protected, even if the railroad also uses that information for a risk
reduction program. ``Solely'' also means a railroad continues to use
that information only for its risk reduction program. If a railroad
subsequently uses for any other purpose information that was initially
compiled or collected for a risk reduction program, this section does
not protect that information to the extent that it is used for the non-
risk reduction program purpose. The use of that information within the
railroad's risk reduction program, however, remains protected. This
section does not protect information that is required to be compiled or
collected pursuant to any other provision of law or regulation.
    (b) Non-protected information. This section does not affect the
discovery, admissibility, or consideration for other purposes in a
Federal or State court proceeding for damages involving personal
injury, wrongful death, or property damage of information compiled or
collected for a purpose other than that specifically identified in
paragraph (a) of this section. Such information shall continue to be
discoverable, admissible, or considered for other purposes in a Federal
or State court proceeding for damages involving personal injury,
wrongful death, or property damage if it was discoverable, admissible,
or considered for other purposes in a Federal or State court proceeding
for damages involving personal injury, wrongful death, or property
damage on or before February 17, 2021. Specifically, the types of
information not affected by this section include:
    (1) Information compiled or collected on or before February 17,
2021;
    (2) Information compiled or collected on or before February 17,
2021 and that continues to be compiled or collected, even if used to
plan, implement, or evaluate a railroad's risk reduction program; or
    (3) Information that is compiled or collected after February 17,
2021, and is compiled or collected for a purpose other than that
identified in paragraph (a) of this section.
    (c) Information protected by other law or regulation. Nothing in
this section shall affect or abridge in any way any other protection of
information provided by another provision of law or regulation. Any
such provision of law or regulation applies independently of the
protections provided by this section.
    (d) Preemption. To the extent that State discovery rules and
sunshine laws would require disclosure of information protected by this
section in a Federal or State court proceeding for damages involving
personal injury, wrongful death, or property damage, those rules and
laws are preempted.
    (e) Enforcement. This section does not apply to civil or criminal
law enforcement proceedings.

Sec.  271.13  Determination of inadequate safety performance.

    (a) General. (1) This section describes FRA's methodology for
determining which railroads shall establish an RRP because they have
inadequate safety performance. FRA's methodology consists of a two-
phase annual analysis, comprised of both a quantitative analysis and
qualitative assessment. FRA's methodology analyzes all railroads except
for:
    (i) Railroads excluded from this part under Sec.  271.3(b);
    (ii) Railroads already required to comply with this part;
    (iii) Railroads that are voluntarily complying with this part under
Sec.  271.15; and
    (iv) Except as provided in paragraph (a)(2) of this section, new
start-up railroads that have reported accident/incident data to FRA
pursuant to part 225 of this chapter for fewer than three years.
    (2) Notwithstanding paragraph (a)(1)(iv) of this section, railroads
formed through amalgamation of operations (for example, railroads
formed through consolidations, mergers, or acquisitions of control) are
included in the analysis using the combined data of the pre-
amalgamation entities.
    (b) Quantitative analysis--(1) Methodology. The first phase of
FRA's annual analysis is a statistically-based quantitative analysis of
each railroad within the scope of the analysis, using historical safety
data maintained by FRA for the three most recent full calendar years.
The purpose of the quantitative analysis is to make a threshold
identification of railroads that possibly have inadequate safety
performance. The quantitative analysis consists of a preliminary
selection and a rate-based analysis. Only railroads that the
preliminary selection identifies will proceed to the rate-based
analysis.
    (i) The preliminary selection calculates the following values:
    (A) A railroad's number of worker on duty fatalities during the 3-
year period, calculated using ``Worker on Duty-Railroad Employee (Class
A),'' ``Worker on Duty-Contractor (Class F),'' and ``Worker on Duty-
Volunteer (Class H)'' information reported on FRA Form 6180.55 pursuant
to FRA's accident/incident reporting regulations in part 225 of this
chapter; and
    (B) The sum total of a railroad's number of worker on duty
injuries/illnesses during the 3-year period (calculated using ``Worker
on Duty-Railroad Employee (Class A),'' ``Worker on Duty-Contractor
(Class F),'' and ``Worker on Duty-Volunteer (Class H)'' information
reported on FRA Form 6180.55 pursuant to FRA's accident/incident
reporting regulations in part 225 of this chapter) added to the number
of rail equipment accidents/incidents during the 3-year period
(calculated using information reported on FRA Forms 6180.54 and 6180.55
pursuant to FRA's accident/incident reporting regulations in part 225
of this chapter).
    (ii) For railroads that the preliminary selection identifies, as
described in paragraph (b)(2)(i) of this section, the rate-based
analysis calculates the following three factors:
    (A) A railroad's number of worker on duty fatalities during the 3-
year period, calculated using ``Worker on Duty-Railroad Employee (Class
A),'' ``Worker on Duty-Contractor (Class F),'' and ``Worker on Duty-
Volunteer (Class H)'' information reported on FRA Form 6180.55 pursuant
to FRA's accident/incident reporting regulations in part 225 of this
chapter;
    (B) A railroad's on duty employee injury/illness rate, calculated
using ``Worker on Duty-Railroad Employee (Class A),'' ``Worker on Duty-
Contractor (Class F),'' and ``Worker on Duty-Volunteer (Class H)''
information reported on FRA Form 6180.55 pursuant to FRA's accident/
incident reporting regulations in part 225 of this chapter. FRA
calculates this rate using the following formula, which gives the rate
of employee injuries/illnesses per 200,000 employee hours over a 3-year
period:

Injury/Illness Rate = (Total FRA Reportable Worker On Duty Injuries +
Total FRA Reportable On Duty Employee Illnesses over a 3-year Period)/
(Total Employee Hours over a 3-year Period/200,000); and

    (C) A railroad's rail equipment accident/incident rate, calculated
using information reported on FRA Forms 6180.54 and 6180.55 pursuant to
FRA's accident/incident reporting regulations in part 225 of this
chapter. FRA calculates this rate using the following formula, which
gives the rate of rail equipment accidents/incidents per 1,000,000
train miles operated over a 3-year period:

Rail Equipment Accident/Incident Rate = Total FRA Reportable Rail
Equipment Accidents/Incidents over a 3-year Period/(Total Train

Miles over a 3-year Period/1,000,000)

    (2) Identification. (i) The preliminary selection phase of the
quantitative analysis identifies railroads for further analysis in the
rate-based analysis if at least one of the following two conditions
exist within the scope and timeframe of the analysis:
    (A) A railroad has one or more worker on duty fatalities as
calculated in paragraph (b)(1)(i)(A) of this section; or
    (B) A railroad is at or above the 90th percentile for the sum total
of worker on duty injuries/illnesses and rail equipment accidents/
incidents, as calculated in paragraph (b)(1)(i)(B) of this section.
    (ii) For railroads identified in the preliminary selection, the
rate-based analysis identifies railroads as possibly having inadequate
safety performance if at least one of the following two conditions
exists within the scope and time frame of the analysis:
    (A) A railroad has one or more worker on duty fatalities as
calculated in paragraph (b)(1)(ii)(A) of this section; or
    (B) A railroad is at or above the 90th percentile of railroads
identified in the preliminary selection in either of the factors
described in paragraphs (b)(1)(ii)(B) and (C) of this section.
    (c) Qualitative assessment. The second phase of FRA's analysis is a
qualitative assessment of railroads identified in the quantitative
analysis as possibly having inadequate safety performance.
    (1) Notification and railroad/employee comment. FRA will notify a
railroad in writing if FRA conducts a qualitative assessment of the
railroad because the quantitative analysis identified the railroad as
possibly having inadequate safety performance.
    (i) No later than 15 days after receiving FRA's written notice, a
railroad shall notify its employees of FRA's written notice. The
railroad shall post this employee notification at all locations where
the railroad reasonably expects its employees to report and to have an
opportunity to observe the notice. The railroad shall post and
continuously display the employee notification until 45 days after
FRA's initial written notice. The railroad shall notify employees who
do not have a regular on-duty point for reporting to work by other
means, under the railroad's standard practice for communicating with
employees. The notification shall inform railroad employees that they
may confidentially submit comments to FRA regarding the railroad's
safety performance and that employees shall file any such comments with
the FRA Associate Administrator for Railroad Safety and Chief Safety
Officer, 1200 New Jersey Avenue SE, Washington, DC 20590 no later than
45 days following FRA's initial written notice.
    (ii) No later than 45 days after receiving FRA's written notice, a
railroad may provide FRA documentation supporting any claims that the
railroad does not have inadequate safety performance.
    (2) Methodology. No later than 90 days after providing the initial
notice to a railroad identified by the quantitative analysis, FRA will
conduct a qualitative assessment of the identified railroad and make a
final determination regarding whether it has inadequate safety
performance. The qualitative assessment will consider any documentation
provided by the railroad, comments submitted by railroad employees, and
any other pertinent information, including information regarding
violations FRA has issued against the railroad.
    (d) Final notification. For each railroad that FRA provides an
initial written notice, FRA will provide a final written notice
informing the railroad whether or not FRA determines that the railroad
has demonstrated inadequate safety performance.
    (e) Compliance. (1) A railroad with inadequate safety performance
shall develop and implement an RRP meeting the requirements of this
part and submit an RRP plan meeting the filing and timing requirements
in Sec.  271.301.
    (2) A railroad with inadequate safety performance must comply with
the requirements of this part for a minimum of five years from the date
FRA approves the railroad's RRP plan under subpart D of this part.
    (f) Petition for reconsideration of inadequate safety performance
determination. (1) To appeal a final written notice under paragraph (d)
of this section, a railroad shall file a petition for reconsideration
with the Administrator. To file a petition, the railroad must:
    (i) File the petition no later than 30 days after the date the
railroad receives FRA's final written notice under paragraph (d) of
this section informing the railroad that it has demonstrated inadequate
safety performance; and
    (ii) File the petition in accordance with the procedures in
Sec. Sec.  211.7(b)(1) and 211.57 of this chapter.
    (2) FRA will process petitions under Sec.  211.59 of this chapter.
    (g) Petition to discontinue compliance with this part. After the
five-year compliance period, the railroad may petition FRA for approval
to discontinue compliance with this part. A railroad shall file a
petition, and FRA will process the petition, under the procedures
contained in Sec.  211.41 of this chapter. When processing a petition,
FRA will reevaluate the railroad's safety performance to determine
whether the railroad's RRP has resulted in significant and sustained
safety improvements, and whether these measured improvements are likely
sustainable in the long term. FRA's evaluation will include a
quantitative analysis as described in paragraph (b) of this section,
although FRA will not automatically grant a petition to discontinue
compliance if the quantitative analysis results do not meet the
identification thresholds described in paragraph (b)(2) of this
section. For all petitions under this section, FRA will also examine
qualitative factors and review information from FRA RRP audits and
other relevant sources.

Sec.  271.15  Voluntary compliance.

    (a) General. A railroad not otherwise subject to this part may
voluntarily comply by establishing and fully implementing an RRP
meeting the requirements of this part. A voluntary RRP shall be
supported by an RRP plan that has been submitted to FRA for approval
pursuant to the requirements of subpart D of this part. After FRA has
approved its RRP plan, a voluntarily-compliant railroad that fails to
comply with the requirements of this part is subject to civil penalties
or other FRA enforcement action.
    (b) Duration. A voluntarily-compliant railroad will be required to
comply with the requirements of this part for a minimum period of five
years, running from the date on which FRA approves the railroad's plan
pursuant to subpart D of this part.
    (c) Notification to discontinue compliance. After this five-year
period, a voluntarily-compliant railroad may discontinue compliance
with this part by providing written notice to the FRA Associate
Administrator for Railroad Safety and Chief Safety Officer, 1200 New
Jersey Avenue SE, Washington, DC 20590.
    (d) Discovery and admission as evidence of certain information. The
information protection provisions in Sec.  271.11 apply to information
compiled or collected pursuant to a voluntary RRP that is conducted in
accordance with the requirements of this part and as provided by Sec.
271.301(b)(4)(ii).

Subpart B--Risk Reduction Program Requirements

Sec.  271.101  Risk reduction programs.

    (a) Program required. Each railroad shall establish and fully
implement an RRP meeting the requirements of this part. An RRP shall
systematically evaluate railroad safety hazards on a railroad's system
and manage the resulting risks to reduce the number and rates of
railroad accidents/incidents, injuries, and fatalities. An RRP is an
ongoing program that supports continuous safety improvement. A railroad
shall design its RRP so that it promotes and supports a positive safety
culture at the railroad. An RRP shall include the following:
    (1) A risk-based hazard management program, as described in Sec.
271.103;
    (2) A safety performance evaluation component, as described in
Sec.  271.105;
    (3) A safety outreach component, as described in Sec.  271.107;
    (4) A technology analysis and technology implementation plan, as
described in Sec.  271.109;
    (5) RRP implementation and support training, as described in Sec.
271.111; and
    (6) Involvement of railroad employees in the establishment and
implementation of an RRP, as described in Sec.  271.113.
    (b) RRP plans. A railroad's RRP shall be supported by an FRA-
approved RRP plan meeting the requirements of subpart C of this part.
    (c) Host railroads and system safety programs. (1) If a railroad
subject to this part (RRP railroad) hosts passenger train service for a
railroad subject to the system safety program requirements in part 270
of this title (system safety program (SSP) railroad), the RRP railroad
shall communicate with the SSP railroad to coordinate the portions of
the system safety program applicable to the RRP railroad hosting the
passenger train service.
    (2) The RRP railroad shall incorporate its communication and
coordination with the SSP railroad into its own RRP.
    (d) Persons that perform or utilize significant safety-related
services. Under Sec.  271.205(a)(3), a railroad's RRP plan shall
identify persons that enter into a contractual relationship with the
railroad to either perform significant safety-related services on the
railroad's behalf or to utilize significant safety-related services
provided by the railroad for railroad operations purposes. For example,
a railroad's RRP plan shall identify entities such as host railroads,
contract operators, shared track/corridor operators, or other
contractors utilizing or performing significant safety-related
services. A railroad shall identify such persons even if the persons
are not required to comply with this part (e.g., a railroad shall
identify a tourist railroad that operates over the railroad's track
even though the tourist railroad is exempt from this rule under Sec.
271.3(b)(2)). A railroad shall ensure persons performing or utilizing
significant safety-related services support and participate in its RRP.

Sec.  271.103  Risk-based hazard management program.

    (a) General. (1) An RRP shall include an integrated, system-wide,
and ongoing risk-based HMP that proactively identifies hazards and
mitigates the risks resulting from those hazards.
    (2) A risk-based HMP shall be fully implemented (i.e., activities
initiated) within 36 months after FRA approves a railroad's RRP plan
pursuant to Sec.  271.301(d).
    (b) Risk-based hazard analysis. As part of its risk-based HMP, a
railroad shall conduct a risk-based hazard analysis that addresses, at
a minimum, the following aspects of a railroad's system:
Infrastructure; equipment; employee levels and work schedules;
operating rules and practices; management structure; employee training;
and other areas impacting railroad safety that are not covered by
railroad safety laws or regulations or other Federal laws or
regulations. A railroad shall make the results of its risk-based hazard
analysis available to FRA upon request. At a minimum, a risk-based
hazard analysis shall:
    (1) Identify hazards by analyzing:
    (i) Aspects of the railroad's system, including any operational
changes, system extensions, or system modifications; and
    (ii) Accidents/incidents, injuries, fatalities, and other known
indicators of hazards;
    (2) Calculate risk by determining and analyzing the likelihood and
severity of potential events associated with identified risk-based
hazards; and
    (3) Compare and prioritize the identified risks for mitigation
purposes.
    (c) Mitigation strategies. (1) As part of its risk-based HMP, a
railroad shall design and implement mitigation strategies that improve
safety by:
    (i) Mitigating or eliminating aspects of a railroad's system that
increase risks identified in the risk-based hazard analysis; and
    (ii) Enhancing aspects of a railroad's system that decrease risks
identified in the risk-based hazard analysis.
    (2) A railroad may use pilot projects, including pilot projects
conducted by other railroads, to determine whether quantitative data
suggests that a particular mitigation strategy has potential to succeed
on a full-scale basis.

Sec.  271.105  Safety performance evaluation.

    (a) General. As part of its RRP, a railroad shall develop and
maintain ongoing processes and systems for evaluating the safety
performance of its system and identifying and analyzing its safety
culture. A railroad's safety performance evaluation shall consist of
both a safety monitoring and a safety assessment component.
    (b) Safety monitoring. A railroad shall monitor the safety
performance of its system by, at a minimum, establishing processes and
systems to acquire safety data and information from the following
sources:
    (1) Continuous monitoring of operational processes and systems
(including any operational changes, system extensions, or system
modifications);
    (2) Periodic monitoring of the operational environment to detect
changes that may generate new hazards;
    (3) Investigations of accidents/incidents, injuries, fatalities,
and other known indicators of hazards;
    (4) Investigations of reports regarding potential non-compliance
with Federal railroad safety laws or regulations, railroad operating
rules and practices, or mitigation strategies established by the
railroad; and
    (5) A reporting system through which employees can report safety
concerns (including, but not limited to, hazards, issues, occurrences,
and incidents) and propose safety solutions and improvements.
    (c) Safety assessment. To assess the need for changes to a
railroad's mitigation strategies or overall RRP, a railroad shall
establish processes to analyze the data and information collected
pursuant to paragraph (b) of this section (as well as any other
relevant data regarding its operations, products, and services). At a
minimum, this assessment shall:
    (1) Evaluate the overall effectiveness of the railroad's RRP in
reducing the number and rates of railroad accidents/incidents,
injuries, and fatalities;
    (2) Evaluate the effectiveness of the railroad's RRP in meeting the
goals described by its RRP plan (see Sec.  271.203(c));
    (3) Evaluate the effectiveness of risk mitigations in reducing the
risk associated with an identified hazard. Any hazards associated with
ineffective mitigation strategies shall be reevaluated through the
railroad's risk-based HMP, as described in Sec.  271.103; and

    (4) Identify new, potential, or previously unknown hazards, which
shall then be evaluated by the railroad's risk-based HMP, as described
in Sec.  271.103.

Sec.  271.107  Safety outreach.

    (a) Outreach. An RRP shall include a safety outreach component that
communicates RRP safety information to railroad personnel (including
contractors) as that information is relevant to their positions. At a
minimum, a safety outreach program shall:
    (1) Convey safety-critical information;
    (2) Explain why RRP-related safety actions are taken; and
    (3) Explain why safety procedures are introduced or changed.
    (b) Reporting to management. The status of risk-based HMP
activities shall be reported to railroad senior management on an
ongoing basis.

Sec.  271.109  Technology analysis and technology implementation plan.

    (a) General. As part of its RRP, a Class I railroad shall conduct a
technology analysis and develop and adopt a technology implementation
plan no later than February 17, 2023. A railroad with inadequate safety
performance shall conduct a technology analysis and develop and adopt a
technology implementation plan no later than three years after
receiving final written notification from FRA to comply with this part,
pursuant to Sec.  271.13(d), or no later than February 17, 2023,
whichever is later. A railroad that the STB reclassifies or newly
classifies as a Class I railroad shall conduct a technology analysis
and develop and adopt a technology implementation plan no later than
three years following the effective date of the classification or
reclassification or no later than April 18, 2023, whichever is later. A
voluntarily-compliant railroad shall conduct a technology analysis and
develop and adopt a technology implementation plan no later than three
years after FRA approves the railroad's RRP plan.
    (b) Technology analysis. A technology analysis shall evaluate
current, new, or novel technologies that may mitigate or eliminate
hazards and the resulting risks identified through the risk-based HMP.
The railroad shall analyze the safety impact, feasibility, and costs
and benefits of implementing technologies that will mitigate or
eliminate hazards and the resulting risks. At a minimum, the
technologies a railroad shall consider as part of its technology
analysis are: Processor-based technologies, positive train control
systems, electronically-controlled pneumatic brakes, rail integrity
inspection systems, rail integrity warning systems, switch position
monitors and indicators, trespasser prevention technology, and highway-
rail grade crossing warning and protection technology.
    (c) Technology implementation plan. A railroad shall develop, and
periodically update as necessary, a technology implementation plan that
contains a prioritized implementation schedule describing the
railroad's plan for development, adoption, implementation, maintenance,
and use of current, new, or novel technologies on its system over a 10-
year period to reduce safety risks identified in the railroad's risk-
based HMP.
    (d) Positive train control. Except as required by subpart I of part
236 of this chapter, if a railroad decides to implement positive train
control systems as part of its technology analysis and implementation
plan, the railroad shall set forth and comply with a schedule for
implementation of the positive train control system consistent with the
deadlines in the Positive Train Control Enforcement and Implementation
Act of 2015, Public Law 114-73, 129 Stat. 576-82 (Oct. 29, 2015), and
49 CFR 236.1005(b)(7).

Sec.  271.111  Implementation and support training.

    (a) A railroad shall provide RRP training to each employee,
including an employee of any person identified by the railroad's RRP
plan pursuant to Sec.  271.205(a)(3) as performing significant safety-
related services on the railroad's behalf or utilizing significant
safety-related services provided by the railroad, who has significant
responsibility for implementing and supporting the railroad's RRP. This
training shall help ensure that all personnel with significant
responsibility for implementing and supporting the RRP understand the
goals of the program, are familiar with the elements of the railroad's
program, and have the requisite knowledge and skills to fulfill their
responsibilities under the program.
    (b) A railroad shall keep a record of training conducted under this
section and update that record as necessary. A railroad shall make
training records available for inspection and copying upon the request
of representatives of FRA or States participating under part 212 of
this chapter.
    (c) Training under this section may include, but is not limited to,
interactive computer-based training, video conferencing, or formal
classroom training.

Sec.  271.113  Involvement of railroad employees.

    (a) An RRP shall involve a railroad's directly affected employees
in the establishment and implementation of the RRP.
    (b) For example, a railroad must have a process for involving
directly affected employees when identifying hazards, developing and
implementing mitigation strategies, conducting internal annual
assessments, or otherwise performing actions required by this part.

Subpart C--Risk Reduction Program Plan Requirements

Sec.  271.201  General.

    A railroad shall adopt and implement its RRP through a written RRP
plan containing the elements described in this subpart. A railroad's
RRP plan shall be approved by FRA according to the requirements
contained in subpart D of this part.

Sec.  271.203  Policy, purpose and scope, and goals.

    (a) Policy statement. An RRP plan shall contain a policy statement
endorsing the railroad's RRP. This statement shall be signed by the
chief official at the railroad (e.g., chief executive officer).
    (b) Purpose and scope. An RRP plan shall contain a statement
describing the purpose and scope of the railroad's RRP. This purpose
and scope statement shall describe:
    (1) The railroad's safety philosophy and safety culture;
    (2) How the railroad promotes improvements to its safety culture;
and
    (3) The roles and responsibilities of railroad personnel (including
management) within the railroad's RRP.
    (c) Goals. An RRP plan shall contain a statement that defines the
specific goals of the RRP and describes clear strategies for reaching
those goals. These goals shall be long-term, meaningful, measurable,
and focused on the mitigation of risks arising from identified safety
hazards.

Sec.  271.205  System description.

    (a) An RRP plan shall contain a description of the characteristics
of the railroad's system. At a minimum, the system description shall:
    (1) Support the identification of hazards by establishing a basic
understanding of the scope of the railroad's system;
    (2) Include components briefly describing the railroad's history,
operations, scope of service, maintenance, physical plant, and system
requirements;

    (3) Identify all persons that enter into a contractual relationship
with the railroad to either perform significant safety-related services
on the railroad's behalf or to utilize significant safety-related
services provided by the railroad for railroad operations purposes. For
example, a railroad's RRP plan shall identify entities such as host
railroads, contract operators, shared track/corridor operators, or
other contractors utilizing or performing significant safety-related
services. A railroad shall identify such persons even if the persons
are not required to comply with this part (e.g., a railroad shall
identify a tourist railroad that operates over the railroad's track
even though the tourist railroad is exempt from this part pursuant to
Sec.  271.3(b)(2)); and
    (4) Describe how the railroad will ensure that any persons
identified pursuant to paragraph (a)(3) of this section will support
and participate in the railroad's RRP. For example, the system
description shall describe the extent to which such persons will, as
part of the railroad's RRP, assist in identifying hazards, developing
and implementing mitigation strategies, conducting internal annual
assessments, or otherwise performing actions required by this part.
    (b) [Reserved]

 Sec.  271.207  Consultation requirements.

    (a) General duty. (1) Each railroad required to establish an RRP
under this part shall in good faith consult with, and use its best
efforts to reach agreement with, all of its directly affected
employees, including any non-profit labor organization representing a
class or craft of directly affected employees, on the contents of the
RRP plan.
    (2) A railroad that consults with a non-profit employee labor
organization is considered to have consulted with the directly affected
employees represented by that organization.
    (b) Preliminary meeting. A railroad shall have a preliminary
meeting with its directly affected employees to discuss how the
consultation process will proceed. A railroad is not required to
discuss the substance of an RRP plan during this preliminary meeting.
    (1) A Class I railroad shall meet no later than October 15, 2020
with its directly affected employees to discuss the consultation
process. The Class I railroad shall notify the directly affected
employees of this meeting no less than 60 days before it is scheduled.
    (2) A railroad determined to have inadequate safety performance
shall meet no later than 30 days following FRA's notification with its
directly affected employees to discuss the consultation process. The
inadequate safety performance railroad shall notify the directly
affected employees of this meeting no less than 15 days before it is
scheduled.
    (3) A railroad that the STB reclassifies or newly classifies as a
Class I railroad shall meet with its directly affected employees to
discuss the consultation process no later than 30 days following the
effective date of the classification or reclassification. The
reclassified or newly classified Class I railroad shall notify the
directly affected employees of this meeting no less than 15 days before
it is scheduled.
    (4) A voluntarily-compliant railroad that files a notification with
FRA of its intent to file an RRP plan under Sec.  271.301(b)(4)(i)
shall meet with its directly affected employees to discuss the
consultation process no later than 30 days following the date that the
railroad filed the notification. The voluntarily-compliant railroad
shall notify the directly affected employees of this meeting no less
than 15 days before it is scheduled.
    (5) Compliance with the mandatory preliminary meeting requirements
of this paragraph (b) does not constitute full compliance with the
consultation requirements of this section.
    (c) Guidance. Appendix A to this part contains guidance on how a
railroad could comply with the requirements of this section.
    (d) Railroad consultation statements. A railroad required to submit
an RRP plan under Sec.  271.301 shall also submit, together with that
plan, a consultation statement that includes the following information:
    (1) A detailed description of the process the railroad utilized to
consult with its directly affected employees;
    (2) If the railroad could not reach agreement with its directly
affected employees on the contents of its RRP plan, identification of
any known areas of non-agreement and an explanation why it believes
agreement was not reached; and
    (3) A service list containing the names and contact information for
each international/national president of any non-profit employee labor
organization representing a class or craft of the railroad's directly
affected employees. The service list must also contain the name and
contact information for any directly affected employee who
significantly participated in the consultation process independently of
a non-profit employee labor organization. If an international/national
president did not participate in the consultation process, the service
list shall also contain the name and contact information for a
designated representative who participated on his or her behalf. When a
railroad submits its RRP plan and consultation statement to FRA under
Sec.  271.301, it shall also simultaneously send a copy of these
documents to all individuals identified in the service list. A railroad
may send the documents to the identified individuals via electronic
means or other service means reasonably calculated to succeed.
    (e) Statements from directly affected employees. (1) If a railroad
and its directly affected employees cannot reach agreement on the
proposed contents of an RRP plan, the directly affected employees may
file a statement explaining their views on the plan on which agreement
was not reached with the FRA Associate Administrator for Railroad
Safety and Chief Safety Officer, 1200 New Jersey Avenue SE, Washington,
DC 20590. The FRA Associate Administrator shall consider any such views
during the plan review and approval process.
    (2) A railroad's directly affected employees have 30 days following
the railroad's submission of a proposed RRP plan to submit the
statement described in paragraph (e)(1) of this section.

Sec.  271.209  Consultation on amendments.

    A railroad's RRP plan shall include a description of the process
the railroad will use to consult with its directly affected employees
on any subsequent substantive amendments to the railroad's RRP plan.
The requirements of this section do not apply to non-substantive
amendments (e.g., amendments that update names and addresses of
railroad personnel).

Sec.  271.211  Risk-based hazard management program process.

    (a) Risk-based hazard analysis. An RRP plan shall describe the
railroad's method for conducting its risk-based hazard analysis
pursuant to Sec.  271.103(b). At a minimum, the description shall
specify:
    (1) The processes the railroad will use to identify hazards and the
risks associated with those hazards;
    (2) The sources the railroad will use to support the ongoing
identification of hazards and the risks associated with those hazards;
and
    (3) The processes the railroad will use to compare and prioritize
identified risks for mitigation purposes.
    (b) Mitigation strategies. An RRP plan shall describe the
railroad's processes for designing and implementing mitigation
strategies pursuant to Sec.  271.103(c). At a minimum, the

description shall specify the railroad's processes for:
    (1) Identifying and selecting mitigation strategies; and
    (2) Monitoring an identified hazard through the mitigation of the
risk associated with that hazard.

Sec.  271.213  Safety performance evaluation process.

    An RRP plan shall describe a railroad's processes for identifying
and analyzing its safety culture pursuant to Sec.  271.105(a),
monitoring safety performance pursuant to Sec.  271.105(b), and
conducting safety assessments pursuant to Sec.  271.105(c).

Sec.  271.215  Safety outreach process.

    An RRP plan shall describe a railroad's processes for communicating
safety information to railroad personnel and management pursuant to
Sec.  271.107.

Sec.  271.217  Technology implementation plan process.

    (a) An RRP plan shall contain a description of the railroad's
processes for:
    (1) Conducting a technology analysis pursuant to Sec.  271.109(b);
and
    (2) Developing a technology implementation plan pursuant to Sec.
271.109(c).
    (b) [Reserved]

Sec.  271.219  Implementation and support training plan.

    (a) An RRP plan shall contain a training plan describing the
railroad's processes, pursuant to Sec.  271.111, for training employees
with significant responsibility for implementing and supporting the RRP
(including employees of a person identified pursuant to Sec.
271.205(a)(3) as performing significant safety-related services on the
railroad's behalf or utilizing significant safety-related services
provided by the railroad for railroad operations purposes who have
significant responsibility for implementing and supporting the
railroad's RRP).
    (b) The training plan shall describe the content of the RRP
training for each position or job function identified pursuant to Sec.
271.225(b)(3) as having significant responsibilities for implementing
the RRP.

Sec.  271.221  Involvement of railroad employees process.

    An RRP plan shall contain a description of the railroad's processes
for involving railroad employees in the establishment and
implementation of an RRP pursuant to Sec.  271.113. If a railroad
contracts out significant portions of its operations, the contractor
and the contractor's employees performing the railroad's operations
shall be considered employees for the purposes of this section.

Sec.  271.223  Internal assessment process.

    (a) An RRP plan shall describe the railroad's processes for
conducting an internal assessment of its RRP pursuant to subpart E of
this part. At a minimum, this description shall contain the railroad's
processes used to:
    (1) Conduct an internal assessment of its RRP;
    (2) Internally report the results of its internal assessment to
railroad senior management; and
    (3) Develop improvement plans, including developing and monitoring
recommended improvements (including any necessary revisions or updates
to the RRP plan) for fully implementing the railroad's RRP, complying
with the implemented elements of the RRP plan, or achieving the goals
identified in the railroad's RRP plan pursuant to Sec.  271.203(c).
    (b) [Reserved]

Sec.  271.225  RRP implementation plan.

    (a) An RRP plan shall describe how the railroad will implement its
RRP. A railroad may implement its RRP in stages, so long as the
railroad fully implements the entire RRP within 36 months of FRA's
approval of the plan.
    (b) At a minimum, a railroad's implementation plan shall:
    (1) Cover the entire implementation period;
    (2) Contain a timeline describing when certain implementation
milestones will be achieved. Implementation milestones shall be
specific and measurable;
    (3) Describe the roles and responsibilities of each position or job
function that has significant responsibility for implementing the
railroad's RRP or any changes to the railroad's RRP (including any such
positions or job functions held by a person that enters into a
contractual relationship with the railroad to either perform
significant safety-related services on the railroad's behalf or to
utilize significant safety-related services provided by the railroad
for railroad operations purposes); and
    (4) Describe how significant changes to the RRP may be made.

Subpart D--Review, Approval, and Retention of Risk Reduction
Program Plans

Sec.  271.301  Filing and approval.

    (a) Filing. A railroad shall submit one copy of its RRP plan to the
FRA Associate Administrator for Railroad Safety and Chief Safety
Officer, 1200 New Jersey Avenue SE, Washington, DC 20590.
    (b) Filing timeline. (1) A Class I railroad shall submit its RRP
plan no later than August 16, 2021.
    (2) A railroad with inadequate safety performance shall submit its
RRP plan no later than 180 days after receiving final written
notification from FRA that it shall comply with this part, pursuant to
Sec.  271.13(d), or no later than August 16, 2021, whichever is later.
    (3) A railroad that the STB reclassifies or newly classifies as a
Class I railroad shall submit its RRP plan no later than 90 days
following the effective date of the classification or reclassification
or no later than August 16, 2021, whichever is later.
    (4)(i) Before submitting an RRP plan for FRA's review and approval,
a voluntarily-compliant railroad shall notify FRA of its intent to
submit an RRP plan by providing written notice to the FRA Associate
Administrator for Railroad Safety and Chief Safety Officer, 1200 New
Jersey Avenue SE, Washington, DC 20590.
    (ii) The date that FRA receives a voluntarily-compliant railroad's
written notice or February 18, 2021, whichever is later, serves as the
date on which the voluntarily-compliant railroad may start compiling or
collecting information solely for the purpose of planning,
implementing, or evaluating a risk reduction program, as described by
Sec.  271.11.
    (iii) A voluntarily-compliant railroad shall submit its RRP plan no
later than 180 days after FRA receives written notice that the
voluntarily-compliant railroad intends to submit an RRP plan for review
and approval.
    (c) RRP plan requirements. An RRP plan submitted by a railroad
shall include:
    (1) The signature, name, title, address, and telephone number of
the chief official responsible for safety and who bears the primary
managerial authority for implementing the submitting railroad's safety
policy. By signing, this chief official is certifying that the contents
of the RRP plan are accurate and that the railroad will implement the
contents of the program as approved by FRA;
    (2) The contact information for the primary person responsible for
managing the RRP;
    (3) The contact information for the senior representatives of any
person that the railroad has determined has entered into a contractual
relationship with the railroad to either perform significant safety-
related services on the railroad's

behalf or to utilize significant safety-related services provided by
the railroad for railroad operations purposes (including host
railroads, contract operators, shared track/corridor operators, and
other contractors); and
    (4) As required by Sec.  271.207(d), a statement describing how it
consulted with its directly affected employees on the contents of its
RRP plan. Directly affected employees have 30 days following the
railroad's submission of its proposed RRP plan to file a statement
under Sec.  271.207(e)(2).
    (d) Approval. (1) Within 90 days of receipt of an RRP plan, or
within 90 days of receipt of each RRP plan submitted before the start
of railroad operations, FRA will review the proposed RRP plan to
determine if it sufficiently addresses the required elements. This
review will also consider any statement submitted by directly affected
employees pursuant to Sec.  271.207(e).
    (2) FRA will notify the primary contact person of the submitting
railroad in writing whether FRA has approved the proposed plan and, if
not approved, the specific points in which the RRP plan is deficient.
FRA will also provide this notification to each individual identified
in the service list accompanying the consultation statement required
under Sec.  271.207(d).
    (3) If FRA does not approve an RRP plan, the submitting railroad
shall amend the proposed plan to correct all identified deficiencies
and shall provide FRA a corrected copy no later than 90 days following
receipt of FRA's written notice that the submitted plan was not
approved. If FRA determines that the necessary corrections are
substantively significant, it will direct the railroad to consult
further with its directly affected employees regarding the corrections.
If the corrections are substantively significant, a railroad will also
be required to include an updated consultation statement, along with
its resubmitted plan, pursuant to Sec.  271.207(d). Directly affected
employees will also have 30 days following the railroad's resubmission
of its proposed RRP plan to file a statement addressing the
substantively significant changes under Sec.  271.207(e). Within 60
days of receipt of a corrected RRP plan, FRA will review the corrected
RRP plan to determine if it sufficiently addresses the identified
deficiencies.
    (4) Approval of a railroad's RRP plan under this part does not
constitute approval of the specific actions the railroad will implement
under its RRP plan and shall not be construed as establishing a Federal
standard regarding those specific actions.
    (e) Electronic submission. All documents required to be submitted
to FRA under this part may be submitted electronically pursuant to the
procedures in appendix B to this part.

Sec.  271.303  Amendments.

    (a) Consultation requirements. (1) For substantive amendments, a
railroad shall follow the process, described in its RRP plan pursuant
to Sec.  271.209, for consulting with its directly affected employees
and submitting a consultation statement to FRA. The requirements of
this paragraph (a)(1) do not apply to non-substantive amendments (e.g.,
amendments that update names and addresses of railroad personnel).
    (2) If a railroad and its directly affected employees cannot reach
agreement on the proposed contents of a substantive amendment, the
directly affected employees may file a statement with FRA under the
procedures in Sec.  271.207(e)(1). A railroad's directly affected
employees have 15 days following the railroad's submission of a
proposed amendment to submit the statement described in this paragraph.
    (b) Filing. (1) A railroad shall submit any amendment(s) to its
approved RRP plan to FRA's Associate Administrator not less than 60
days before the proposed effective date of the amendment(s). The
railroad shall file the amendment(s) with a cover letter outlining the
proposed change(s) to the approved RRP plan.
    (2) If the proposed amendment is limited to adding or changing a
name, title, address, or telephone number of a person, FRA approval is
not required under the process of this section, although the railroad
shall still file the amended RRP plan with FRA's Associate
Administrator for Railroad Safety and Chief Safety Officer. These
proposed amendments may be implemented by the railroad upon filing with
FRA. All other proposed amendments must comply with the formal approval
process described by this section.
    (c) Review. (1) FRA will review a proposed amendment to an RRP plan
within 45 days of receipt. FRA will then notify the primary contact
person of the railroad regarding whether FRA has approved the proposed
amendment. FRA will also provide this notification to each individual
identified in the service list accompanying the consultation statement
required under paragraph (a)(1) of this section. If not approved, FRA
will inform the railroad and the individuals identified in the service
list of the specific points in which the proposed amendment is
deficient.
    (2) If FRA has not notified the railroad and the individuals
identified in the service list by the proposed effective date of the
amendment whether the amendment has been approved or not, the railroad
may implement the amendment, subject to FRA's decision.
    (3) If a proposed RRP plan amendment is not approved by FRA, no
later than 60 days following the receipt of FRA's written notice, the
railroad shall either provide FRA a corrected copy of the amendment
that addresses all deficiencies noted by FRA or notice that the
railroad is retracting the amendment.

Sec.  271.305  Reopened review.

    Following approval of an RRP plan or an amendment to such a plan,
FRA may reopen review of the plan or amendment, in whole or in part,
for cause stated.

Sec.  271.307  Retention of RRP plans.

    (a) Railroads. A railroad shall retain at its system and division
headquarters one copy of its RRP plan and each subsequent amendment to
that plan. A railroad may comply with this requirement by making an
electronic copy available.
    (b) Inspection and copying. A railroad shall make a copy of the RRP
plan and each subsequent amendment available to representatives of FRA
or States participating under part 212 of this chapter for inspection
and copying during normal business hours.

Subpart E--Internal Assessments

Sec.  271.401  Annual internal assessments.

    (a) Beginning with the first calendar year after the calendar year
in which FRA approves a railroad's RRP plan pursuant to Sec.
271.301(d), the railroad shall annually (i.e., once every calendar
year) conduct an internal assessment of its RRP.
    (b) The internal assessment shall determine the extent to which the
railroad has:
    (1) Achieved the implementation milestones described in its RRP
plan pursuant to Sec.  271.225(b);
    (2) Complied with the implemented elements of the approved RRP
plan;
    (3) Achieved the goals described in its RRP plan pursuant to Sec.
271.203(c);
    (4) Implemented previous internal assessment improvement plans
pursuant to Sec.  271.403; and
    (5) Implemented previous external audit improvement plans pursuant
to Sec.  271.503.
    (c) A railroad shall ensure that the results of its internal
assessments are

internally reported to railroad senior management.

Sec.  271.403  Internal assessment improvement plans.

    (a) Within 30 days of completing its internal assessment, a
railroad shall develop an improvement plan that addresses the findings
of its internal assessment.
    (b) At a minimum, a railroad's improvement plan shall:
    (1) Describe recommended improvements (including any proposed
revisions or updates to the RRP plan the railroad expects to make
through the amendment process described in Sec.  271.303) that address
the findings of the internal assessment for fully implementing the
railroad's RRP, complying with the implemented elements of the RRP
plan, achieving the goals identified in the railroad's RRP plan
pursuant to Sec.  271.203(c), and implementing previous internal
assessment improvement plans and external audit improvement plans;
    (2) Identify by position title the individual who is responsible
for carrying out the recommended improvements;
    (3) Contain a timeline describing when specific and measurable
milestones for implementing the recommended improvements will be
achieved; and
    (4) Specify processes for monitoring the implementation and
evaluating the effectiveness of the recommended improvements.

Sec.  271.405  Internal assessment reports.

    (a) Within 60 days of completing its internal assessment, a
railroad shall submit a copy of an internal assessment report to the
FRA Associate Administrator for Railroad Safety and Chief Safety
Officer, 1200 New Jersey Avenue SE, Washington, DC 20590.
    (b) This report shall be signed by the railroad's chief official
responsible for safety and who bears primary managerial authority for
implementing the railroad's safety policy. The report shall include:
    (1) A description of the railroad's internal assessment;
    (2) The findings of the internal assessment;
    (3) A specific description of the recommended improvements
contained in the railroad's internal assessment improvement plan,
including any proposed amendments the railroad intends to make to the
railroad's RRP plan pursuant to Sec.  271.303; and
    (4) The status of the recommended improvements contained in the
railroad's internal assessment improvement plan and any outstanding
recommended improvements from previous internal assessment improvement
plans.

 Subpart F--External Audits

Sec.  271.501  External audits.

    FRA will conduct (or cause to be conducted) external audits of a
railroad's RRP. Each audit shall evaluate the railroad's compliance
with the elements of its RRP required by this part. A railroad shall
make documentation kept pursuant to its RRP plan available for
inspection and copying by representatives of FRA or States
participating under part 212 of this chapter upon request. FRA will
provide a railroad written notice of the audit results.

Sec.  271.503  External audit improvement plans.

    (a) Submission. Within 60 days of receiving FRA's written notice of
the audit results, if necessary, a railroad shall submit for approval
an improvement plan addressing any instances of deficiency or non-
compliance found in the audit to the FRA Associate Administrator for
Railroad Safety and Chief Safety Officer, 1200 New Jersey Avenue SE,
Washington, DC 20590.
    (b) Requirements. At a minimum, an improvement plan shall:
    (1) Describe the improvements the railroad will implement to
address the audit findings;
    (2) Identify by position title the individual(s) responsible for
carrying out the improvements necessary to address the audit findings;
and
    (3) Contain a timeline describing when milestones for implementing
the recommended improvements will be achieved. These implementation
milestones shall be specific and measurable.
    (c) Approval. If FRA does not approve the railroad's improvement
plan, FRA will notify the railroad of the plan's specific deficiencies.
The railroad shall amend the proposed plan to correct the identified
deficiencies and provide FRA a corrected copy no later than 30 days
following receipt of FRA's notice that the proposed plan was not
approved.
    (d) Status reports. Upon the request of the FRA Associate
Administrator, a railroad shall provide FRA for review a status report
on the implementation of the improvements contained in the improvement
plan.

Appendix A to Part 271--Federal Railroad Administration Guidance on the
Risk Reduction Program Consultation Process

    A railroad required to develop a risk reduction program (RRP)
under this part shall in good faith consult with and use its best
efforts to reach agreement with its directly affected employees on
the contents of the RRP plan. See Sec.  271.207(a)(1). This appendix
discusses the meaning of the terms ``good faith'' and ``best
efforts,'' and provides non-mandatory guidance on how a railroad may
comply with the requirement to consult with directly affected
employees on the contents of its RRP plan. Guidance is provided for
employees who are represented by a non-profit employee labor
organization and employees who are not represented by any such
organization.

I. The Meaning of ``Good Faith'' and ``Best Efforts''

    ``Good faith'' and ``best efforts'' are not interchangeable
terms representing a vague standard for the Sec.  271.207
consultation process. Rather, each term has a specific and distinct
meaning. When consulting with directly affected employees,
therefore, a railroad shall independently meet the standards for
both the good faith and best efforts obligations. A railroad that
does not meet the standard for one or the other will not be in
compliance with the consultation requirements of Sec.  271.207.
    The good faith obligation requires a railroad to consult with
employees in a manner that is honest, fair, and reasonable, and to
genuinely pursue agreement on the contents of an RRP plan. If a
railroad consults with its employees merely in a perfunctory manner,
without genuinely pursuing agreement, it will not have met the good
faith requirement. For example, a lack of good faith may be found if
a railroad's directly affected employees express concerns with
certain parts of the railroad's RRP plan, and the railroad neither
addresses those concerns in further consultation nor attempts to
address those concerns by making changes to the RRP plan.
    On the other hand, ``best efforts'' establishes a higher
standard than that imposed by the good faith obligation, and
describes the diligent attempts that a railroad shall pursue to
reach agreement with its employees on the contents of its RRP plan.
While the good faith obligation is concerned with the railroad's
state of mind during the consultation process, the best efforts
obligation is concerned with the specific efforts made by the
railroad in an attempt to reach agreement. This would include
considerations such as whether a railroad had held sufficient
meetings with its employees to address or make an attempt to address
any concerns raised by the employees, or whether the railroad had
made an effort to respond to feedback provided by employees during
the consultation process. For example, a railroad would not meet the
best efforts obligation if it did not initiate the consultation
process in a timely manner, and thereby failed to provide employees
sufficient time to engage in the consultation

process. A railroad would also likely not meet the best efforts
obligation if it presented employees with an RRP plan and only
permitted the employees to express agreement or disagreement on the
plan (assuming that the employees had not previously indicated that
such a consultation would be acceptable). A railroad may, however,
wish to hold off substantive consultations regarding the contents of
its RRP plan until one year after publication of the rule to ensure
that information generated as part of the process is protected from
discovery and admissibility into evidence under Sec.  271.11.
Generally, best efforts are measured by the measures that a
reasonable person in the same circumstances and of the same nature
as the acting party would take. Therefore, the standard imposed by
the best efforts obligation may vary with different railroads,
depending on a railroad's size, resources, and number of employees.
    When reviewing RRP plans, FRA will determine on a case-by-case
basis whether a railroad has met its Sec.  271.207 good faith and
best efforts obligations. This determination will be based upon the
consultation statement submitted by the railroad pursuant to Sec.
271.207(b) and any statements submitted by employees pursuant to
Sec.  271.207(c). If FRA finds that these statements do not provide
sufficient information to determine whether a railroad used good
faith and best efforts to reach agreement, FRA may investigate
further and contact the railroad or its employees to request
additional information. (FRA also expects a railroad's directly
affected employees to utilize good faith and best efforts when
negotiating on the contents of an RRP plan. If FRA's review and
investigation of the statements submitted by the railroad under
Sec.  271.207(b) and the directly affected employees under Sec.
271.207(c) reveal that the directly affected employees did not
utilize good faith and best efforts, FRA could consider this as part
of its approval process.)
    If FRA determines that a railroad did not use good faith and
best efforts, FRA may disapprove the RRP plan submitted by the
railroad and direct the railroad to comply with the consultation
requirements of Sec.  271.207. Pursuant to Sec.  271.301(b)(3), if
FRA does not approve the RRP plan, the railroad will have 90 days,
following receipt of FRA's written notice that the plan was not
approved, to correct any deficiency identified. In such cases, the
identified deficiency would be that the railroad did not use good
faith and best efforts to consult and reach agreement with its
directly affected employees. If a railroad then does not submit to
FRA within 90 days an RRP plan meeting the consultation requirements
of Sec.  271.207, the railroad could be subject to penalties for
failure to comply with Sec.  271.301(b)(3).

 II. Guidance on How a Railroad May Consult With Directly Affected
Employees

    Because the standard imposed by the best efforts obligation will
vary depending upon the railroad, there may be countless ways for
various railroads to comply with the consultation requirements of
Sec.  271.207. Therefore, it is important to maintain a flexible
approach to the Sec.  271.207 consultation requirements, to give a
railroad and its directly affected employees the freedom to consult
in a manner best suited to their specific circumstances.
    FRA is nevertheless providing guidance in this appendix as to
how a railroad may proceed when consulting (utilizing good faith and
best efforts) with employees in an attempt to reach agreement on the
contents of an RRP plan. This guidance may be useful as a starting
point for railroads that are uncertain about how to comply with the
Sec.  271.207 consultation requirements. This guidance distinguishes
between employees who are represented by a non-profit employee labor
organization and employees who are not, as the processes a railroad
may use to consult with represented and non-represented employees
could differ significantly.
    This guidance does not establish prescriptive requirements with
which a railroad shall comply, but merely outlines a consultation
process a railroad may choose to follow. A railroad's consultation
statement could indicate that the railroad followed the guidance in
this appendix as evidence that it utilized good faith and best
efforts to reach agreement with its employees on the contents of an
RRP plan.

(a) Employees Represented by a Non-Profit Employee Labor
Organization

    As provided in Sec.  271.207(b)(1), a railroad consulting with
the representatives of a non-profit employee labor organization on
the contents of an RRP plan will be considered to have consulted
with the directly affected employees represented by that
organization.
    A railroad may utilize the following process as a roadmap for
using good faith and best efforts when consulting with represented
employees in an attempt to reach agreement on the contents of an RRP
plan.
    (1) Pursuant to Sec.  271.207(b)(1), a railroad must meet with
representatives from a non-profit employee labor organization
(representing a class or craft of the railroad's directly affected
employees) within 240 days from February 18, 2020 to begin the
process of consulting on the contents of the railroad's RRP plan. A
railroad must provide notice at least 60 days before the scheduled
meeting.
    (2) During the time between the initial meeting and the
applicability date of Sec.  271.11, the parties may meet to discuss
administrative details of the consultation process as necessary.
    (3) Within 60 days after February 17, 2021, a railroad should
have a meeting with the representatives of the directly affected
employees to discuss substantive issues with the RRP plan.
    (4) Within 180 days after February 17, 2021 or as otherwise
provided by Sec.  271.301(b), a railroad would file its RRP plan
with FRA.
    (5) As provided by Sec.  271.207(e), if agreement on the
contents of an RRP plan could not be reached, a labor organization
(representing a class or craft of the railroad's directly affected
employees) may file a statement with the FRA Associate Administrator
for Railroad Safety and Chief Safety Officer explaining its views on
the plan on which agreement was not reached.

(b) Employees Who Are Not Represented by a Non-Profit Employee
Labor Organization

    FRA recognizes that some (or all) of a railroad's directly
affected employees may not be represented by a non-profit employee
labor organization. For such non-represented employees, the
consultation process described for represented employees may not be
appropriate or sufficient. For example, a railroad with non-
represented employees should make a concerted effort to ensure that
its non-represented employees are aware that they are able to
participate in the development of the railroad's RRP plan. FRA
therefore is providing the following guidance regarding how a
railroad may utilize good faith and best efforts when consulting
with non-represented employees on the contents of its RRP plan.
    (1) Within 120 days from February 18, 2020, a railroad may
notify non-represented employees that--
    (A) The railroad is required to consult in good faith with, and
use its best efforts to reach agreement with, all directly affected
employees on the proposed contents of its RRP plan;
    (B) Non-represented employees are invited to participate in the
consultation process (and include instructions on how to engage in
this process); and
    (C) If a railroad is unable to reach agreement with its directly
affected employees on the contents of the proposed RRP plan, an
employee may file a statement with the FRA Associate Administrator
for Railroad Safety and Chief Safety Officer explaining his or her
views on the plan on which agreement was not reached.
    (2) This initial notification (and all subsequent
communications, as necessary or appropriate) could be provided to
non-represented employees in the following ways:
    (A) Electronically, such as by email or an announcement on the
railroad's website;
    (B) By posting the notification in a location easily accessible
and visible to non-represented employees; or
    (C) By providing all non-represented employees a hard copy of
the notification.
    A railroad could use any or all of these methods of
communication, so long as the notification complies with the
railroad's obligation to utilize best efforts in the consultation
process.
    (3) Following the initial notification (and before submitting
its RRP plan to FRA), a railroad should provide non-represented
employees a draft proposal of its RRP plan. This draft proposal
should solicit additional input from non-represented employees, and
the railroad should provide non-represented employees 60 days to
submit comments to the railroad on the draft.
    (4) Following this 60-day comment period and any changes to the
draft RRP plan made as a result, the railroad should submit the
proposed RRP plan to FRA, as required by this part.
    (5) As provided by Sec.  271.207(e), if agreement on the
contents of an RRP plan cannot be reached, then a non-represented
employee may file a statement with the FRA Associate Administrator
for Railroad Safety and Chief Safety Officer explaining his or her

views on the plan on which agreement was not reached.

Appendix B to Part 271--Procedures for Submission of RRP Plans and
Statements From Directly Affected Employees

    This appendix establishes procedures for the submission of a
railroad's RRP plan and statements by directly affected employees
consistent with the requirements of this part.

Submission by a Railroad and Directly Affected Employees

    (a) As provided for in Sec.  271.101, each railroad must
establish and fully implement an RRP that continually and
systematically evaluates railroad safety hazards on its system and
manages the resulting risks to reduce the number and rates of
railroad accidents, incidents, injuries, and fatalities. The RRP
shall be fully implemented and supported by a written RRP plan. Each
railroad must submit its RRP plan to FRA for approval as provided
for in Sec.  271.201.
    (b) As provided for in Sec.  271.207(e), if a railroad and its
directly affected employees cannot come to agreement on the proposed
contents of the railroad's RRP plan, the directly affected employees
have 30 days following the railroad's submission of its proposed RRP
plan to submit a statement to the FRA Associate Administrator for
Railroad Safety and Chief Safety Officer explaining the directly
affected employees' views on the plan on which agreement was not
reached.
    (c) The railroad's and directly affected employees' submissions
shall be sent to the Associate Administrator for Railroad Safety and
Chief Safety Officer, FRA. The mailing address for FRA is 1200 New
Jersey Avenue SE, Washington, DC 20590. When a railroad submits its
RRP plan and consultation statement to FRA pursuant to Sec.
271.301, it must also simultaneously send a copy of these documents
to all individuals identified in the service list pursuant to Sec.
271.207(d)(3).
    (d) Each railroad and directly affected employee is authorized
to file by electronic means any submissions required under this
part. Before any person files a submission electronically, the
person shall provide the FRA Associate Administrator for Railroad
Safety and Chief Safety Officer with the following information in
writing:
    (1) The name of the railroad or directly affected employee(s);
    (2) The names of two individuals, including job titles, who will
be the railroad's or directly affected employees' points of contact
and will be the only individuals allowed access to FRA's secure
document submission site;
    (3) The mailing addresses for the railroad's or directly
affected employees' points of contact;
    (4) The railroad's system or main headquarters address located
in the United States;
    (5) The email addresses for the railroad's or directly affected
employees' points of contact; and
    (6) The daytime telephone numbers for the railroad's or directly
affected employees' points of contact.
    (e) A request for electronic submission or FRA review of written
materials shall be addressed to the FRA Associate Administrator for
Railroad Safety and Chief Safety Officer, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Washington, DC 20590.
Upon receipt of a request for electronic submission that contains
the information listed above, FRA will then contact the requestor
with instructions for electronically submitting its program or
statement. A railroad that electronically submits an initial RRP
plan or new portions or revisions to an approved program required by
this part shall be considered to have provided its consent to
receive approval or disapproval notices from FRA by email. FRA may
electronically store any materials required by this part regardless
of whether the railroad that submits the materials does so by
delivering the written materials to the Associate Administrator and
opts not to submit the materials electronically. A railroad that
opts not to submit the materials required by this part
electronically, but provides one or more email addresses in its
submission, shall be considered to have provided its consent to
receive approval or disapproval notices from FRA by email or mail.

    Issued in Washington, DC.
Ronald L. Batory,
Administrator, Federal Railroad Administration.
[FR Doc. 2020-00425 Filed 2-14-20; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register Volume 81, Number 82 (Thursday, April 28, 2016)]
[Notices]
[Pages 25462-25464]
[FR Doc No: 2016-09899]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77691; File No. SR-BatsEDGX-2016-11]

Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice
of Filing and Immediate Effectiveness of a Proposed Rule Change Related
to Fees

April 22, 2016.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on April 11, 2016, Bats EDGX Exchange, Inc. (the ``Exchange'' or
``EDGX'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II
and III below, which Items have been prepared by the Exchange. The
Exchange has designated the proposed rule change as one establishing or
changing a member due, fee, or other charge imposed by the Exchange
under Section 19(b)(3)(A)(ii) of the Act \3\ and Rule 19b-4(f)(2)
thereunder,\4\ which renders the proposed rule change effective upon
filing with the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange filed a proposal to amend the fee schedule applicable
to Members \5\ and non-members of the Exchange pursuant to EDGX Rules
15.1(a) and (c) (``Fee Schedule'') to amend the Investor Depth Tier
under footnote 1.
---------------------------------------------------------------------------

    \5\ The term ``Member'' is defined as ``any registered broker or
dealer that has been admitted to membership in the Exchange.'' See
Exchange Rule 1.5(n).
---------------------------------------------------------------------------

    The text of the proposed rule change is available at the Exchange's
Web site at www.batstrading.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 Exchange 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 these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
Sections A, B, and C below, of the most significant 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 determines the liquidity adding rebate that it will
provide to Members using the Exchange's tiered pricing structure. Under
such pricing structure, a Member will receive a rebate of anywhere
between $0.0025 and $0.0034 per share executed, depending on the volume
tier for which such Member qualifies. In January 2014, the Exchange
adopted the Investor Depth Tier under footnote 1 of the Fee
Schedule.\6\ Members who qualify for the Investor Depth Tier receive a
rebate of $0.0033 per share where they: (i) Add an ADV \7\ of at least
0.15% of the TCV; \8\ (ii) have an ``added liquidity'' as a percentage
of ``added plus removed liquidity'' of at least 85%; and (3) add an ADV
of at least 500,000 share as Non-displayed \9\ orders that yield fee
code HA.\10\
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 76816 (January 4,
2016, 81 FR 987 (January 8, 2016) (SR-EDGX-2015-67).
    \7\ As defined in the Exchange's Fee Schedule available at
http://batstrading.com/support/fee_schedule/edgx/.
    \8\ Id.
    \9\ See Exchange Rule 11.6(e)(2) for the definition of Non-
Displayed.
    \10\ Fee code HA is appended to Non-displayed orders that add
liquidity on the Exchange. See the Exchange's Fee Schedule available
at http://batstrading.com/support/fee_schedule/edgx/.
---------------------------------------------------------------------------

    The Exchange now proposes to amend the Investor Depth Tier to: (i)
Decrease the Member's added ADV threshold in Non-Displayed orders from
500,000 shares to 400,000 shares; and (ii) permit a Member's added ADV
to include Non-Displayed orders that yield fee codes HI and/or MM, in
addition to fee code HA. Fee code HI is appended to Non-Displayed
orders that receive price improvement and add liquidity, and fee code
MM is appended to Non-Displayed orders that add liquidity using
MidPoint Peg Orders.\11\ Lowering the Member's ADV threshold would
encourage Members who cannot meet the tier's current criteria to
increase their volume on the Exchange in order to achieve the lower
threshold. Also, permitting Non-Displayed orders that yield fee codes
HI and/or MM, in addition to fee code HA, to be included as part of the
Member's ADV would enable Members that utilize other types of Non-
Displayed orders to be included as part of the Members added ADV for
purposes to satisfying the Investor Depth Tier. In addition, lowering
the ADV threshold, combined with the additional fee codes, necessary to
achieve the tier should encourage Members to add displayed liquidity,
as only the displayed liquidity in this tier is awarded the enhanced
rebate. The remainder of the criteria required to meet the tier as well
as the rate offered by the tier would remain unchanged.
---------------------------------------------------------------------------

    \11\ See Exchange Rule 11.8(d) for a description of MidPoint Peg
orders.
---------------------------------------------------------------------------

    The Exchange proposes to implement this amendment to its Fee
Schedule immediately.\12\
---------------------------------------------------------------------------

    \12\ The Exchange initially filed the proposed change on April
1, 2016 (SR-BatsEDGX-2016-06). On April 11, 2016, the Exchange
withdrew SR-BatsEDGX-2016-06 and submitted this filing).
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the objectives of Section 6 of the Act,\13\ in general, and
furthers the objectives of Section 6(b)(4),\14\ in particular, as it is
designed to provide for the equitable allocation of reasonable dues,
fees and other charges among its Members and other persons using its
facilities. The Exchange also notes that it operates in

a highly-competitive market in which market participants can readily
direct order flow to competing venues if they deem fee levels at a
particular venue to be excessive. The proposed rule changes reflect a
competitive pricing structure designed to incent market participants to
direct their order flow to the Exchange. The Exchange believes that the
proposed amendments to the Investor Depth Tier are equitable and non-
discriminatory in they would apply uniformly to all Members. The
Exchange believes the rate remains competitive with those charged by
other venues and, therefore, reasonable and equitably allocated to
Members.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f.
    \14\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    Volume-based rebates such as that proposed herein have been widely
adopted by equities exchanges and are equitable because they are open
to all Members on an equal basis and provide additional benefits or
discounts that are reasonably related to: (i) The value to an
exchange's market quality; (ii) associated higher levels of market
activity, such as higher levels of liquidity provision and/or growth
patterns; and (iii) introduction of higher volumes of orders into the
price and volume discovery processes. The Exchange believes that the
proposal is a reasonable, fair and equitable, and not unfairly
discriminatory allocation of fees and rebates because it will provide
Members with an additional incentive to reach certain thresholds on the
Exchange.
    In particular, the Exchange believes the amendments to the Investor
Depth Tier are a reasonable means to encourage Members to increase
their liquidity on the Exchange. The Exchange further believes that the
amendments to the Investor Depth Tier represent an equitable allocation
of reasonable dues, fees, and other charges because the thresholds
necessary to achieve the tier continue to encourage Members to add
displayed liquidity to the EDGX Book \15\ each month, as only the
displayed liquidity in this tier is awarded the rebate of $0.0033 per
share. The amendments to the Investor Depth Tier also continue to
recognizes the contribution that non-displayed liquidity provides to
the marketplace, including: (i) Adding needed depth to the EDGX market;
(ii) providing price support/depth of liquidity; and (iii) increasing
diversity of liquidity to EDGX. Including Non-Displayed orders that
yield fee codes HI and/or MM, in addition to fee code HA, would enable
Members that utilize other types of Non-Displayed orders to be included
as part of the Member's added ADV for purposes to satisfying the
Investor Depth Tier. In addition, fee code MM and HI are both yielded
on Non-Displayed orders that add liquidity--fee code MM for MidPoint
Peg Orders and fee code HI for Non-Displayed orders that receive price
improvement. The Exchange believes that Members utilizing Non-Displayed
orders that add liquidity to the EDGX Book provide increased
opportunities for Members to receive the benefit of price improvement,
and the addition of fee codes HI and MM is a reasonable means by which
to encourage the use of such orders. Combined with the addition of fee
codes HI and MM, lowering the ADV threshold necessary to achieve the
tier should encourage Members to add displayed liquidity, as only the
displayed liquidity in this tier is awarded the enhanced rebate. The
increased liquidity benefits all investors by deepening EDGX's
liquidity pool, offering additional flexibility for all investors to
enjoy cost savings, supporting the quality of price discovery,
promoting market transparency and improving investor protection.
---------------------------------------------------------------------------

    \15\ The EDGX Book is the System's electronic file of orders.
See Exchange Rule 1.5(d).
---------------------------------------------------------------------------

    The Exchange also notes that the criteria and rebate under the
Investor Depth Tier continues to be equitable and reasonable as
compared to other tiers offered by the Exchange. For example, under the
Investor Tier Members may receive a rebate of $0.0032 per share where
they (i) add an ADV of at least 0.15% of the TCV; and (ii) have an
``added liquidity'' as a percentage of ``added plus removed liquidity''
of at least 85%. These thresholds mirror the first two thresholds
required to meet the Investor Depth Tier. However, in order to achieve
the higher rebate of $0.0033 per share provided by the amended Investor
Depth Tier, Members must also add an ADV of at least 400,000 share as
Non-displayed orders that yield fee codes HA, HI, and/or MM. Therefore,
the Exchange believes the Investor Depth Tier continues to be
consistent with Section 6(b)(4) \16\ of the Act as the more stringent
criteria correlates with the tier's higher rebate.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

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

    The Exchange does not believe its proposed amendment to its Fee
Schedule would impose any burden on competition that is not necessary
or appropriate in furtherance of the purposes of the Act. The Exchange
does not believe that the proposed change represents a significant
departure from previous pricing offered by the Exchange or pricing
offered by the Exchange's competitors. Additionally, Members may opt to
disfavor the Exchange's pricing if they believe that alternatives offer
them better value. Accordingly, the Exchange does not believe that the
proposed change will impair the ability of Members or competing venues
to maintain their competitive standing in the financial markets.
    The Exchange does not believe that the amended tier would burden
competition, but instead, enhances competition, as it is intended to
increase the competitiveness of and draw additional volume to the
Exchange. As stated above, the Exchange notes that it operates in a
highly competitive market in which market participants can readily
direct order flow to competing venues if they deem fee structures to be
unreasonable or excessive. The proposed change is generally intended to
draw additional liquidity to the Exchange. The Exchange does not
believe the amended tier would burden intramarket competition as it
would apply to all Members uniformly.

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from Members or other interested
parties.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \17\ and paragraph (f) of Rule 19b-4
thereunder.\18\ At any time within 60 days of the filing of the
proposed rule change, the Commission summarily may temporarily suspend
such rule change if it appears to the Commission that such action is
necessary or appropriate in the public interest, for the protection of
investors, or otherwise in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78s(b)(3)(A).
    \18\ 17 CFR 240.19b-4(f).
---------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act.

Comments may be submitted by any of the following methods:

 Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-BatsEDGX-2016-11 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-BatsEDGX-2016-11. 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 Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site 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; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-BatsEDGX-2016-11, and should
be submitted on or before May 19, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
---------------------------------------------------------------------------

    \19\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Brent J. Fields,
Secretary.
[FR Doc. 2016-09899 Filed 4-27-16; 8:45 am]
 BILLING CODE 8011-01-P


         UNITED STATES OF AMERICA

   DEPARTMENT OF TRANSPORTATION

           OFFICE OF THE SECRETARY

                  WASHINGTON, D.C.

Issued by the Department of Transportation on the 2nd day of
November 2004

Essential Air Service at

DICKINSON, NORTH DAKOTA

under 49 U.S.C. 41731 et seq.

 		Docket OST-1995-697

Notice of Extension

This serves as notice to the public of the action described below, taken
by the Department official indicated.  (No additional confirming order
will be issued in this matter.)

By Order 2004-9-11, served September 14, 2004, the Department
requested proposals from air carriers interested in providing essential
air service at Sheridan, Wyoming.  Two air carriers submitted a total of
nine proposal options in response to this order.  By letter dated
October 26, 2004, we requested comments on the air carrier selection
from the Mayor and Airport Manager of Dickinson and the Director, North
Dakota Aeronautics Commission.  We requested that these comments be
submitted by November 12, 2004.

We have received a request dated November 1, 2004, from the Airport
Manager, Dickinson Theodore Roosevelt Regional Airport, requesting an
extension until November 19, 2004, for submitting the civic parties’
comments.  In support of his request, the Airport Manager states that a
regularly-scheduled meeting of the Airport Authority was pushed back
from November 9 to November 16.

We will grant this request, and in so doing, will grant all of the
civic parties until November 19, 2004, to submit their comments on the
service proposals for Sheridan.

This action is effective immediately.

Action taken by:	Dennis DeVany, Chief

					EAS and Domestic Analysis Division, X-53

					Office of Aviation Analysis

					Office of the Secretary

An electronic version of this document is available on the World Wide
Web at

  HYPERLINK "http://dms.dot.gov/"  http://dms.dot.gov/

 PAGE

-  PAGE   2  -


[Federal Register Volume 77, Number 95 (Wednesday, May 16, 2012)]
[Notices]
[Pages 28865-28866]
[FR Doc No: 2012-11737]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 6764-036]

BMB Enterprises, Inc.; Notice of Application Accepted for Filing,
Soliciting Motions To Intervene and Protests, Ready for Environmental
Analysis, and Soliciting Comments, Recommendations, Terms and
Conditions, and Fishway Prescriptions

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Application Type: Amendment of license.
    b. Project No.: 6764-036.
    c. Date Filed: December 5, 2011, and supplemented on April 30,
2012.
    d. Applicant: BMB Enterprises, Inc.
    e. Name of Project: Sixmile Creek Hydroelectric Project.
    f. Location: When constructed, the project will be located on the
Sixmile Creek in Sanpete County, Utah.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Applicant Contact: Brad F. Hutchings, BMB Enterprises, Inc., 282
North 1350 East, Bountiful, Utah 84010; telephone<PHONE_NUMBER>.
    i. FERC Contact: Linda Stewart, telephone:<PHONE_NUMBER>, and
email address<EMAIL_ADDRESS>    j. Deadline for filing motions to intervene and protests, comments,
recommendations, terms and conditions, and fishway prescriptions is 60
days from the issuance of this notice; reply comments are due 105 days
from the issuance date of this notice.
    All documents may be filed electronically via the Internet. See 18
CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web
site at http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support at<EMAIL_ADDRESS>or toll free at 1-866-208-3676,
or for TTY,<PHONE_NUMBER>. Although the Commission strongly encourages
electronic filing, documents may also be paper-filed. To paper-file,
mail an original and seven copies to: Kimberly D. Bose, Secretary,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426. Please include the project number (P-6764-036) on any
comments, motions, or recommendations filed.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person whose name appears on the official service
list for the project. Further, if an intervenor files comments or
documents with the Commission relating to the merits of an issue that
may affect the responsibilities of a particular resource agency, they
must also serve a copy of the document on that resource agency.
    k. Description of Request: BMB Enterprises, Inc. (licensee)
proposes to modify various project facilities as authorized in the
October 16, 1987 Order Issuing License (Minor Project). Instead of
constructing a new powerhouse containing two 325-kilowatt (kW) turbine
generating units for a total installed capacity of 650 kW, the licensee
proposes to construct a new powerhouse containing two 350-kW and two
330-kW turbine generating units for a total installed capacity of 1,360
kW. The hydraulic capacity of the project would increase from 20 to 40
cubic feet per second. The licensee also proposes to: modify the
diversion structure and install screens; increase the penstock size
from 24 to 30 inches in diameter; and change the transmission line
route. Additionally, the licensee proposes to modify the instream
minimum flow requirements pursuant to Article 103.\1\
---------------------------------------------------------------------------

    \1\ The minimum flow requirement as specified in Article 103 is
a section 4(e) license condition stipulated by the U.S. Forest
Service.
---------------------------------------------------------------------------

    l. Locations of the Application: A copy of the application is
available for inspection and reproduction at the Commission's Public
Reference Room, located at 888 First Street NE., Room 2A, Washington,
DC 20426, or by calling<PHONE_NUMBER>. This filing may also be viewed
on the Commission's Web site at http://www.ferc.gov using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. You may also
register online at http://www.ferc.gov/docs-filing/esubscription.asp to
be notified via email of new filings and issuances related to this or
other pending projects. For assistance, call 1-866-208-3676 or email
<EMAIL_ADDRESS>for TTY, call<PHONE_NUMBER>. A copy is
also available for inspection and reproduction at the address in item
(h) above.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Filing and Service of Responsive Documents: All filings must (1)
bear in all capital letters the title ``PROTEST'', ``MOTION TO
INTERVENE'', ``COMMENTS,'' ``REPLY COMMENTS,'' ``RECOMMENDATIONS,'' ''
TERMS AND CONDITIONS,'' or ``FISHWAY PRESCRIPTIONS;'' (2) set forth in
the heading the name of the applicant and the project number of the
application to which the filing responds; (3) furnish the name,
address, and telephone number of the person protesting or intervening;
and (4) otherwise comply with the requirements of 18 CFR 385.2001
through 385.2005. All comments, recommendations, terms and conditions
or prescriptions must set forth their evidentiary basis and otherwise
comply with the requirements of 18 CFR 4.34(b). All comments,
recommendations, terms and conditions or prescriptions should relate to
project works which are the subject of the license amendment. Agencies
may obtain copies of the application directly from the applicant. A
copy of any protest or motion to intervene must be served upon each
representative of the applicant specified in the particular
application. If an intervener files comments or documents with the
Commission relating to the merits of an issue that may affect the
responsibilities of a particular resource agency, they

must also serve a copy of the document on that resource agency. A copy
of all other filings in reference to this application must be
accompanied by proof of service on all persons listed in the service
list prepared by the Commission in this proceeding, in accordance with
18 CFR 4.34(b) and 385.2010.

    Dated: May 9, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-11737 Filed 5-15-12; 8:45 am]
BILLING CODE 6717-01-P