectively a tenant of the Class I railroad; and (3) that Federal 
OSRP requirements should preempt State level OSRP requirements.
    On point (1), PHMSA maintains that Class II or III railroads 
transporting petroleum oil and HHFTs are transporting materials that 
pose the same risk to communities as Class I railroads, and therefore 
should not be excluded from the rulemaking. The Agency received several 
comments to this effect from environmental organizations, members of 
the general public, and certain State governments. These comments 
generally supported the concept of basing OSRP requirements on the 
quantity and type of oil being transported, and risk, rather than 
entity size. PHMSA believes the final rule is an appropriate balance 
between risk mitigation and cost and ensures all entities that are at 
risk for a substantial oil spill are covered by the requirements of the 
final rule regardless of size.
    On point (3) The ``Executive Order 13132, ``Federalism'' discussion 
in this section provides an analysis and response to comments related 
to issues for federal preemption.
    Finally, on point (2), PHMSA does not believe that the requirements 
of the final rule preclude Class I railroads from assisting Class III 
entities with developing comprehensive oil spill response plan. Nothing 
in OSRP

[[Page 6941]]

regulations prohibit Class I railroads from providing support to Class 
III Railroads to develop a plan or to prohibit resource sharing between 
railroads. There are large parts of plans (e.g. Identification of 
environmentally sensitive areas or sharing of qualified individuals) 
for which a Class I could provide the Class III with assistance. 
Another example would be the Class III including documentation, under 
an agreement with a Class I, of a ``contract or other means'' 
demonstrating they have permission to use the Class I's response 
resources. Under the COSRP requirements adopted in this rulemaking, 
Class I railroads may choose to lessen the burden for Class III 
railroads through resource sharing agreements or by providing plan 
development information for overlapping response action plans. Nothing 
in the regulations precludes Class I railroads from assisting short 
lines in developing a plan or precludes one railroad from utilizing 
resources provided by another railroad through contract or other means; 
however, both railroads would be subject to submitting a plan to ensure 
the responsibilities are clearly delineated.
    The ASLRRA also contends that PHMSA should have consulted with the 
Small Business Administration's Advocacy Office. PHMSA does not believe 
such consultation is necessary give the level of impacts and number of 
entities impacted by the final rule. The ASLRRA comments did not 
provide any specific information on the cost to develop comprehensive 
OSRPs, number of entities affected, or a comparison of costs to average 
operating margins or total revenue. The cost impacts on small entities 
are described more fully below in the context of the average revenue 
for Class III railroads.
(3) The Response of the Agency to Any Comments Filed by the Chief 
Counsel for Advocacy of the Small Business Administration in Response 
to the Proposed Rule, and a Detailed Statement of Any Changes Made to 
the Proposed Rule in the Final Rule as a Result of the Comments
    PHMSA did not receive any comments filed by the chief counsel for 
Advocacy of the Small Business Administration and hence has not made 
any changes as a result of comments from that office.
(4) A Description of and an Estimate of the Number of Small Entities To 
Which the Rule Will Apply or an Explanation of Why No Such Estimate Is 
Available
    The universe of the entities considered in this FRFA generally 
includes only those small entities that can reasonably expect to be 
directly regulated by the regulatory action. Short line railroads are 
the types of small entities potentially affected by this final rule.
    A ``small entity'' is defined in 5 U.S.C. 601(3) as having the same 
meaning as ``small business concern'' under section 3 of the Small 
Business Act. This includes any small business concern that is 
independently owned and operated, and is not dominant in its field of 
operation. Title 49 U.S.C. 601(4) likewise includes within the 
definition of small entities non-profit enterprises that are 
independently owned and operated, and are not dominant in their field 
of operation. Additionally, 5 U.S.C. 601(5) defines as small entities 
governments of cities, counties, towns, townships, villages, school 
districts, or special districts with populations less than 50,000.
    The U.S. Small Business Administration (SBA) stipulates in its size 
standards that the largest a ``for-profit'' railroad business firm may 
be, and still be classified as a small entity, is 1,500 employees for 
``line haul operating railroads'' and 500 employees for ``switching and 
terminal establishments.''
    Federal agencies may adopt their own size standards for small 
entities in consultation with SBA and in conjunction with public 
comment. Pursuant to that authority, FRA has published a final 
Statement of Agency Policy that formally establishes small entities or 
small businesses as being railroads, contractors, and hazardous 
materials offerors that meet the revenue requirements of a Class III 
railroad as set forth in 49 CFR 1201.1-1, which is $20 million or less 
in inflation-adjusted annual revenues,\44\ and commuter railroads or 
small governmental jurisdictions that serve populations of 50,000 or 
less. 68 FR 24891 (May 9, 2003) (codified as appendix C to 49 CFR part 
209). The $20 million limit is based on the Surface Transportation 
Board's revenue threshold for a Class III railroad. Railroad revenue is 
adjusted for inflation by applying a revenue deflator formula in 
accordance with 49 CFR 1201.1-1. PHMSA is using this definition for the 
rulemaking.
---------------------------------------------------------------------------

    \44\ For 2012 the Surface Transportation Board (STB) adjusted 
this amount to $36.2 million.
---------------------------------------------------------------------------

Railroads
    Not all small railroads would be required to comply with the 
provisions of this rule. Most of the approximately 579 small railroads 
\45\ that operate in the United States do not transport hazardous 
materials.\46\ Based on the requirements of this final rule, the 
entities potentially affected by requirement are as described below:
---------------------------------------------------------------------------

    \45\ Although there are approximately 738 small railroads in 
existence, a portion of these railroads do not haul freight and 
hence would not be affected entities. PHMSA estimates the number of 
small entities that haul freight and hence might be affected by OSRP 
requirements to be 579 entities.
    \46\ Short Line and Regional Railroad Association. 2017. ``Short 
Line and Regional Railroad Facts and Figures.''
---------------------------------------------------------------------------

(A) Oil Spill Response Plans
    For determining the entities that would be affected by the 
requirements of this rulemaking, PHMSA used the configuration of trains 
contained in the definition of ``HHFT'' as it applies to petroleum oil, 
established in the HHFT Final Rule--defined as a train hauling 20 or 
more carloads of flammable liquid in a continuous block, or 35 or more 
carloads of crude oil throughout the train. PHMSA and FRA estimated 
that 55 small railroads transport crude oil in HHFTs and therefore 
could potentially be affected by this rule. This estimate was 
formulated using FRA's extensive expertise in rail operations, 
knowledge of the STB Waybill Data, and outreach to the FRA regional 
offices in 2013 to collect information on small carriers shipping crude 
oil.
    Therefore, this rule would impact 9.5 percent of the universe of 
579 small railroads. The Agency attempted to update this number in the 
interim between the NPRM and final rule but, working in cooperation 
with FRA, was unable to identify data that would enable a re-estimation 
of the number of entities affected by the rule, because not all Class 
III railroads submit carload data to the STB for inclusion in the 
waybill sample. The volume of crude shipped by rail has declined 
significantly since publication of the NPRM, and one of the effects of 
this decline in volume shipped by rail may be that some Class III 
railroads have stopped shipping crude oil in the interim.
(B) Information Sharing
    The applicability of this requirement is derived from the 
information published in the HHFT Final Rule. Specifically, the 
definition of a High-Hazard Flammable Train and the information sharing 
portion of the routing requirements are related to this final rule. The 
HHFT Final Rule defined ``High-Hazard Flammable Train'' as a continuous 
block of 20 or more tank cars in a single train or 35 or more cars

[[Page 6942]]

dispersed through a train loaded with a flammable liquid.
    This definition also served as the applicable threshold of many of 
the requirements in the HHFT rulemaking, including routing 
requirements. Section 172.820 prescribes additional safety and security 
planning requirements for transportation by rail. In the HHFT Final 
Rule, the applicability for routing requirements in Sec.  172.820 were 
revised to require that any rail carrier transporting an HHFT comply 
with the additional safety and security planning requirements for 
transportation by rail. The routing requirements adopted in the HHFT 
Final Rule are related to the NPRM, as the final rule requirements will 
create a tiered approach to information sharing; whereas fusion centers 
will continue to act as the focal point for risk analysis information 
deemed SSI in Sec.  172.820, SERCs and TERCs will actively be provided 
with non-sensitive security information in the HHFT notification that 
can aid in emergency preparedness and community awareness in Sec.  
174.312.
    The universe of affected entities for the information sharing 
requirements is different than the number of entities affected under 
the comprehensive response plan requirement. The applicability of this 
requirement is derived from the information published in the HHFT Final 
Rule. Specifically, the definition of an HHFT and the information 
sharing portion of the routing requirements are related to the NPRM. 
The number of small entities impacted under this requirement is 
different from the number of entities impacted under the comprehensive 
OSRP requirement due to the different applicability of these two 
requirements. In particular, the comprehensive OSRP requirement applies 
to HHFTs transporting crude oil (and potentially other petroleum oils), 
while the information sharing requirement applies to HHFTs transporting 
both crude oil and ethanol (and potentially other Class 3 flammable 
liquids). As described under the impact on the small entities section 
with the routing requirements in the HHFT Final Rule, there are 160 
affected small entities under the routing requirements. Thus, the 
requirement in this final rule could potentially affect 160 small 
railroads transporting flammable liquids in HHFTs. Therefore, this rule 
would impact 27.6 percent of the universe of 579 small railroads.
    Again the Agency was unable to identify data that would enable us 
to adjust the number of entities affected in the interim between the 
NPRM and final rule.
(5) A Description of the Projected Reporting, Recordkeeping and Other 
Compliance Requirements of the Proposed Rule, Including an Estimate of 
the Classes of Small Entities Which Will Be Subject to the Requirement 
and the Type of Professional Skills Necessary for Preparation of the 
Report or Record
    For a thorough presentation of cost estimates, please refer to the 
draft RIA, which has been placed in the docket for this rulemaking. 
PHMSA is addressing below the two requirements areas in this final 
rule, Oil Spill Response Plans and Information Sharing.
(A) Oil Spill Response Plans
    This rule modernizes the requirements by changing the applicability 
for comprehensive oil spill response plans and clarifying the 
comprehensive plan requirements. The final rule expands the 
applicability of comprehensive OSRPs to railroads transporting a single 
train of 20 or more loaded tank cars of liquid petroleum oil in a 
continuous block or a single train carrying 35 or more loaded tank cars 
of liquid petroleum oil throughout the train consist. These railroads, 
that are currently required to develop a basic plan, are now required 
to develop a comprehensive plan.
    PHMSA describes below the impact on the small railroads that would 
be required under the final rule which requires any railroad carrying 
20 or more tank cars of liquid petroleum oil in a continuous block or 
35 such cars on a single train to submit a comprehensive OSRP. The 
total cost estimate with the requirements for small railroads is 
conservative, when compared to the cost estimates of the other several 
alternatives evaluated by PHMSA. PHMSA evaluated several alternatives 
related to the threshold values for the universe of affected entities 
that would be required to submit a comprehensive response plan.\47\ For 
additional information about the development of these cost estimates, 
the specific differences between a basic and comprehensive OSRP 
including the estimated cost per railroad by railroad class please 
refer to the final RIA, which has been placed in the docket for this 
rulemaking. For determining the entities that would be affected by the 
required threshold, PHMSA used the definition HHFT from the HHFT Final 
Rule.\48\ PHMSA narrowed the affected entities to only include 
railroads that transported crude oil and, in consultation with FRA, 
revised the estimated number of Class III carriers that would be 
subject to the rulemaking. Based on this assessment, PHMSA estimates 
there are 73 railroads (7 Class I, 11 Class II, and 55 Class III) that 
would be subject to this final rule.
---------------------------------------------------------------------------

    \47\ Under each of these alternatives, the number of Class I and 
Class II railroads affected by the proposed thresholds does not 
change. However, the number of Class III railroads that would be 
subject to the proposed rule ranges from 55 to 20 railroads. Based 
on evaluation of the 2013 Waybill Sample data and in consultation 
with the FRA, PHMSA determined that 55 small railroads are the 
largest number of small railroads that is subject to the proposed 
option requirements. Please, refer to the draft RIA for additional 
information regarding the number of impacted entities under the 
other several alternatives.
    \48\ 80 FR 26643-26750 (May 8, 2015).
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    I. Core Plan: A core plan includes an information summary, as 
adopted in Sec.  130.105, and any components which do not change 
between response zones.
    II. Response Zone Appendix: For reach response zone, a railroad 
must include a response zone appendix to provide the information 
summary, as required in Sec.  130.120, and any additional components of 
the plan specific to the response zones.
    In addition, the final rule requires plan holders to identify an 
OSRO, provided through a contract or other approved means, to respond 
to a worst-case discharge within 12 hours.
    PHMSA has identified several categories of costs related to the 
development and implementation of a comprehensive response plan. Those 
costs include the following: Plan development, submission, and 
maintenance; contract fees for designating an OSRO; training and 
drills; and plan review and approval. For additional information about 
the development of these cost estimates, please refer to the draft RIA, 
which has been placed in the docket for this rulemaking.
    As noted in section 4 of this FRFA, approximately 55 small 
railroads carry crude oil in train consists large enough that they 
would potentially be affected by this rule.
    PHMSA considers the average annual cost per railroad relevant for 
the purposes of this analysis in addition to presenting first year and 
subsequent year cost per railroad due to the nature of frequency of 
requirements with the development of a comprehensive plan, which varies 
between annual and every five years. The total undiscounted cost with 
the plan for the small railroads is $15,221,806 over the ten-year 
period of the analysis. PHMSA estimates the total cost to each small 
railroad to be $51,020 in the first year and an annual average cost of 
$25,082 in subsequent years, taking into account the costs growing

[[Page 6943]]

with increases in real wages.\49\ Small railroads have annual operating 
revenues that range from $3 million to $20 million. A recent 
publication on from the ASLRRA states that average freight revenue for 
Class III railroads is $4.75 million per year.\50\ Thus, the costs 
associated with this requirement amount to roughly one percent or less 
of the railroad's annual operating revenue (in the initial year when 
costs are highest the amount is 1.07 percent of average annual revenue, 
and falls to an average of 0.53 percent in subsequent years and is 0.58 
percent for the full ten year analysis period, assuming revenue is 
roughly stable at $4.75 million over the analysis period). PHMSA 
realizes that some small railroads will have lower annual revenue than 
$4.75 million. However, PHMSA is confident that this estimate of total 
cost per small railroad provides a good representation of the cost 
applicable to small railroads, in general.
---------------------------------------------------------------------------

    \49\ Costs per railroad are derived in the draft RIA, with costs 
for all Class III railroads divided by the 55 impacted railroads. 
The Year 1 total costs are calculated at $2,806,125. The estimated 
Year 1 cost per railroad is then calculated at $51,020 = $2,806,125/
55 small railroads. The average annual cost for the subsequent years 
is calculated at $1,379,520 = $12,415,681/9 years. The estimated 
average annual cost per small railroad for the subsequent years is 
then calculated at $25,082 = $11,379,520/55 small railroads.
    \50\ Short Line and Regional Railroad Association.2017. ``Short 
Line and Regional Railroad Facts and Figures.''
---------------------------------------------------------------------------

    In conclusion, PHMSA believes that although some small railroads 
will be directly impacted, the impact will amount to roughly one 
percent or less of an average small railroad's annual operating 
revenue. PHMSA plans to publish a Compliance Guide to explain the 
regulations to small businesses.
(B) Information Sharing
    In response to the FAST Act and DOT's commitment to codifying the 
Order involving information sharing, in this final rule we are adding 
new information sharing provisions to the additional safety and 
security planning requirements for transportation by rail in a new 
Sec.  312. As discussed previously, Sec.  172.820(g) provides the 
requirements for rail carrier point of contact on routing issues for 
SSI. In this final rule we add Sec.  174.312 to add additional 
information sharing requirements. A rail carrier of a HHFT as defined 
in Sec.  171.8 of this subchapter must provide the following 
notification to SERC, TERC, or other appropriate state delegated 
entities in which it operates. Information required to be shared must 
consist of the following:
     A reasonable estimate of the number of affected HHFTs that 
are expected to travel, per week, through each county within the state.
     The routes over which the affected trains will be 
transported.
     A description of the materials shipped and applicable 
emergency response information required by subparts C and G of part 172 
of this subchapter.
     At least one point of contact at the railroad (including 
name, title, phone number and address) responsible for serving as the 
point of contact for the SERC, TERC, and relevant emergency responders 
related to the railroad's transportation of affected trains.
     The information summary elements (e.g. response zone 
description and contact information for qualified individuals) for the 
comprehensive oil spill response plan required by Sec.  130.120(c), 
when applicable.
     Railroads must update notifications made under Sec.  
174.312 for changes in volume greater than 25%.
     Copies of railroad notifications made under Sec.  174.312 
must be made available to DOT upon request.
    Approximately 160 small railroads carry crude oil and ethanol in 
train consists large enough that they would potentially be affected by 
this rule. PHMSA estimates the total cost of information sharing to 
each small railroad to be $7,758 in the first year and $2,365 for 
subsequent years, with costs growing with increases in real wages.\51\
---------------------------------------------------------------------------

    \51\ Please refer to the draft RIA for full description on how 
these costs per railroad are derived.
---------------------------------------------------------------------------

    Small railroads' annual operating revenues range from $3 million to 
$20 million. A recent publication on from the ASLRRA states that 
average freight revenue for Class III railroads is $4.75 million per 
year.\52\ One percent of average annual revenue per small railroad is 
$47,500. Thus, the costs associated with this requirement amount to 
less than one percent of the railroad's annual operating revenue. PHMSA 
realizes that some small railroads will have lower annual revenue than 
$4.75 million. However, PHMSA is confident that this estimate of total 
cost per small railroad provides a good representation of the cost 
applicable to small railroads, in general.
---------------------------------------------------------------------------

    \52\ Short Line and Regional Railroad Association. 2017. ``Short 
Line and Regional Railroad Facts and Figures.''
---------------------------------------------------------------------------

Total Burden on Small Entities

                       Table 7--Summary Undiscounted Annual Burden on Class III Railroads
----------------------------------------------------------------------------------------------------------------
                                                                                                  Average annual
                                                                                                      cost in
                                                                     Number of      Year 1 cost     subsequent
                        Requirement area                          impacted small     per small       years per
                                                                     railroads      railroad--         small
                                                                                   undiscounted     railroad--
                                                                                                   undiscounted
----------------------------------------------------------------------------------------------------------------
Oil Spill Response Plans........................................              55         $51,020         $25,082
Information Sharing.............................................             160           7,758           2,365
                                                                 -----------------------------------------------
    Total burden per small railroad ($).........................  ..............          58,778          27,447
----------------------------------------------------------------------------------------------------------------

    In conclusion, PHMSA believes that although some small railroads 
will be directly impacted, the average impact will amount to less than 
one percent of an average small railroad's annual operating revenue.
    This final rule is not expected to have a noticeable impact on the 
competitive position of the affected small railroads or on the small 
entity segment of the railroad industry as a whole. The small entity 
segment of the railroad industry faces little in the way of intramodal 
competition. Small railroads generally serve as ``feeders'' to the 
larger railroads, collecting carloads in smaller numbers and at lower 
densities than would be economical for the larger railroads. They 
transport those cars over relatively short distances and then turn them 
over to the

[[Page 6944]]

larger systems, which transport them relatively long distances to their 
ultimate destination, or for handoff back to a smaller railroad for 
final delivery. Although their relative interests do not always 
coincide, the relationship between the large and small entity segments 
of the railroad industry is more supportive and co-dependent than 
competitive.
    It is also rare for small railroads to compete with each other. As 
mentioned above, small railroads generally serve smaller, lower density 
markets and customers. They tend to operate in markets where there is 
not enough traffic to attract or sustain rail competition, large or 
small. Given the significant capital investment required (to acquire 
right-of-way, build track, purchase fleet, etc.), new entry in the 
railroad industry is not a common occurrence. Thus, even to the extent 
the final rule may have an economic impact, PHMSA does not expect it to 
have an impact on the intramodal competitive position of small 
railroads.
(6) A Description of the Steps the Agency Has Taken To Minimize the 
Significant Economic Impacts on Small Entities Consistent With the 
Stated Objectives of Applicable Statutes, Including a Statement of the 
Factual, Policy, and Legal Reasons for Selecting the Alternative 
Adopted in the Final Rule and Why Each One of the Other Significant 
Alternatives to the Rule Considered by the Agency Which Affect the 
Impact on Small Entities Was Rejected
    PHMSA is promulgating this final rule in response to recent train 
accidents involving the derailment of HHFTs. Shipments of large volumes 
of liquid petroleum oil pose a significant risk to life, property, and 
the environment. The Agency considered several alternatives that would 
lessen the impacts on small businesses, including: Applying the OSRP 
requirement to railroads operating on Class III track or higher, and 
applying the OSRP requirement to consists of 70 or more carloads of 
crude oil. While these alternatives would reduce the impact on small 
businesses relative to the alternative selected by PHMSA, the Agency 
determined that to ensure protection of the environment, life and 
property, OSRP requirements should be applied to all railroads 
operating trains hauling 20 or more carloads of crude oil in a block or 
35 carloads throughout a train consist on all classes of track. Several 
commenters submitted comments stating that application of OSRPs should 
be based on the risk of a significant oil spill and not on entity size. 
OSRPs will ensure a coordinated and prompt response to oil spills from 
trains at significant risk of spilling large quantities of oil. The 
other alternatives were rejected because they do not adequately address 
the risk of a worst-case discharge throughout the rail system.
(7) For a Covered Agency, as Defined in Section 609(d)(2), a 
Description of the Steps the Agency Has Taken To Minimize Any 
Additional Costs of Credit for Small Entities
    PHMSA is not a covered entity.

G. Paperwork Reduction Act

    PHMSA is requesting a revision to the information collection from 
the Office of Management and Budget (OMB) under OMB Control No. 2137-
0628, entitled ``Flammable Hazardous Materials by Rail 
Transportation.'' This final rule will result in an increase in annual 
burden and costs under OMB Control No. 2137-0628 due to proposed 
requirements pertaining to the creation of oil spill response plans and 
notification requirements for the movement of flammable liquids by 
rail.
    Under the Paperwork Reduction Act of 1995, Public Law 104-13, no 
person is required to respond to an information collection unless it 
has been approved by OMB and displays a valid OMB control number. 
Section 1320.8(d) of title 5 of the CFR requires that PHMSA provide 
interested members of the public and affected agencies an opportunity 
to comment on information and recordkeeping requests.
    This document identifies a revised information collection request 
that PHMSA will submit to OMB for approval based on the requirements in 
this final rule. PHMSA has developed burden estimates to reflect 
changes in this final rule. PHMSA received comments from industry 
stakeholders, API and AAR which suggested the burden hours estimated 
for plan development were too low. These commenters did not provide 
data or estimates to revise the data. To be responsive to commenters' 
concerns, PHMSA provided additional analysis and updated the estimates 
for the level of effort required to complete a response plan. This 
amounts to doubling the effort for core plan development and increasing 
by 12-fold the effort estimated to create a single response zone 
appendix. Additional information concerning OSRP plan development hours 
is available in the final RIA in the docket for this rulemaking.
Oil Spill Response Plans
    PHMSA estimates that there will be approximately 73 respondents, 
based on a review of the number of railroad operators in existence that 
transport trains with 20 or more tank cars loaded with liquid petroleum 
oil in a continuous block or 35 or more tank cars loaded with liquid 
petroleum oil throughout the train. PHMSA estimates that it will take a 
rail operator 180 hours to produce a comprehensive oil spill response 
plan. In addition, the oil spill response plan will have an addendum 
for each response zone through which the applicable trains pass. It is 
estimated this addendum will take 180 hours per response zone. The 
comprehensive oil response plans also will require annual maintenance. 
This annual maintenance is expected to take 162 hours for Class I 
railroads, 54 hours for Class II railroads, and 36 hours for Class III 
railroads.
Initial Development of Oil Spill Response Plan
    There are seven Class I railroads in existence that will be 
required to create a comprehensive oil spill response plan at 180 hours 
per plan resulting in 1,260 burden hours. Each Class I railroad is 
expected to have 8 response zones at 180 hours per response zone 
resulting in 10,080 burden hours. Combined this will result in a total 
of 11,340 burden hours Class I railroad oil spill response plans.
    There are eleven Class II railroads in existence that will be 
required to create a comprehensive oil spill response plan at 180 hours 
per response plan resulting in 1,980 burden hours. Each Class II 
railroad is expected to have 2 response zones at 180 hours per zone 
resulting in 3,960 burden hours. Combined this will result in a total 
of 5,940 burden Class II railroad oil spill response plans.
    There are 55 Class III railroads in existence that will be required 
to create a comprehensive oil spill response plan at 180 hours per 
response plan resulting in 9,900 burden hours. Each class III railroad 
is expected to pass through 1 response zones at 180 hours per zone 
resulting in 9,900 burden hours. Combined this will result in a total 
of 19,800 burden hours for Class III railroads oil spill response 
plans.
    The total annual burden hours for all initial creation of oil spill 
response plans is 37,080 burden hours. There are no out of pocket 
expenses associated with this information collection. Presented below 
is a summary of the numbers describe above:
    Class I--(7 Responses x 180 Hours per plan) + (7 responses x 8 
Response Zones

[[Page 6945]]

x 180 hours per zone) = 11,340 burden hours.
    Class II--(11 Response x 180 Hours per plan) + (11 response x 2 
Response Zones x 180 hours per zone) = 5,940 burden hours.
    Class III--(55 Response x 180 Hours per plan) + (55 responses x 1 
Response Zone x 180 hours per zone) = 19,800 burden hours.
Oil Spill Response Plan Maintenance--Performed Annually
    There are seven Class I railroads in existence that will be 
required to annually maintain their oil spill response plan at 162 
hours per plan resulting in 1,134 annual burden hours.
    There are eleven Class II railroads in existence that will be 
required to annually maintain their oil spill response plan at 54 hours 
per plan resulting in 594 annual burden hours.
    There are 55 Class III railroads in existence that will be required 
to annually maintain their oil spill response plan at 36 hours per plan 
resulting in annual burden hours.
    The total annual burden hours for annual updates of oil spill 
response plans is 3,708 burden hours. Presented below is a summary of 
the numbers describe above:
    Class I--7 Responses x 162 Hours per response = 1,134 annual burden 
hours
    Class II--11 Response x 54 Hours per response = 594 annual burden 
hours
    Class III--55 response x 36 hours per response = 1,980 annual 
burden hours
    Total Hours for Plan Maintenance = 3,708 Annual Burden Hours.
Notifications to Emergency Response Commissions
Initial Notification Response Plan
    For the creation of the initial HHFT information sharing 
notification PHMSA estimates that there will be approximately 178 
respondents based on a review of the number of railroad operators 
shipping class 3 flammable liquids. PHMSA estimates that it will take a 
rail operator 30 hours to create initial notification plan for the 
State Emergency Response Commissions (SERCs), 30 hours to create 
initial notification plan for the Tribal Emergency Response Commissions 
(TERCs), and 15 hours to create the initial plan for other state 
delegated agencies.
    There are seven Class I railroads required to create SERC plans at 
30 hours per response for a total of 210 burden hours. There are seven 
Class I railroads at 30 hours per response for 210 burden hours for 
TEPC plans. There are seven Class I railroads at 15 hours per response 
for a total of 105 burden hours for other state delegated agency plans. 
This will result in an initial one year total burden of 525 hours for 
Class I railroads.
    There are eleven Class II railroads at 30 hours per response 
resulting in 330 burden hours for SERC plans. There are eleven Class II 
railroads at 30 hours per response resulting in 330 burden hours for 
TERC plans. There are eleven Class II railroads at 15 hours per 
response resulting in 165 burden hours for other state delegated agency 
plans. This will result in an initial one year total burden of 825 
hours for Class II railroads.
    There are 160 Class III railroads at 30 hours per response 
resulting in 4,800 burden hours for SERC plans. There are 160 Class III 
railroads at 30 hours per response resulting in 4,800 burden hours for 
TERC plans. There are 160 Class III railroads at 15 hours per response 
resulting in 2,400 burden hours for other state delegated agency plans. 
This will result in an initial one year total burden of 12,000 hours 
for Class III railroads.
    The total annual burden hours for initial notification plans is 
13,350 burden hours.
    Presented below is a summary of the numbers describe above:
    Class I--(7 responses x 30 hours for SERC plan) + (7 responses x 30 
hours for TERC plan) + (7 responses x 15 hours for other state 
delegated agency plan) = 525 burden hours.
    Class II--(11 responses x 30 hours for SERC plan) + (11 responses x 
30 hours for TERC plan) + (11 responses x 15 hours for other state 
delegated agency plan) = 825 burden hours.
    Class III--(160 responses x 30 hours for SERC plan) + (160 
responses x 30 hours for TERC plan) + (160 responses x 15 hours for 
other state delegated agency plan) = 12,000 burden hours.
Notification Response Plan Maintenance--Performed Annually
    For the maintenance of the notification plan PHMSA estimates that 
there will be approximately 178 respondents based on a review of the 
number of railroad operators shipping class 3 flammable liquids. PHMSA 
estimates that it will take a rail operator 12 hours to maintain 
notification plan for the SERCs, 12 hours to maintain notification plan 
for TERCs, and 6 hours to maintain the plan for other state delegated 
agencies.
    There are seven Class I railroads at 12 hours per response 
resulting in 84 burden hours for SERC plans. There are seven Class I 
railroads at 12 hours per response resulting in 84 burden hours for 
TERC plans. There are seven Class I railroads at 6 hours per response 
resulting in 42 burden hours for other state delegated agency plans. 
This will result in an annual total burden of 210 hours for Class I 
railroads.
    There are eleven Class II railroads at 12 hours per response 
resulting in 132 burden hours for SERC plans. There are eleven Class II 
railroads at 12 hours per response resulting in 132 burden hours for 
TERC plans. There are eleven Class II railroads at 6 hours per response 
resulting in 66 burden hours for other state delegated agency plans. 
This will result in an annual burden of 330 hours for Class II 
railroads.
    There are 160 Class III railroads at 12 hours per response 
resulting in 1,920 burden hours for SERC plans. There are 160 Class III 
railroads at 12 hours per response resulting in 1,920 burden hours for 
TERC plans. There are 160 Class III railroads at 6 hours per response 
resulting in 960 burden hours for other state delegated agency plans. 
This will result in an annual burden of 4,800 hours for Class III 
railroads.
    The total annual burden hours for annual maintenance of 
notification plans is 5,340 burden hours. There are no out of pocket 
expenses associated with this information collection. Presented below 
is a summary of the numbers describe above:
    Class I--(7 responses x 12 hours for SERC plan) + (7 responses x 12 
hours for TERC plan) + (7 responses x 6 hours for other state delegated 
agency plan) = 210 burden hours.
    Class II--(11 responses x 12 hours for SERC plan) + (11 responses x 
12 hours for TERC plan) + (11 responses x 6 hours for other state 
delegated agency plan) = 330 burden hours.
    Class III--(160 responses x 12 hours for SERC plan) + (160 
responses x 12 hours for TERC plan) + (160 responses x 6 hours for 
other state delegated agency plan) = 4,800 burden hours.
Total Increased Burden
    OMB No. 2137-0682: Flammable Hazardous Materials by Rail 
Transportation.
    Initial Year Annual Burden:

    Initial Year Annual Responses: 740.
    Initial Year Annual Burden Hours: 50,430.
    Additional Cost Burden: $0.

    Subsequent Year Burden:

    Annual Responses: 607.
    Annual Burden Hours: 9,048.
    Additional Cost Burden: $0.

    Please direct your requests for a copy of the information 
collection to Steven Andrews or Shelby Geller, U.S. Department of 
Transportation, Pipeline & Hazardous Materials Safety

[[Page 6946]]

Administration (PHMSA), East Building, Office of Hazardous Materials 
Standards (PHH-12), 1200 New Jersey Avenue Southeast, Washington, DC 
20590, Telephone (202) 366-8553.

H. Executive Order 13211

    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 a 
notice of inquiry, advance NPRM, and NPRM) that (1)(i) 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) is designated by the 
Administrator of the Office of Information and Regulatory Affairs as a 
significant energy action.
    PHMSA has evaluated this action in accordance with Executive Order 
13211. See the environmental assessment section for a more thorough 
discussion of environmental effects and the supply, distribution, or 
use of energy. PHMSA has determined that this action will not have a 
significant adverse effect on the supply, distribution, or use of 
energy. Consequently, PHMSA has determined that this regulatory action 
is not a ``significant energy action'' within the meaning of Executive 
Order 13211.

I. Unfunded Mandates Reform Act

    This final rule does not impose unfunded mandates as defined by the 
Unfunded Mandates Reform Act of 1995. Public Law 104-4. It does not 
result in costs of $100 million or more, adjusted for inflation, to 
either State, local, or tribal governments, in the aggregate, or to the 
private sector in any one year, and is the least burdensome alternative 
that achieves the objective of the rule. As such, PHMSA has concluded 
that the final rule does not require an Unfunded Mandates Act analysis.

J. Executive Order 13609 and International Trade Analysis

    Under Executive Order 13609, ``Promoting International Regulatory 
Cooperation,'' 77 FR 26413 (May 4, 2012), agencies must consider 
whether the impacts associated with significant variations between 
domestic and international regulatory approaches are unnecessary or may 
impair the ability of American business to export and compete 
internationally. In meeting shared challenges involving health, safety, 
labor, security, environmental, and other issues, international 
regulatory cooperation can identify approaches that are at least as 
protective as those that are or would be adopted in the absence of such 
cooperation. International regulatory cooperation can also reduce, 
eliminate, or prevent unnecessary differences in regulatory 
requirements.
    Similarly, the Trade Agreements Act of 1979 (Pub. L. 96-39), as 
amended by the Uruguay Round Agreements Act (Pub. L. 103-465), 
prohibits Federal agencies from establishing any standards or engaging 
in related activities that create unnecessary obstacles to the foreign 
commerce of the United States. For purposes of these requirements, 
Federal agencies may participate in the establishment of international 
standards, so long as the standards have a legitimate domestic 
objective, such as providing for safety, and do not operate to exclude 
imports that meet this objective. The statute also requires 
consideration of international standards and, where appropriate, that 
they be the basis for U.S. standards.
    PHMSA participates in the establishment of international standards 
to protect the safety of the American public. We have assessed the 
effects of the final rule to ensure that it does not cause unnecessary 
obstacles to foreign trade. Accordingly, this rulemaking is consistent 
with Executive Order 13609 and PHMSA's obligations under the Trade 
Agreement Act, as amended.

K. Environmental Assessment

    PHMSA has analyzed this rule in accordance with the National 
Environmental Policy Act of 1969 (NEPA; 42 U.S.C. 4321, et seq.), as 
amended; the Council on Environmental Quality (CEQ) regulations 
implementing NEPA (40 CFR parts 1500-1508); the U.S. Department of 
Transportation (DOT) Order 5610.C (September 18, 1979, as amended on 
July 13, 1982 and July 30, 1985), entitled ``Procedures for Considering 
Environmental Impacts,'' and other pertinent environmental regulations, 
Executive Orders, statutes, and laws for the consideration of 
environmental impacts of PHMSA actions. The agency relies on all 
authorities noted above to ensure that it actively incorporates 
environmental considerations into informed decision-making on all of 
its actions, including rulemaking. An ``Environmental Assessment'' (EA) 
and a ``Finding of No Significant Impact'' (FONSI) are available in the 
docket PHMSA-2014-0105 (HM-251B). PHMSA has concluded that this action 
would have a positive effect on the human and natural environments 
since these response plan and information requirements would mitigate 
environmental consequences of spills related to rail transport of 
petroleum oil and HHFTs by reducing the severity of incidents as 
follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Oil Spill Response Planning..............   Improved Response
                                            Times.
                                            Improved
                                            Communication/Defined
                                            Command Structure.
                                            Better Access to
                                            Equipment.
                                            Trained Responders.
Information Sharing......................   Improved
                                            Communication.
                                            Enhanced
                                            Preparedness.
------------------------------------------------------------------------

L. Regulatory Identification Number (RIN)

    A regulation identifier number (RIN) is assigned to each regulatory 
action listed in the Unified Agenda of Federal Regulatory and 
Deregulator Actions (``Unified Agenda''). The Regulatory Information 
Service Center publishes the Unified Agenda in April and October of 
each year. RIN 2137-AF08 can be used to cross-reference this action 
with the Unified Agenda.

M. Privacy Act

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

List of Subjects

49 CFR Part 107

    Administrative practice and procedure, Hazardous materials

[[Page 6947]]

transportation, Penalties, Reporting and recordkeeping requirements.

49 CFR Part 130

    Incorporation by reference, Oil pollution, Packaging and 
containers, Reporting and recordkeeping requirements, Transportation.

49 CFR Part 171

    Exports, Hazardous materials transportation, Hazardous waste, 
Imports, Incorporation by reference, Reporting and recordkeeping 
requirements.

49 CFR Part 173

    Hazardous materials transportation, Packaging and containers, 
Radioactive materials, Reporting and recordkeeping requirements, 
Uranium.

49 CFR Part 174

    Hazardous materials transportation, Incorporation by reference, 
Radioactive materials, Railroad safety.

    In consideration of the foregoing, 49 CFR chapter I is amended as 
follows:

PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES

0
1. The authority citation for part 107 is revised to read as follows:

     Authority:  49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 Section 
4; Pub. L. 104-121 Sections 212-213; Pub. L. 104-134 Section 31001; 
Pub. L. 114-74 Section 4 (28 U.S.C. 2461 note); 49 CFR 1.81 and 
1.97; 33 U.S.C. 1321.


0
 2. Revise Sec.  107.301 to read as follows:


Sec.  107.301  Delegated authority for enforcement.

    Under redelegation from the Administrator of the Pipeline and 
Hazardous Materials Safety Administration, the Associate Administrator 
for Hazardous Materials Safety and the Office of the Chief Counsel 
exercise their authority for enforcement of the Federal hazardous 
material transportation law, Federal Water Pollution Control Act, this 
subchapter, and subchapters B and C of this chapter, in accordance with 
Sec.  1.97 of this title.


0
 3. Revise Sec.  107.305(a) to read as follows:


Sec.  107.305  Investigations.

    (a) General. In accordance with its delegated authority under part 
1 of this title, the Associate Administrator may initiate 
investigations relating to compliance by any person with any provisions 
of this subchapter, subchapter B of this chapter, or subchapter C of 
this chapter, or any special permit, approval, response plan, or order 
issued thereunder, or any court decree relating thereto. The Associate 
Administrator encourages voluntary production of documents in 
accordance with and subject to Sec.  105.45 of this subchapter, and 
hearings may be conducted, and depositions taken pursuant to 49 U.S.C. 
5121(a). The Associate Administrator may conduct investigative 
conferences and hearings in the course of any investigation.
* * * * *


0
4. Revise Sec.  107.309(a) to read as follows:


Sec.  107.309  Warning letters.

    (a) The Associate Administrator may issue a warning letter to any 
person whom the Associate Administrator believes to have committed a 
probable violation of the Federal hazardous material transportation 
law, the Federal Water Pollution Control Act, or any provision of this 
subchapter, subchapter B of this chapter, subchapter C of this chapter, 
or any special permit issued thereunder.
* * * * *

0
5. Amend Sec.  107.311 by revising paragraphs (a) and (b)(1) to read as 
follows:


Sec.  107.311  Notice of probable violation.

    (a) The Office of Chief Counsel may serve a notice of probable 
violation on a person alleging the violation of one or more provisions 
of the Federal hazardous material transportation law, the Federal Water 
Pollution Control Act, or any provision of this subchapter, subchapter 
B of this chapter, or subchapter C of this chapter, or any special 
permit, response plan, or order issued thereunder.
    (b) * * *
    (1) A citation of the provisions of the Federal hazardous material 
transportation law, Federal Water Pollution Control Act, an order 
issued thereunder, this subchapter, subchapter B of this chapter, 
subchapter C of this chapter, or the terms of any special permit issued 
thereunder which the Office of Chief Counsel believes the respondent is 
violating or has violated.
* * * * *


0
6. Amend Sec.  107.329 by adding paragraph (c) to read as follows:


Sec.  107.329  Maximum penalties.

* * * * *
    (c) Any owner, operator, or person found to have violated a 
response plan or provision of 33 U.S.C. 1321(j), or any regulation or 
order issued thereunder, is subject to an administrative civil penalty 
under 33 U.S.C. 1321(b)(6), as adjusted by 40 CFR 19.4.

PART 130--OIL SPILL PREVENTION AND RESPONSE PLANS

0
7. The authority citation for part 130 continues to read as follows:

     Authority:  33 U.S.C. 1321; 49 CFR 1.81 and 1.97.


Sec.  Sec.  130.1, 130.2, 130.3, 130.5, 130.11, and 130.21  [Designated 
as Subpart A]

0
8. Designate Sec. Sec.  130.1, 130.2, 130.3, 130.5, 130.11, and 130.21 
as subpart A and add a heading for newly designated subpart A to read 
as follows:

Subpart A--Applicability and General Requirements


0
9. Amend Sec.  130.2 by revising paragraphs (a) and (d) to read as 
follows:


Sec.  130.2  Scope.

    (a) The requirements of this part apply to oil that is subject to a 
basic or comprehensive oil spill response plan in accordance with 
subparts B and C of this part.
* * * * *
    (d) The requirements in subpart C of this part do not apply to 
mobile marine transportation-related facilities (see 33 CFR part 154).


0
10. Amend Sec.  130.5:
0
a. By adding, in alphabetical order, definitions for ``Adverse 
weather'' and ``Environmentally sensitive or significant areas'';
0
b. By revising the definition for ``Liquid'' and removing the note 
following the definition;
0
c. By adding, in alphabetical order, definitions for ``Maximum 
potential discharge,'' ``Oil Spill Removal Organization,'' and ``On-
Scene Coordinator'';
0
d. By revising the definitions of ``Person'' and ``Petroleum oil'';
0
e. By adding, in alphabetical order, defintions for ``Response 
activities,'' ``Response plan,'' and ``Response zone''; and
0
f. By revising the definition of ``Worst-case discharge''.
    The additions and revisions read as follows:


Sec.  130.5  Definitions.

* * * * *
    Adverse weather means the weather conditions (e.g., ice conditions, 
temperature ranges, flooding, strong winds) that will be considered 
when identifying response systems and equipment to be deployed in 
accordance with a response plan.
* * * * *

[[Page 6948]]

    Environmentally sensitive or significant areas (ESA) means a 
``sensitive area'' identified in the applicable Area Contingency Plan 
(ACP), or if no applicable, complete ACP exists, an area of 
environmental importance which is in or adjacent to navigable waters.
* * * * *
    Liquid means a material, with a melting point or initial melting 
point of 20 [deg]C (68 [deg]F) or lower at a standard pressure of 101.3 
kPa (14.7 psia). A viscous material for which a specific melting point 
cannot be determined must be subjected to the procedures specified in 
ASTM D4359-90 ``Standard Test Method for Determining Whether a Material 
is Liquid or Solid'' (IBR, see Sec.  171.7 of this chapter).
* * * * *
    Maximum potential discharge means a planning volume for a discharge 
from a motor vehicle or rail car equal to the capacity of the cargo 
container.
* * * * *
    Oil Spill Removal Organization (OSRO) means an entity that provides 
response resources.
    On-Scene Coordinator (OSC) means the Federal official pre-
designated by the Administrator of the United States Environmental 
Protection Agency (EPA) or by the Commandant of the United States Coast 
Guard (USCG) to coordinate and direct Federal response under the 
National Contingency Plan (NCP) (40 CFR part 300, subpart D).
* * * * *
    Person means an individual, firm, corporation, partnership, 
association, State, municipality, commission, or political subdivision 
of a State, or any interstate body, as well as a department, agency, or 
instrumentality of the executive, legislative, or judicial branch of 
the Federal Government. This definition includes railroads.
    Petroleum oil means any oil extracted or derived from geological 
hydrocarbon deposits, including oils produced by distillation or their 
refined products.
* * * * *
    Response activities means the containment and removal of oil from 
navigable waters and adjoining shorelines, the temporary storage and 
disposal of recovered oil, or the taking of other actions as necessary 
to minimize or mitigate damage to the environment.
    Response plan means a basic oil spill response plan meeting 
requirements of subpart B of this part or a comprehensive oil spill 
response plan meeting requirements of subpart C of this part. For 
comprehensive plans in subpart C, this definition includes both the 
railroad's core plan and the response zone appendices, for responding, 
to the maximum extent practicable, to a worst-case discharge of oil or 
the substantial threat of such a discharge.
    Response zone means a geographic area along applicable rail 
route(s), containing one or more adjacent route segments for which the 
railroad is required to plan for the deployment of, and provide, spill 
response capabilities meeting the planning requirements of Sec.  
130.130. The size, locations, and boundaries of the zone are determined 
and identified by the railroad after considering the existing location 
and organizational structure of each railroad's incident management 
team (IMT), including the availability and capability of response 
resources.
* * * * *
    Worst-case discharge means ``the largest foreseeable discharge in 
adverse weather conditions,'' as defined at 33 U.S.C. 1321(a)(24). The 
largest foreseeable discharge includes discharges resulting from fire 
or explosion. The worst-case discharge from a unit train consist is the 
greater of:
    (1) 300,000 gallons of liquid petroleum oil; or
    (2) 15 percent of the total lading of liquid petroleum oil 
transported within the largest unit train consist reasonably expected 
to transport liquid petroleum oil in a given response zone. The worst-
case discharge calculated from tank cars exceeding 42,000 gallons is 
equal to the capacity of the cargo container.


Sec.  Sec.  130.22 through 130.29  [Added and Reserved]

0
11. Add reserved Sec. Sec.  130.22 through 130.29 to subpart A.


Sec.  Sec.  130.31 and 130.33  [Designate as Subpart B]

0
12. Designate Sec. Sec.  130.31 and 130.33 as subpart B and add a 
heading for newly designated subpart B to read as follows:

Subpart B--Basic Spill Response Plans

0
13. Amend Sec.  130.31 by revising the section heading and paragraphs 
(a) introductory text and (b) to read as follows:


Sec.  130.31  Basic spill response plans.

    (a) No person may transport liquid petroleum oil in a packaging 
having a capacity of 3,500 gallons or more unless that person has a 
current basic written plan that:
* * * * *
    (b) A railroad with a comprehensive plan in conformance with the 
requirements of subpart C of this part is not required to have a basic 
spill response plan for routes covered by the comprehensive plan.
* * * * *

0
14. Revise the heading of Sec.  130.33 to read as follows:


Sec.  130.33  Basic response plan implementation.

* * * * *


Sec.  Sec.  130.34 through 130.99  [Added and Reserved]

0
15. Add reserved Sec. Sec.  130.34 through 130.99 to subpart B.

0
16. Add subpart C to read as follows:

Subpart C--Comprehensive Oil Spill Response Plans

Sec.
130.100 Applicability of comprehensive oil spill response plans.
130.105 Purpose and general format.
130.110 Consistency with the National Contingency Plan.
130.115 Consistency with Area Contingency Plans.
130.120 Information summary.
130.125 Notification procedures and contacts.
130.130 Response and mitigation activities.
130.135 Training.
130.140 Equipment testing and exercise procedures.
130.145 Plan review, update, and recordkeeping procedures.
130.150 Approval and submission procedures.


Sec.  130.100  Applicability of comprehensive oil spill response plans.

    (a) Railroads must have current, written comprehensive oil spill 
response plans (COSRPs) meeting the requirements of this subpart for 
any route or route segments used to transport either of the following:
    (1) Any liquid petroleum oil or other non-petroleum oil subject to 
this part in a quantity greater than 42,000 gallons (1,000 barrels) per 
packaging; or
    (2) A single train carrying 20 or more loaded tank cars of liquid 
petroleum oil in a continuous block or a single train carrying 35 or 
more loaded tank cars of liquid petroleum oil throughout the train 
consist.
    (i) Tank cars carrying liquid petroleum oil products not meeting 
the criteria for Class 3 flammable or combustible material in Sec.  
173.120 of this chapter, or containing residue as defined in Sec.  
171.8 of this chapter, are not required to be included when determining 
the number of tank cars transporting liquid petroleum oil in paragraph 
(a)(2) of this section.
    (ii) [Reserved]

[[Page 6949]]

    (b) The requirements of this subpart do not apply if the oil being 
transported is otherwise excepted per Sec.  130.2(c).
    (c) A railroad required to develop a response plan in accordance 
with this section may not transport applicable quantities of oil 
(including handling and storage incidental to transport) unless--
    (1) The response plan is submitted, reviewed, and approved as 
required by Sec.  130.150 except as described in paragraph (d) of this 
section; and
    (2) The railroad is operating in compliance with the response plan.
    (d) A railroad required to develop a response plan in accordance 
with this section may continue to transport oil without an approval 
from PHMSA provided that all of the following criteria are met:
    (1) The railroad submitted a plan in accordance with the 
requirements of Sec.  130.150(a) within the previous two years;
    (2) The submitted plan includes the certification in Sec.  130.130;
    (3) The railroad is operating in compliance with the submitted 
plan; and
    (4) PHMSA has not issued a final decision that all or part of the 
plan does not meet the requirements of this subpart.


Sec.  130.105  Purpose and general format.

    (a) Each railroad subject to this subpart must prepare and submit a 
plan, including resources and procedures, for responding, to the 
maximum extent practicable, to a worst-case discharge, and to a 
substantial threat of such a discharge, of oil. The plan must use and 
be consistent with the core principle of the National Incident 
Management System (NIMS) including the utilization of the Incident 
Command System (ICS).
    (b) Each response plan must be formatted to include:
    (1) Core plan. Response plans with more than one response zone must 
include a core plan containing an information summary required by Sec.  
130.120 and information that does not change between different response 
zones; and
    (2) Response zone appendix or appendices. For each response zone 
included in the response plan, the response plan must include a 
response zone appendix that provides the information summary required 
by Sec.  130.120 and any additional information that differs between 
response zones or is not included in the core plan. In addition, each 
response zone appendix must identify all of the following:
    (i) A description of the response zone, including county(s) and 
state(s);
    (ii) A list of route sections contained in the response zone, 
identified by railroad milepost or other identifier;
    (iii) Identification of environmentally sensitive or significant 
areas per route section as determined by Sec.  130.115; and
    (iv) The location from which the Oil Spill Removal Organization 
will deploy, and the location and description of the response equipment 
required by Sec.  130.130(c)(6).
    (c) To meet the requirements of the response plan as required by 
Sec.  130.100, a railroad may submit an applicable Annex(es) of an 
Integrated Contingency Plan (ICP). The Annex(es) must meet the minimum 
requirements of a Federal response plan required under this part. 
Guidance on the ICP is available from the National Response Team 
(http://www.NRT.org).
    (d) To meet the requirements of the response plan as required by 
Sec.  130.100, a railroad may submit a response plan that complies with 
a State law or regulation. The state plan must meet the minimum 
requirements of a Federal response plan required under this part and 
must include all of the following:
    (1) An information summary as required by Sec.  130.120;
    (2) A list of the names or titles and 24-hour telephone numbers of 
the qualified individual(s) and at least one alternate qualified 
individual(s); and
    (3) A certification and documentation that that railroad has 
identified and secured, through contract or other approved means, the 
private personnel and equipment necessary to respond to a worst-case 
discharge or a substantial threat of such a discharge.


Sec.  130.110  Consistency with the National Contingency Plan.

    (a) A railroad must certify in the response plan that it reviewed 
the NCP (40 CFR part 300) and that its response plan is consistent with 
the NCP.
    (b) At a minimum, for consistency with the NCP, a comprehensive 
response plan must include all of the following:
    (1) Demonstrate a railroad's clear understanding of the Incident 
Command System and Unified Command and the roles and responsibilities 
of the Federal On-Scene Coordinator;
    (2) Include procedures to immediately notify the National Response 
Center; and
    (3) Establish provisions to ensure safety at the response site.


Sec.  130.115  Consistency with Area Contingency Plans.

    (a) A railroad must certify for each response zone that it reviewed 
each applicable ACP (or Regional Contingency Plan (RCP) for areas 
lacking an ACP).
    (b) At a minimum, for consistency with the applicable ACP (or 
Regional Contingency Plan (RCP) for areas lacking an ACP), the 
comprehensive response plan must do all of the following:
    (1) Address the removal of a worst-case discharge, and the 
mitigation or prevention of the substantial threat of a worst-case 
discharge, of oil;
    (2) Identify environmentally sensitive or significant areas along 
the route, as defined in Sec.  130.5, which could be adversely affected 
by a worst-case discharge, by reviewing and summarizing the applicable 
ACP or RCP;
    (3) Incorporate appropriate strategies identified in applicable 
ACPs or RCPs, to protect environmentally sensitive or significant areas 
identified in paragraph (b)(2) of this section;
    (4) Describe the responsibilities of the railroad and of Federal, 
State, and local agencies in removing a discharge and in mitigating or 
preventing a substantial threat of a discharge; and
    (5) Identify the procedures to obtain any required Federal and 
State authorization for using alternative response strategies such as 
in-situ burning and/or chemical agents, as provided for in the 
applicable ACP and subpart J of 40 CFR part 300.


Sec.  130.120  Information summary.

    (a) Each person preparing a comprehensive response plan must 
include information summaries for the core plan and each response zone 
meeting the requirements of this section.
    (b) The information summary for the core plan must include all of 
the following:
    (1) The name and mailing address of the railroad;
    (2) A listing and description of each response zone, including 
county(s) and State(s); and
    (3) The name or title of the qualified individual(s) and 
alternate(s) for each response zone, with telephone numbers at which 
they can be contacted on a 24-hour basis.
    (c) The information summary for each response zone appendix must 
include all of the following:
    (1) The name and mailing address of the railroad;
    (2) A description of the response zone, including county(s) and 
State(s);
    (3) The name or title of the qualified individual(s) and 
alternate(s) for the response zone, with telephone numbers at which 
they can be contacted on a 24-hour basis;

[[Page 6950]]

    (4) The type(s) of oil expected to be carried; and
    (5) Determination of the worst-case discharge and supporting 
calculations.
    (d) The information summary should be listed first, before other 
information in the plan, or clearly identified through the use of tabs 
or other visual aids.


Sec.  130.125  Notification procedures and contacts.

    (a) The railroad must develop and implement notification procedures 
that include all of the following:
    (1) Procedures for immediate notification of the qualified 
individual or alternate and immediate communications between that 
individual, and the appropriate Federal official and the persons 
providing personnel and equipment;
    (2) A checklist of the notifications required under the response 
plan, listed in the order of priority;
    (3) The primary and secondary communication methods by which 
notifications can be made;
    (4) The circumstances and necessary time frames under which the 
notifications must be made; and
    (5) The information to be provided in the initial and each follow-
up notification.
    (b) The notification procedures must include the names of the 
following individuals or organizations, with the ten-digit telephone 
numbers at which they can be contacted on a 24-hour basis:
    (1) The National Response Center (NRC);
    (2) Qualified individual, or alternative;
    (3) Federal, State, and local agencies that the railroad expects to 
have pollution control responsibilities or provide pollution control 
support; and
    (4) Personnel or organizations to notify for the activation of 
equipment and personnel resources identified in Sec.  130.130.


Sec.  130.130  Response and mitigation activities.

    (a) Each railroad must certify that it has identified and secured, 
by contract or other means, the private response resources in each 
response zone necessary to remove and control, to the maximum extent 
practicable, a worst-case discharge. The certification must be signed 
by the qualified individual or an appropriate corporate officer.
    (b) Each railroad must identify and describe in the plan the 
response resources that are available to arrive onsite within 12 hours 
of the discovery of a worst-case discharge or the substantial threat of 
such a discharge. It is assumed that resources can travel according to 
a land speed of 35 miles per hour, unless the railroad can demonstrate 
otherwise.
    (c) Each plan must identify all of the following information for 
response and mitigation activities:
    (1) Methods of initial discharge detection;
    (2) Responsibilities of, and actions to be taken by, personnel to 
initiate and supervise response activities pending the arrival of the 
qualified individual or other response resources identified in the 
response plan that are necessary to ensure the protection of safety at 
the response site and to mitigate or prevent any discharge from the 
tank cars;
    (3) The qualified individual's responsibilities and authority;
    (4) Procedures for coordinating the actions of the railroad or 
qualified individual with the actions of the U.S. EPA or U.S. Coast 
Guard On-Scene Coordinator responsible for monitoring or directing 
response and mitigation activities;
    (5) The Oil Spill Removal Organization's responsibilities and 
authority; and
    (6) For each Oil Spill Removal Organization identified under this 
section, a listing adequate for the worst-case discharge listed in the 
plan of:
    (i) Equipment, supplies, and personnel available, and the location 
thereof, including equipment suitable for adverse weather conditions 
and the personnel necessary to continue operation of the equipment and 
staff the Oil Spill Removal Organization during the response, in 
accordance with appendix C of 33 CFR part 154; or
    (ii) In lieu of the listing of equipment, supplies, and personnel, 
a statement that the Oil Spill Removal Organization has been classified 
by the United States Coast Guard under 33 CFR 154.1035 or 155.1035.


Sec.  130.135  Training.

    (a) A railroad must certify in the response plan that it has 
conducted training to ensure that:
    (1) All railroad employees subject to the plan know--
    (i) Their responsibilities under the comprehensive oil spill 
response plan; and
    (ii) The name of, and procedures for contacting, the qualified 
individual or alternate on a 24-hour basis;
    (2) All railroad employees with responsibilities as reporting 
personnel in the plan also know--
    (i) The content of the information summary of the response plan;
    (ii) The toll-free telephone number of the National Response 
Center; and
    (iii) The notification process required by Sec.  130.105; and
    (3) The qualified individual or, as an alternative, the person 
acting in an Incident Commander role, may be trained in the Incident 
Command System at the Incident Commander Level.
    (b) Employees subject to this section must be trained at least once 
every five years or, if the plan is revised during the five-year 
recurrent training cycle, within 90 days of implementation of the 
revised plan. New employees must be trained within 90 days of 
employment or change in job function.
    (c) Each railroad must create and retain records of current 
training of each railroad employee engaged in oil spill response, 
inclusive of the preceding five years, in accordance with this section, 
for as long as that employee is employed and for 90 days thereafter. A 
railroad must make the employee's record of training available upon 
request, at a reasonable time and location, to an authorized official 
of the Department of Transportation. The record must include all of the 
following:
    (1) The employee's name;
    (2) The completion date of the employee's most recent training;
    (3) The name and address of the person providing the training; and
    (4) A certification statement that the designated employee has been 
trained, as required by this subpart.
    (d) Nothing in this section relieves a person from the 
responsibility to ensure that all personnel are trained in accordance 
with other regulations. As an example, response personnel may be 
subject to the Occupational Safety and Health Administration (OSHA) 
standards for emergency response operations in 29 CFR 1910.120, 
including volunteers or casual laborers employed during a response who 
are subject to those standards pursuant to 40 CFR part 311. Hazmat 
employees, as defined in Sec.  171.8 of this chapter, are subject to 
the training requirements in subpart H of part 172 of this chapter, 
including safety training.


Sec.  130.140  Equipment testing and exercise procedures.

    (a) Testing. The plan must include a description of the methods 
used to ensure that equipment testing meets the manufacturer's minimum 
recommendations or equivalent.
    (b) Exercises. A railroad must implement and describe an exercise 
program for COSRPs following the National Preparedness for Response 
Exercise Program (PREP) Guidelines, which can be found using the search 
function on the USCG's web page

[[Page 6951]]

(https://homeport.uscg.mil). These guidelines are also available from 
the TASC DEPT Warehouse, 33141Q 75th Avenue, Landover, MD 20875 (fax: 
301-386-5394, stock number USCG-X0241). As an alternative, a railroad 
choosing not to follow PREP Guidelines must have an exercise program 
that is equivalent to PREP. The plan must include a description of the 
exercise procedures and programs the railroad uses to assess whether 
its response plan will function as planned, including the types of 
exercises and their frequencies.
    (c) Recordkeeping. Railroads must keep records showing the exercise 
dates and times, and the after action reports that accompany the 
response plan exercises. Railroads must provide copies of these records 
to Department of Transportation representatives upon request.


Sec.  130.145  Plan review, update, and recordkeeping procedures.

    (a) For purposes of this part, copy means a hardcopy or an 
electronic version. Each railroad must:
    (1) Maintain a copy of the complete plan at the railroad's 
principal place of business;
    (2) Provide a copy of the core plan and the appropriate response 
zone appendix to each qualified individual and alternate; and
    (3) Provide a copy of the information summary to each dispatcher in 
response zones identified in the plan.
    (b) Each railroad must include procedures to review the plan after 
a discharge requiring the activation of the plan in order to evaluate 
and record the plan's effectiveness.
    (c) Each railroad must update its plan to address new or different 
conditions or information. In addition, each railroad must review its 
plan in full at least every 5 years from the date of the last approval.
    (d) If changes to the plans are made, updated copies of the plan 
must be provided to every individual referenced under paragraph (a) of 
this section.
    (e) If new or different operating conditions or information would 
substantially affect the implementation of the response plan, the 
railroad must immediately modify its plan to address such a change and 
must submit the change to PHMSA within 90 days in accordance with Sec.  
130.111. Examples of changes in operating conditions or information 
that would substantially affect a railroad's response plan are:
    (1) Establishment of a new railroad route, including an extension 
of an existing railroad route, construction of a new track, or 
obtaining trackage rights over a route not covered by the previously 
approved plan used for trains which require a comprehensive plan in 
accordance with Sec.  130.100(a);
    (2) The name of the Oil Spill Removal Organization;
    (3) Emergency response procedures;
    (4) The qualified individual;
    (5) A change in the NCP or an ACP that has significant impact on 
the equipment appropriate for response activities (e.g., identification 
of ESAs as described by Sec.  130.115);
    (6) A change in the type of oil transported, if the type affects 
the required response resources (e.g., a change from crude oil to 
gasoline); and
    (7) Any other information relating to circumstances that may affect 
full implementation of the plan.
    (f) If PHMSA determines that a change to a response plan does not 
meet the requirements of this part, PHMSA will notify the operator of 
any alleged deficiencies, and provide the railroad with an opportunity 
to respond--including an opportunity for an informal conference--to any 
proposed plan revisions, as well as an opportunity to correct any 
deficiencies.
    (g) A railroad that disagrees with a determination that proposed 
revisions to a plan are deficient may petition PHMSA for 
reconsideration within 30 days from the date of receipt of PHMSA's 
notice. After considering all relevant material presented in writing or 
at an informal conference, PHMSA will notify the railroad of its final 
decision. The railroad must comply with the final decision within 30 
days of issuance, unless PHMSA allows additional time.


Sec.  130.150  Approval and submission procedures.

    (a) Each railroad must submit an electronic copy in an industry 
standard format (e.g., Adobe Acrobat, Microsoft Word, or hypertext 
markup language (HTML)) of the COSRP required by this part. Copies of 
the response plan must be submitted via commercial carrier to: 
Associate Administrator for Hazardous Materials Safety, Pipeline and 
Hazardous Materials Safety Administration, U.S. Department of 
Transportation, East Building, 2nd Floor, 1200 New Jersey Avenue SE, 
Washington, DC 20590-0001. Alternatively, the railroad may arrange for 
secure electronic transfer of the file to PHMSA or email a copy of the 
plan to [email protected].
    (b) If PHMSA determines that a response plan requiring approval 
does not meet all the requirements of this part, PHMSA will notify the 
railroad of any alleged deficiencies and provide the railroad an 
opportunity to respond--including the opportunity for an informal 
conference--to any proposed plan revisions, as well as an opportunity 
to correct any deficiencies.
    (c) A railroad that disagrees with PHMSA's determination that a 
plan contains alleged deficiencies may petition PHMSA for 
reconsideration within 30 days from the date of receipt of PHMSA's 
notice. After considering all relevant material presented in writing or 
at an informal conference, PHMSA will notify the operator of its final 
decision. The railroad must comply with the final decision within 30 
days of issuance, unless PHMSA allows additional time.
    (d) PHMSA will approve the response plan if PHMSA determines that 
the response plan meets all requirements of this part. PHMSA may 
consult with the U.S. Environmental Protection Agency (EPA) or the U.S. 
Coast Guard (USCG), allowing a Federal On-Scene Coordinator (OSC) to 
identify concerns regarding a plan's compliance with the statutory and 
regulatory requirements.
    (e) If PHMSA receives a request from a Federal OSC to review a 
response plan, PHMSA will give a copy of the response plan to the 
Federal OSC provided that any requests for the plan are referred to 
PHMSA. PHMSA may consider Federal OSC comments on: Response techniques; 
protecting fish, wildlife and environmentally sensitive environments; 
and consistency with the ACP. PHMSA remains the approving authority for 
the response plan.
    (f) A railroad may ask for confidential treatment in accordance 
with the procedures in Sec.  105.30 of this chapter.


Sec.  130.155  Implementation of comprehensive oil spill response 
plans.

    If, during transportation of oil subject to this subpart, a 
discharge of oil occurs--into or on the navigable waters; on the 
adjoining shorelines to the navigable waters; or that may affect 
natural resources belonging to, appertaining to, or under the exclusive 
management authority of, the United States--the person transporting the 
oil must implement the plan required by Sec.  130.100 in a manner 
consistent with the National Contingency Plan, 40 CFR part 300, or as 
otherwise directed by the Federal On-Scene Coordinator.

PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS

0
17. The authority citation for part 171 continues to read as follows:

    Authority: 49 U.S.C. 5101-5128, 44701; Public Law 101-410 
section 4; Public Law 104-134, section 31001; Public Law 114-74 
section 4 (28 U.S.C. 2461 note); 49 CFR 1.81 and 1.97.


[[Page 6952]]



0
18. Amend Sec.  171.7 by:
0
 a. In paragraph (h) introductory text, removing ``American Society for 
Testing and Materials'' and adding in its place ``ASTM International''; 
and
0
b. Redesignating paragraphs (h)(45) through (51) as (h)(46) through 
(52) and adding new paragraph (h)(45).
    The addition reads as follows:


Sec.  171.7  Reference material.

* * * * *
    (h) * * *
    (45) ASTM D7900-13\e1\, Standard Test Method for Determination of 
Light Hydrocarbons in Stabilized Crude Oils by Gas Chromatography, 
Approved December 1, 2013, into Sec.  173.121.
* * * * *

PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND 
PACKAGINGS

0
19. The authority citation for part 173 continues to read as follows:

    Authority: 49 U.S.C. 5101-5128, 44701; 49 CFR 1.81, 1.96 and 
1.97.


0
20. Amend Sec.  173.121 by:
0
a. Removing the word ``or'' from the end of paragraph (a)(2)(iv);
0
b. Removing the period at the end of paragraph (a)(2)(v) and adding ``; 
or'' in its place; and
0
c. Adding paragraph (a)(2)(vi).
    The addition reads as follows:


Sec.  173.121  Class 3--Assignment of packing group.

    (a) * * *
    (2) * * *
    (vi) Petroleum products containing known flammable gases--Standard 
Test Method for Determination of Light Hydrocarbons in Stabilized Crude 
Oils by Gas Chromatography (ASTM D7900) (IBR; see Sec.  171.7 of this 
subchapter) where the initial boiling point is the temperature at which 
0.5 weight percent is eluted when determining the boiling range 
distribution.
* * * * *

PART 174--CARRIAGE BY RAIL

0
21. The authority citation for part 174 is revised to read as follows:

    Authority: 49 U.S.C. 5101-5128; 33 U.S.C. 1321; 49 CFR 1.81 and 
1.97.


0
22. Amend Sec.  174.310 by:
0
a. Removing the semicolon at the end of paragraph (a)(1) and adding a 
period in its place;
0
b. Removing the ``h'' at the end of paragraph (a)(2); and
0
c. Adding paragraphs (a)(6) and (7).
    The additions read as follows:


Sec.  174.310  Requirements for the operation of high-hazard flammable 
trains.

    (a) * * *
    (6) Oil spill response plans. The additional requirements for 
petroleum oil transported by rail in accordance with part 130 of of 
this chapter.
    (7) High-hazard flammable train (HHFT) information sharing 
notification for emergency response planning. The additional 
requirements for notification in Sec.  174.312.
* * * * *

0
23. Add Sec.  174.312 to read as follows:


Sec.  174.312  HHFT information sharing notification for emergency 
response planning.

    (a) Prior to operating high-hazard flammable trains (HHFTs) as 
defined in Sec.  171.8 of this subchapter, a railroad must provide the 
information described in paragraphs (b) and (c) to each State Emergency 
Response Commission (SERC), Tribal Emergency Response Commission 
(TERC), or other appropriate State-delegated agency in each State 
through which it operates HHFTs. The SERC, TERC, or other appropriate 
State-delegated agency shall further distribute the information to the 
appropriate local authorities at their request.
    (b) At a minimum, the information railroads are required to provide 
to the relevant State or tribal agencies must include all of the 
following:
    (1) A reasonable estimate of the number of HHFTs that the railroad 
expects to operate each week, through each county within the State or 
through each tribal jurisdiction;
    (2) The routes over which the HHFTs will operate;
    (3) A description of the hazardous materials being transported and 
all applicable emergency response information required by subparts C 
and G of part 172 of this subchapter;
    (4) An HHFT point of contact: At least one point of contact at the 
railroad (including name or email address, title, phone number and 
address) who has knowledge of the railroad's transportation of affected 
trains and who is responsible for serving as the point of contact for 
the SERC, TERC, or other State or tribal agency responsible for 
receiving the information; and
    (5) If a route identified in paragraph (b)(2) of this section is 
additionally subject to the comprehensive spill plan requirements in 
subpart C of part 130 of this chapter, the information must include a 
description of the response zones (including counties and states) and 
the contact information for the qualified individual and alternate, as 
specified under Sec.  130.120(c) of this chapter.
    (c) The HHFT notification must be maintained and transmitted in 
accordance with all of the following requirements:
    (1) Railroads must update the notifications for changes in volume 
greater than 25%.
    (2) Notifications and updates may be transmitted electronically or 
by hard copy.
    (3) If the disclosure includes information that a railroad believes 
is security sensitive or proprietary and exempt from public disclosure, 
the railroad should indicate that in the notification.
    (4) Each point of contact must be clearly identified by name or 
title, and contact role (e.g., qualified individual, HHFT point of 
contact) in association with the telephone number. One point of contact 
may fulfill multiple roles.
    (5) Copies of the railroad's notifications made under this section 
must be made available to the Department of Transportation upon 
request.

    Issued in Washington, DC, on February 12, 2019, under authority 
delegated in 49 CFR part 1.97.
Drue Pearce,
Deputy Administrator, Pipeline and Hazardous Materials Safety 
Administration.
[FR Doc. 2019-02491 Filed 2-27-19; 8:45 am]
 BILLING CODE 4910-60-P