[Federal Register Volume 87, Number 245 (Thursday, December 22, 2022)]
[Notices]
[Pages 78724-78728]
[FR Doc No: 2022-27791]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-96524; File No. SR-NYSEAMER-2022-13]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Order Granting Accelerated Approval of a Proposed Rule
Change To Make Certain Amendments to the Preamble to Rule 9217 and To
Add Rule 2.1210 to the Exchange's Minor Rule Violation Plan for
Equities and Options

December 16, 2022.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on December 8, 2022, NYSE American LLC (``NYSE American''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons and approving the proposal
on an accelerated basis.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes (1) certain amendments to the preamble to
Rule 9217; (2) to add Rule 2.1210 (Registration Requirements) of the
Office Rules to the list of minor rule violations in Rule 9217 for both
the equities and options markets; and (3) certain non-substantive
clarifying changes to the list of eligible equities and options rules.
The proposed rule change is available on the Exchange's website at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item III below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes (1) certain amendments to the preamble to
Rule 9217; (2) to add Rule 2.1210 (Registration Requirements) of the
Office Rules to the list of minor rule violations in Rule 9217 for both
the equities and options markets; and (3) certain non-substantive
clarifying changes to the list of eligible equities and options rules.
Preamble to Rule 9217
    The preamble to current Rule 9217 consists of two paragraphs. The
first provides that any member organization or covered person \4\ may
be subject to a fine under Rule 9216(b) with respect to any rules
listed therein and that the fine amounts and fine levels set forth
therein shall apply to the fines imposed. The second paragraph provides
that nothing in the rule requires the Exchange to impose a fine for a
violation of any rule under the Minor Rule Plan and that if the
Exchange determines that any violation is not minor in nature, the
Exchange may, at its discretion, proceed under the Rule 9000 Series
rather than under Rule 9217.
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    \4\ For purposes of the Exchange's rules, the term member
organization encompasses both equity permit holders (ETP Holders)
and options permit holders (ATP Holders). See Rule 1.1E(n) (ETP
Holder ``means a member organization that has been issued an ETP'');
Rule 900.2NY(5) (ATP Holder refers to a natural person, sole
proprietorship, partnership, corporation, limited liability company
or other organization, in good standing, that has been issued an
ATP, and references to member, member organization and 86 Trinity
Permit Holder as those terms are used in the Rules of the Exchange
are deemed to be references to ATP Holders. ATP Holders have status
as a ``member'' of the Exchange as that term is defined in Section 3
of the Act). Rule 9120(g) defines covered person to mean a member,
principal executive, approved person, registered or non-registered
employee of a member organization or an ATP Holder, or other person
(excluding a member organization) subject to the jurisdiction of the
Exchange.
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    The Exchange proposes to add two additional paragraphs to the
preamble based on the preamble to the version of Rule 9217 adopted by
the Exchange's affiliate NYSE Arca, Inc. (``NYSE Arca'') and to reorder
the paragraphs as subsections (a) through (d), as follows.
    The current first paragraph of the preamble to Rule 9217 would
become new subsection (a). The text would be unchanged except that the
Exchange would add ``, not to exceed $5,000,''

after fine to clarify that a minor rule fine on the Exchange cannot
exceed $5,000.\5\
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    \5\ See Securities Exchange Act Release No. 77241 (February 26,
2016), 81 FR 11311, 11325 n.50 (March 3, 2016) (SR-NYSEMKT-2016-30)
(Notice of Filing and Immediate Effectiveness of Proposed Rule
Change Adopting Investigation, Disciplinary, Sanction, and Other
Procedural Rules Modeled on the Rules of the New York Stock Exchange
LLC and Certain Conforming and Technical Changes) (noting that
proposed NYSE American Rule 9216(b) would retain the Exchange's
maximum fine for minor rule violations of $5,000).
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    The Exchange would add a new subsection (b) that would provide that
Regulatory Staff designated by the Exchange shall have the authority to
impose a fine pursuant to this Rule. Proposed Rule 9217(b) is identical
to NYSE Arca Rule 10.9217(b).
    The Exchange would also add the following text as new subsection
(c) to Rule 9217:

    Any member organization or covered person found in violation of
a minor rule is not required to report such violation on SEC Form BD
or Form U-4 if the sanction imposed consists of a fine not exceeding
$2,500 and the sanctioned member organization or covered person has
not sought an adjudication, including a hearing, or otherwise
exhausted the administrative remedies available with respect to the
matter. Any fine imposed in excess of $2,500 is subject to current
rather than quarterly reporting to the Commission pursuant to Rule
19d-1 under the Act.

    Except for substituting ``member organization or covered person''
for ``person or organization,'' proposed subsection (c) is identical to
NYSE Arca Rule 10.9217(c).
    Finally, the current second paragraph of the preamble to Rule 9217
would become new subsection (d). The text of proposed Rule 9217(d)
would be unchanged.
Addition of Rule 2.1210 to the List of Rules Eligible for a Minor Fine
    The Exchange proposes to add Rule 2.1210 the list of rules in Rule
9217 eligible for disposition pursuant to a minor fine under Rule
9216(b) for its equities and options markets.
    Rule 2.1210, which was adopted in 2018,\6\ sets forth the
requirements for persons engaged in the investment banking or
securities business of a member organization or ETP Holder \7\ to be
registered with the Exchange as a representative or principal in each
category of registration appropriate to his or her functions and
responsibilities as specified in Rule 2.1220.
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    \6\ See Securities Exchange Act Release No. 84388 (October 10,
2018), 83 FR 52287 (October 16, 2018) (SR-NYSEAmer-2018-46) (Notice
of Filing and Immediate Effectiveness of Amendments to Rules
Regarding Qualification, Registration and Continuing Education
Applicable to Member Organizations, Equity Trading Permit Holders,
and American Trading Permit Holders).
    \7\ Since member organizations encompass ETP Holders, the
current formulation in Rule 2.1210 is redundant. See note 4, supra.
The Exchange will submit a proposed rule change to clarify Rule
2.1210. The Exchange also notes that persons engaged in the
investment banking or securities business of a member organization
or ETP Holder would also be covered persons for purposes of the
Exchange's disciplinary rules.
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    The Exchange proposes to add Rule 2.1210 to the list of rules in
Rule 9217 eligible for disposition pursuant to a fine under Rule
9216(b). Specifically, the Exchange proposes to add Rule 2.1210 to the
``List of Equities Rule Violations and Fines Applicable Thereto'' under
current subsection (b), titled ``Record Keeping and Other Minor Rule
Violations,'' and to the ``List of Options Rule Violations and Fines
Applicable Thereto'' under current subsection (ii) titled ``List of
Options Rule Violations and Fines Applicable Thereto.'' The
substantially similar version of Rule 2.1210 was adopted by the
Exchange's affiliate New York Stock Exchange LLC (``NYSE'') in 2018 \8\
and is currently eligible for minor rule fines under the NYSE's version
of Rule 9217.\9\ The Exchange believes that having the ability to issue
a minor rule fine for failing to comply with the registration
requirements of Rule 2.1210 would be consistent with and complement the
Exchange's current ability to issue minor rule fines for other
registration violations (e.g., Rule 2.21E (Employees of ETP Holders
Registration) and Rule 341 (Approval of Registered Employees and
Officers)). The Exchange further believes that the violations of the
registration requirements are particularly suited to minor rule fines
because minor fines provide a reasonable means of addressing violations
that do not rise to the level of requiring formal disciplinary
proceedings, while providing greater flexibility in handling certain
violations.
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    \8\ See Securities Exchange Act Release No. 84336 (October 2,
2018), 83 FR 50727 (October 9, 2018) (SR-NYSE-2018-44) (Notice of
Filing and Immediate Effectiveness of Amendments To Rules Regarding
Qualification, Registration and Continuing Education Applicable to
Members and Member Organizations).
    \9\ See NYSE Rule 9217.
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    The Exchange further proposes to add fine levels for violations of
Rule 2.1210 to both the equities and the options fine schedules. First,
the Exchange would add proposed first, second and third level fines for
violations of Rule 2.1210 to the equities fine schedule of $1,000 for
the first violation, $2,500 for the second violation and $3,500 for the
third and subsequent violations. The proposed fine levels would be the
same as those in the Exchange's current Rule 10.9217(d)(2)(3) for
violations of Rule 2.21E. Second, the Exchange would add proposed
first, second and third level fines for violations of Rule 2.1210 to
the options fine schedule of $1,000 for the first violation, $2,500 for
the second violation and $3,500 for the third and subsequent
violations. The proposed fine levels would be the same as those in the
Exchange's current Rule 10.9217(ii)(11) for violations of Rule 341.
    The Exchange believes that the proposed change would strengthen the
Exchange's ability to carry out its oversight and enforcement
responsibilities in cases where full disciplinary proceedings are
unwarranted in view of the minor nature of the particular violation.
Non-Substantive Clarifying Changes
    The Exchange also proposes the following non-substantive clarifying
changes to the list equities and options rules eligible for a minor
fine.
Equities Rules and Applicable Fines
     Under the heading ``List of Equities Rule Violations and
Fines Applicable Thereto,'' the Exchange would delete ``(a)'', ``(b)'',
``(c),'' ``(d)'' and ``(e)''.
     When the Exchange added the Rule 6800 Series to the list
of minor rule violations, violations of the Rule 6800 Series and the
corresponding fine levels were inadvertently placed under the legacy
minor rules sections of Rule 9217 and omitted from current Rule 9217(b)
(Record Keeping and Other Minor Rule Violations) and (d) (Fine
Schedule).\10\ To address this oversight, the Exchange would amend
current Rules 9217(b) and (d) as follows.
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    \10\ See Securities Exchange Act Release No. 89402 (July 27,
2020), 85 FR 46203 (July 31, 2020) (SR-NYSEAMER-2020-52) (Notice of
Filing and Order Granting Accelerated Approval of Proposed Rule
Change Adding the Consolidated Audit Trail Industry Member
Compliance Rules to the List of Minor Rule Violations in Rule 9217).
Rules 9217(c) and (e) relate to legacy minor rules and associated
fine levels.
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    First, the following bullet would be added under to current Rule
9217(b) immediately after the newly added violations of Rule 2.1210:
``Rule 6800--Series of the Office Rules--Failure to comply with the
Consolidated Audit Trail Compliance Rule requirements.''
    Second, the following bullet would be added at the end of current
Rule 9217(d)(2): ``Failure to comply with the Consolidated Audit Trail
Compliance Rule requirements set forth in the Rule 6800 Series of the
Office Rules.\2\'' Proposed footnote 2 would read ``For failures to
comply with the Consolidated Audit Trail Compliance Rule requirements
of the Rule 6800 Series, the Exchange may impose a

minor rule violation fine of up to $2,500. For more serious violations,
other disciplinary action may be sought.''
    The proposed changes to current Rules 9217(b) and (d) are not
intended to make substantive changes. Violations of the CAT Compliance
Rules are currently eligible for minor rule fines and $2,500 is
currently the maximum eligible fine. The text proposed to be added to
Rules 9217(b) and (d) is identical to text in current Rules 9217(c) and
(e). Proposed footnote 2 is identical to text at the end of current
Rule 9217(e) (Legacy Minor Rules Fine Schedule) as well as that adopted
by the Exchange's affiliates NYSE and NYSE Chicago, Inc.\11\ As
discussed below, the same footnote would be added to the options list
of minor rule violations as new footnote 4.
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    \11\ See NYSE Rule 9217(d) (``For failures to comply with the
Consolidated Audit Trail Compliance Rule requirements of the Rule
6800 Series, the Exchange may impose a minor rule violation fine of
up to $2,500. For more serious violations, other disciplinary action
may be sought.''); NYSE Chicago 10.9217(f), n. ** (same).
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     Under the first paragraph in current Rule 9217(d) (Fine
Schedule), the Exchange proposes to add the clause ``, with the
exception of fines pursuant to the Rule 6800 Series'' to the first
sentence. As proposed, the sentence would read ``These fines are
intended to apply to minor violations, with the exception of fines
pursuant to the Rule 6800 Series.'' The proposed change would render
the sentence in current subsection (d) identical to the sentence at the
end of current subsection (c). In addition to making the Exchange's
rules more internally consistent and more like those of its
affiliates,\12\ the proposed change would clarify that minor rule fines
for violations of the Rule 6800 Series cannot exceed $2,500. As
discussed below, the Exchange would add the same clause to the same
sentence that appears in the options rules section.
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    \12\ See, e.g., NYSE Rule 9217.
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     The Exchange proposes the following additional change to
the equities fine schedule set forth in current Rule 9217(d):
    [cir] The number ``1'' would be deleted from the first heading
``Trading Rule Violations Fine Levels.'' Underneath that heading,
numbering would be replaced with bullets to conform with current
subsections (a), (b) and (c) of Rule 9217 governing equities rules
violations.
    [cir] The number ``2'' would be deleted from the second heading
``Record Keeping and Other Minor Rule Violations Fine Levels.''
Underneath that heading, the Exchange would similarly replace numbering
with bullets to conform with current subsections (a), (b) and (c) of
Rule 9217 governing equities rules violations.
Options Rules and Applicable Fines
     Under the heading ``List of Options Rule Violations and
Fines Applicable Thereto,'' the Exchange would delete ``(i),'' ``(ii)''
and ``(iii)''. The Exchange would also replace all numbering and
lettering with bullets in the list of eligible options rules and
recommended fine levels.
     Current subsection (i) would be renamed ``Trading Rule
Violations and Options Floor Decorum'' to more accurately reflect the
eligible listed rules.
     Under current subsection (ii) (Minor Rule Plan: Record
Keeping and Other Minor Rule Violations), the Exchange would add a new
footnote 4 at the end of current item 13 that relates to failure to
comply with the Consolidated Audit Trail Compliance Rule requirements
set forth in the Rule 6800 Series of the Office Rules. Proposed
footnote 4 would be identical to footnote 2 described above that the
Exchange would add to Rule 9217(d)(2) in the equities rules section.
     Similar to the change described above for the equities
list, the Exchange would add the clause ``, with the exception of fines
pursuant to the Rule 6800 Series'' to the first sentence in the second
paragraph under current subsection (iii) (Minor Rule Plan: Recommended
Fine Schedule).
     The Exchange would move footnote 1 that appears in the
Options Floor Decorum and Minor Trading Rule Violations fine levels
under current subsection (iii) to the end of the options list rule with
the other footnotes.
     The Exchange would delete ``(ii)'' before ``Record Keeping
and Other Minor Rule Violations.''
     Finally, the Exchange would add a reference to proposed
footnote 4 at the end of current item 13 under ``Record Keeping and
Other Minor Rule Violations.'' In addition, ``Up to $2,500.00'' would
be deleted from the chart as redundant of proposed footnote 4.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\13\ in general, and furthers the objectives of Section
6(b)(5),\14\ in particular, because it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, to
remove impediments to, and perfect the mechanism of, a free and open
market and a national market system and, in general, to protect
investors and the public interest.
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    \13\ 15 U.S.C. 78f(b).
    \14\ 15 U.S.C. 78f(b)(5).
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Preamble to Rule 9217
    The Exchange believes that harmonizing the preamble to Rule 9217
with that of its affiliates would remove impediments to and perfect the
mechanism of a free and open market and a national market system by a
providing greater harmonization between Exchange rules and those of its
affiliates in connection with minor rule fines, thereby fostering
cooperation and coordination with persons engaged in facilitating
transactions in securities and will remove impediments to and perfect
the mechanism of a free and open market and a national market system.
Moreover, by adopting the same applicable minor rule standards for
violations of those standards as its affiliates, the Exchange would
promote regulatory consistency.
Addition of Rule 2.1210 to the List of Eligible Rules
    Minor rule fines provide a meaningful sanction for minor or
technical violations of rules when the conduct at issue does not
warrant stronger, immediately reportable disciplinary sanctions. The
inclusion of a rule in Rule 9217 does not minimize the importance of
compliance with the rule, nor does it preclude the Exchange from
choosing to pursue violations of eligible rules through formal
disciplinary action if the nature of the violations or prior
disciplinary history warrants more significant sanctions. Rather, the
Exchange believes that the proposed rule change will strengthen the
Exchange's ability to carry out its oversight and enforcement
responsibilities in cases where full disciplinary proceedings are
unwarranted in view of the minor nature of the particular violation.
The option to impose a minor rule sanction gives the Exchange
additional flexibility to administer its enforcement program in the
most effective and efficient manner while still fully meeting the
Exchange's remedial objectives in addressing violative conduct. The
proposed rule change is thus designed to prevent fraudulent and
manipulative acts and practices because it will provide the Exchange
the ability to issue a minor rule fine for violations of the

registration requirements set forth in Rule 2.1210 where a more formal
disciplinary action may not be warranted or appropriate. In addition,
the Exchange believes that adding rules based on the rules of its
affiliate to the Exchange's minor rule plan would promote fairness and
consistency in the marketplace by permitting the Exchange to issue a
minor rule fine for violations of substantially similar rules that are
already eligible for minor rule treatment, thereby harmonizing rules
eligible for minor rule fines across affiliated exchanges.
    The Exchange further believes that the proposed amendments to Rule
9217 are consistent with Section 6(b)(6) of the Act,\15\ which provides
that members and persons associated with members shall be appropriately
disciplined for violation of the provisions of the rules of the Act,
the rules and regulations thereunder, and the rules of the exchange, by
expulsion, suspension, limitation of activities, functions, and
operations, fine, censure, being suspended or barred from being
associated with a member, or any other fitting sanction. As noted, the
proposed rule change would provide the Exchange ability to sanction
minor or technical violations of proposed Rule 2.1210 pursuant to the
Exchange's rules. Finally, the Exchange also believes that the proposed
changes are designed to provide a fair procedure for the disciplining
of members and persons associated with members, consistent with
Sections 6(b)(7) and 6(d) of the Act.\16\ Rule 9217 does not preclude a
member organization or covered person from contesting an alleged
violation and receiving a hearing on the matter with procedural rights
through a litigated disciplinary proceeding.
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    \15\ 15 U.S.C. 78f(b)(6).
    \16\ 15 U.S.C. 78f(b)(7) and 78f(d).
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Non-Substantive Clarifying Changes
    The Exchange believes that the proposed reorganization, renaming
and replacement of numbers with bullets in Rule 9217 and related
changes described above would add clarity and consistency to the
Exchange's rules. The Exchange believes that adding such clarity would
also be consistent with the public interest and the protection of
investors because investors will not be harmed and in fact would
benefit from increased clarity, thereby reducing potential confusion.
In addition, the Exchange believes that moving text to achieve internal
consistency and address inadvertent errors relating to violations of
the CAT Compliance Rules also adds clarity to the Exchange's rules.
Finally, the Exchange believes that harmonizing the preamble to Rule
9217 with that of its affiliates would promote fairness and consistency
in the marketplace by eliminating differences and harmonizing language
related to minor rule treatment of similar rule violations across
affiliates. The proposed change is not intended to make any substantive
change to the applicability of minor rule fines to violations of the
CAT Compliance Rules or the amount of those fines.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed change is not
designed to address any competitive issue but rather to update the
Exchange's rules to strengthen the Exchange's ability to carry out its
oversight and enforcement functions and deter potential violative
conduct and to align the Exchange's rule setting forth violations
eligible for a minor rule fine more closely with that of its
affiliates.

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

    No written comments were solicited or received with respect to the
proposed rule change.

III. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NYSEAMER-2022-13 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAMER-2022-13. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEAMER-2022-13 and should be submitted
on or before January 12, 2023.

IV. Commission's Findings and Order Granting Accelerated Approval of
Proposed Rule Change

    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange.\17\ In
particular, the Commission finds that the proposed rule change is
consistent with Section 6(b)(5) of the Act,\18\ which requires that the
rules of an exchange be designed to promote just and equitable
principles of trade, to remove impediments and to perfect the mechanism
of a free and open market and a national market system, and, in
general, to protect investors and the public interest. The Commission
also believes that the proposal is consistent with Sections 6(b)(1) and
6(b)(6) of the Act \19\ which require that the rules of an exchange
enforce compliance with, and provide appropriate discipline for,
violations of Commission and Exchange rules. Finally, the Commission
finds that the

proposal is consistent with the public interest, the protection of
investors, or otherwise in furtherance of the purposes of the Act, as
required by Rule 19d-1(c)(2) under the Act,\20\ which governs minor
rule violation plans.
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    \17\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \18\ 15 U.S.C. 78f(b)(5).
    \19\ 15 U.S.C. 78f(b)(1) and 78f(b)(6).
    \20\ 17 CFR 240.19d-1(c)(2).
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    As stated above, the Exchange proposes to (1) make certain
revisions to the preamble to Rule 9217 (Violations Appropriate for
Disposition Under Rule 9216(b)); (2) add Rule 2.1210 (Registration
Requirements) to the list of minor rule violations in Rule 9217 and
associated fine levels for its equities and options markets; and (3)
make certain non-substantive clarifying changes to Rule 9217.
    The Commission believes that Rules 9216(b) and 9217 are an
effective way to discipline a member for a minor violation of a rule.
More specifically, the Commission believes that the proposed revisions
to the preamble of Rule 9217 are consistent with the Act because they
would add clarity to the Exchange's rules and may help the Exchange's
ability to better carry out its oversight and enforcement
responsibilities. The proposed revisions to the preamble of Rule 9217
also would align Rule 9217 with the rules of the Exchange's affiliates.
The Commission believes that the proposed addition of Rule 2.1210
(Registration Requirements) to the Exchange's list of current minor
rule violations provides a reasonable means of addressing violations
that do not rise to the level of requiring formal disciplinary
proceedings, while providing greater flexibility in handling certain
violations. Furthermore, the Commission believes that amending the
associated fine schedule is consistent with the Act because it may help
the Exchange's ability to better carry out its oversight and
enforcement responsibilities by levying appropriate fines for minor
violations of the rules included in Rule 9217, including minor
violations of Rule 2.1210. Finally, the Commission believes that the
Exchange's proposal to make certain non-substantive changes to Rule
9217 are consistent with the Act because these changes will add clarity
to the Exchange's rules.
    In approving the proposed rule change, the Commission in no way
minimizes the importance of compliance with the Exchange's rules and
all other rules subject to fines under Rules 9216(b) and 9217. The
Commission believes that a violation of any self-regulatory
organization's rules, as well as Commission rules, is a serious matter.
However, Rules 9216(b) and 9217 provide a reasonable means of
addressing rule violations that may not rise to the level of requiring
formal disciplinary proceedings, while providing greater flexibility in
handling certain violations. The Commission expects that the Exchange
will continue to conduct surveillance with due diligence and make a
determination based on its findings, on a case-by-case basis, whether a
fine of more or less than the recommended amount is appropriate for a
violation under Rules 9216(b) and 9217 or whether a violation requires
formal disciplinary action.
    For the same reasons as discussed above, the Commission finds good
cause, pursuant to Section 19(b)(2) of the Act,\21\ for approving the
proposed rule change prior to the thirtieth day after the date of
publication of the notice of the filing thereof in the Federal
Register. The proposal will assist the Exchange in preventing
fraudulent and manipulative practices by allowing the Exchange to
adequately enforce compliance with, and provide appropriate discipline
for, violations of Exchange rules. Moreover, the proposed changes raise
no new or novel issues. Accordingly, the Commission believes that a
full notice-and-comment period is not necessary before approving the
proposal.
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    \21\ 15 U.S.C. 78s(b)(2).
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V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\22\ and Rule 19d-1(c)(2) thereunder,\23\ that the proposed rule change
(SR-NYSEAMER-2022-13) be, and hereby is, approved on an accelerated
basis.
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    \22\ 15 U.S.C. 78s(b)(2).
    \23\ 17 CFR 240.19d-1(c)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
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    \24\ 17 CFR 200.30-3(a)(12).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2022-27791 Filed 12-21-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 121 (Monday, June 24, 2019)]
[Notices]
[Pages 29532-29533]
[FR Doc No: 2019-13313]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2019-0252]

Collection of Information Under Review by Office of Management
and Budget; OMB Control Number: 1625-0009

AGENCY: Coast Guard, DHS.

ACTION: Thirty-day notice requesting comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 the
U.S. Coast Guard is forwarding an Information Collection Request (ICR),
abstracted below, to the Office of Management and Budget (OMB), Office
of Information and Regulatory Affairs (OIRA), requesting approval for
reinstatement, without change, of the following collection of
information: 1625-0009, Oil Record Book for Ships. Our ICR describes
the information we seek to collect from the public. Review and comments
by OIRA ensure we only impose paperwork burdens commensurate with our
performance of duties.

DATES: Comments must reach the Coast Guard and OIRA on or before July
24, 2019.

ADDRESSES: You may submit comments identified by Coast Guard docket
number [USCG-2019-0252] to the Coast Guard using the Federal
eRulemaking Portal at https://www.regulations.gov. Alternatively, you
may submit comments to OIRA using one of the following means:
    (1) Email<EMAIL_ADDRESS>    (2) Mail: OIRA, 725 17th Street NW, Washington, DC 20503, attention
Desk Officer for the Coast Guard.
    A copy of the ICR is available through the docket on the internet
at https://www.regulations.gov. Additionally, copies are available
from: COMMANDANT (CG-612), ATTN: PAPERWORK REDUCTION ACT MANAGER, U.S.
COAST GUARD, 2703 MARTIN LUTHER KING JR AVE SE, STOP 7710, WASHINGTON,
DC 20593-7710.

FOR FURTHER INFORMATION CONTACT: Mr. Anthony Smith, Office of
Information Management, telephone<PHONE_NUMBER>, or fax<PHONE_NUMBER>,
for questions on these documents.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    This notice relies on the authority of the Paperwork Reduction Act
of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to
OIRA seeking the approval, extension, or renewal of a Coast Guard
collection of information (Collection). The ICR contains information
describing the Collection's purpose, the Collection's likely burden on
the affected public, an explanation of the necessity of the Collection,
and other important information describing the Collection. There is one
ICR for each Collection. The Coast Guard invites comments on whether
this ICR should be granted based on the Collection being necessary for
the proper performance of Departmental functions. In particular, the
Coast Guard would appreciate comments addressing: (1) The practical
utility of the Collection; (2) the accuracy of the estimated burden of
the Collection; (3) ways to enhance the quality, utility, and clarity
of information subject to the Collection; and (4) ways to minimize the
burden of the Collection on respondents, including the use of automated
collection techniques or other forms of information technology.
Consistent with the requirements of Executive Order 13771, Reducing
Regulation and Controlling Regulatory Costs, and Executive Order 13777,
Enforcing the Regulatory Reform Agenda, the Coast Guard is also
requesting comments on the extent to which this request for information
could be modified to reduce the burden on respondents. These comments
will help OIRA determine whether to approve the ICR referred to in this
notice.
    We encourage you to respond to this request by submitting comments
and related materials. Comments to Coast Guard or OIRA must contain the
OMB Control Number of the ICR. They must also contain the docket number
of this request, [USCG-2019-0252], and must be received by July 24,
2019.

Submitting Comments

    We encourage you to submit comments through the Federal eRulemaking
Portal at https://www.regulations.gov. If your material cannot be
submitted using https://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions. Documents mentioned in this notice, and all public
comments, are in our online docket at https://www.regulations.gov and
can be viewed by following that website's instructions. Additionally,
if you go to the online docket and sign up for email alerts, you will
be notified when comments are posted.
    We accept anonymous comments. All comments received will be posted
without change to https://www.regulations.gov and will include any
personal information you have provided. For more about privacy and the
docket, you may review a Privacy Act notice regarding the Federal
Docket Management System in the March 24, 2005, issue of the Federal
Register (70 FR 15086).
    OIRA posts its decisions on ICRs online at https://www.reginfo.gov/public/do/PRAMain after the comment period for each ICR. An OMB notice
of Action on each ICR will become available via a hyperlink in the OMB
Control Number: 1625-0009.

Previous Request for Comments

    This request provides a 30-day comment period required by OIRA. The
Coast Guard published the 60-day notice (84 FR 13947, April 8, 2019)
required by 44 U.S.C. 3506(c)(2). That notice elicited no comments.
Accordingly, no changes have been made to the Collections.

Information Collection Request

    Title: Oil Record Book for Ships.
    OMB Control Number: 1625-0009.
    Summary: The Act to Prevent Pollution from Ships (APPS) and the
International Convention for Prevention of Pollution from Ships, 1973,
as modified by the 1978 Protocol relating thereto (MARPOL 73/78),
requires that information about oil cargo or fuel operations be entered
into an Oil Record Book (CG-4602A). The requirement is contained in 33
CFR 151.25.
    Need: This information is used to verify sightings of actual
violations of the APPS to determine the level of compliance with MARPOL
73/78 and as a means of reinforcing the discharge provisions.
    Forms: CG-4602A, Oil Record Book for Ships.
    Respondents: Operators of vessels.
    Frequency: On occasion.
    Hour Burden Estimate: The estimated burden has decreased from
28,536 hours to 15,741 hours a year, due to a decrease in the estimated
annual number of responses.

    Authority:  The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended.

    Dated: June 18, 2019.
James D. Roppel,
U.S. Coast Guard, Chief, Office of Information Management.
[FR Doc. 2019-13313 Filed 6-21-19; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register: September 12, 2008 (Volume 73, Number 178)]
[Notices]
[Page 53069-53070]
[DOCID:fr12se08-121]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. PE-2008-41]

Petition for Exemption; Summary of Petition Received

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of petition for exemption received.

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SUMMARY: This notice contains a summary of a petition seeking relief
from specified requirements of 14 CFR. The purpose of this notice is to
improve the public's awareness of, and participation in, this aspect of
FAA's regulatory activities. Neither publication of this notice nor the
inclusion or omission of information in the summary is intended to
affect the legal status of the petition or its final disposition.

DATES: Comments on this petition must identify the petition docket
number involved and must be received on or before October 2, 2008.

ADDRESSES: You may send comments identified by Docket Number FAA-2008-
0737 using any of the following methods:
     Government-wide rulemaking Web site: Go to http://
www.regulations.gov and follow the instructions for sending your
comments electronically.
     Mail: Send comments to the Docket Management Facility;
U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590.
     Fax: Fax comments to the Docket Management Facility at
202-493-2251.
     Hand Delivery: Bring comments to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    Privacy: We will post all comments we receive, without change, to
http://www.regulations.gov, including any personal information you
provide. Using the search function of our docket Web site, anyone can
find and read the comments received into any of our dockets, including
the name of the individual sending the comment (or signing the comment
for an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78).
    Docket: To read background documents or comments received, go to

http://www.regulations.gov at any time or to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Frances Shaver,<PHONE_NUMBER>, or
Katrina Holiday,<PHONE_NUMBER>, Office of Rulemaking, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591.
    This notice is published pursuant to 14 CFR 11.85.

    Issued in Washington, DC, on September 8, 2008.
Pamela Hamilton-Powell,
Director, Office of Rulemaking.

Petition for Exemption

    Docket No.: FAA-2008-0737.
    Petitioner: Light Aircraft Manufacturers Association.
    Section of 14 CFR Affected: Sec.  21.190(c)(2).
    Description of Relief Sought: The petitioner seeks relief to permit
manual feathering of a propeller in an aircraft certificated as a
Special or Experimental Light Sport Aircraft-Glider.

[FR Doc. E8-21080 Filed 9-11-08; 8:45 am]

BILLING CODE 4910-13-P


Class II  -  11 Response x 11 Hours per response = 121 annual burden hours x $73.89 = $8,940.69 annual burden cost.
	Class III  -  55 response x 9.5 hours per response = 522.5 annual burden hours x $73.89 = $386,075.25 annual burden cost.
	Total Hours for Plan Maintenance = 783.5 Annual Burden Hours x $73.89 per hour = $57,892.81 annual burden cost.
Notifications to Emergency Response Commissions
	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.
Class I Railroads.
	PHMSA expects 7 responses (30 hours per response) resulting in 210 burden hours for SERC plans.  PHMSA expects 7 responses (30 hours per response) resulting in 210 burden hours for TEPC  plans.  PHMSA expects 7 responses (15 hours per response) resulting in 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.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $38,792.25.
Class II Railroads.
	PHMSA expects 11 responses (30 hours per response) resulting in 330 burden hours for SERC plans.  PHMSA expects 11 responses (30 hours per response) resulting in 330 burden hours for TERC plans.  PHMSA expects 11 responses (15 hours per response) resulting in 115 burden hours for other state delegated agency plans.  This will result in an initial one year total burden of 775 hours for Class II railroads.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $57,264.75.
Class III Railroads.
	PHMSA expects 160 responses (30 hours per response) resulting in 4,800 burden hours for SERC plans.  PHMSA expects 160 responses (30 hours per response) resulting in 4,800 burden hours for TERC plans.  PHMSA expects 160 responses (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.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $886,680.00.
Initial plan creation (year one- one time)
Class I  -  7 responses x 30 hours for SERC plan = 210 burden hours
	   7 responses x 30 hours for TERC plan =210 burden hours
	   7 responses x 15 hours for other state delegated agency plan = 105 burden hours
Class II  -  11 responses x 30 hours for SERC plan = 330 burden hours
	     11 responses x 30 hours for TERC plan = 330 burden hours
	     11 responses x 15 hours for other state delegated agency plan = 115 burden hours
Class III  -  160 responses x 30 hours for SERC plan = 4,800 burden hours
	      160 responses x 30 hours for TERC plan = 4,800 burden hours
	      160 responses x 15 hours for other state delegated agency plan = 2,400 burden hours
	Total initial year burden = 13,300 burden hours/ $982,737.00 burden cost.
	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.
Class I Railroads.
	PHMSA expects 7 responses (12 hours per response) resulting in 84 burden hours for SERC plans.  PHMSA expects 7 responses (12 hours per response) resulting in 84 burden hours for TERC plans.  PHMSA expects 7 responses (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.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $15,516.90.
Class II Railroads.
	PHMSA expects 11 responses (12 hours per response) resulting in 132 burden hours for SERC plans.  PHMSA expects 11 responses (12 hours per response) resulting in 132 burden hours for TERC plans.  PHMSA expects 11 responses (6 hours per response) resulting in 66 burden hours for other state delegated agency plans.  This will result in an initial one year total burden of 775 hours for Class II railroads.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $57,264.75.
Class III Railroads.
	PHMSA expects 160 responses (12 hours per response) resulting in 1,920 burden hours for SERC plans.  PHMSA expects 160 responses (12 hours per response) resulting in 1,920 burden hours for TERC plans.  PHMSA expects 160 responses (6 hours per response) resulting in 960 burden hours for other state delegated agency plans.  This will result in an initial one year total burden of 4,800 hours for Class III railroads.  This task will be performed by an operations manager at an hourly wage of $73.89 resulting in an annual burden cost of $35,240.00.
Annual Maintenance
Class I  -  7 responses x 12 hours for SERC plan = 84 burden hours
	   7 responses x 12 hours for TERC plan =84 burden hours
	   7 responses x 6 hours for other state delegated agency plan = 42 burden hours
Class II  -  11 responses x 12 hours for SERC plan = 132 burden hours
	    11 responses x 12 hours for TERC plan =132 burden hours
	    11 responses x 6 hours for other state delegated agency plan = 66 burden hours
Class III  -  160 responses x 12 hours for SERC plan = 1,920 burden hours
	      160 responses x 12 hours for TERC plan = 1,920 burden hours
	      160 responses x 6 hours for other state delegated agency plan = 960 burden hours
Total annual maintenance burden 5,785/ $427,021.65
Total Additional Burden
	OMB No. 2137-0682:  Flammable Hazardous Materials by Rail Transportation
	Additional One Year Annual Burden:
	Additional Annual Number of Respondents: 			178
	Additional Annual Responses: 				1,127
	Additional Annual Burden Hours: 				21,435.5
	Additional Annual Burden Cost: 				$1,583,437.09
	Additional Subsequent Year Burden:
	Additional Annual Number of Respondents: 			593
	Additional Annual Responses: 				593
	Additional Annual Burden Hours: 				8,135.5
	Additional Annual Burden Cost: 				$595,700.09
	Please direct your requests for a copy of the information collection to T. Glenn Foster or Steven Andrews, U.S. Department of Transportation, Pipeline & Hazardous Materials Safety Administration (PHMSA), East Building, Office of Hazardous Materials Standards (PHH-12), 1200 New Jersey Avenue Southeast Washington DC, 20590, Telephone<PHONE_NUMBER>.

G.	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 Regulations (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 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.  A "Draft Environmental Assessment" (Draft EA) and a draft "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 certain hazardous materials 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

	A NEPA Environmental Checklist is available in the docket PHMSA-2014-0105 (HM-251B).

H.	Privacy Act
	In accordance with 5 U.S.C. 553(c), DOT solicits comment 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.  The electronic form of these written communications and comments can be searched by the name of the individual submitting the document (or signing the document, if submitted on behalf of an association, business, labor union, etc.).  The DOT's complete Privacy Act Statement is available at http://www.dot.gov/privacy.

I.	Statutory/Legal Authority for this Rulemaking
      This NPRM is published under the authority of 33 U.S.C. 1321, The Federal Water Pollution Control Act (FWPCA), 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 of Transportation delegated the authority to promulgate regulations to PHMSA and provides the FRA with approval authority for railroad ORSPs.  A Memorandum of Understanding (MOU) between the DOT and EPA further establishes jurisdictional guidelines for implementing OPA (36 FR 24080). The proposed changes to part 130 in this rule address minimizing the impact of a discharge of oils into the navigable waters or adjoining shorelines.
      This NPRM is also published under the authority of 49 U.S.C. 5103(b), The Federal hazardous materials transportation law, 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 proposed changes in this rule to §§ 171.7, 173.121, and 174.312 address safety and security vulnerabilities regarding the transportation of hazardous materials in commerce.  The requirements proposed in § 174.312 are also mandated by Public Law 114-94, commonly known as the Fixing America's Surface Transportation Act, or the "FAST" Act.
      The Federal railroad safety laws, at 49 U.S.C. 20103, provide the Secretary of Transportation with authority over all areas of railroad transportation safety and the Secretary has delegated this authority to the FRA.  See 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.

J.	Regulation Identifier Number (RIN)
      A regulation identifier number (RIN) is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations.  The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year.  The RIN contained in the heading of this document can be used to cross-reference this action with the Unified Agenda.

K.	Executive Order 13211
      Executive Order 13211 ("Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use"), published May 22, 2001 [66 FR 28355], requires Federal agencies to prepare a Statement of Energy Effects for any "significant energy action."  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 Section VIII, Subsection G ("Environmental Assessment") for a more thorough discussion of environmental impacts 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.

   A. IX.
List of Subjects
49 CFR Part 130
	Oil Spill Prevention and Response.
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, Rail carriers, Reporting and recordkeeping requirements, Security measures.

The Proposed Rule
In consideration of the foregoing, we propose to amend title 49, chapter I, as follows:
                     PART 130  --  OIL SPILL RESPONSE PLANS
1.	In part 130, revise the Table of Contents to read as follows:
Subpart A  -  Applicability and General Requirements
130.1   Purpose.
130.2   Scope.
130.3   General requirements.
130.5   Definitions.
130.11   Communication requirements.
130.21   Packaging requirements.
Subpart B  -  Basic Spill Response Plans
130.31   Basic spill response plans.
130.33   Basic response plan implementation.
Subpart C  -  Comprehensive Oil Spill Response Plans
130.101   Applicability for comprehensive plans.
130.102   General requirements for comprehensive plans.
130.103   National Contingency Plan (NCP) and Area Contingency Plan (ACP) compliance for comprehensive plans.
130.104   Information summary for comprehensive plans.
130.105   Notification procedures and contacts for comprehensive plans.
130.106   Response and mitigation activities for comprehensive plans.
130.107   Training procedures for comprehensive plans.
130.108   Equipment testing and drill procedures for comprehensive plans.
130.109    Recordkeeping and plan update procedures for comprehensive plans.
130.111   Submission and approval procedures for comprehensive plans.
130.112   Response plan implementation for comprehensive plans.

2.	The authority citation for part 130 continues to read as follows:
		Authority: 33 U.S.C 1321; 49 CFR 1.81 and 1.97.

3.	In part 130, the subpart A heading would be added immediately before § 130.1 to read as follows:

Subpart A  --  Applicability and General Requirements
*	*	*	*	*

4.	In § 130.2:
      	a. Amend paragraph (d) to replace "§ 130.31(b)" with "subpart C" to read as follows:

      § 130.2   Scope.
      *	*	*	*	*
	(d) The requirements in subpart C of this part do not apply to mobile marine transportation-related facilities (see 33 CFR part 154).

5.	In § 130.5:
      a. The introductory text is revised to redesignate the definition for "animal fat" in alphabetical order.
      b. The definitions for "Adverse Weather," "Environmentally Sensitive or Significant Areas," "Maximum Potential Discharge," "Oil Spill Response Organization," "On-scene Coordinator (OSC)," "Response activities," "Response Plan," and "Response Zone" are added in alphabetical order.
      c. The definitions for "Liquid," "Person," "Petroleum Oil," and "Worst-case discharge" are revised.
      The additions and revisions read as follows:

§ 130.5   Definitions.
	In this subchapter:
      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.
      Animal fat means a non-petroleum oil, fat, or grease derived from animals, not specifically identified elsewhere in this part.
*	*	*	*	*
	Environmentally sensitive or significant areas means areas that may be identified by their legal designation or by evaluations of Area Committees (for planning) or members of the Federal On-Scene Coordinator's spill response structure (during responses). These areas may include wetlands, National and State parks, critical habitats for endangered or threatened species, wilderness and natural resource areas, marine sanctuaries and estuarine reserves, conservation areas, preserves, wildlife areas, wildlife refuges, wild and scenic rivers, recreational areas, national forests, Federal and State lands that are research national areas, heritage program areas, land trust areas, and historical and archaeological sites and parks. These areas may also include unique habitats such as aquaculture sites and agricultural surface water intakes, bird nesting areas, critical biological resource areas, designated migratory routes, and designated seasonal habitats.
*	*	*	*	*
	Liquid means a material that has a vertical flow of over two inches (50 mm) within a three-minute period, or a material having one gram or more liquid separation, when determined in accordance with the procedures specified in ASTM D 4359-84, "Standard Test Method for Determining Whether a Material is a Liquid or a Solid," 1990 edition, which is incorporated by reference.
Note: This incorporation by reference has been approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. A copy may be obtained from the American Society for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103. Copies may be inspected at the Office of Hazardous Materials Safety, Standards and Rulemaking Division, DOT headquarters East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
*	*	*	*	*
	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 response 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 subpart D of the National Contingency Plan (40 CFR part 300).
*	*	*	*	*
      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 plan meeting requirements of subpart B or a comprehensive plan meeting requirements of subpart C. For comprehensive plans 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 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 worst-case discharge or to mitigate the substantial threat of such a discharge for a comprehensive plan meeting requirements of subpart C.
*	*	*	*	*
      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 train consist is the greater of: (1) 300,000 gallons of liquid petroleum oil; or (2) 15% 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.
*	*	*	*	*

6.	In part 130, add a new subpart B title immediately before § 130.31 to read as follows:

Subpart B  --  Basic Spill Response Plans
*	*	*	*	*

7.	In § 130.31:
            a.             	a.	Revise the section title.
            b.             	b.	Revise paragraph (a) introductory text and paragraph (b).
            c.             	c.	Remove paragraphs (b)(1) to (b)(6).
            The revisions and removals read as follows:

§ 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 person with a comprehensive plan in conformance with the requirements of subpart C of this part 130 is not required to also have a basic spill prevention plan.
*	*	*	*	*

7.	Revise § 130.33 title to read as follows:

§130.33   Basic response plan implementation.
*	*	*	*	*

8.	In part 130, new subpart C would be added immediately after § 130.33 to read as follows:

Subpart C  --  Comprehensive Oil Spill Response Plans
§ 130.101   Applicability for comprehensive plans.
      (a) Any railroad which transports any liquid petroleum or other non-petroleum oil subject to this part in a quantity greater than 42,000 gallons (1,000 barrels) per packaging must have a current comprehensive written plan meeting the requirements of this subpart; or
      (b) Any railroad which transports 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 must have a current comprehensive written plan meeting the requirements of this subpart.
       Tank cars carrying mixtures or solutions of petroleum oil not meeting the criteria for Class 3 flammable or combustible material in § 173.120 of part 173, or containing residue, are not required to be included when determining the number of tank cars transporting liquid petroleum oil in paragraph (b) of this section.
      (c) The requirements of this subpart do not apply if the oil being transported is otherwise excepted per § 130.2(c).
      (d) A railroad required to develop a response plan in accordance with this section may not transport oil (including handling and storage incidental to transport) unless --
	(1) The response plan is submitted, reviewed, and approved as required by § 130.111 of this part or in conformance with paragraph (e) of this section; and
	(2) The railroad is operating in compliance with the response plan.
      (e) A railroad required to develop a response plan in accordance with this section may continue to transport oil without an approval from FRA provided all of the following criteria are met:
      (1) The railroad submitted a plan in accordance with the requirements of § 130.111(a);
      (2) The submitted plan includes the certification in § 130.106(a)(1);
      (3) The railroad is operating in compliance with the submitted plan; and
      (4) FRA has not issued a final decision that all or part of the plan does not meet the requirements of this subpart.

§ 130.102   General requirements for comprehensive plans.
      (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
       the
      National Incident Management System (NIMS) and Incident Command System (ICS):
      (b) Response plan format. Each response plan must be formatted to include:
      (1) Core plan: The response plan must include a core plan containing an information summary required by § 130.104(a)(1) of this part and information which 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 § 130.104(a)(2) of this part and any additional information which differs between response zones.  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 § 130.103 of this part; and
      (iv) The location where the response organization will deploy, and the location and description of the response equipment required by § 130.106(c)(6) of this part.
      (c) Instead of submitting a response plan, a railroad may submit an Annex of an Integrated Contingency Plan (ICP) if the Annex provides equivalent or greater spill protection than a response plan required under this part.  Guidance on the ICP is available in the Federal Register or electronically from the National Service Center for Environmental Publications (NSCEP) (https://www.epa.gov/nscep)  HYPERLINK "http://www.epa.gov/swercepp/"

§ 130.103   National contingency plan (NCP) and area contingency plan (ACP) compliance for comprehensive plans.
      (a) A railroad must certify in the response plan that it reviewed the NCP (40 CFR part 300) and each applicable ACP and that its response plan is consistent with the NCP and each applicable ACP as follows:
      (1) At a minimum, for consistency with the NCP, a comprehensive response plan must:
      (i) Demonstrate a railroad's clear understanding of the function of the federal response structure, reflecting the relationship between the response organization's role and the Federal-On-Scene Coordinator's role in pollution response (e.g. inclusion of the OSC in a Unified Command, and a statement that the OSC has highest authority on-scene).
      (ii) Include procedures to immediately notify the National Response Center; and
      (iii) Establish provisions to ensure the protection of safety at the response site.
      (2) At a minimum, for consistency with the applicable ACP (or Regional Contingency Plan (RCP) for areas lacking an ACP), the comprehensive response plan must:
      (i) Address the removal of a worst-case discharge, and the mitigation or prevention of  the substantial threat of a worst-case discharge, of oil;
      (ii) Identify environmentally sensitive or significant areas as defined in section 130.5 of this part, along the route, which could be adversely affected by a worst-case discharge and incorporate appropriate deflection and protection response strategies to protect these areas;
      (iii) Describe the responsibilities of the persons involved and of Federal, State, and local agencies in removing a discharge and in mitigating or preventing a substantial threat of a discharge; and
	(iv) 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.
	(b) Reserved.

§ 130.104   Information summary for comprehensive plans.
      (a) Each person preparing a comprehensive response plan is subject to the following content requirements of the plan:
      (1) The information summary for the core plan must include all of the following:
      (i) The name and mailing address of the railroad;
      (ii) A listing and description of each response zone, including county(s) and state(s); and
      (iii) 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.
      (2) The information summary for each response zone appendix must include all of the following:
      (i) The name and mailing address of the railroad;
      (ii) A listing and description of the response zone, including county(s) and state(s);
      (iii) 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;
      (iv) The quantity and type of oil carried; and
      (v) Determination of the worst-case discharge and supporting calculations.
      (b) Form of information: 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.

§ 130.105   Notification procedures and contacts for comprehensive plans.
      (a) The railroad must develop and implement notification procedures which include all of the following:
      (1) Procedures for immediate notification of the qualified individual or alternate;
      (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 and addresses 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 oil spill response organization(s);
      (2) Applicable insurance representatives or surveyors for each response zone;
      (3) The National Response Center (NRC);
      (4) Federal, state, and local agencies which the railroad expects to have pollution control responsibilities or support; and
      (5) Personnel or organizations to notify for the activation of equipment and personnel resources identified in § 130.106.

§ 130.106   Response and mitigation activities for comprehensive plans.
      (a) Each railroad must certify that they have identified and ensured by contract or other means the private response resources in each response zone necessary to remove, 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 which are available to arrive onsite within 12 hours after the discovery of a worst-case discharge or the substantial threat of such a discharge It is assumed that response 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 response organization's responsibilities and authority; and
      (6) For each oil spill response organization identified under this section, a listing of:
      (i) Equipment, supplies, and personnel available and location thereof, including equipment suitable for adverse weather conditions and the personnel necessary to continue operation of the equipment and staff the oil spill response organization during the response; or
      (ii) In lieu of the listing of equipment, supplies, and personnel, a statement that the response organization is an Oil Spill Removal Organization that has been approved by the United States Coast Guard under 33 CFR §§ 154.1035 or 155.1035.

§ 130.107   Training procedures for comprehensive plans.
      (a) A railroad must certify in the response plan that it 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) Reporting personnel 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 § 130.105 of this subpart.
      (b) Recurrent training. 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) Recordkeeping. Each railroad must create and retain a record of current training of all railroad personnel 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 most recent training completion date of the employee's training;
      (3) The name and address of the person providing the training; and
      (4) 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. 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 § 171.8, are subject to the training requirements in subpart H of part 172 of this chapter, including safety training.

§ 130.108   Equipment testing and drill procedures for comprehensive plans.
      (a) The plan must include a description of the methods used to ensure equipment testing meets the manufacturer's minimum recommendations or equivalent.
      (b) A railroad must implement and describe a drill program following the National Preparedness for Response Exercise Program (PREP) guidelines, which can be found using the search function on the USCG's web page, http://www.uscg.mil. These guidelines are also available from the TASC DEPT Warehouse, 33141Q 75th Avenue, Landover, MD 20875 (fax:<PHONE_NUMBER>, stock number USCG-X0241). A railroad choosing not to follow PREP guidelines must have a drill program that is equivalent to PREP. The plan must include a description of the drill procedures and programs the railroad uses to assess whether its response plan will function as planned, including the types of drills 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, and provide copies to Department of Transportation representatives upon request.

§ 130.109   Recordkeeping and plan update procedures for comprehensive plans.
      (a) Recordkeeping. 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).
      (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 FRA within 90 days in accordance with § 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;
      (2) The name of the oil spill response 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; or
      (6) Any other information relating to circumstances that may affect full implementation of the plan.
      (f) If FRA determines that a change to a response plan does not meet the requirements of this part, FRA 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 who disagrees with a determination that proposed revisions to a plan are deficient may petition FRA for reconsideration, within 30 days from the date of receipt of FRA's notice. After considering all relevant material presented in writing or at an informal conference, FRA will notify the railroad of its final decision. The railroad must comply with the final decision within 30 days of issuance unless FRA allows additional time.

§ 130.111   Submission and approval procedures for comprehensive plans.
      (a) Each railroad must submit a copy of the response plan required by this part. Copies of the response plan must be submitted to: Associate Administrator for Railroad Safety, Federal Railroad Administrator (FRA), 1200 New Jersey Avenue, SE, Washington, DC 20590-0001. Note: Submission of plans contained in an electronic format is preferred.
      (b) If FRA determines that a response plan requiring approval does not meet all the requirements of this part, FRA 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 who disagrees with the FRA determination that a plan contains alleged deficiencies may petition FRA for reconsideration within 30 days from the date of receipt of FRA's notice. After considering all relevant material presented in writing or at an informal conference, FRA will notify the operator of its final decision. The railroad must comply with the final decision within 30 days of issuance unless FRA allows additional time.
      (d) FRA will approve the response plan if FRA determines that the response plan meets all requirements of this part. FRA may consult with the U.S. Environmental Protection Agency (EPA) or the U.S. Coast Guard (USCG) allowing an On-Scene Coordinator (OSC) to identify concerns about the railroad's ability to respond to a worst-case discharge or implement the plan as written.  EPA or the USCG would not be responsible for plan approval.
      (e) If FRA receives a request from an OSC to review a response plan, FRA may require a railroad to give a copy of the response plan to the OSC. FRA may consider OSC comments on response techniques, protecting fish, wildlife and environmentally sensitive environments, and on consistency with the ACP. FRA remains the approving authority for the response plan.
      (f) A railroad may ask for confidential treatment in accordance with the procedures in 49 CFR 209.11.

§ 130.112   Response plan implementation for comprehensive plans.
      If, during transportation of oil subject to this part, 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 §130.101, and in a manner consistent with the National Contingency Plan, 40 CFR part 300, or as otherwise directed by the On-Scene Coordinator.
*	*	*	*	*

          PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
9.	The authority citation for part 171 continues to read as follows:
	Authority: 49 U.S.C. 5101 - 5128, 44701; Pub. L. 101 - 410 section 4 (28 U.S.C. 2461 note); Pub. L. 104-121, sections 212-213; Pub. L. 104 - 134, section 31001; 49 CFR 1.81 and 1.97.

	10.	In 171.7, redesignate paragraphs (h)(45) through (h)(51) as (h)(46) through (h)(52) and add new paragraph (h)(45):

§ 171.7   Reference material.
*	*	*	*	*
(h)	*	*	*

(45) ASTM D7900-13 Standard Test Method for Determination of Light Hydrocarbons in Stabilized Crude Oils by Gas Chromatography, 2013, into §173.121.
*	*	*	*	*

PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGINGS
11.

The authority citation for part 173 continues to read as follows:
		Authority: 49 U.S.C. 5101 - 5128; 44701; 49 CFR 1.81 and 1.97.

12.	In part 173, § 173.121(a)(2)(vi) is added to read as follows:

§ 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).  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
13.	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.

14.	In part 174, § 174.310 a new paragraph (a)(6) is added to read as follows:

§ 174.310   Requirements for the operation of high-hazard flammable trains.
*	*	*	*	*
	(a)	*	*	*
      (6) Oil Spill Prevention and Response Plans.  The additional requirements for transportation by rail.
*	*	*	*	*

      15. In part 174, add section § 174.312 to read as follows:

§ 174.312   HHFT information sharing notification for emergency responders.
      (a) Prior to transporting a high-hazard flammable train (HHFT) as defined in § 171.8 of this subchapter, a railroad must provide each State Emergency Response Commission (SERC), Tribal Emergency Response Commission (TERC), or other appropriate state delegated agency for further distribution to appropriate local authorities, upon request, in each state through which it operates a HHFT the information as described in paragraphs (1) and (2) below.
      (1) At a minimum, the information railroads are required to provide to the relevant state or tribal agencies must include the following:
      (i) 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;
      (ii) the routes over which the HHFTs will operate;
      (iii) 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;
      (iv) a HHFT point of contact: 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 and responsible for serving as the point of contact for the SERC, TERC, or other state or tribal agency responsible for receiving the information; and
      (v) If a route identified in paragraph (ii) above is additionally subject to the comprehensive spill plan requirements in subpart C of part 130, 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 section 130.104(a);
      (2) Recordkeeping and transmission. The HHFT notification must be maintained and transmitted in accordance with all of the following requirements:
      (i) On a monthly basis, railroads must update the notifications.  If there are no changes, the railroad may provide a certification of no change.
      (ii) Notifications and updates may be transmitted electronically or by hard copy.
      (iii) 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.
      (iv) 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.
      (v) Copies of the railroad's notifications made under this section must be made available to the Department of Transportation upon request.

PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGINGS
   1.

   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).  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
	(b) Reserved.
*	*	*	*	*

   3.

   4.

Issued in Washington, DC on July 13, 2016, under the authority of 49 U.S.C. 5103(b), 33 U.S.C. 1321, and the authority delegated in 49 CFR 1.97.

William Schoonover,
Acting
Associate Administrator for Hazardous Materials Safety,
Pipeline and Hazardous Materials Safety Administration.


Ron Evans/RTP/USEPA/US

05/02/2008 03:32 PM

To

"Lee, Amanda I."<EMAIL_ADDRESS> cc

Tricia Crabtree/RTP/USEPA/US@EPA, Lydia Wegman, Kathy Kaufman/RTP/USEPA/US@EPA, darryl weatherhead<EMAIL_ADDRESS> Subject

RE: discussion of chapter 4 comments

Amanda

Let see what we can accomplish in this first hour and then determine if we if need more time.  We will be prepared to discuss both chapters 4 and 6 then.  If you can send redline beforehand that would help a lot

Go ahead and call my conference line:<PHONE_NUMBER> @ 9:30 on Monday.   My cost people and I will be in my office.

Have a good weekend.

Ron

"Lee, Amanda I."<EMAIL_ADDRESS> 05/02/2008 03:17 PM

To

Ron Evans/RTP/USEPA/US@EPA

cc

Subject

RE: discussion of chapter 4 comments

Can we also schedule a call on chapter 6 on Monday?

-----Original Message-----

From<EMAIL_ADDRESS><EMAIL_ADDRESS> Sent: Friday, May 02, 2008 2:30 PM

To: Lee, Amanda I.

Cc<EMAIL_ADDRESS> Subject: discussion of chapter 4 comments

lets plan on 9:30 til 10:30