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460 

49 CFR Ch. I (10–1–23 Edition) 

§ 172.804 

restrictions and a demonstrated need 
to know. When the security plan is up-
dated or revised, all employees respon-
sible for implementing it must be noti-
fied and all copies of the plan must be 
maintained as of the date of the most 
recent revision. 

(d) Each person required to develop 

and implement a security plan in ac-
cordance with this subpart must main-
tain a copy of the security plan (or an 
electronic file thereof) that is acces-
sible at, or through, its principal place 
of business and must make the security 
plan available upon request, at a rea-
sonable time and location, to an au-
thorized official of the Department of 
Transportation or the Department of 
Homeland Security. 

[68 FR 14521, Mar. 25, 2003, as amended at 75 
FR 10989, Mar. 9, 2010] 

§ 172.804

Relationship to other Federal 

requirements. 

To avoid unnecessary duplication of 

security requirements, security plans 
that conform to regulations, standards, 
protocols, or guidelines issued by other 
Federal agencies, international organi-
zations, or industry organizations may 
be used to satisfy the requirements in 
this subpart, provided such security 
plans address the requirements speci-
fied in this subpart. 

§ 172.820

Additional planning require-

ments for transportation by rail. 

(a) 

General. 

Each rail carrier trans-

porting in commerce one or more of 
the following materials is subject to 
the additional safety and security plan-
ning requirements of this section: 

(1) More than 2,268 kg (5,000 lbs.) in a 

single carload of a Division 1.1, 1.2 or 
1.3 explosive; 

(2) A quantity of a material poi-

sonous by inhalation in a single bulk 
packaging; 

(3) A highway route-controlled quan-

tity of a Class 7 (radioactive) material, 
as defined in § 173.403 of this sub-
chapter; 

(4) A high-hazard flammable train 

(HHFT) as defined in § 171.8 of this sub-
chapter; or 

(5) A quantity of UN1972 (Methane, 

refrigerated liquid or Natural gas, re-
frigerated liquid) when transported in a 
rail tank car. 

(b) Not later than 90 days after the 

end of each calendar year, a rail carrier 
must compile commodity data for the 
previous calendar year for the mate-
rials listed in paragraph (a) of this sec-
tion. The following stipulations apply 
to data collected: 

(1) Commodity data must be col-

lected by route, a line segment or se-
ries of line segments as aggregated by 
the rail carrier. Within the rail carrier 
selected route, the commodity data 
must identify the geographic location 
of the route and the total number of 
shipments by UN identification number 
for the materials specified in para-
graph (a) of this section. 

(i) A rail carrier subject to additional 

planning requirements of this section 
based on paragraph (a)(5) of this sec-
tion that has yet to transport UN 1972, 
must factor in planned shipments of 
UN 1972 to the commodity data for use 
in the paragraph (c) route analysis 
prior to initial transport of the mate-
rial. 

(ii) [Reserved] 
(2) A carrier may compile commodity 

data, by UN number, for all Class 7 ma-
terials transported (instead of only 
highway route controlled quantities of 
Class 7 materials) and for all Division 
6.1 materials transported (instead of 
only Division 6.1 poison inhalation haz-
ard materials). 

(c) 

Rail transportation route analysis. 

For each calendar year, a rail carrier 
must analyze the safety and security 
risks for the transportation route(s), 
identified in the commodity data col-
lected as required by paragraph (b) of 
this section. The route analysis must 
be in writing and include the factors 
contained in appendix D to this part, as 
applicable. 

(1) The safety and security risks 

present must be analyzed for the route 
and railroad facilities along the route. 
For purposes of this section, railroad 
facilities are railroad property includ-
ing, but not limited to, classification 
and switching yards, storage facilities, 
and non-private sidings. This term does 
not include an offeror’s facility, pri-
vate track, private siding, or con-
signee’s facility. 

(2) In performing the analysis re-

quired by this paragraph, the rail car-
rier must seek relevant information 

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461 

Pipeline and Haz. Matls. Safety Admin., DOT 

§ 172.820 

from state, local, and tribal officials, 
as appropriate, regarding security risks 
to high-consequence targets along or in 
proximity to the route(s) utilized. If a 
rail carrier is unable to acquire rel-
evant information from state, local, or 
tribal officials, then it must document 
that in its analysis. For purposes of 
this section, a high-consequence target 
means a property, natural resource, lo-
cation, area, or other target designated 
by the Secretary of Homeland Security 
that is a viable terrorist target of na-
tional significance, the attack of which 
by railroad could result in catastrophic 
loss of life, significant damage to na-
tional security or defense capabilities, 
or national economic harm. 

(d) 

Alternative route analysis. 

(1) For 

each calendar year, a rail carrier must 
identify practicable alternative routes 
over which it has authority to operate, 
if an alternative exists, as an alter-
native route for each of the transpor-
tation routes analyzed in accordance 
with paragraph (c) of this section. The 
carrier must perform a safety and secu-
rity risk assessment of the alternative 
routes for comparison to the route 
analysis prescribed in paragraph (c) of 
this section. The alternative route 
analysis must be in writing and include 
the criteria in appendix D of this part. 
When determining practicable alter-
native routes, the rail carrier must 
consider the use of interchange agree-
ments with other rail carriers. The 
written alternative route analysis 
must also consider: 

(i) Safety and security risks pre-

sented by use of the alternative 
route(s); 

(ii) Comparison of the safety and se-

curity risks of the alternative(s) to the 
primary rail transportation route, in-
cluding the risk of a catastrophic re-
lease from a shipment traveling along 
each route; 

(iii) Any remediation or mitigation 

measures implemented on the primary 
or alternative route(s); and 

(iv) Potential economic effects of 

using the alternative route(s), includ-
ing but not limited to the economics of 
the commodity, route, and customer 
relationship. 

(2) In performing the analysis re-

quired by this paragraph, the rail car-
rier should seek relevant information 

from state, local, and tribal officials, 
as appropriate, regarding security risks 
to high-consequence targets along or in 
proximity to the alternative routes. If 
a rail carrier determines that it is not 
appropriate to seek such relevant in-
formation, then it must explain its rea-
soning for that determination in its 
analysis. 

(e) 

Route Selection. 

A carrier must use 

the analysis performed as required by 
paragraphs (c) and (d) of this section to 
select the route to be used in moving 
the materials covered by paragraph (a) 
of this section. The carrier must con-
sider any remediation measures imple-
mented on a route. Using this process, 
the carrier must at least annually re-
view and select the practicable route 
posing the least overall safety and se-
curity risk. The rail carrier must re-
tain in writing all route review and se-
lection decision documentation and re-
strict the distribution, disclosure, and 
availability of information contained 
in the route analysis to covered per-
sons with a need-to-know, as described 
in parts 15 and 1520 of this title. This 
documentation should include, but is 
not limited to, comparative analyses, 
charts, graphics or rail system maps. 

(f) 

Completion of route analysis. 

(1) The 

rail transportation route analysis, al-
ternative route analysis, and route se-
lection process required under para-
graphs (c), (d), and (e) of this section 
must be completed no later than the 
end of the calendar year following the 
year to which the analyses apply. 

(2) The initial analysis and route se-

lection determinations required under 
paragraphs (c), (d), and (e) of this sec-
tion must include a comprehensive re-
view of the entire system. Subsequent 
analyses and route selection deter-
minations required under paragraphs 
(c), (d), and (e) of this section must in-
clude a comprehensive, system-wide re-
view of all operational changes, infra-
structure modifications, traffic adjust-
ments, changes in the nature of high- 
consequence targets located along, or 
in proximity to, the route, and any 
other changes affecting the safety or 
security of the movements of the mate-
rials specified in paragraph (a) of this 
section that were implemented during 
the calendar year. 

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462 

49 CFR Ch. I (10–1–23 Edition) 

§ 172.822 

(3) A rail carrier need not perform a 

rail transportation route analysis, al-
ternative route analysis, or route se-
lection process for any hazardous ma-
terial other than the materials speci-
fied in paragraph (a) of this section. 

(g) 

Rail carrier point of contact on rout-

ing issues. 

Each rail carrier must iden-

tify a point of contact (including the 
name, title, phone number and e-mail 
address) on routing issues involving 
the movement of materials covered by 
this section in its security plan and 
provide this information to: 

(1) State and/or regional Fusion Cen-

ters that have been established to co-
ordinate with state, local and tribal of-
ficials on security issues and which are 
located within the area encompassed 
by the rail carrier’s rail system; and 

(2) State, local, and tribal officials in 

jurisdictions that may be affected by a 
rail carrier’s routing decisions and who 
directly contact the railroad to discuss 
routing decisions. 

(h) 

Storage, delays in transit, and noti-

fication. 

With respect to the materials 

specified in paragraph (a) of this sec-
tion, each rail carrier must ensure the 
safety and security plan it develops 
and implements under this subpart in-
cludes all of the following: 

(1) A procedure under which the rail 

carrier must consult with offerors and 
consignees in order to develop meas-
ures for minimizing, to the extent 
practicable, the duration of any stor-
age of the material incidental to move-
ment (see § 171.8 of this subchapter). 

(2) Measures to prevent unauthorized 

access to the materials during storage 
or delays in transit. 

(3) Measures to mitigate risk to pop-

ulation centers associated with in- 
transit storage. 

(4) Measures to be taken in the event 

of an escalating threat level for mate-
rials stored in transit. 

(5) Procedures for notifying the con-

signee in the event of a significant 
delay during transportation; such noti-
fication must be completed within 48 
hours after the carrier has identified 
the delay and must include a revised 
delivery schedule. A significant delay 
is one that compromises the safety or 
security of the hazardous material or 
delays the shipment beyond its normal 
expected or planned shipping time. No-

tification should be made by a method 
acceptable to both the rail carrier and 
consignee. 

(i) 

Recordkeeping. 

(1) Each rail carrier 

must maintain a copy of the informa-
tion specified in paragraphs (b), (c), (d), 
(e), and (f) of this section (or an elec-
tronic image thereof) that is accessible 
at, or through, its principal place of 
business and must make the record 
available upon request, at a reasonable 
time and location, to an authorized of-
ficial of the Department of Transpor-
tation or the Department of Homeland 
Security. Records must be retained for 
a minimum of two years. 

(2) Each rail carrier must restrict the 

distribution, disclosure, and avail-
ability of information collected or de-
veloped in accordance with paragraphs 
(c), (d), (e), and (f) of this section to 
covered persons with a need-to-know, 
as described in parts 15 and 1520 of this 
title. 

(j) 

Compliance and enforcement. 

If the 

carrier’s route selection documenta-
tion and underlying analyses are found 
to be deficient, the carrier may be re-
quired to revise the analyses or make 
changes in route selection. If DOT finds 
that a chosen route is not the safest 
and most secure practicable route 
available, the FRA Associate Adminis-
trator for Safety, in consultation with 
TSA, may require the use of an alter-
native route. Prior to making such a 
determination, FRA and TSA will con-
sult with the Surface Transportation 
Board (STB) regarding whether the 
contemplated alternative route(s) 
would be economically practicable. 

[73 FR 20771, Apr. 16, 2008, as amended at 73 
FR 72193, Dec. 26, 2008; 76 FR 56314, Sept. 13, 
2011; 80 FR 26746, May 8, 2015; 85 FR 45029, 
July 24, 2020] 

§ 172.822

Limitation on actions by 

states, local governments, and In-
dian tribes. 

A law, order, or other directive of a 

state, political subdivision of a state, 
or an Indian tribe that designates, lim-
its, or prohibits the use of a rail line 
(other than a rail line owned by a 
state, political subdivision of a state, 
or an Indian tribe) for the transpor-
tation of hazardous materials, includ-
ing, but not limited to, the materials