Federal Register, Volume 84 Issue 40 (Thursday, February 28, 2019)

[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.

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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
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Benefits (7%)
Provision ----------------------------------- Costs (7%)
Qualitative Breakeven
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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..
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Total.......................................... ................ Cost-effective 10-Year: $25.2.
if this Annualized: $3.6.
requirement
reduces the
consequences
of oil spills
by 7.8%.
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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
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HM-251B final rule HM-251B NPRM
OSRP statutory requirements COSRP requirements differences
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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.
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B. HHFT Information Sharing Notification for Emergency Response
Planning
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\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).
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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\
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\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.
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\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.
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\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\
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\27\ https://www.phmsa.dot.gov/grants/hazmat/hazardous-materials-grants-program.
---------------------------------------------------------------------------

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.
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\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\
---------------------------------------------------------------------------

\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).
---------------------------------------------------------------------------

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