Select Committee on Rail Safety Report

September 13, 2023

 Contents

I. Committee Membership

II. Background Information

III. Public Testimony

IV. Final Recommendations

V. Documents Submitted To The Committee

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 I. Committee Membership

The President of the Senate appointed the following members to

serve on the Select Committee on Rail Safety:

Senator Bill Reineke, Chair R-Tiffin

Senator Michael Rulli, Vice- R-Salem
Chair
Senator Nickie Antonio, D-Lakewood
Ranking Member
Senator Louis W. Blessing III R-Colerain Township
Senator Paula Hicks-Hudson D-Toledo
Senator Frank Hoagland R-Mingo Junction
Senator Catherine Ingram D-Cincinnati
Senator Stephanie Kunze R-Dublin
Senator Al Landis R-Dover
Senator Kristina Roegner R-Hudson

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 II. Background Information

Select Committee on Rail Safety

On February 3, 2023 at 8:55pm a Norfolk Southern train derailed in East
Palestine, Ohio. Thirty-eight cars derailed from the tracks, some were
carrying hazardous chemicals which spilled in the nearby area. The
chemicals released during the crash caused a fire, leading emergency
crews to take action to begin and maintain a two-day controlled burn of
certain cars to ensure that those cars containing chemicals did not
explode. Residents in the area within one mile were evacuated during
the time of the controlled burn.
Since February 3, 2023, the United States Environmental Protection
Agency, the Ohio Environmental Protection Agency, the Ohio
Emergency Management Agency, local first responders and Norfolk
Southern have been on the scene clearing the area of debris and
hazardous materials caused by the accident.
The Select Committee on Rail Safety was formed on February 24, 2023
to gain a better understanding of why the derailment in East Palestine
occurred, where the recovery stands, and to determine how the Ohio
General Assembly can help the people of East Palestine recover, and
how to best prevent and respond to future accidents. Over the course of
five meetings, and a site visit, the members heard testimony from
thirteen individuals who reviewed and deliberated the events that
happened during and after the derailment in East Palestine, Ohio.

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III. Public Testimony
Date Presenter Agency/Organization
3.1.23 Anne Vogel Director, Ohio Environmental Protection
Agency
Mark Johnson Assistant Director, Ohio Environmental
Protection Agency
Sima Merick Director, Ohio Emergency Management
Agency

Date Presenter Agency/Organization

3.8.23 Jack Marchbanks Director, Ohio Department of
Transportation
Dr. Bruce Vanderhoff Director, Ohio Department of Health

Lori Criss Director, Ohio Department of Mental

Health & Addiction Services

Date Presenter Agency/Organization

3.22.23 Andy Wilson Director, Ohio Department of Public
Safety
Jenifer French Chair, Ohio Public Utilities Commission

Brian Baldridge Director, Ohio Department of Agriculture

Date Presenter Agency/Organization

4.18.23 Alan Shaw CEO, Norfolk Southern

Art Arnold Ohio Rail Association

Date Presenter Agency/Organization

4.26.23 John Esterly Brotherhood of Locomotive Engineers
and Trainmen
Clyde Whitaker Director, Smart Transportation Ohio State
Legislative Board

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First Hearing, March 1, 2023

Anne Vogel, Director, Ohio Environmental Protection Agency and Mark Johnson,
Assistant Director, Ohio Environmental Protection Agency (OEPA)
Director Vogel spoke on the continued removal of hazardous materials in East
Palestine, providing an update to the committee from the site. At the time of her
testimony on March 1, all of the train cars had been removed aside from those
being held by the National Transportation Safety Board. The Ohio EPA had begun
to wash sediments, chemicals on the creek beds and were in the planning process
for the removal of contaminated soil from under the railroad tracks.

Sima Merick, Director, Ohio Emergency Management Agency (OEMA)

Director Merick gave a detailed timeline of events surrounding the train derailment
and subsequent clean-up. Local fire, EMS, law enforcement, and the State
Highway Patrol were first on the scene. There was robust cooperation between
state and local Columbiana County officials and Pennsylvanian officials at the
scene. There was an agreement to conduct a controlled burn of the chemicals to
avoid explosion. No elevated air quality concerns were observed after the burn.
The decision was made to activate the Ohio National Guard, which proceeded with
an evacuation of the nearby residents as a precaution. The burn was conducted on 5
tankers. Additionally, partial activation of EMA responders occurred for the Ohio
EMA’s resources to be utilized. A unified command was established by the local
fire chief, local and state law enforcement, OEPA, OEMA, and USEPA to oversee
the clean-up and recovery process.

Second Hearing, March 8, 2023

Jack Marchbanks, Director, Ohio Department of Transportation (ODOT)

Director Marchbanks detailed ODOT’s coordination with clean-up efforts
following the derailment at East Palestine. He expressed support for the $125M
railroad crossing safety grant program within HB 33 (FY24/FY25 Main Operating
Budget). The Director was joined by Thomas Corey, District 11 Director, who
discussed the details of the clean-up efforts. These efforts involved over 900 hours
of work. Tasks included snow and ice control assistance for East Palestine; setting
barricades to assist the clean-up crews; and closing off roads to control traffic.
ODOT cooperated with local law enforcement and the National Guard for
evacuation efforts, including communication to the public. Ongoing

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communication efforts are occurring in the community through the use of message
boards. Daily situational awareness reports are also produced.

Dr. Bruce Vanderhoff, Director, Ohio Department of Health (ODH)

Director Vanderhoff discussed setting up the health clinic in East Palestine, the
agency’s planned long-term involvement in the community, as well as water
sampling efforts. ODH is working with local and federal partners and agencies.
They are working on air and water safety, using appropriate thresholds for testing
and making test results transparent to the public. ODH identified the need for on
the ground health support and are providing that through a partnership with the
Columbia County Health Department. The Director encouraged anyone with health
concerns to call their hotline at (330) 383-6020 to receive health check-ups. After
Chemical Exposure (ACE) surveys are being used to gather information from the
community. 93 patients had completed the ACE survey, and over 200 patients have
visited the clinic. At the clinic, anxiety and respiratory issues were reported. The
Department of Ohio Mental Health and Addiction Services is prioritizing mental
health services for people in the community. Water testing is encouraged for
people living within the priority zone. ODH is scheduling private water sampling
for those individuals. ODH is doing their own sampling alongside Norfolk
Southern to review the results side by side. Results so far have been identical.
Moreover, trace detections in well testing show no evidence of correlating with the
train derailment. All results have been posted online for transparency. Water
testing will go on for years in order to observe any potential changes. This is a
proactive measure in case anything is discovered in the water.

Lori Criss, Director, Ohio Department of Mental Health and Addiction Services
(OHMAS)
Director Criss gave the committee a briefing on OMHAS’ work in East Palestine
and on understanding the emotional response after a disaster. Trauma and its
impact on individuals goes through phases. Resiliency building is essential for the
community. Ongoing signs of emotional stress are common and a concern in these
situations. Monitoring friends and neighbors is key. OMHAS is providing
resources for individuals to reach out for help. Signs of stress include difficulty
sleeping, nightmares, and substance abuse. At the clinic, mental health screening is
provided. 77% of those screened reported worsening mental health conditions.
56% reported anxiety, which was the most reported condition. OMHAS is working
with first responders to support them as well. Hotlines for emotional support, and
crisis response professionals are available to the public. Director Criss discussed

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grant dollars to afford additional support. One grant is for first responders and
another is for the community. The grants provide funding for a year. Rebound
trauma concerns are there for the long-term.

Third Hearing, March 22, 2023

Andy Wilson, Director, Department of Public Safety (DPS)

Director Wilson initially spoke about the immediate response to the derailment
from the emergency response teams from the Columbiana County region and from
the Beaver County, Pennsylvania area. Director Wilson then referenced Ohio
Revised Code Section 3737.80, which states the chief of the fire department in
whose jurisdiction the emergency is occurring is responsible for on scene activities
of all agencies of the state, the federal government, and political subdivisions that
are responding to the emergency situation until the chief relinquishes that
responsibility to a representative of a responding agency and notifies that
representative. Based on this section of code, Chief Keith Drabick of the East
Palestine Fire Department was the local incident commander, and he assumed this
responsibility on the night of the derailment. They fought the fire from a defensive
position. While this was underway, the Ohio EPA, the U.S. EPA, and many other
agencies were also onsite dealing with the environmental aspect of the emergency
response. The Columbiana County EMA was also onsite, reporting on the situation
to the State EMA, who was continuing to monitor any additional resources that
might be necessary. This overall plan was the plan that everyone had agreed to and
that Chief Drabick implemented. Several days after the derailment, Chief Drabick
was notified that there was an imminent risk that one of the tankers on the train
could explode and then create a chain of explosions with underground tankers. The
well-being of the nearby citizens was the most important piece that was considered
when deciding how to respond to this imminent threat, as up to 500 people were
likely still in the evacuation zone. The Ohio State Highway Patrol sent troopers
from various regions to assist. The Ohio State Highway Patrol also mobilized their
Mobile Field Force and utilized available aviation assets, such as helicopters. This
allowed aerial video to be taken of the derailment site, which was then downloaded
to the Mobile Command Center, and provided crucial information. Lastly, they
mobilized the Command and Control Center onsite, which was staffed by the Field
Ops Major. The State Highway Patrol went door-to-door and knocked on every
door in the evacuation zone to alert people that they needed to evacuate. The Ohio
National Guard was also mobilized to assist with the derailment containment, and

7
they were onsite within two and a half hours. Roadblocks were also set up by the
National Guard to prevent anyone from getting too close to the derailment site.
Ohio Governor Mike DeWine arrived early onsite the morning after the
derailment.

Jenifer French, Chair, Public Utilities Commission of Ohio (PUCO)

Chairwoman French discussed the role of the PUCO in the regulation of railroads
in Ohio. Much of the railroad regulation in the country is conducted by the federal
government through the U.S. Department of Transportation’s Federal Railroad
Administration (FRA). The U.S. Department of Transportation’s Pipeline and
Hazardous Materials Safety Administration (FMSA) establishes regulations
surrounding the transportation of hazardous materials by any means of
transportation. The FRA has jurisdiction to enforce regulations of hazardous
materials being transported by rail. Additionally, federal law prohibits state
regulations on the same subject that is already regulated by the FRA, which gives
the FRA exclusive jurisdiction over hazardous materials being transported by rail.
The PUCO has jurisdiction over Ohio’s public highway and railway crossings, and
for certain matters including: administering programs for improving the safety of
railroad crossings, conducting state safety inspections of public railway crossings,
the transportation of hazardous materials, structures and railroad equipment and
facilities in Ohio, conducting federal inspections on behalf of the FRA, and
assisting in incident investigations as requested by the FRA. The PUCO employs
nine rail inspectors, who are certified by the Federal Railroad Administration.
There are also two hazardous material specialists who are certified by the FRA for
rail inspections. The PUCO responds to rail incidents at the direction of the FRA
and assists the FRA in their work when necessary. In this way, the PUCO
facilitates federal oversight of Ohio’s railways.

Brian Baldridge, Director, Ohio Department of Agriculture (ODA)

Director Baldridge spoke about the Department of Agriculture’s role in the East
Palestine response. The Department of Agriculture was a secondary agency in
terms of the response to the derailment, and their response was focused on how the
agricultural community in the area would be affected. Through local partners, they
monitored soil and water contamination levels. They also reached out to their Ohio
Farm Bureau members in the area to investigate how they could be of help. They
reached out to the Department of Agriculture in Pennsylvania to coordinate their
response with them as well, since the derailment was so close to the border

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between Ohio and Pennsylvania. Meat inspectors conducted meat testing as well in
the counties surrounding the derailment. So far, they have not found anything in
soil, water, or meat testing that has concerned them in terms of chemical levels.

Fourth Hearing, April 18, 2023

Alan Shaw, CEO, Norfolk Southern

Mr. Shaw elaborated on the progress being made cleaning up the derailment site,
including a long-term plan for testing at the direction of US EPA. He emphasized
the need for transparent test results. Clean-up teams contained, diverted, and
treated affected nearby waterways, flushed a mile of surface waterways, and
continue to capture rainwater for temporary storage and removal. More than 12.3
million gallons of potentially affected water had been recovered and transported
from the site for disposal at EPA-approved sites. Crews had also removed more
than 25,000 tons of affected soil from the site as well. Continued testing shows air
and water are safe, but Norfolk Southern is committed to further monitoring as
needed. Mr. Shaw noted Norfolk Southern’s initial investment of over $30 million
to East Palestine. He said the company is working with Attorney General Yost on a
final resolution. Norfolk Southern wants to create a healthcare fund that addresses
long-term health concerns for residents, funds to protect local property values,
water protection funds, and are reimbursing local first responder organizations for
the cost of the response and clean-up.
Mr. Shaw has pledged full cooperation of the company in the NTSB investigation.
In the meantime, the company is making its early-warning sensors stronger.
Norfolk Southern is also prioritizing preparing first responders for incidents with
new training facilities and programs, including some in Ohio. The company
believes an industry-wide approach is needed to increase safety. Mr. Shaw detailed
the company’s new approach using precision scheduled railroading (PSR). PSR
has become associated with cost cutting, but Mr. Shaw states the company has
moved from a focus on operating ratio to one on service, productivity, and growth.
Finally, Mr. Shaw ended his testimony echoing his support for legislative efforts to
enhance rail safety, outlining specific provisions in federal legislation the company
supports. He also made other suggestions for Congress on rail car design, fine and
penalty increases for tampering, codifying and enhancing the confidential close
call reporting system (C3RS), and new requirements for utility installations in
rights-of-ways.

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Art Arnold, Ohio Railroad Association (ORA)
Mr. Arnold stated the Association represents 28 railroads, with Norfolk Southern
and CSX being the largest members with the biggest footprint in Ohio. Both are
also Class I railroads. According to the Ohio State Rail Plan, Ohio has the fourth
most active rail lines in the country and arguably the most concentrated due to
geography. This shows the close tie between rail and Ohio’s economy. Rail
contributes $2.8 billion to the state’s economy annually and provides crucial
service to a variety of industries. Most railroads in the ORA are short line railroads
that provide first mile and last mile service to customers, making them important to
the economy. All railroads are required to follow the many federal regulations that
impact them. These are overseen by the Federal Railroad Administration’s Office
of Railroad Safety. Since the derailment, every railroad in Ohio has reviewed their
operating practices and safety measures. Both the FRA and Association of
American Railroads have issued advisories on rail operations as well. Over 99% of
trains operate safely from their origin to their destination according to Mr. Arnold;
moreover, since the 1990s, derailments have been down 85% due to better
operation rules, investments, and applied technology. He maintained that rail is the
safest way to transport hazardous materials. More improvements are occurring but
it takes time, money and resources to do so. The rail industry is committed to Ohio
by providing thousands of rail-dependent jobs that culminate in lifelong careers as
well.

Fifth Hearing, April 26, 2023

John Esterly, Brotherhood of Locomotive Engineers and Trainmen

Mr. Esterly explained rail transportation regulations involving hazardous waste.
Regulators include 4 federal bodies: the Surface Transportation Board, the Federal
Railroad Administration, the Pipeline and Hazardous Materials Safety
Administration, and the Department of Homeland Security. The Surface
Transportation Board has jurisdiction over matters of interstate commerce and
manages rail operators’ obligations as common carriers. The Federal Rail
Administration governs rail safety and general operations. The Pipeline and
Hazardous Materials Safety Administration (PHMSA) establishes regulations for
the safe handling of hazardous materials and their transportation on rail. The
Department of Homeland Security (DHS) handles safety and security as it applies
to rail transportation, specifically the transportation of hazardous materials. He
stated this breakdown allows for expertise, but can lead to difficulty navigating the

10
regulations. Hazardous materials are classified into eight different groups using
material type and the hazards they pose with a ninth category for miscellaneous
materials. The PHMSA defines several specific types of shipments in their
regulations, and each has specific requirements for operation. The strictest
regulations are for high-hazard flammable trains. General shipments of hazardous
materials are not regulated any differently than standard shipments by rail. The rail
industry has additional guidelines for transporting hazardous materials (e.g., key
trains), but none are enforceable by any regulatory agency and have no compliance
requirement. DHS defines High-Threat Urban Areas (HTUAs), which are
geographic areas that have further requirements for hazardous material shipments
due to their population density and potential to be threats for attack. DHS also
manages information about hazardous shipments with the TSA for emergency
response and for timing of shipments.

Clyde Whitaker, Director, Smart Transportation Ohio State Legislative Board

Mr. Whitaker first gave a breakdown of the Federal Railroad Administration’s four
railroad classes: industrial, Class I (Norfolk Southern), Class II, and Class III.
Class III railroads state they cannot afford two-person crews or wayside defect
detectors, but Mr. Whitaker believes they can, as companies that should have Class
I status own them. Before Precision Scheduled Railroading began at Norfolk
Southern, the company had more employees who received more training. Now,
there are fewer trains and more derailments. Mr. Whittaker also pointed out that
Norfolk Southern has a 23.71% retention rate among new conductors and that
people are leaving the industry due to the hours, job security, etc. He urges that a
stronger effort is made to ensure new hires are comfortable in their work
environment, and that employees receive more training and greater understanding
of rules to prevent derailments. Mr. Whitaker provided locomotive incidents he is
aware of that had one-man crews and asserted the issue with wayside detectors is
their thresholds and utilization. He also stated that railroad companies set the rules
and do not have to comply with them. Moreover, the industry wants to minimize or
eliminate railcar expansions, which allows defects to be detected to prevent
derailments and that they want to grow trains to astronomical lengths. In closing,
Mr. Whitaker recommended railroad companies support the Rail Safety Act,
encourage the Confidential Close Call Reporting System (C3RS) program, work
on better training programs, and focus on safe zones. He also believes the Ohio
Rail Development Commission needs funding for grade crossing projects as
included in the budget bill.

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IV. Recommendations:

x Encourage the passage of the Railway Safety Act of 2023, S.576 (S. Brown,
J.D. Vance) in Congress and urge improved coordination between state and
federal governments to better convey their respective oversight and
responsibilities of trains and rail safety to the general public.
x Establish a clear and concise chain of command when emergencies occur. In
East Palestine, state and local officials worked together to create an effective
chain of command led by the local fire chief.
x Provide additional resources for training for volunteer fire and EMS
personnel.
x Consider emerging technology that can quickly identify rail cars and the
materials in them to assess how to manage the accident and limit the damage
that occurs due to a derailment.
x Request continued long-term testing of soil and water at and near the
derailment in East Palestine for a period of at least 20 years.
x Encourage improved communication between rail companies and local
EMAs to better equip local communities with necessary information to
improve their response to potential emergencies, such as what kind of
materials pass through their jurisdiction, who operates the rail lines, and
emergency contact information for each rail line operator.
x Request funding a report on agriculture in the East Palestine region in the
next operating budget.
x Encourage research on alternative resources that may be utilized by first
responders to put out hazardous material fires such as soil and sand.
x Advocated for provisions enacted in H.B. 23 (FY24/FY25 Transportation
Budget): requiring two person crews (O.R.C. 4999.99), requiring the use and
installation of more wayside detectors by train companies (O.R.C. 4955.50
and 4955.51), and completion of a study by the PUCO regarding the
effectiveness of wayside detectors (O.R.C. 749.20).
x Advocated for provisions enacted in H.B. 33 (FY24/25 Main Operating
Budget): providing $100M for Rail Safety Crossing Match (O.R.C. 411.20
and O.R.C. 513.10).

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V. Documents Submitted to the Committee:

13
 Director’s Office
March 2023

East Palestine Train Derailment –

Monitoring and Sampling Information
The below information is in response to questions from the Ohio Senate Select Committee on Rail Safety
regarding monitoring and sampling related to the East Palestine train derailment. All information is
publicly available on websites of the leading agencies.

Air Monitoring and Sampling

U.S. EPA oversees air monitoring in East Palestine and the surrounding area. U.S. EPA’s air sampling involves the
collection of air samples over a period of time that are then sent to a laboratory to identify and quantify specific
compounds. Electronic devices are used to provide real-time readings of airborne contaminants. The air quality
measurements that are obtained in the area are being evaluated against established short-term health-based standards set
by the federal government.

Air Monitoring
U.S. EPA collected field measurements for lower explosive limits (LEL), total volatile organic compounds (VOCs), hydrogen
sulfide, benzene, hydrogen cyanide, hydrogen chloride, phosgene, and particulate matter. Those monitors, which have not
detected contamination from the derailment, are moved throughout the area to collect samples from various
locations. Twenty air monitors are strategically located throughout the community by U.S. EPA and an independent
contractor, that continue to monitor outdoor air. Air monitoring locations were selected at schools, residential areas,
government buildings, and upwind, downwind, and in the derailment area, as well as general readings throughout the
community by mobile teams. U.S. EPA is also deploying another mobile laboratory that performs real-time air-monitoring
and sampling analyses during the cleanup phase.

Air Sampling
U.S. EPA is collecting outdoor air samples for VOCs (target contaminates of concern list and tentatively identified
compounds), including vinyl chloride, n-butyl acrylate and ethyhexyl acrylate. Air sampling locations were selected
upwind of the train derailment area, work area and downwind areas. U.S. EPA has assisted indoor air screening of more
than 578 homes under a voluntary screening program offered to residents within the evacuation zone. No contaminants
associated with the derailment have been detected. All of this information can be found on U.S. EPA’s website.

Public Drinking Water Monitoring

East Palestine’s treated drinking water and five supply wells are being tested weekly for a large number of contaminants.
Tests of the public drinking water have shown that the water supply is safe to drink, and samples have been collected
using U.S. EPA approved sample collection and analysis methods. Ohio EPA is independently collecting samples of the
public drinking water wells, that are securely shipped to an independent laboratory to be analyzed. A third-party
contractor is also collecting samples of the drinking water and sending them to a different lab for analysis. The drinking
water results are being evaluated against federal health-based standards and guidance.

Public Drinking Water Source Monitoring

Four groundwater monitoring wells have been installed between the East Palestine wellfield and the contaminated areas,
so that any movement of contamination towards the public drinking water supply is detected early before it reaches the
East Palestine’s wells. These monitoring wells are being tested weekly. This information can be found at Ohio EPA’s
website. Ground water to the municipal supply wells comes from the northwest and flows to the east, meaning any ground
water at the derailment site is not likely to reach the municipal wells.. Additional monitoring wells are planned near the
derailment site.

epa.ohio.gov • 50 W. Town St., Ste. 700 • P.O. Box 1049 • Columbus, OH 43216-1049 • (614) 644-3020
East Palestine Train Derailment – Monitoring and Sampling Information

Private Drinking Water Sampling

The Columbiana County General Health District and Norfolk Southern’s contractor have been testing private wells. The
Columbiana County Health Department reports it has sampled over 140 private wells in the East Palestine area. More
information on this sampling can be found at Ohio Emergency Management Agency’s website. Ohio Department of Health
recommends drinking bottled water until a residence has the private well testing results.

Surface Water Sampling

The water in Sulfur Run near the derailment site is grossly contaminated. A containment area was created on February 8,
2023. Clean water from upstream is being pumped around the containment area to isolate any grossly contaminated
water and sediments. This minimizes the amount of contaminants that could flow downstream. Contractors are working
to remove the contaminants in the containment area.

Sulfur Run flows into Leslie Run, which flows into Bull Creek, which flows into North Fork Little Beaver Creek, which flows
into Little Beaver Creek, which empties into the Ohio River. The latest water sample results of the Ohio River by the Ohio
River Valley Water Sanitation Commission (ORSANCO) indicate no detection of butyl acrylate. In addition, no vinyl
chloride has been detected in the surface water outside the containment areas. This information can be found at Ohio
EPA’s website.

Soil/Sediment Sampling
U.S. EPA has developed a public dashboard for soil sampling. This dashboard shows soil sampling locations, the
contaminants being sampled for and the reporting limit for those contaminants. The dashboard can be accessed at U.S.
EPA’s website. As part of the Comprehensive Environmental Response, Compensation, and Liability (CERCLA) 106 orders
issued by U.S. EPA on February 21, 2023, Norfolk Southern must develop and implement a plan that includes mediation of
contaminated surface and sub-surface soils. The plan will be approved by U.S. EPA with Ohio EPA input and concurrence.

Long-Term Monitoring and Sampling

In coordination with U.S. EPA, the Ohio EPA is tasked with reviewing, commenting and approval of the comprehensive
Removal Work Plan (for multi-media investigation and clean-up) and the subsidiary plans for quality assurance, post-
removal site controls and community involvement for East Palestine after the train derailment. Ohio EPA will also provide
regulatory, investigation and clean-up oversight support, as appropriate.

Ohio EPA will remain engaged in site investigation and clean-up activities for as long as it takes to ensure air, water and
soil at the site have been thoroughly sampled and tested to ensure the safety of the residents and the local environment. It
will require months to conduct the initial investigation and remediation work, followed by an additional period of long-
term monitoring to verify that the clean-up goals have been achieved.

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 DISTRICT 11 | AFTER ACTION REVIEW
EAST PALESTINE TRAIN DERAILMENT | MARCH 27, 2023

The following information summarizes an After-Action Review for the Northfolk Southern Train
Derailment in East Palestine on February 3, 2023. The meeting was held at the Columbiana
County Full-Service Maintenance Facility, in Lisbon, Ohio, with the Ohio Department of
Transportation (ODOT) Highway Management, Highway Technician Workforce, and the ODOT
Statewide Emergency Response Coordinator.

x What did ODOT expect to happen?

o ODOT was contacted for Maintenance of Traffic (MOT) support by the Columbiana
County Emergency Management Agency. Additional support included:
ƒ Salt treatment of roadways
ƒ Interior road barricade placement at designated village streets
ƒ MOT of state roadways entering and exiting East Palestine
ƒ Setting Detour route for State Route 165

x What actually occurred?

o ODOT responded to the incident with the same regard as all incident responses by
committing to maintaining the safe and effective flow of traffic during emergencies
to prevent further damage, injury, or undue delay of the motoring public.
o ODOT provided the following:
ƒ Salt treatment of state routes in and around train derailment site during initial
fire department response.
ƒ Provided and set road barricades at designated intersections as directed by
EMA to close inbound traffic to East Palestine.
ƒ Set and maintained state route detour for State Route 165.
ƒ State Route 165 remains closed during cleanup of incident in East
Palestine.
ƒ During the evacuation period, ODOT provided signs, vehicles, and Highway
Technicians (HT) at road closure intersections.
ƒ ODOT HT’s and managers retreated from manned locations as directed by EMA
to outlying locations during deliberate detonation of tank car.
ƒ After EMA issued the all-clear, ODOT returned to designated intersection
closure locations.
ƒ ODOT Provided daily situational awareness updates to statewide ODOT
Emergency Management Coordinator.

x What went well and why?

o ODOT’s response to the incident by all responding employees from Columbiana County
and District staff.
ƒ 937.6 labor hours recorded.
ƒ 39 employees responded throughout the incident.
o Working relationship with the Ohio State Highway Patrol.
o Local communication between ODOT employees and other first responders.
 DISTRICT 11 | AFTER ACTION REVIEW
EAST PALESTINE TRAIN DERAILMENT | MARCH 27, 2023

x What can we do to improve the next incident response?

o Additional incident response training, including the following.
ƒ National Incident Management Systems (NIMS)
ƒ Ohio Traffic Incident Management (OTIM)
o Emergency Response Guidebook (ERG)
ƒ Create a QR code decal for our front-line workers for easy access to the ERG to
place in the corner of the windshield in ODOT vehicles for easy access to the
ERG.
ƒ Ensure the latest copy of the ERG book is available in all ODOT vehicles.
o Continue to educate ODOT Employees and local entities on ODOT’s role during
Incident Response.
o Seek and create opportunities for further expansion to improve communications
between the private sector, government agencies, and all first responders.
How did the AdministraƟon establish $125 million as an appropriate program size?

The BiparƟsan Infrastructure Law (BIL) created the Railroad Crossing EliminaƟon Program (RCEP) in the Federal Railroad
AdministraƟon. The RCEP is funded at $500 million per year and each state may receive no more than 20% of the
available funds per Įscal year. Using those overall parameters, a program of $125 million would allow Ohio to maximize
leverage of federal resources.

The funding will be used to prepare potenƟal projects for applicaƟon to the federal grade crossing eliminaƟon program,
including planning and preliminary engineering work; provide local match for Federal grant applicaƟons for grade
separaƟons; and fund construcƟon for projects that do not receive federal awards or do not qualify for federal funding.

Because the RCEP is a compeƟƟve discreƟonary grant program, we cannot predict our rate of success in drawing down
federal funding but using Ohio’s experience with its own grade separaƟon program in the early 2000s and the State of
Indiana’s Local TRAX program, the Rail Commission esƟmates that 15 grade separaƟon projects can be completed with
$125 million in state funds in coordinaƟon with discreƟonary grant awards from the RCEP.

Recent projects have averaged $17 million per grade separaƟon but this varies widely with geography and complexity.

What is the Ɵmeframe for this funding?

If the Grade SeparaƟon funding is approved in the OperaƟng Budget (HB 33):

Summer 2023: Open the applicaƟon/selecƟon window for communiƟes to apply to the program;

Fall 2023: Select consultant(s) to conduct the preliminary engineering work needed to prepare projects for federal
applicaƟons;

Early 2024 and beyond: work with communiƟes to develop federal applicaƟons and to support submission to the Federal
Railroad AdministraƟon’s Railroad Crossing EliminaƟon Program and other federal grant opportuniƟes.

Follow-up to Senator Ingram quesƟons about Hazmat on rails:

There are resources currently available to local Įrst responders such as the AskRail applicaƟon developed and managed
by the rail industry which provides informaƟon on rail car cargos. AddiƟonally, the larger railroads oīer training
opportuniƟes, both in-person and on-line for Įrst responders. More details regarding the AskRail applicaƟon can be
found at AskRail Mobile App and we would encourage all local emergency management agencies and Įrst responders to
contact the railroads operaƟng in their area and determine when training courses will be oīered.
 Public Utilities Commission of Ohio
Senate Select Committee on Rail Safety

1
 Jurisdiction
Federal Railroad Administration (FRA) Public Utilities Commission of Ohio
• Enforces rules and regulations around the • Administers programs for improving the
transportation of hazardous materials by rail, safety of railroad crossings.
including classifications and hotbox detectors
• Conducts state safety inspections of public
• Instructs federal safety inspections of rail railway crossings, hazardous materials,
tracks, facilities and equipment structures and railroad equipment and
facilities in Ohio.
• Trains and certifies state inspectors
• Conducts federal inspections on behalf of the
• Conducts incident investigations FRA.

• Assists in incident investigations as requested

by the FRA.

2
Rail Crossing safety
• $12 million in state and federal funds used for crossing upgrades last year

• 187 crossing safety upgrade projects in FY 2022

• Train-vehicle crashes have decreased from 356 in 1990 to 53 in 2021

3
Hazardous materials training grants
• PUCO awarded $800,000 in grants to 16
applicants in 2022.

• Educational institutions and local

All
governments in Ohio use grants to train Hazards
emergency responders in hazardous materials Training
Center at
incident management. the
University
of Findlay
• Current application period opened March 1
and runs through May 31.

• Money for grants comes from fines paid by

hazardous material carriers and shippers.

4
 NTSB
Preliminary
Report

5
Hot Bearing Detector

6
Thank you!

7
 HEARING BEFORE

THE OHIO SENATE SELECT COMMITTEE ON RAIL SAFETY

April 18, 2023

Testimony of Alan Shaw

President and Chief Executive Officer, Norfolk Southern Corporation

Chair Reineke, Vice Chair Rulli, Ranking Member Antonio, and distinguished members of the
Committee, thank you for the opportunity to appear today to discuss the train derailment in East
Palestine, Ohio.

My name is Alan Shaw, and I have been the President and CEO of Norfolk Southern since May
2022.

Today, I will share information with you about our progress cleaning the derailment site,
assisting families whose lives were disrupted, and investing in the community. I will also
discuss how we are making Norfolk Southern and the railroad industry safer through our own
initiatives, collaboration with others in the industry, and engagement with lawmakers and other
stakeholders. As we move this work forward, we are grateful for the leadership shown by
Governor DeWine, Lt. Governor Husted, and Attorney General Yost and their teams from the
beginning, and we look forward to continuing our close working relationship to make it right for
the people of Ohio.

I am deeply sorry for the impact this derailment has had on the people in the region. I am
determined to make it right.

We are making progress every day as we clean the site safely, thoroughly, and with urgency.
Working under the Unilateral Administrative Order from the U.S. Environmental Protection
Agency (U.S. EPA), we have submitted a long-term plan that will guide our comprehensive
testing program for the community. That testing is informed by science and regulatory
standards. And we will continue to transparently share the results of our ongoing testing.
Agencies at the state and federal level—including the U.S. EPA, the Ohio Environmental
Protection Agency (Ohio EPA), and the Pennsylvania Department of Environmental Protection
(DEP)—are monitoring the air and water quality in the impacted region. We are encouraged that
they have reported to date that both the air and drinking water are safe.

I recognize that financial assistance cannot change what happened, but it is an important part of
doing the right thing. To date, we have committed to reimbursements and investments of more

Operating Subsidiary: Norfolk Southern Railway Company

than $30 million in total, including by helping more than 7,600 families through our Family
Assistance Center. This is just a start. We are currently working toward a final resolution with
Attorney General Yost and relevant stakeholders to establish three new funds to address
healthcare, property values, and water protection in East Palestine and the surrounding
communities. We also have launched a community website, NSMakingItRight.com, to provide
the latest information to residents of East Palestine and the surrounding communities.

I would like to express my profound admiration for the first responders from Ohio, Pennsylvania,
and West Virginia who responded to the derailment. I’ve had the opportunity to thank many of
them personally for their heroism, including at an appreciation event we held in East Palestine
last week. Making first responders whole has been a particular area of focus, and we have
already pledged and paid millions to reimburse local fire departments for costs associated with
the emergency response and clean-up.

I want to be clear: this financial assistance is just a down payment. I was on the ground in East
Palestine soon after the accident, and I’ve been back almost every week since. I’ve met with
community leaders, business owners, school officials, clergy, families, farmers, and others to
begin to identify ways we can invest in the future prosperity of the residents in the area and
support the long-term needs of its people.

We have hundreds of Norfolk Southern employees and contractors working in East Palestine
seven days a week to address the community’s needs, and we will be on the ground until our
work is complete. A number of these employees and contractors are proud Ohioans, and I am
proud that our ties to Ohio run deep. Over 2,700 Norfolk Southern employees call Ohio home,
and we invest heavily in the state. Last year, our capital investments in the state totaled $214
million. We served almost 1,500 companies in Ohio last year across the agriculture, auto, steel,
consumer, and coal industries, among others. We handled more than 450,000 cars in that time
loaded with their freight, representing billions of dollars of our country’s GDP supporting the
Ohio economy, and it underscores the key role Ohio plays as a manufacturing powerhouse and a
critical crossroad of our supply chain. We will continue to invest in the future of Ohio, just as
we have always done.

We are also committed to learning from this accident and to working with public officials and
industry to make railroads even safer. In the meantime, we have already launched a series of
immediate steps to enhance safety, based on the facts in the National Transportation Safety
Board (NTSB) preliminary report. We look forward to cooperating with the NTSB as it
continues its investigation into the root cause of the accident as well as its wider investigation.

I. Our Commitment to Remediation and Monitoring

I appreciate each of the many opportunities I’ve had to meet with residents of East Palestine and
the surrounding areas, and their feedback has informed our approach. Norfolk Southern is
working around the clock to remediate the remaining issues and monitor for any impact on
public health and the environment. We continue to work in close coordination with federal,
state, and local regulators and others to conduct environmental monitoring and to develop and
carry out near-term and longer-term clean-up activities. The remediation plan and each step of

Operating Subsidiary: Norfolk Southern Railway Company 2

our longer-term efforts will be implemented at the direction of the U.S. EPA pursuant to the
Agency’s Unilateral Administrative Order. We also appreciate the Ohio EPA’s important work
that it has been doing on the ground—both in monitoring of the area and in communicating with
residents—and we look forward to maintaining open communication with, and listening to the
experts at, Ohio EPA as cleanup efforts continue.

Norfolk Southern personnel arrived on-scene shortly after the accident, and we have been there
ever since. We have worked to be transparent and cooperative with the various local, state, and
federal stakeholders involved from the early hours of Unified Command through today.
Following the accident, our specialists have remained on-location, assisted by expert derailment
and environmental contractors. And we are making significant progress. These teams have
contained, diverted, and treated affected portions of nearby waterways, flushed nearly a mile of
surface waterways, and are capturing rainwater within the contaminated areas for temporary
storage and disposal. To date, we have recovered and transported more than 12.3 million gallons
of potentially affected water from the site for disposal at EPA-approved facilities.

We are working to safely remove affected soil, and our crews have removed more than 25,000
tons from the site. We are actively removing waste to facilities specifically engineered and
permitted to safely handle this type of material. Last week, we completed excavation of the
impacted soil beneath the removed south track, a major milestone in the remediation process, and
we will complete the track restoration in the coming days.

We continue to listen to the experts and cooperate with state, federal, and local government
agencies. The air monitoring to date has shown the air is safe to breathe. And the monitoring of
the area’s public drinking water and private water wells by state and local authorities and
Norfolk Southern shows that the water is safe to drink and there are no harmful levels of
substances related to the derailment. We are committed to continuing this monitoring for as long
as necessary.

II. Our Commitment to the Community

I want the people of East Palestine and the surrounding communities to know that Norfolk
Southern and I are deeply committed to them. As indicated above, we have already made an
initial investment of over $30 million. Our financial support so far includes:

x More than $13 million in support to more than 7,600 families through our Family
Assistance Center;

x Nearly $5 million in reimbursements and support to the East Palestine Fire Department
and other area first responders for equipment used in the derailment response;

x A $1 million fund available immediately to East Palestine community leaders to identify

where donations can do the most good;

x Another $1 million fund to support the immediate needs of the East Palestine community,
overseen by a Norfolk Southern craft railroader who lives in East Palestine and has been
hired to serve as a community liaison, reporting directly to my office;

Operating Subsidiary: Norfolk Southern Railway Company 3

 x $300,000 to the East Palestine City School District to support the district’s academics,
athletics, extracurricular activities, and long-term contingency planning regarding the
impacts of the derailment;

x $250,000 donation to The Way Station, an Ohio-based nonprofit delivering aid to the
East Palestine community, to help establish a larger, permanent location in the area and
hire additional staff, including a social worker;

x Funding and coordination of cleaning and air monitoring services for the East Palestine
Elementary and High Schools;

x Donations intended to help local organizations thrive, including $33,000 to the

Columbiana & Mahoning Beekeepers Association and $15,000 to the East Palestine Area
Historical Society;

x $50,000 for business advancement to support local businesses in the area; and

x $65,000 to the East Palestine Youth Sports Association to allow children to play in sports
leagues for free for the year.

We are listening closely to concerns from the community about whether there could be long-term
impacts from the derailment, and we are working towards a final resolution with Attorney
General Yost and relevant stakeholders on these issues. Many residents are worried about what
they will do if health impacts related to the derailment are discovered years from now. To date,
environmental monitoring continues to show the air and drinking water are safe. To provide an
additional level of assurance, we are committed to a solution that addresses long-term health
risks through the creation of a healthcare fund.

We also know residents are worried about their home values. While we are working with local
leaders on investments to support the community’s long-term prosperity, we understand these
concerns. We are committed to working with all relevant stakeholders to provide tailored
protection for home sellers if their property loses value due to the impact of the derailment.

We have heard the community’s interest in programs that protect drinking water over the long
term. We are prepared to work with stakeholders toward that goal as well.

We appreciate the leadership of Attorney General Yost on these issues, and we are committed to
working with the Attorney General and his team to finalize the details of these programs and put
those funds in place for the long term.

Because we know it is important to keep the community informed, NSMakingItRight.com is

updated regularly with information about remediation, monitoring, financial assistance, and
investments in the community. Again, this is all a down payment. We are listening to your
concerns, and we are committed to making this right.

Operating Subsidiary: Norfolk Southern Railway Company 4

 III. Our Focus on Safety

Rail is one of the safest modes of transporting hazardous materials. From 2021 to 2022, our train
accidents in Ohio dropped by roughly 40 percent, and our employee injuries in Ohio have been
declining each year since 2018. We recognize, however, that we need to continue working to
improve railway safety. The morning after the derailment, I spoke to NTSB Chair Jennifer
Homendy and pledged the full cooperation of Norfolk Southern in the NTSB’s investigation.
The NTSB’s preliminary report released in February reflected that the Norfolk Southern crew
was operating the train within our protocols and below the speed limit established by federal law.
The wayside detectors installed on the track to identify overheated axles operated properly, and
the crew took the appropriate action when they received the alarm.

We will analyze and address the NTSB’s investigation results when they are available, but we
are not waiting to act. We are committed to learning from this accident and working with public
officials and industry to make railroads even safer. We have already launched a series of
immediate steps to enhance safety, based on the facts in the NTSB’s preliminary report.

As an initial step—and focusing on what we can do on our own—we are making our network of
early-warning sensors stronger. Shortly after the derailment, I instructed my team to
immediately look at steps we can take to improve safety further, and we are taking the following
actions:

x Enhancing the hot bearing detector network;

x Piloting next-generation hot bearing detectors;

x Deploying more acoustic bearing detectors;

x Accelerating our Digital Train Inspection program; and

x Improving practices, alongside industry partners, for hot bearing detectors.

We currently spend more than $1 billion a year on technologies, equipment, and infrastructure to
support safety, and another $1 billion per year on ongoing operations in support of safety. But
the safety mechanisms in place did not prevent this accident. Every employee at Norfolk
Southern is focused on learning from this incident and working with the entire freight rail
industry to make changes.

We are committed to helping our first responders prepare for incidents when they do happen.
For years prior to the East Palestine derailment, Norfolk Southern funded training for emergency
responders. In 2015, Norfolk Southern launched “Operation Awareness & Response” with the
goal of strengthening relationships with state and local first responders across our network
through new training opportunities, and full-scale exercises.

In March, we announced a new regional training facility in Ohio, which offers free training to
first responders in Pennsylvania, Ohio, and West Virginia. The first safety classes were held at
our yard in Bellevue, Ohio, just west of Cleveland, and over the past six weeks we held eight

Operating Subsidiary: Norfolk Southern Railway Company 5

classes. In total, we trained over 300 first responders from Pennsylvania, Ohio, and West
Virginia. In addition, the Norfolk Southern Safety Train will be in Cincinnati this week to offer
similar training to over 110 first responders already registered there. We will have three more
stops in Ohio with our dedicated Safety Train as it makes more than a dozen stops across our 22-
state network in 2023. We are working cooperatively with the state of Ohio to establish a
dedicated facility in the future. Every year, Norfolk Southern voluntarily trains between four and
five thousand first responders throughout the states we serve.

In addressing issues going forward, Norfolk Southern views an industry-wide comprehensive

approach—one that includes railcar owners, car manufacturers, leasing companies, equipment
makers, and the railroad companies—as essential in helping to improve safety as the rail industry
continues to provide the logistical infrastructure that enables the U.S. economy to grow. It’s
going to take all of us—and we’re eager to help lead that effort.

IV. Charting a New Course

Since becoming CEO, I have made reliable and resilient service our goal. And we work every
day to improve safety, service for our customers, and the quality of life for our front-line
railroaders. To describe how we are doing that, I would like to provide some important context
on the new strategy we announced for Norfolk Southern at the end of last year.

In the weeks since the derailment there have been a number of questions about an industry
operating approach called precision scheduled railroading (PSR). There are five principles of
PSR: operate safely, develop people, provide service, control costs, and optimize assets. These
are sound principles one might find in any industry with an operational focus.

In recent years, however, PSR has become associated with a singular focus on cost-cutting to
drive a low operating ratio, which is a common industry measure for efficiency. It is here that
Norfolk Southern has approached things differently from others in the industry and charted a
new course. In a significant departure from the railroad industry’s recent past, we deliberately
moved away from a singular focus on operating ratio. Instead, we are taking a more balanced
approach to service, productivity, and growth.

As just one example of what our strategy means in practice, instead of furloughing workers
during periodic economic downturns, we intend to use the opportunity to invest in our workforce
and provide additional training. When we do that, it makes us a more resilient company that is
better able to serve our customers, and it creates more career opportunities for our craft
railroaders. We hired craft railroaders aggressively throughout 2022 and continue to do so this
year.

Our new strategy goes hand-in-hand with our increased focus on culture and employee
engagement, with an emphasis on transparency and collaboration. I know that when Norfolk
Southern is successful, it is because our craft colleagues are getting the job done for our
customers and the U.S. economy. I have spent countless hours in the field in the 11 months I
have served as CEO, thanking our front-line railroaders for their service and listening to their
ideas on how to make Norfolk Southern better.

Operating Subsidiary: Norfolk Southern Railway Company 6

We are committed to enhancing quality of life and work predictability for our craft employees,
who are the key to our success. When we completed the recent round of national labor
negotiations, with a historic and well-deserved 24 percent pay increase, I committed immediately
to begin negotiations at the local level on quality-of-life issues like paid sick leave. We did what
we said we were going to do and have already reached agreements on paid sick leave with ten of
our unions.

V. Our Commitment to Industry & Legislative Action

We support legislative efforts to enhance the safety of the freight rail industry. We are
committed to working with our fellow industry leaders to make the railroad industry a safer
place. We recognize and appreciate the efforts of both state and federal lawmakers in proposing
new legislation to create a safer rail industry. Pending legislation in Congress includes measures
with the potential to enhance safety and improve outcomes for our industry, our customers, and
the communities we serve.

We support provisions in this legislation that call for more industry-funded training for first
responders, and we are not waiting for legislation to move this forward. We have already
announced the expansion of our existing training programs and the creation of a new regional
training center in Ohio, to serve first responders in Ohio, Pennsylvania and West Virginia.

We support the principle that first responders need accurate real-time information on the contents
of trains moving through their communities and instruction on the safe handling of those
contents in the event of an accident. We intend to take a leading role getting the AskRail safety
application into the hands of every first responder who needs access. In this area specifically, the
details of legislation matter as policymakers balance safety enhancements with national security
concerns.

We support triennial reviews of regulations for rail car inspections and standards for freight car
safety, because regular reviews drive good regulatory policy and outcomes.

We support the Federal Railroad Administration’s (FRA) Confidential Close Call Reporting
System (C3RS). Norfolk Southern participates in the C3RS Working Group that is part of the
Department of Transportation’s Railroad Safety Advisory Committee.

We support accelerating the phaseout of older tank car models, research into advanced tank car
design, and additional funding for research and development on next-generation early-warning
sensor technologies.

There are other aspects of the proposed legislation that we support in principle. Establishing
performance standards, maintenance standards, and alert thresholds for safety sensors is one
example. We have already committed to work with the industry to develop additional data-based
best practices in these areas, and we welcome constructive discussion with stakeholders to craft
effective and practical legislation.

There are also areas in which we believe Congress could go further with safety legislation. We
encourage even stricter standards for tank car design. There are significant opportunities for

Operating Subsidiary: Norfolk Southern Railway Company 7

advanced technology to enhance rail safety, and we encourage Congress to consider additional
research into on-board rail car defect detection technology.

We support increasing fines and penalties for persons found tampering with railroad facilities
and safety equipment, such as grade crossing warning devices, wayside detectors, or signal
boxes. We support codifying and enhancing the FRA’s confidential close car reporting system.
And we support new requirements to ensure utility installations in railroads rights-of-way are
conducted safely.

We look forward to continuing to engage with relevant stakeholders on these important issues as
we all work to improve safety in the freight rail industry.

VI. Conclusion

Finally, Chair Reineke, Vice Chair Rulli, Ranking Member Antonio, and members of the
Committee, I want to state again how deeply sorry we are for the impact of this derailment on
East Palestine and the surrounding communities. We are making progress in the recovery and
know our work is not yet done. On behalf of the more than 19,700 hard-working employees of
Norfolk Southern, I pledge that we won’t be finished until we make it right. Thank you for the
opportunity to testify before you today, and I look forward to your questions.

Operating Subsidiary: Norfolk Southern Railway Company 8

 MAKING IT RIGHT
BY THE NUMBERS

7,672+ $
30.1MM
FAMILIES HELPED DISTRIBUTED FOR
Thanks to the NS • First responders in OH and PA
Family Assistance Center
• Community relief funds
• Non-profits
• Cleaning places such as police
and fire departments, and schools
• Bottled water
• Water treatment

12.1MM 27,230 5,200 375

GALLONS OF TONS OF FEET OF IMPACTED PRIVATE DRINKING
IMPACTED WATER WASTE SOIL WATERWAYS WATER WELLS
recovered and removed flushed sampled
transported off site
 TESTIMONY

OHIO SENATE SELECT COMMITTEE on RAIL SAFETY

April 18, 2023

Chairman Reineke, Vice Chair Rulli, Ranking Member Antonio, and members of the Senate Select
CommiƩee on Rail Safety, thank you for this opportunity to present tesƟmony on Ohio’s freight railroads.

I am Art Arnold, the ExecuƟve Director of the Ohio Railroad AssociaƟon (ORA). The ORA represents 28
freight railroads operaƟng in Ohio. Norfolk Southern and CSX are our largest members and the railroads
with the most extensive rail operaƟons in both Ohio and in the eastern half of the United States. The
remaining members of the Ohio freight industry operate with much smaller footprints. The network of
rail lines is necessarily and fortunately interconnected in many locaƟons, providing opƟons for the rail
shipper to maximize their use of both the state and naƟonal rail system.

CSX and Norfolk Southern represent Class I railroads, the highest designaƟon in the US rail industry. There
are only seven freight railroads with this classiĮcaƟon in North America. Two other Class I railroads,
Canadian NaƟonal and Canadian PaciĮc, have either operaƟons or trackage rights in Ohio, but those are
much smaller than their conƟnent-spanning rail services north of the US-Canada border.

According to recent tesƟmony presented by the Ohio Rail Development Commission (ORDC), Ohio’s rail
network is comprised of roughly 5,100 miles of track. As an example, that network in 2016 carried almost
290,000,000 million tons of freight, roughly 1.2 million rail carloads, or a tonnage equal to approximately
13 million commercial truckloads. (For comparison, 13 million truckloads are approximately equal to the
number of trucks that operate through the Interstate 70-71 split near downtown Columbus over a two-
year period.) This freight was moved on a network that is privately-owned, maintained, and operated.
According to the Federal Railroad AdministraƟon (FRA), the U.S. freight rail network, consisƟng of almost
140,000 route miles, is widely considered the largest, safest, and most cost-eĸcient freight system in the
world.

In assessing the Ohio freight rail system, the Ohio State Rail Plan has this to say about the extent and role
of freight rail to Ohio’s economy:

At 5,187 miles, Ohio’s network of acƟve rail lines is the fourth most.

extensive in the naƟon, behind that of Texas, Illinois, and California.

Because Ohio is geographically much smaller than either Texas or

California, the Ohio rail network is more concentrated. Rail infrastructure

(unlike highway infrastructure) is oŌen sold or abandoned if its use

does not jusƟfy costs to maintain and operate. If Ohio businesses did

not use the rail network, it would not be as extensive. The high

mileage of rail lines in Ohio reŇects the close integraƟon of rail with

Ohio’s economy. Including the impact of employee spending and

spending across industries, the freight rail industry contributes

$2.8 billion to Ohio’s economy annually.

Prominent within Ohio’s economy are industries that rely on rail. For

example, manufacturing’s total share of employment within Ohio is

46 percent higher than in other parts of the country. Within

manufacturing, top sectors are 1) steel manufacturing; 2) chemical

manufacturing; 3) food and beverage manufacturing; and 4) motor

vehicle manufacturing. Each of these sectors is a heavy user of rail.

Ohio ranks eighth in the naƟon for corn producƟon and ninth in the

naƟon for soybean producƟon. The AssociaƟon of American Railroads

ranks states by originaƟng and terminaƟng rail tonnages by commodity.

Ohio is ranked among the top 10 states in originaƟng farm products; crushed

stone, sand, and gravel; intermodal; food products; metallic ores;

primary metal products; and waste/scrap. Ohio is also ranked among

the top 10 in terminaƟng tonnage of coal; chemicals; intermodal;

crushed stone, sand, and gravel; food products; metallic ores; and

waste and scrap.

In my opening remarks, I menƟoned that the AssociaƟon had 28 member railroads. Most of these
businesses are referred to as short line railroads. Here’s what the ORDC’s State Rail Plan has to say
about short line railroads in Ohio:

Short line railroads were created following bankruptcies or as spin oīs of

larger Class I railroads permiƩed by rail industry deregulaƟon. Following

the Staggers Act of 1980, railroads gained the legal right to shed

unproĮtable rail lines. Major railroads marketed unproducƟve branches to

short line operators. These railroads were able to provide service on the

formerly unproĮtable rail lines because they have lower cost structures.

Local railroads provide “Įrst mile” and “last mile” connecƟons to railroad

customers. They are important for economic development within the

state. It is frequently much less costly to locate industrial sites on short

lines, rather than build the necessary track infrastructure required by

Class I railroads to locate on busy mainlines. Some short lines also can

interchange with mulƟple Class I carriers, providing wider shipping

opƟons. Without long-haul freight, local railroads must focus on local

service to survive and grow, so they oŌen maintain a relaƟvely strong

focus on customers, large and small.

I think it is important for this commiƩee to understand the state’s rail system and how that system
works, so I appreciate your paƟence and aƩenƟon to the background I have just provided. All the
railroads operaƟng in Ohio have diīerent operaƟonal and business challenges, but they have one thing
in common – each of them is required to observe the many federal regulaƟons surrounding their
operaƟons. These federal regulaƟons address nearly every aspect of freight rail operaƟons, from the
track structure to train speeds to reporƟng requirements. These regulaƟons include the rail cars you see
every day. Many of these cars are not owned by the railroad, but by the rail shipper or by rail car leasing
companies.

The rail system that supports the trains that move the million plus rail cars in, out, around, and through
Ohio is subject to extensive federal rules and oversight. The adherence to these rules is overseen by the
FRA’s Oĸce of Railroad Safety. This oĸce promotes and regulates safety across the American railroad
industry, encompassing all types of railroad operaƟons. The oĸce executes its regulatory and inspecƟon
responsibiliƟes through a diverse staī of railroad safety experts. The staī includes nearly 400 Federal
safety inspectors who specialize in one of six technical disciplines focusing on compliance and
enforcement in:

Grade Crossings

Hazardous Materials

MoƟve Power and Equipment

OperaƟng PracƟces
Signal and Train Control

Track

During the recent consideraƟon of the state transportaƟon budget, the industry shared more speciĮc
details on the role of federal regulatory oversight. We talked about the operaƟons of short line railroads
and how they diīer from those of larger railroads. And we expressed our concerns with some of the
requirements that were eventually included in HB 23.

The rail industry has been acƟve in other ways since the derailment in East PalesƟne. Every railroad that
operates in Ohio reviewed their operaƟng pracƟces and safety measures. Norfolk Southern and CSX
have both publicly shared the extensive steps they have undertaken to examine their operaƟons and
standards. Over the past two months, both the FRA and the AssociaƟon of American Railroads have
issued advisories on rail operaƟons. This has taken place in an industry where the safety record shows
great progress over the past twenty years, as FRA data and numerous reports have described.

Over 99% of trains operate safely from origin to desƟnaƟon, notwithstanding the railroad or any other
variable. Rail transportaƟon is the safest method of moving hazardous materials. (The transportaƟon of
haz mat over the highway is almost three Ɵmes more likely to have an incident than rail.) This substanƟal
record is readily available for your examinaƟon via the FRA’s website. Since the 1990s, derailments
naƟonally have decreased by 85% due to improved operaƟng rules, massive investments in track and
equipment, and the voluntary applicaƟon of technology to rail operaƟons. More is being done to
improve these numbers, but there is no magic wand. It takes Ɵme, resources, training, and investment.
My fellow Ohioans should be encouraged to know that these are all being applied to improving rail
safety in Ohio and across the country. As a recent example, I’ve included an announcement of an
upcoming training session in Zanesville for Įrst responders organized through the Genesee & Wyoming
Railroad and the AssociaƟon of Short Line & Regional Railroads. Other similar Ohio events organized in
partnership with other railroads have already taken place and more are scheduled.

The rail industry’s longstanding commitment to Ohio, evidenced by the billions of dollars invested over
decades in the rail network, has resulted in thousands of rail-dependent jobs and massive private
investments by the businesses that rely on rail service. (Please see the aƩached document detailing the
ORDC-supported projects as examples of that investment, industries, and related jobs.) Ohioans have
also Ňocked to that rail industry for employment. Railroad jobs are demanding, but they are good jobs.
Railroads provide the opportunity to build lifelong careers in Įelds such as engineering and dispatching,
law enforcement, informaƟon technology, and industrial development. And with a strong track record of
hiring America’s veterans, rail companies are military-friendly employers. Because of high wages and
beneĮts, technical training, and professional growth opportuniƟes, freight rail employees oŌen stay in
the industry for their enƟre careers. In fact, many have family railroad legacies that stretch back
generaƟons.

The freight rail industry in Ohio and naƟonally is safe and it is geƫng safer every year. That’s happening
through the eīorts of individuals, companies, government agencies, and the industry as a whole. The
numbers back this up. Ohio will remain an important locaƟon for railroads to operate, and rail will
remain an important partner for Ohio businesses, and a linchpin for thousands of jobs.

Thank you for the opportunity to share this background on the state’s freight rail system.
 ORDC Rail Development Projects
Approved Jan 1, 2019 - Jun 30, 2022
Revised Sep 6, 2022

Regional Dayton
One REDI Ohio
Growth Team NEO Development Total
Columbus Cincinnati Southeast
Partnership Coalition
Projects* 18* 18* 5* 3* 7 19* 66 (unique)
Funding
ORDC Grant $ 3,487,080 $ 4,780,895 $ 1,078,163 $ 160,960 $ 976,106 $ 2,496,943 $ 12,980,147
ORDC Loan $ 900,000 $ 500,000 $ 0 $ 0 $ 700,000 $ 70,000 $ 2,170,000
Other Private $ 72,703,172 $ 5,585,342 $ 2,010,055 $ 945,960 $ 4,572,762 $ 23,512,917 $ 109,330,208
Other Public $ 13,572,692 $ 1,755,575 $ 905,344 $ 315,000 $ 0 $ 854,155 $ 17,402,766
Total $ 90,662,944 $ 12,621,812 $ 3,993,562 $ 1,421,920 $ 6,248,868 $ 26,934,015 $ 141,883,121
Jobs
Created 552 231 173 150 0 205 1,311
Retained 867 176 90 0 0 998 2,131
Supported 2,242 3,553 1,800 0 369 129 8,093
Total 3,661 3,960 2,063 150 369 1,332 11,535

Funding values rounded up to whole dollars.

*Note: Three projects had sites falling in more than one JobsOhio region.
The project totals were divided among the number of sites in each region to calculate the regional totals but only once for the whole Project count.
Genesee and Wyoming - Bridge Repair IORY - Revitalizing Rail Gr‡‡ϐ‹‡Ž†‹‡ RJ Corman - On-Site Rail Rehab
3 Team NEO 1 Dayton Development Coalition 3 Regional Growth Partnership
1 One Columbus 1 Ohio Southeast 2 Team NEO
9 Ohio Southeast

rail.ohio.gov
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š’ƒ•‹‘ ͳͺǤ Ǧ”ƒ™ˆ‘”†‹†‹‰

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 ”ƒ– ̈́ ͵ǡͶͺ͹ǡͲͺͲ ‘„•
‘ƒ ̈́ ͻͲͲǡͲͲͲ ”‡ƒ–‡† ͷͷʹ
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‘ƒ ̈́ ͷͲͲǡͲͲͲ ”‡ƒ–‡† ʹ͵ͳ
–Š‡””‹˜ƒ–‡ ̈́ ͷǡͷͺͷǡ͵Ͷʹ ‡–ƒ‹‡† ͳ͹͸
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‘–ƒŽ ̈́ ͳʹǡ͸ʹͳǡͺͳʹ ‘–ƒŽ ͵ǡͻ͸Ͳ ”ƒ‹ŽǤ‘Š‹‘Ǥ‰‘˜
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’’”‘˜‡† ƒ ͳǡ ʹͲͳͻ Ǧ — ͵Ͳǡ ʹͲʹʹ
‡˜‹•‡† ‡’ ͸ǡ ʹͲʹʹ ‡ƒ–—”‡†”‘Œ‡ –•
ʹǤ ”‡‘–‹–›‹†‹‰Ǧ ™‹– Š‡•
„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
‡’Žƒ ‡‡– ‘ˆ –—”‘—–• ƒ– Ȉ ’”‘˜‡• –”ƒ‹ ϐŽ—‹†‹–›  ”ƒ– ̈́ ͷʹͷǡ͹͸ͺ
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”‡‘– ‹–› ‹†‹‰ǡ ƒ ‡š‹•–‹‰ —•–‘‡”•ǡ ‹ Ž—†‹‰ Ƭ ƒ† ‘”–Š ‘–ƒŽ ̈́ ͺͲͺǡͺ͹Ͷ
—’‰”ƒ†‡ –‘ ‡Ž‡ –”‘‹  –ƒ” Ž—‡• ‘’‡ –‡‡Ž
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”ƒ‹Ž”‘ƒ† –‹‡• ™‹–Š ”‡Žƒ–‡† ™‘”Ǥ ”‘••‹‰• ƒ† –”ƒ‹ ‹†Ž‹‰ –‹‡

ͶǤ‡”•ƒǦƒǦǦ‹–‡ƒ‹Žš’ƒ•‹‘
ʹ ͷ „‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
š’ƒ•‹‘ ‘ˆ ‡š‹•–‹‰ ”ƒ‹Ž Ȉ ͳʹ ‡™ Œ‘„• ƒ– –Š‡ ‡Ž‹ƒ ˆƒ ‹Ž‹–› Ǧ –‘–ƒŽ  ”ƒ– ̈́ ͳʹͷǡͲͲͲ
‹ˆ”ƒ•–”— –—”‡ ƒ– ’Žƒ•–‹ ‡’Ž‘›‡– ‘ˆ ͳͲʹ ƒ‹Ž ‘•–
’ƒ ƒ‰‹‰ ˆƒ ‹Ž‹–›Ǥ Ȉ ‡™ ”ƒ‹Ž ‡š’ƒ•‹‘ ƒ ‘‘†ƒ–‡• –Š‡ ȋ‡•–‹ƒ–‡†Ȍ
̈́ ͵ͺʹǡͲͲͲ
ˆƒ ‹Ž‹–›ǯ• ˆ—–—”‡ ‰”‘™–Š –Š‡”
Ȉ ƒ”–‡”‡† ™‹–Š ‡” ‡” ‘—–› ‘ –Š‹• ̈́ ͷͶǡͲͲͲ
 ‡–‹˜‡•
͵ ’”‘Œ‡ – ‘–ƒŽ
̈́ ͳͲǡͲͲͲǡͲͲͲ
 ˜‡•–‡–

ͳǤ  Ǧ ‡˜‹–ƒŽ‹œ‹‰ ƒ‹Ž ”‡‡ϐ‹‡Ž† ‹‡ ȋͳ Ȁ ʹ ‹–‡•Ȍ

ʹǤ ”‡‘–‹–›‹†‹‰Ǧ ™‹– Š‡•
͵Ǥ ‡ƒ”† Ǧ ‡™ ƒ ‹Ž‹–› Ǧ ‡ˆˆ‡”•‘˜‹ŽŽ‡
ͶǤ ‡”•ƒǦƒǦǦ‹–‡ƒ‹Žš’ƒ•‹‘
ͷǤ  Ǧ ”‹†‰‡ ‡’ƒ‹” ƒ† Ǧ‹–‡ ƒ‹Ž ‡Šƒ„

—†‹‰
 ”ƒ– ̈́ ͳǡͲ͹ͺǡͳ͸͵ ‘„•
 ‘ƒ ̈́ Ͳ ”‡ƒ–‡† ͳ͹͵
–Š‡” ”‹˜ƒ–‡ ̈́ ʹǡͲͳͲǡͲͷͷ ‡–ƒ‹‡† ͻͲ
–Š‡” —„Ž‹ ̈́ ͻͲͷǡ͵ͶͶ —’’‘”–‡† ͳǡͺͲͲ
‘–ƒŽ ̈́ ͵ǡͻͻ͵ǡͷ͸ʹ ‘–ƒŽ ʹǡͲ͸͵ ”ƒ‹ŽǤ‘Š‹‘Ǥ‰‘˜
ƒ‹Ž‡˜‡Ž‘’‡–”‘Œ‡ –• ‡‘Ž—„—•Ǧ͵”‘Œ‡ –•Ǧ̈́ͳǡͶʹͳǡͻʹͲ
’’”‘˜‡† ƒͳǡʹͲͳͻǦ —͵ͲǡʹͲʹʹ
‡˜‹•‡†‡’͸ǡʹͲʹʹ ‡ƒ–—”‡†”‘Œ‡ –•
ͳǤ‡Š””‘ ‡••‹‰ǦǦ‹–‡ƒ‹Ž ’”‘˜‡‡–•
„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
‡™”ƒ‹Ž‡š’ƒ•‹‘ˆ‘”‡™ Ȉ‡Š””‘ ‡••‹‰‹••‡‡‹‰–‘„—‹Ž†ƒ‡™  ”ƒ– ̈́ ͳͲͲǡͲͲͲ
’ƒ‹–ƒ—ˆƒ –—”‹‰ƒ† •–ƒ–‡Ǧ‘ˆǦ–Š‡Ǧƒ”–ƒ—ˆƒ –—”‹‰ƒ† ”‹˜ƒ–‡ȋ‡Š”Ȍ ̈́ ͵ͲͲǡͲͲͲ
†‹•–”‹„—–‹‘’Žƒ–Ǥ †‹•–”‹„—–‹‘‘’‡”ƒ–‹‘‹–Š‡‹†™‡•–”‡‰‹‘ ‘–ƒŽ ̈́ ͶͲͲǡͲͲͲ
Ȉ’’”‘š‹ƒ–‡Ž›̈́ͺͲ‘ˆ ƒ’‹–ƒŽ‹˜‡•–‡–
Ȉ’’”‘š‹ƒ–‡Ž›ͻͲ‡™Œ‘„•ƒ––Š‡ˆƒ ‹Ž‹–›
Ȉƒ‹Ž‹’”‘˜‡‡–•”‡“—‹”‡†–‘’”‡’ƒ”‡•‹–‡
ˆ‘”‘’‡”ƒ–‹‘•

ͳ
͵
ʹ

ͳǤ ‡Š””‘ ‡••‹‰ǦǦ‹–‡ƒ‹Ž ’”‘˜‡‡–•

ʹǤ ”‡‡’‘‹–‘‘†‹–‹‡•Ǧ‡™‡ › Ž‹‰ ƒ ‹Ž‹–›
͵Ǥ ‡‡•‡‡ƒ†›‘‹‰Ǧ”‹†‰‡‡’ƒ‹”ȋͳȀͳ͵‹–‡•Ȍ

—†‹‰
 ”ƒ– ̈́ ͳ͸Ͳǡͻ͸Ͳ ‘„•
‘ƒ ̈́ Ͳ ”‡ƒ–‡† ͳͷͲ
–Š‡””‹˜ƒ–‡ ̈́ ͻͶͷǡͻ͸Ͳ ‡–ƒ‹‡† Ͳ
–Š‡”—„Ž‹ ̈́ ͵ͳͷǡͲͲͲ —’’‘”–‡† Ͳ
‘–ƒŽ ̈́ ͳǡͶʹͳǡͻʹͲ ‘–ƒŽ ͳͷͲ ”ƒ‹ŽǤ‘Š‹‘Ǥ‰‘˜
ƒ‹Ž‡˜‡Ž‘’‡–”‘Œ‡ –•  ‹ ‹ƒ–‹Ǧ͹”‘Œ‡ –•Ǧ̈́͸ǡʹͶͺǡͺ͸ͺ
’’”‘˜‡† ƒͳǡʹͲͳͻǦ —͵ͲǡʹͲʹʹ
‡˜‹•‡†‡’͸ǡʹͲʹʹ ‡ƒ–—”‡†”‘Œ‡ –•
ͳǤǦǦ‹–‡ƒ‹Žš’ƒ•‹‘
„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
š’ƒ•‹‘‘ˆ”ƒ‹Ž–‘‹ ”‡ƒ•‡ Ȉ‹–‡‹•ƒƒŽŽǦ’—”’‘•‡‹Žƒ†ƒ”‹‡–‡”‹ƒŽǡ  ”ƒ– ̈́ ͷͲǡͲͲͲ
•–‘”ƒ‰‡•’ƒ ‡ˆ‘” ƒ”•‘Ǧ•‹–‡ǡ •Š‹’’‹‰„—ŽȀ„”‡ƒ„—Ž’”‘†— –•‹–Š‡ ”‹˜ƒ–‡ ̈́ ͶͷͲǡͲͲͲ
”‡†— ‹‰–”‹’•”‡“—‹”‡† •–‡‡Žǡ‘‹Žǡƒ†ƒ‰”‹ —Ž–—”ƒŽ‹†—•–”‹‡•ƒ ”‘•• ‘–ƒŽ ̈́ ͷͲͲǡͲͲͲ
–Š”‘—‰Š—‡‡•‰ƒ–‡ ™‡•–‡”Š‹‘
›ƒ”†Ǥ Ȉ—””‡–Ž›‘˜‡•̱͵ͺ ƒ”•’‡”–”‹’ȋ͵ǡͲͲͲΪ
͸
’‡”›‡ƒ”ȌǢ’”‘Œ‡ –™‘—Ž† ”‡ƒ–‡•’ƒ ‡ˆ‘”
ƒƒ††‹–‹‘ƒŽͳ͹ ƒ”•‘•‹–‡ǡ ‘‹–‡–
‘ˆ͵ǡ͵ͲͲ”ƒ‹Ž ƒ”•’‡”›‡ƒ”ƒˆ–‡” ‘’Ž‡–‹‘
ȈƒŽŽŽ‘‘’–”ƒ ƒŽŽ‘™•‘”‡ϐŽ‡š‹„‹Ž‹–›–‘
”‡–ƒ‹Ž‘ƒ†‡†Ȁ‡’–› ƒ”•‘•‹–‡ǡ”‡†— ‹‰
Ͷ ͷ
ͳ —„‡”‘ˆ–”‹’•–Š”‘—‰Š–Š‡—‡‡•‰ƒ–‡
ʹ͹ ƒ”†
ʹ
͵ǤǦ–‘‡”ƒ•Ž‘ƒ†
͵
„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
•–ƒŽŽƒ–‹‘‘ˆ‡™”ƒ‹Žˆ‘” Ȉ™‘‡™–”ƒ•Ž‘ƒ†ˆƒ ‹Ž‹–‹‡•™‹ŽŽ„‡  ”ƒ– ̈́ ʹͲͲǡͲͲͲ
‡™•–‘‡ƒ‰‰”‡‰ƒ–‡ ‡•–ƒ„Ž‹•Š‡† ‘ƒ ̈́ ͷͲͲǡͲͲͲ
’”‘ ‡••‹‰ƒ†–”ƒ•Ž‘ƒ† Ȉ ‘‹–‡–‘ˆͳǡͷͲͲ‡™”ƒ‹Ž ƒ”•ǡ ”‹˜ƒ–‡ ̈́ ʹǡʹͲͲǡͲͲͲ
ˆƒ ‹Ž‹–›Ǥ †‹˜‡”–‹‰ͳʹǡͲͲͲ–”— •ˆ”‘ƒ”‡ƒŠ‹‰Š™ƒ›• ‘–ƒŽ ̈́ ʹǡͻͲͲǡͲͲͲ

͹Ǥ—”‹ƒǦ‡™ ƒ ‹Ž‹–›
„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
‘•–”— –‹‘‘ˆƒ ‘‡ –‹‰ Ȉ̈́ͻͳͲǡͲͲͲ‹˜‡•–‡–‹”ƒ‹Ž‹ˆ”ƒ•–”— –—”‡  ”ƒ– ̈́ ͳͷͲǡͲͲͲ
–”ƒ ˆ‘”ƒ‡™’‡–ˆ‘‘† Ȉ‘’ƒ›™‹ŽŽ‡’Ž‘›͵ͲͲƒ–’”‘Œ‡ – ”‹˜ƒ–‡ȋȌ ̈́ ͳʹͷǡͲͲͲ
ͳǤ ǦǦ‹–‡ƒ‹Žš’ƒ•‹‘ ˆƒ ‹Ž‹–›Ǥ  ‘’Ž‡–‹‘ ”‹˜ƒ–‡ —†• ̈́ ͸͵ͷǡͲͲͲ
ʹǤ ǦǦ‹–‡‡Šƒ„ƒ†”‹†‰‡‡’ƒ‹” Ȉ‹‰‹ϐ‹ ƒ–Ž›‹ ”‡ƒ•‡•–”ƒˆϐ‹ ‘–Š‡ ‘–ƒŽ
͵Ǥ Ǧ–‘‡”ƒ•Ž‘ƒ† ‘’‡”ƒ–‹‰•Š‘”–Ž‹‡”ƒ‹Ž”‘ƒ†  —†‹‰ ̈́ ͻͳͲǡͲͲͲ
ͶǤ  ǦǦ‹–‡ƒ‹Ž‡Šƒ„ ‘–ƒŽ
ͷǤ —Ž–‘‘Ǥƒ‹Ž™ƒ›Ǧ ”‘–‘ƒ†‡”‘ƒ  ˜‡•–‡– ̈́ ͷͷͲǡͲͲͲǡͲͲͲ
͸Ǥ ǦǦ‹–‡”ƒ ‡Šƒ„
͹Ǥ —”‹ƒǦ‡™ ƒ ‹Ž‹–›

—†‹‰
 ”ƒ– ̈́ ͻ͹͸ǡͳͲ͸ ‘„•
‘ƒ ̈́ ͹ͲͲǡͲͲͲ ”‡ƒ–‡† Ͳ
–Š‡””‹˜ƒ–‡ ̈́ Ͷǡͷ͹ʹǡ͹͸ʹ ‡–ƒ‹‡† Ͳ
–Š‡”—„Ž‹ ̈́ Ͳ —’’‘”–‡† ͵͸ͻ
‘–ƒŽ ̈́ ͸ǡʹͶͺǡͺ͸ͺ ‘–ƒŽ ͵͸ͻ ”ƒ‹ŽǤ‘Š‹‘Ǥ‰‘˜
ƒ‹Ž‡˜‡Ž‘’‡–”‘Œ‡ –• Š‹‘‘—–Š‡ƒ•–Ǧͳͻ”‘Œ‡ –•Ǧ̈́ʹ͸ǡͻ͵ͶǡͲͳͷ
’’”‘˜‡† ƒͳǡʹͲͳͻǦ —͵ͲǡʹͲʹʹ
‡˜‹•‡†‡’͸ǡʹͲʹʹ ‡ƒ–—”‡†”‘Œ‡ –•
ͶǤ ƒƒ†‹—Ǧ‡™ ƒ ‹Ž‹–›
ͳͻ „‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
ͳͲ
•–ƒŽŽƒ–‹‘‘ˆ‡™”ƒ‹Žˆ‘”‡™ Ȉƒ”–‘ˆƒ̈́͵ͲͲǡͲͲͲǡͲͲͲ’”‘Œ‡ –ˆ‘”  ”ƒ– ̈́ ͳͷͲǡͲͲͲ
‡Ž‡‡–ƒŽ‡–ƒŽ•’”‘ ‡••‹‰ ƒƒ†‹—–‘‡•–ƒ„Ž‹•Šƒ‡™ˆƒ ‹Ž‹–›ǡ ”‹˜ƒ–‡ȋ Ȍ ̈́ ͳǡ͵ͷͲǡͲͲͲ
ͻ
ˆƒ ‹Ž‹–›Ǥ –Š‡‹”•‡ ‘†‹–Š‡”‡‰‹‘ ‘–ƒŽ ̈́ ͳǡͷͲͲǡͲͲͲ
ͻ ͺ ȈͳͲͲ‡™Œ‘„•‹—•‹‰—‘—–›
͸‹–‡•

ͳͷ
ͷǤ—•–‹‘™†‡”ǦǦ‹–‡ƒ‹Ž‡Šƒ„
ͳ Ͷ ͻ „‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
ͻ ‡Šƒ„™‘”ȋ–‹‡”‡’Žƒ ‡‡–ǡ ȈʹͷͲΪ‡š‹•–‹‰Œ‘„•ǡͳͷ‡™Œ‘„•  ”ƒ– ̈́ ʹͲͲǡͲͲͲ
”ƒ‹•‹‰–”ƒ •ǡ„ƒŽŽƒ•–ǡ†”ƒ‹ƒ‰‡ǡ Ȉ‹–‘‘—–›’Žƒ–‹•–Š‡Š‡ƒ”–‘ˆ—•–‹ ”‹˜ƒ–‡
͸
•™‹– Š‡•ǡƒ†ˆ‘—”‰”ƒ†‡ ”‘••‹‰ ‘™†‡”‘’ƒ› ȋ—•–‹‘™†‡”Ȍ ̈́ ͵ͷ͵ǡʹͻ͸
ͳʹ ”‡ ‘•–”— –‹‘•Ȍ–‘”‡’ƒ‹”–”ƒ  Ȉ”‘˜‹†‡• ‘‡” ‹ƒŽ‡š’Ž‘•‹˜‡•ƒ—ˆƒ –—”‹‰ ‘–ƒŽ
ʹ Ƭˆ‘”‘–Š‡”’Žƒ–•ƒ”‘—†–Š‡™‘”Ž†
̈́ ͷͷ͵ǡʹͻ͸
–‘ƒ•ƒˆ‡ƒ†”‡Ž‹ƒ„Ž‡Ž‡˜‡Ž‹
ͳͳ ͳ͵ ‘”†‡”–‘ ‘–‹—‡”‡ ‡‹˜‹‰”ƒ™ Ȉ‡†— ‡•†‡”ƒ‹Ž‡–•ǡ ”‡ƒ–‡•ƒ•ƒˆ‡”™‘”’Žƒ ‡
ͷ ƒ–‡”‹ƒŽǤ
ͳ͹ ʹͲ‹–‡•
ͳͺ ͳͲǤ ”‹ˆˆ‡–Šƒ†‘Ǧ”— ‹‰”ƒ•Ž‘ƒ†
ͳ͸ ͳͶ
ʹ‹–‡•
ͷ‹–‡• „‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
•–ƒŽŽƒ–‹‘‘ˆ‡™”ƒ‹Žˆ‘” Ȉ”‘˜‹†‡•ƒ‡™–”ƒ•Ž‘ƒ†•‡”˜‹ ‡–‘–Š‡  ”ƒ– ̈́ ͳͲͲǡͲͲͲ
‡™–”ƒ•Ž‘ƒ†ˆƒ ‹Ž‹–›Ǥ ƒ”‡ƒƒ†”‡†‡˜‡Ž‘’•ƒ˜ƒ ƒ–‹†—•–”‹ƒŽ ”‹˜ƒ–‡
͵ ˆƒ ‹Ž‹–› ȋ ”‹ˆˆ‡–ŠȌ
̈́ ͳǡͳͲͲǡͲͲͲ
͹
ȈͶͲ‡™Œ‘„•ǡ͵Ͳ”‡–ƒ‹‡†Œ‘„• ‘–ƒŽ ̈́ ͳǡʹͲͲǡͲͲͲ

ͳ͵Ǥ Ǧ‡˜‹–ƒŽ‹œ‹‰ƒ‹Ž ”‡‡ϐ‹‡Ž†‹‡ȋͳȀʹ‹–‡•Ȍ

„‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
ͳǤ †ƒ•”‘•Ǥ‘ ”‡–‡ ͳͲǤ ”‹ˆˆ‡–Šƒ†‘”— ‹‰ ‡’ƒ‹”ƒ†”‡Šƒ„‹Ž‹–ƒ–‹‘‘ˆ Ȉ ’”‘˜‡• ”‡‡ϐ‹‡Ž†‹‡–‘ Žƒ••  ”ƒ– ̈́ ͷͶǡ͹ͺͻ
”‘†— –•‡„ƒ”‘•Ǥ”ƒ•Ž‘ƒ† ”ƒ•Ž‘ƒ† ƒŽŽʹͻǤͷ‹Ž‡•‘ˆ–Š‡ ”‡‡ϐ‹‡Ž†  ‘†‹–‹‘ –Š‡”ƒ”–‡”• ̈́ ͳǡ͸Ͷ͹ǡͺͻͺ
ʹǤ †‹‡–ǦǦ‹–‡ƒ‹Ž‡Šƒ„ ͳͳǤ —Š–ƒƒ‹Ǧ ƒ ‹Ž‹–›š’ƒ•‹‘ ‹‡ˆ”‘–Š‡ †‹ƒƒƬ Ȉ•—”‡••ƒˆ‡–›ƒ†ƒ†‡“—ƒ ›‘ˆ„”‹†‰‡•‘    ”ƒ– ̈́ ͳǡ͹Ͳʹǡ͸ͺͺ
͵Ǥ   ‡–”‘ Š‡‹ ƒŽ•Ǧƒ‹Ž ͳʹǤ Ǧ Ǧ –‡” Šƒ‰‡‡’ƒ‹” Š‹‘ƒ‹Ž™ƒ› ‘‡ –‹‘‹ –Š‡Ž‹‡   ”ŒǤ‘–ƒŽ ̈́ ͵ǡͶͲͷǡ͵͹ͷ
š’ƒ•‹‘ ͳ͵Ǥ Ǧ‡˜‹–ƒŽ‹œ‹‰ƒ‹Ž ‹†Žƒ†–‘ ”‡‡ϐ‹‡Ž†Ǥ Ȉ‡˜‡”ƒ‰‡•ˆ—†‹‰ˆ”‘—‡”‘—•’”‘Œ‡ –
ͶǤ  ƒƒ†‹—Ǧ‡™ ƒ ‹Ž‹–› ”‡‡ϐ‹‡Ž†‹‡ȋͳȀʹ‹–‡•Ȍ ’ƒ”–‡”•  ”ƒ–
ͷǤ —•–‹‘™†‡”ǦǦ‹–‡ƒ‹Ž ͳͶǤ ǦǦ‹–‡ƒ‹Ž‡Šƒ„ ̈́ ͸ͷͻǡͲͲͲ
”‹†‰‡”‘Œ‡ –
‡Šƒ„ ͳͷǤ ‘—–ƒ‹‡‡””‘†— –•Ǧ‡™ ”‡‡ϐ‹‡Ž†‹‡
͸Ǥ  Ǧƒ‹Žš’ƒ•‹‘ ƒ ‹Ž‹–› ‘–ƒŽ ˜‡•–‡– ̈́ ͶǡͲ͸Ͷǡ͵͹ͷ
͹Ǥ ‰‹‡•ȀǦǦ‹–‡ƒ‹Ž ͳ͸Ǥ ǦŽ—Š‡‡ƒ†‡Šƒ„
‡Šƒ„ ȋͷ‹–‡•Ȍ ͳͻǤǦ‡‹†ƒ”‹†‰‡‡’ƒ‹”
ͺǤ ‡”‘ ‡••‹‰Ǧ‡™ ƒ ‹Ž‹–› ͳ͹Ǥ Ǧ”‹†‰‡‡’ƒ‹”•ƒ† ”ƒ†‡ „‘—– ”‘Œ‡ –‡‡ϐ‹–• —†‹‰
ͻǤ ‡‡•‡‡ƒ†›‘‹‰ ”‘••‹‰—”ˆƒ ‡•ȋʹͲ‹–‡•Ȍ ‡Šƒ„‹Ž‹–ƒ–‡ƒ†”‡’ƒ‹”–Š‡ Ȉ‡’ƒ‹”•ƒ„”‹†‰‡–‘„‡•—‹–ƒ„Ž‡ˆ‘”•‡”˜‹ ‡  ”ƒ– ̈́ ʹ͵ͷǡʹʹͷ
”‹†‰‡‡’ƒ‹”ȋͻȀͳ͵‹–‡•Ȍ ͳͺǤ Ǧ”‘••‹‰—”ˆƒ ‡ ‡‹†ƒ”‹†‰‡–‘‡•—”‡ ›‡ƒ”•‹–‘–Š‡ˆ—–—”‡ ”‹˜ƒ–‡ȋȌ ̈́ ʹ͵ͷǡʹʹͷ
ͳͻǤ Ǧ‡‹†ƒ”‹†‰‡‡’ƒ‹” ‘–‹—‡†•‡”˜‹ ‡ ȈŠ‡„”‹†‰‡‹•ƒ‹–‡‰”ƒŽ•–”— –—”‡ˆ‘” ‘–ƒŽ ̈́ Ͷ͹ͲǡͶͷͲ
—†‹‰ ƒ””‘ŽŽ–‘ǡ Ǥ  ‘–‹—‡†•‡”˜‹ ‡–‘ ”‹ˆˆ‡–Šƒ†‘
 ”ƒ– ̈́ ʹǡͶͻ͸ǡͻͶ͵ ‘„• ȋ”‘Œ‡ –͓ͳͲȌ
‘ƒ ̈́ ͹ͲǡͲͲͲ ”‡ƒ–‡† ʹͲͷ
–Š‡””‹˜ƒ–‡ ̈́ ʹ͵ǡͷͳʹǡͻͳ͹ ‡–ƒ‹‡† ͻͻͺ
–Š‡”—„Ž‹ ̈́ ͺͷͶǡͳͷͷ —’’‘”–‡† ͳʹͻ
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 Hazardous Materials Training
Event for First Responders and Railroaders

When: Wednesday June 7th @ 0900 & 1400

Where: Classroom Training – Zemba Brothers Headquarters @ 3401 East Pike Street / Zanesville
Field Training – 221 Market Street Zanesville Ohio

Genesee & Wyoming Inc. 1

 Overview

This unique training combines classroom instruction with

hands on field identification and hands on components. Classroom training
will be the first session and then the field portion will be the final portion.

Topics Covered

Tank car Identification

Tank car Component Identification
Safety and Scene Size up
Scene Isolation
Product Identification
Railroad Collaboration
Incident Management
Basic Locomotive Identification
Locomotive Familiarization

Genesee & Wyoming Inc. 2

 Name Date Session Name Date Session
1. 15.
2. 16.
3. 17.
4. 18
5. 19.
6. 20.
7. 21.
8. 22.
9. 23.
10. 24.
11. 25.
12. 26.
13. 27.
14. 28.
Genesee & Wyoming Inc. 3
 Name Date Session Name Date Session
29. 43.
30. 44.
31 45.
32. 46.
33. 47.
34. 48.
35. 49.
36. 50.
37. 51.
38. 52.
39. 53.
40. 54.
41. 55.
42. 56.
Genesee & Wyoming Inc. 4
Genesee & Wyoming Inc. 5
Genesee & Wyoming Inc. 6
 Brotherhood of Locomotive Engineers and Trainmen
Ohio State Legislative Board
A Division of the International Brotherhood of Teamsters Rail Conference

JOHN ESTERLY, CHAIRMAN

Post Office Box 7951, Columbus, Ohio 43207
Phone: (614) 284-5876
E-Mail: john.s.esterly@gmail.com

Ohio Senate – Select Committee on Rail Safety

April 26, 2023 Hearing Testimony of John Esterly
Chairman Reineke, Vice Chair Rulli, Ranking Member Antonio, and members of the Senate
Select Committee on Rail Safety – thank you for the opportunity to address you today. My name
is John Esterly and I am the State Chairman and Legislative Director of the Brotherhood of
Locomotive Engineers and Trainmen, a member of the Teamsters Rail Division. I’m here today
to speak to the current legislation and regulation related to the transportation of hazardous
materials by rail, the role of various Federal agencies in this process, to discuss what we have
learned from the East Palestine derailment, and to answer any questions you may have.
Rail transportation is governed by a number of federal regulatory bodies. The Surface
Transportation Board has jurisdiction over matters of interstate commerce and manages rail
operators’ obligations as common carriers. The Federal Railroad Administration governs rail
safety and general operations. The Pipeline and Hazardous Materials Safety Administration
establishes regulations for the safe handling of hazardous materials and their transportation by
rail and other methods. Finally, the Department of Homeland Security handles safety and
security as it applies to rail transportation, specifically the transportation of hazardous materials.
While this division of power allows for subject matter expertise, it also leads to difficult
navigation of the laws and regulations for the general public and interested parties.
Hazardous materials are divided into eight groups, classified by the type of material and the
hazards they pose to humans, animals, and the environment. A ninth category exists for all
miscellaneous hazardous materials. The PHMSA defines several specific types of shipments in
their regulations: poisonous by inhalation hazards (PIH), spent or consumed nuclear fuel, and
high-hazard flammable trains (HHFT). Each of these types of shipments has specific
requirements for operation dictated in the regulations having to do with train speed and route
identification. General shipments of hazardous materials are not regulated any differently than
standard shipments by rail.
The strictest regulations for the transportation of hazardous materials pertains to high-hazard
flammable trains (HHFT) which are trains with 20 or more tank cars loaded with Class 3
flammable liquids in a single block, or 35 or more throughout the consist. The PHMSA outlines
specific operational procedures for these trains, including identifying routes the HHFTs will
travel, specifications for the types of railcar that will be used in these shipments, and
establishing a HHFT point of contact who is responsible for knowledge of the railroad operator’s
operations and coordinates State agencies in the event of issues with these trains. These
guidelines, however, only apply to HHFT shipments – not to any other type of hazardous
material shipment.
The rail industry itself offers some additional guidelines for the transportation of hazardous
materials, but these are generally not enforceable by any regulatory agency. Trains carrying
specific types or quantities of hazardous materials are classified as “key trains” – any train with
one or more poisonous by inhalation hazard, with one or more spent nuclear fuel car, or any
train with twenty or more loaded hazardous material cars will meet the threshold for this
classification. Key trains are limited to a lower speed of 50mph, and have more stringent
procedures when a defect is detected during a trip. Since these procedures are managed by the
industry and not by any of the regulatory bodies, unfortunately there is no requirement for
compliance. Rail operators are free to make operational decisions to ignore any of the
operations related to key trains without penalty.
The Department of Homeland Security manages security and safety related to hazardous
materials shipments by rail. They define geographic areas of concern called High-Threat Urban
Areas (HTUAs), which due to their population density and potential to be a target for attack have
further requirements for hazardous materials shipments. Ohio has four HTUAs: Columbus,
Cincinnati, Cleveland, and the Greater Toledo area. Homeland Security also manages
information about hazardous materials shipments through the TSA. This information can be
used for emergency response, or to work with railroad operators to curfew shipments near
events with high attendance such as sporting events or major concerts.
February 3, 2023 is a date that will live with Ohioans for years to come. The derailment in East
Palestine has permanently changed the landscape in Ohio and has exposed concerning flaws in
the regulatory arena. I begin by stating that as a career railroader, I am not here to demonize
the industry today – I have a vested interest in their continued success in Ohio. The events
leading up to the derailment have been covered at length by prior testimony, but I want to
highlight one of the most important success stories. As the wayside detector at East Palestine
broadcast the warning to the train crew, the conductor on board the 32N immediately began
reviewing his shipping papers. The detector identified a specific car, which was determined to
be a hazardous shipment. The conductor found the papers for this shipment, determined what
the appropriate recommended response would be, and prepared to inspect the car when the
train stopped. As he dismounted the cab, the fire had already begun – the crew swiftly went into
action and separated the locomotives. I believe wholeheartedly that this action saved lives – not
only of the crew members, but of the general public by removing thousands of gallons of fuel
from open flames. This action also preserved critical event recorder data which has been used
to learn from East Palestine. Last week, Alan Shaw credited the crew with doing everything
correct, and I will echo that today. Our members did exactly what they needed to do in the heat
of the moment.
I want to thank Chairman Reineke for his invitation to speak today, and to thank the committee
for your time. At this time, I am happy to answer any questions you might have.
Further Resources for the Committee:
United States Hazardous Materials Instructions for Rail (Attached)
Emergency Order (EO) 28 from the FRA (Attached)
49 CFR Part 171 – General PHMSA information – definitions, etc.
49 CFR Part 174 – Regulations from the PHMSA pertaining to rail.
49 CFR Chapter II – Regulations from the FRA.
49 CFR Part 1580 – Regulations from Homeland Security pertaining to rail.
United States
Hazardous Materials
Instructions for Rail

Jan. 20, 2022

Update
The United States Hazardous Materials Instructions for Rail should be
interpreted and used as general guidelines. For further information,
appropriate regulations must be consulted.

The Association of American Railroads (AAR) and the AAR Hazardous

Materials Committee are not responsible for any omissions or errors found
in the United States Hazardous Materials Instructions for Rail.

2
United States Hazardous Materials Instructions for Rail
TABLE OF CONTENTS

INTRODUCTION ........................................................................................ 6
1. Purpose ............................................................................................................................................ 6
2. Policy ................................................................................................................................................ 6
3. Questions ......................................................................................................................................... 6
4. Print Date/Version ............................................................................................................................ 6
5. Regulatory Updates, Additions and Corrections .............................................................................. 6
SECTION I. GENERAL INFORMATION .................................................... 7
1. Definition of Hazardous Materials: ................................................................................................... 7
2. General DOT Requirement .............................................................................................................. 8
3. Expediting Hazardous Material Shipments ...................................................................................... 8
4. Exceptions for U.S. Government Material........................................................................................ 8
SECTION II. REQUIRED DOCUMENTATION ............................................ 9
1. General Requirements ..................................................................................................................... 9
2. Acceptable Shipping Documents ..................................................................................................... 9
3. Acceptable Emergency Response Information ................................................................................ 9
4. Document Indicating Position in Train ............................................................................................. 9
5. Checking for Shipping Documents ................................................................................................... 9
6. Reviewing Shipping Document Entries .......................................................................................... 10
a. Reporting marks (initials) and numbers ...................................................................................... 10
b. Total Quantity Notation ............................................................................................................... 10
c. Identification Number .................................................................................................................. 11
d. Proper Shipping Name ................................................................................................................ 11
e. Hazard Class/Division – Numeric or Worded .............................................................................. 11
f. Packing Group............................................................................................................................. 11
g. Emergency Response Telephone Number ................................................................................. 11
h. Additional Entries ........................................................................................................................ 12
7. Handling Situations when Shipping Documents or Required Entries Are Not Available ............... 13
8. Checking for Emergency Response Information ........................................................................... 13
9. Checking for Position-in-Train Document ...................................................................................... 13
10. Handling Shipping Documents Received from a Customer........................................................... 15
11. Handling Hazardous Waste Shipping Documents and Manifests ................................................. 15
12. Handling Requests for Shipping Documents or Emergency Response Information ..................... 15
SECTION III. INSPECTION ...................................................................... 16
1. General Requirements ................................................................................................................... 16
2. Inspection Procedures ................................................................................................................... 16
a. Inspecting All Car Types (from ground level) .............................................................................. 16
b. Inspecting Placarded/Marked Tank Cars (from ground level) .................................................... 17
c. Inspecting Placarded/Marked Gondola Cars (from ground level) ............................................... 17
d. Inspecting Placarded/Marked Hopper Cars (from ground level) ................................................. 17
e. Inspecting Shipments Placarded EXPLOSIVES 1.1 or 1.2 (from ground level) ......................... 17
f. Inspecting Placarded/Marked Intermodal Shipments (from ground level) .................................. 18
3. Handling Defects ................................................................................................................................. 18
SECTION IV. PLACARDS AND MARKINGS ........................................... 19
1. General Requirement ..................................................................................................................... 19
2. Placard Requirements.................................................................................................................... 19
3. Inspecting for Placards................................................................................................................... 21
4. Marking Requirements and Inspecting for Markings ..................................................................... 23
a. Identification Number Markings ................................................................................................... 23
b. MARINE POLLUTANT Mark ....................................................................................................... 24
c. Elevated Temperature Material Mark .......................................................................................... 25
d. LIMITED QUANTITIES Mark ...................................................................................................... 25
e. INHALATION HAZARD Mark ...................................................................................................... 26

3
United States Hazardous Materials Instructions for Rail
 f. Commodity Name ....................................................................................................................... 26
g. Tank Car Specification and Qualification Dates Stencils ............................................................ 27
h. FUMIGANT mark ........................................................................................................................ 27
i. Non - Odorized Mark ................................................................................................................... 28
j. Sour Crude Oil Mark ................................................................................................................... 28
SECTION V. SWITCHING ........................................................................ 29
1. General Requirement ..................................................................................................................... 29
2. Safety ............................................................................................................................................. 29
3. When to Use the Switching Chart .................................................................................................. 29
SECTION VI. TRAIN PLACEMENT.......................................................... 31
1. General Requirement ..................................................................................................................... 31
2. When to Use the Position-in-Train Chart ....................................................................................... 31
3. General Information ....................................................................................................................... 31
SECTION VII. KEY TRAINS ..................................................................... 33
1. General Requirement ..................................................................................................................... 33
2. Key Train Definition ........................................................................................................................ 33
3. Identifying Key Trains..................................................................................................................... 33
4. Instructions for Operating Key Trains ............................................................................................ 33
SECTION VIII. EMERGENCY RESPONSE .............................................. 34
1. General Requirement ..................................................................................................................... 34
2. When a Fire or Vapor Cloud is Visible ........................................................................................... 34
3. When No Fire or Vapor Cloud is Visible ........................................................................................ 35
4. Cooperating with Local Emergency Responders ........................................................................... 35
5. Handling Leaking Hazardous Material Shipments ......................................................................... 36
APPENDICES .......................................................................................... 37
1. List of materials that require the commodity name on tank cars ......................................................... 37
GLOSSARY ............................................................................................. 38
LIST OF TABLES
Table 1. Hazard Classes and Divisions ..........................................................................................................................7
Table 2. Time-Sensitive Shipments ...............................................................................................................................8

LIST OF FIGURES
Figure 1. Shipping Descriptions Entries ...................................................................................................................... 10
Figure 2. Example of Radio Waybill ........................................................................................................................... 14
Figure 3. Car Certificates ............................................................................................................................................. 18
Figure 4. Placards for Hazardous Materials by Hazard Class ...................................................................................... 22
Figure 5. Identification Numbers ................................................................................................................................. 23
Figure 6. MARINE POLLUTANT Mark .................................................................................................................... 24
Figure 7. Elevated Temperature Material Mark .......................................................................................................... 25
Figure 8. LIMITED QUANTITIES Mark ................................................................................................................... 26
Figure 9. Tank Car Specification and Qualification Stencils ....................................................................................... 27
Figure 10. FUMIGANT Mark ..................................................................................................................................... 28
Figure 11. Sour Crude Oil Mark .................................................................................................................................. 28
Figure 12. Switching Chart .......................................................................................................................................... 30
Figure 13. Position-in-Train Chart .............................................................................................................................. 32

4
United States Hazardous Materials Instructions for Rail
 5
United States Hazardous Materials Instructions for Rail
INTRODUCTION
1. Purpose
One of the rail industry’s primary focuses continues to be the safe transportation of hazardous
materials. Rail employees interact regularly with employees of other railroads. If subscribing railroads
implement and consistently apply a standard set of rules and regulations, we will significantly
enhance both our employees’ safety and the safety of the communities through which we operate.
Those railroads involved in developing the United States Hazardous Materials Instructions for
Rail therefore worked together to create these instructions for employees who transport hazardous
materials.
Note: These general guidelines may be appropriately modified by an individual railroad to be
consistent with its unique operating rules and practices.
2. Policy
To handle hazardous material shipments or incidents safely and efficiently, without delay, and in
accord with local, state, and federal regulations, it is imperative that you familiarize yourself with the
United States Hazardous Materials Instructions for Rail, in addition to other operating rules.
These instructions provide guidance on how to perform your duties so that both you and the company
will comply with Department of Transportation (DOT) regulations.
Employees who transport hazardous materials must also have a copy of the current Emergency
Response Guidebook (ERG) readily accessible while on duty.
The company will provide appropriate training and testing to each employee who directly affects
hazardous material transportation safety.
Always keep in mind that the company requires full compliance with the law. Compliance with the
letter and spirit of our obligations is good corporate citizenship and is basic to achieving quality in all
areas of our operations. Each employee has a duty to see that the railroad's actions are consistent
with the highest legal and ethical standards.
3. Questions
For questions about the United States Hazardous Materials Instructions for Rail, contact your
immediate supervisor and/or your railroad’s Hazardous Materials / Dangerous Goods representative.
4. Print Date/Version
Effective: 10/18 /2021
5. Regulatory Updates, Additions and Corrections
Requests should be submitted via email to the Association of American Railroads’ Hazardous
Materials Committee for review. (BOE@aar.org) If approved, changes will occur in the next
publication of the United States Hazardous Materials Instructions for Rail.

6
United States Hazardous Materials Instructions for Rail
SECTION I. GENERAL INFORMATION
1. Definition of Hazardous Materials:
The U.S. Department of Transportation (DOT) and the International Air Transportation
Association (IATA) define hazardous materials as articles or substances which are capable of
posing a risk to health, safety, property, or the environment; are listed or classified in the
regulations; and are transported in commerce.

Table 1. Hazard Classes and Divisions

Numbered Hazard Classes and Divisions

Explosives – Class 1
1.1 – Explosive with mass explosion hazard
1.2 – Explosive with projection hazard
1.3 – Explosive with predominantly fire hazard
1.4 – Explosive with no significant blast hazard
1.5 – Very insensitive explosive; blasting agent
1.6 – Extremely insensitive detonating substance
Gases – Class 2
2.1 – Flammable gas
2.2 – Nonflammable, nonpoisonous (nontoxic) compressed gas
2.3 – Gas poisonous (toxic) by inhalation
Flammable Liquids – Class 3
Combustible Liquids - Worded Hazard Class
x Regulated in the US only
Flammable Solids and Reactive Solids/Liquids – Class 4
4.1 – Flammable solid
4.2 – Spontaneously combustible material
4.3 – Dangerous when wet material
Oxidizers and Organic Peroxides – Class 5
5.1 – Oxidizer
5.2 – Organic peroxide
Poisonous (Toxic) Materials and Infectious Substances – Class 6
6.1 – Poisonous (toxic) material
6.2 – Infectious substance
Radioactive Materials – Class 7
Corrosive Materials – Class 8
Miscellaneous Hazardous Materials – Class 9

7
United States Hazardous Materials Instructions for Rail
2. General DOT Requirement
a. No person may offer, accept, or transport a hazardous material in commerce unless that material
is properly classed, described, packaged, marked, labeled, and placarded and is in proper
condition for transportation according to DOT and International regulations.
b. No person may transport a hazardous material in commerce unless the hazardous material is
handled and transported according to DOT regulations.
3. Expediting Hazardous Material Shipments
Loaded hazardous material shipments and both loaded and residue/empty time-sensitive shipments
(see Table 2) must be forwarded either:
a. within 48 hours (excluding Saturdays, Sundays, and holidays) after accepting them at the
shipper’s facility or receiving them in any yard, intermediate (transfer) station, or interchange point
or
b. when only bi-weekly or weekly service is performed, on the first available train toward the
destination.
Exception: The 48-hour requirement does not apply to shipments that are constructively placed or
set out for repairs.

Table 2. Time-Sensitive Shipments

20 Day
(1) Ethylene, refrigerated liquid – UN 1038
(2) Hydrogen, refrigerated liquid – UN 1966
(3) Chloroprene, stabilized – UN 1991
(4) Flammable Liquid, n.o.s. (Methyl Methacrylate
Monomer, uninhibited) – UN 1993
(5) Hydrogen chloride, refrigerated liquid – UN 2186
(6) Vinyl Fluoride, stabilized – UN1860
30 Day
(1) Styrene monomer, stabilized – UN 2055

4. Exceptions for U.S. Government Material

a. Department of Energy (DOE) and Department of Defense (DOD) shipments made for the
purpose of national security and accompanied by escorts (personnel specifically designated by or
under the authority of DOD or DOE) are not subject to DOT regulations or these instructions.
b. Escorts must travel in a separate transport vehicle from the rail car carrying the hazardous
materials.
c. The escorts must have, in their possession, a document certifying that the shipment is for the
purpose of national security.

8
United States Hazardous Materials Instructions for Rail
SECTION II. REQUIRED DOCUMENTATION
1. General Requirements
No person may accept a hazardous material for shipment by rail transportation or transport a
hazardous material in a train unless a member of the crew has each of the following documents:
a. acceptable shipping documents
b acceptable emergency response information
c. a document showing the current position of the hazardous material shipment in the train.
Notes:
1) The purpose of this documentation is to provide railroad personnel and emergency response
personnel with accurate information about the hazardous materials.
Therefore, keep all current hazardous material documents neat and orderly and ensure that they
are available in case of an emergency or for inspection. Properly discard superseded documents
to eliminate the possibility of confusing or inconsistent information.
2) Electronic documents are only acceptable with Railroads having authorization from DOT.
2. Acceptable Shipping Documents
Any one of the following documents is an acceptable shipping document for hazardous material
shipments, as long as it includes the required shipping description entries (see item 6 of this section),
is legible, is printed (manually or mechanically in English), and, for multiple pages, is consecutively
numbered with the first page indicating total number of pages.
a. Railroad-produced documents – for example, train consists, train lists, wheel reports, waybills,
industry work orders, or other similar documents
b. Customer-produced documents – for example, bills of lading or switch lists
c. A connecting carrier’s documents
d. A hand-printed document (printed, not cursive letters) – for example, radio waybills
e. A hazardous waste manifest.
3. Acceptable Emergency Response Information
The Emergency Response Guidebook (ERG) contains acceptable emergency response
information. The ERG may be supplemented by emergency response information printed as part of
the train list/consist or provided by the customer – for example, a Safety Data Sheet (SDS).
4. Document Indicating Position in Train
Before moving hazardous material shipments in a train, a member of the crew must have a document
that shows the current position in the train of each hazardous material shipment (loaded and
residue/empty).
When making pickups or setouts, update the document before proceeding. The train crew must
update the document electronically, by handwriting on it or by appending, or attaching another
document to it.

5. Checking for Shipping Documents

Make sure that a member of the crew has acceptable shipping documents, with the required entries,
for each hazardous material when:
a. accepting hazardous material shipments at a customer’s facility, interchange point, or other
location
b. moving hazardous material shipments in a train

9
United States Hazardous Materials Instructions for Rail
 c. delivering hazardous material shipments to a customer’s facility, interchange point, or other
setout point
d. switching hazardous material shipments outside a yard.
Note: Shipping documents are not required to be in the switch crew’s possession when moving
hazardous material shipments within a yard or at a customer’s facility.
Exception: Although they may remain placarded and marked, residue/empty packages of Class 9
that are not hazardous substances, hazardous wastes or marine pollutants do not require hazardous
material shipping documents and emergency response information.
6. Reviewing Shipping Document Entries
Review the shipping description entries for each hazardous material on the shipping documents and
make sure that the following entries (a-g under this item) are present. (Figure 1 shows two formats for
displaying the shipping description entries.)

Vertical Format

GATX 12345 (a)

1 T/C (b)
UN1830 (c)
SULFURIC ACID (d)
8 (e)
PG II (f)
RQ (SULFURIC ACID) (h3)
EMERGENCY CONTACT: 800-424-9300 (g)

Horizontal Format

UTLX 12345 (a)

1 T/C (b) // UN1017 (c) // CHLORINE (d) // 2.3 (5.1, 8) (e) // RQ (CHLORINE) (h3) // POISON-
INHALATION HAZARD (h6) // ZONE B (h7) // MARINE POLLUTANT (CHLORINE) (h4) //
EMERGENCY CONTACT: 800-424-9300 (g)

Items (a) through (g) are required entries, and items (c) through (f) are referred to as the basic
description. Item (h) refers to additional entries that may appear.

Figure 1. Shipping Descriptions Entries

a. Reporting marks (initials) and numbers

The shipping document for a rail car, freight container, transport vehicle, or portable tank must
include the reporting mark and numbers when the reporting mark and numbers are displayed on
the rail car, freight container, transport vehicle, or portable tank.

b. Total Quantity Notation

(1) For empty packagings, bulk packagings, or cylinders of Class 2 materials, some indication
of the total quantity must be shown (certain abbreviations are acceptable). For example, “1
T/C” (1 tank car), “1C/L” (1 car load), or “10 CYL” (10 cylinders).
(2) For non-bulk packaging, the total quantity is given by both:
(a) weight or volume (including the unit of measure); for example, “100 LBS”, “55 GAL”, “5
KG”, or “208 L”; and
(b) number and type of packages; for example “12 DRUMS”, “12 UN 1A1”, “15 4G”, or “2
UN 3H1JERRICAN”.
(3) For Class 1 materials, the quantity must be the net explosive mass.

10
United States Hazardous Materials Instructions for Rail
 c. Identification Number

A 4-digit number preceded by “UN”, “NA” or “ID” assigned to a hazardous material.

d. Proper Shipping Name

(1) The proper shipping name of the hazardous material may be one or more words, such as
“CHLORINE” or “SULFURIC ACID.” The proper shipping name may include a number that
indicates the concentration of the material.
(2) When a N.O.S. (Not Otherwise Specified) shipping name appears, the technical name of
the product may appear in parentheses immediately after the N.O.S. shipping name, such
as “CORROSIVE LIQUID, N.O.S. (CAPRYL CHLORIDE).”
(3) Residue/empty shipments in tank cars must include the phrase “RESIDUE: LAST
CONTAINED . . .” in association with the basic description, including the proper shipping
name.

(4) For waste shipments, the word “WASTE” will precede or be part of the proper shipping
name of the material.

e. Hazard Class/Division – Numeric or Worded

Reference: For further information on hazard classes/divisions, see the definitions in the
Glossary and the list of hazard classes/divisions in Table 1.
(1) For certain hazardous materials, the subsidiary hazard class(es)/division(s) will appear in
parentheses after the primary hazard class/division. For example, Ethylene Oxide is listed
as “2.3 (2.1)”, and Chlorine is listed as “2.3 (5.1, 8)”.
(2) The hazard class need not be repeated for “COMBUSTIBLE LIQUID, N.O.S.” shipments.

(3) Divisions 1.1, 1.2, 1.3, 1.4, 1.5, and 1.6 will show a compatibility group letter after the
division (”1.1A”). The letter has no significance in rail transportation.

f. Packing Group

The packing group, when required by regulation, will appear on the shipping documents in
Roman numerals (“I”, “II”, or “III”). The packing group may be preceded by the letters “PG” (“PG
I”, “PG II”, or “PG III”).

Exceptions:

Classes / Divisions 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 2.1, 2.2, 2.3, 4.1 (self-reactive liquids or solids,
types B-F), 5.2, 6.2 and Class 7 do not require the packing group notation.

In addition, there are specific commodities in Classes / Divisions 3, 4.2, 4.3, 5.1, 8 and 9 that do
not require the packing group notation. If the Packing Group is not required, the field will be blank.

g. Emergency Response Telephone Number

Shipping documents for hazardous materials must show a 24-hour emergency response
telephone number, including the area code, for use in the event of an emergency involving the
hazardous materials. For telephone numbers outside the United States, the international access
code or the “+” (plus) sign, country code, and city code, as appropriate, must be included.
Note: In some cases, a shipper name or contract number may be shown before or after the
emergency response telephone number.

11
United States Hazardous Materials Instructions for Rail
 Exceptions: Emergency response telephone numbers are not required when the hazardous
material is shown as “LIMITED QUANTITY”, “LTD QTY”, or its proper shipping name is:
(1) battery powered - equipment or vehicle
(2) carbon dioxide, solid or dry ice
(3) castor - bean, meal, flake, or pomace
(4) consumer commodity
(5) engines, internal combustion
(6) fish - meal or scrap, stabilized
(7) fumigated unit
(8) krill meal, PG III
(9) refrigerating machine
(10) vehicle, flammable gas powered or vehicle, flammable liquid powered
(11) wheelchair, electric

h. Additional Entries
Some hazardous material shipping descriptions may contain one or more of these entries:
(1) “RESIDUE: LAST CONTAINED ...” (for packages emptied to the maximum extent possible)
(2) “HOT” notation added before a proper shipping name for elevated temperature materials
(3) “RQ” for Reportable Quantity notation of a hazardous substance
(4) “MARINE POLLUTANT” notation
(5) “POISON” or “TOXIC” notation
(6) “POISON (TOXIC)-INHALATION HAZARD (PIH or TIH)” or “INHALATION HAZARD (IH)”
notation
(7) Hazard Zone notation (“ZONE A,” “ZONE B,” “ZONE C,” or “ZONE D”)
(8) “LIMITED QUANTITY” or “LTD QTY” notation
(9) FRA Movement Approval ( “FRA 0109123”), DOT Special Permit ( “DOT- SP 9271”),
Special Approval Number ( “SA 920403”), or Competent Authority Number ( “CA
9701001”)
(10) DOT-113 notation (“DOT-113, DO NOT HUMP OR CUT OFF IN MOTION”)
(11) Hazardous Materials Response Code (Hazmat STCC “48xxxxx” or “49xxxxx”)
(12) certain shipments described using Canadian regulations may contain both an Emergency
Response Assistance Plan number and its activation telephone number ( “ERAP-2-1008
(800-555-5555) // SPECIAL COMMODITY”)
(13) box of asterisks with or without wording (not required by DOT, but may appear on railroad-
produced documents)

(14) Shipper's Certification (Not required for residue shipments)

(15) “OIL” notation
(16) additional radioactive material entries
(17) name and address of the place of business in Canada of the consignor
(18) additional hazardous waste shipping description entries (see Section II, item 11, a)
(19) EX number for air bag modules classified as Class 9. Note: Recycled air bag modules do
not require the EX number entry, but must have the word “recycled” after the basic
description.

12
United States Hazardous Materials Instructions for Rail
 (20) For International shipments, the notation “DANGEROUS GOODS IN EXCEPTED
QUANTITIES” as appropriate
(21) “NON-ODORIZED” or “NOT-ODORIZED" notation for non-odorized liquefied petroleum gas

7. Handling Situations when Shipping Documents or Required Entries Are Not Available
When the appropriate shipping document is not present or when all required entries on the shipping
document provided are not present:
a. Do not move the car until the appropriate shipping document or the required entries on the
shipping document are present.
b. Take one of these three actions:
(1) Correct the existing document. Contact the customer or your supervisor, request the entries
required to complete the shipping description, update the document electronically or legibly
print those entries in the appropriate sequence (see Section II, item 6).
or
(2) Obtain the appropriate shipping document from the shipper, your supervisor, or other
appropriate person.
or
(3) Use a radio waybill.
(a) Contact your supervisor or dispatcher and request the appropriate entries for a radio
waybill (see Figure 2, Example of Radio Waybill).
The supervisor or dispatcher will provide the requested entries via radio or telephone to
you.
(b) Complete the radio waybill using the information the supervisor or dispatcher provided.
Note: If a radio waybill form is not available, legibly print the required hazardous
material information on a sheet of paper, including the car’s initials and number (see
Section II, item 6).
(c) Keep the radio waybill with the other shipping documents until either reaching the final
destination or receiving another shipping document with the appropriate entries.
(d) For each radio waybill issued, add the car initial and number and its position on the
position-in-train document.

8. Checking for Emergency Response Information

a. When accepting and transporting hazardous material shipments, make sure a copy of the
emergency response information for each shipment (see Section II, item 3) is available.
b. If emergency response information is not available, do not accept or transport the car.
9. Checking for Position-in-Train Document
a. When transporting hazardous material shipments in a train, make sure a member of the crew has
a document indicating the current position in train of each hazardous material shipment.
b. If the document indicating the current position in train of each hazardous material is not available:
(1) Update the documents already in your possession.
or
(2) Create a hand-printed list showing the position in train of each hazardous material
shipment.
Note: The list must show the reporting marks and number for each hazardous material
shipment in the train and its actual position in the train.

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United States Hazardous Materials Instructions for Rail
 Haz ar do us M at er i a l R ad i o W ay b il l
NOTE: Print legibly
?????????????????????????????????????

? HAZARDOUS MATERIAL ?
?????????????????????????????????????

1. Train Number
2. Number of Cars from Head End
3. Car Initial & No.
4. Total Quantity Notation (Circle One)
Tank Car or Car Load or Residue: Last Contained or Other
If Other, specify weight or volume ____________________
5. Number of Packages or Car(s)

*** Description of Articles ***

6. Identification No. (UN/NA) ________________________
7. Proper Shipping Name

8. Technical Name ( )
9. Primary Hazard Class
Subsidiary Hazard Class(es) ( )
10. Packing Group (PG): I II III (Circle One)
11. Reportable Quantity (RQ): ( )

*** Additional Information ***

12. Poison/Toxic Inhalation Hazard:
Zone A, Zone B, Zone C, Zone D (Circle One)
13. Marine Pollutant ( )
14. DOT Special Permit Number(s):

15. Additional Information

16. ERAP Plan No.:

(Canadian Shipments Only)

17. ERAP Telephone No.: ( ) -

(Canadian Shipments Only)

18. Emergency Contact ( ) -

Contract Number or Shipper Name:

Completed:
Date / / Time: :
MO DAY YR 24-HR MIN

Figure 2. Example of Radio Waybill

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United States Hazardous Materials Instructions for Rail
10. Handling Shipping Documents Received from a Customer
When picking up a hazardous material shipment from the customer and the customer provides the
original shipping documents:
a. Check for appropriate hazardous material entries.
b. For loaded shipments, make sure that the shipper’s certification and signature (signature by hand
or mechanical means) are on the shipping documents received from the customer.
11. Handling Hazardous Waste Shipping Documents and Manifests
a. The shipping document for a hazardous waste shipment must have the following entries in
addition to the the required term “waste” before or after the proper shipping name:
(1) proper shipping description
(2) name, address, and telephone number of the hazardous waste generator
(3) name and address of the hazardous waste disposal facility
(4) name of transporter
(5) waste manifest number
(6) special handling instructions.
b. When accepting a hazardous waste shipment with railroad generated shipping documents for the
shipment which contains the hazardous waste manifest entries [(a) above], pick up the car
containing hazardous waste without a copy of the hazardous waste manifest.
c. When accepting a hazardous waste shipment without railroad shipping documents for the
shipment, check to see that the hazardous waste manifest contains both the hazardous materials
shipping description entries (see Section II, item 6, a-g) and the hazardous waste manifest entries
[(a) above].
If all entries are present on the hazardous waste manifest, pick up the car containing hazardous
waste with the copy of the hazardous waste manifest.

12. Handling Requests for Shipping Documents or Emergency Response Information

When receiving a request for shipping documents or emergency response information from a railroad
employee, regulatory enforcement officer, or emergency response personnel in an emergency:
a. Immediately share any requested information document for the shipment.
(Provide an extra copy of the train list/consist, when available.)
Note: Retain any waybills and a copy of the train list/consist until you can deliver them to the first
railroad manager on the scene.
and
b. Immediately share a copy of the emergency response information provided with the shipment.

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United States Hazardous Materials Instructions for Rail
SECTION III. INSPECTION
1. General Requirements
a. To determine that they are in acceptable condition for transportation, all loaded and
residue/empty hazardous material shipments must be inspected at these points:
(1) before accepting them from the shipper
(2) when receiving them in interchange
Note: Run-through trains received in interchange may continue to the next inspection point
before being inspected.
(3) when placing them in a train
(4) at other points where an inspection is required.
b. Accept or transport only those hazardous material shipments that conform to these instructions.
2. Inspection Procedures
In addition to inspecting rail cars for compliance with train make-up, adequate buffer cars, shiftable
loads and temperature control equipment (see Position-In-Train Chart, Instructions 1 through 5) as
well as mechanical requirements, visually inspect each loaded or residue/empty hazardous material
shipment (including flat cars transporting placarded or marked trailers or containers) and adjacent rail
cars, from ground level (do not climb on or go under the car) and check for:
- leakage and/or visible product on the outside of the car
- required placards and markings, including stenciling, car certificates, and qualification dates
(See section IV for details)
- closures are secure, including but not limited to bottom outlet caps, bottom outlet valve
handles, protective housing covers and manway cover securement bolts
- signs of tampering, such as suspicious items or items that do not belong, the presence of
an "Improvised Explosive Device" (IED), and other signs that the security of the car may
have been compromised
Note: Where an indication of tampering or a foreign object is found, take the following actions:
(1) Do not accept or move the rail car.
(2) Immediately move yourself and others to a safe location away from the rail car before using
radios and cell phones to make notifications.
(3) For cars at a customer's facility, immediately contact local plant personnel. If local plant
personnel are not available or cannot correct the issue, immediately contact the train
dispatcher (follow your specific railroad instructions).
(4) For cars on interchange tracks or in the yard, immediately contact the yardmaster or train
dispatcher (follow your specific railroad instructions).

a. Inspecting All Car Types (from ground level)

(1) Without climbing on the car, make sure that the hazardous material shipment is not leaking.
Look for leaking contents – drips, wetness, odor or material on the car or on the ground.
Note: If you find a hazardous material shipment leaking, or if there is hazardous material
residue / spillage on the outside of the car (excluding Molten Sulfur), follow the instructions
in item 3 of this section and in Section VIII (Emergency Response), item 5.
(2) Make sure placards and markings are appropriate for the shipment and displayed correctly
(see Section IV, Placards and Markings)
(3) Before accepting a hazardous material shipment from the shipper, make sure that:
(a) all customer loading and unloading lines are disconnected
(b) derails, chocks, and blue flags are removed

16
United States Hazardous Materials Instructions for Rail
 (c) all platforms are raised or in the clear.

b. Inspecting Placarded/Marked Tank Cars (from ground level)

Check placarded tank cars or tank cars marked with an identification number to see that:
(1) Insure that it is not leaking.
(a) Look for wetness or accumulation of the material.
(b) Look for a vapor cloud.
(c) Listen for hissing sounds of the contents escaping.
Note: If you find a hazardous material shipment leaking, or if there is hazardous material
residue / spillage on the outside of the car (excluding Molten Sulfur), follow the instructions
in item 3 of this section and in Section VIII (Emergency Response), item 5.
(2) protective housing covers are closed
(3) manway cover swing bolts are up and in place
(4) all valves, valve handles and fittings appear to be closed and secure
(5) visible plugs or caps (including bottom outlet caps) or other fittings are securely in place
Note: When heater coil caps are provided, they must be applied.
(6) “Double shelf” couplers are present for all tank cars.

c. Inspecting Placarded/Marked Gondola Cars (from ground level)

(1) Look for loosely fastened gondola covers.
(2) Make sure the cover or tie downs do not foul any safety appliances.

d. Inspecting Placarded/Marked Hopper Cars (from ground level)

Check that discharge gates and discharge caps are closed and secured.

e. Inspecting Shipments Placarded EXPLOSIVES 1.1 or 1.2 (from ground level)

(1) In addition to the other inspection requirements in this section, for shipments placarded
EXPLOSIVES 1.1 and 1.2:
(a) Look for indications of damage to the contents.
(b) Make sure that completed “car certificates” (see Figure 3, Car Certificates) are
displayed on both sides of the rail car. Car certificates must be removed after the rail
car, trailer, or container is unloaded.
(2) Do not accept or transport the car until all damage has been corrected and car certificates
are in place.

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United States Hazardous Materials Instructions for Rail
 Railroad

No 1 Station 20
hereby certify that I have this day personally examined Car
Number _______ and that the car is in condition for service and complies with the FRA Freight Car
Safety Standards (49 CFR Part 215) and with the requirements for freight cars used to transport
explosives prescribed by the DOT Hazardous Materials Regulations (49 CFR Part 174)

Qualified Person Designated Under 49 CFR 215.11

No 2 Station 20
I have this day personally examined the above car and hereby certify that the explosives in or on this
car, or in or on vehicles or in containers have been loaded and braced; that placards have been applied,
according to the regulations prescribed by the Department of Transportation; and that the doors of cars
so equipped fit or have been stripped so that sparks cannot enter.

Shipper or his authorized agent

Qualified Person Designated Under 49 CFR 215.11

No 3 Station 20

I hereby certify that I have this day personally supervised the loading of the vehicles or containers on
and their securement to the above car.

Shipper or railway employee inspecting loading and securement

Note 1: A shipper must decline to use a car not in proper condition.

Note 2: All certificates, where applicable, must be signed.

Figure 3. Car Certificates

f. Inspecting Placarded/Marked Intermodal Shipments (from ground level)

In addition to completing other inspection requirements in this section:
(1) Make sure that an intermodal tank container of hazardous material is not transported with a
container above or below the tank.
(2) Make sure that placards are fully visible when containers are loaded in a well car.
(3) Make sure that an intermodal tank container of hazardous material has the Proper Shipping
Name on both sides, is legible and visible when the container is loaded in a well car.
(4) Make sure that intermodal tank containers are placed so that the bottom outlet valves are
pointed toward the ends of the well or platform.
3. Handling Defects
When a hazardous material shipment does not appear to be properly prepared for transportation:
a. Do not accept or pull the hazardous material shipment or allow it to continue in transportation.
b. Notify the customer, train dispatcher, yardmaster, or your immediate supervisor, as appropriate,
and explain the problem.

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United States Hazardous Materials Instructions for Rail
SECTION IV. PLACARDS AND MARKINGS
1. General Requirement
Hazardous material shipments, whether loaded or containing a residue, must not be accepted for
transportation or transported unless they are properly placarded and marked. Not all hazardous
material shipments require placards.
2. Placard Requirements
Each bulk packaging, freight container, transport vehicle, or rail car containing hazardous material
must be placarded on each side and each end in accordance with the instructions below.
Note: Unless the shipping documents indicate that the shipment is a Limited Quantity, most
international shipments (including Canada and Mexico) of hazardous materials require placards.
Placard - a sign measuring at least 250 mm (9.8 in) by 250 mm (9.8 in) square-on-point,
communicating a hazard by symbol, color, hazard class/division number and possibly text (see Figure
4 for pictures of placards). Text indicating the hazard is not required on placards other than the Class
7 and DANGEROUS placards; however, for shipments originating internationally, text may not appear
on a Class 7 placard. The hazard class text does not have to be in English, except for the
DANGEROUS placard, as long as the size, color, hazard class, and symbol are correct.
a. Placards are required when transporting any quantity (bulk or non-bulk) of these hazard classes:
1.1 Explosive with mass explosion hazard
1.2 Explosive with projection hazard
1.3 Explosive with predominantly fire hazard
2.3 Gas poisonous (toxic) by inhalation
4.3 Dangerous when wet material
5.2 Organic peroxide, Type B, liquid or solid, temperature controlled
6.1 Material poisonous (toxic) by inhalation
7 Radioactive Yellow III label or exclusive use shipments of low specific activity (LSA)
materials and surface contaminated objects.
b. Placards are required when transporting total weight of 1001 lbs (454 kg) or more (bulk or non-
bulk) of these hazard classes:
Note: Placards may be displayed for a total weight less than 1001 lbs of these materials, as long
as they are appropriate for the shipment.
1.4 Explosive with no significant blast hazard
Note: Placards are not required for Class 1.4S materials.
1.5 Very insensitive explosive; blasting agents
1.6 Extremely insensitive detonating substances
2.1 Flammable gas
2.2 Nonflammable, nonpoisonous (nontoxic) compressed gas
3 Flammable liquid
4.1 Flammable solid
4.2 Spontaneously combustible material
5.1 Oxidizer
5.2 Organic peroxide, other than “organic peroxide, Type B, liquid or solid, temperature
controlled” in 2a above
6.1 Poisonous (toxic) material, (other than material poisonous (toxic) by inhalation)
Note: For U.S. transportation of Class 6.1 PG III materials, a PG III placard may be used in
place of a POISON (TOXIC) placard.
8 Corrosive material

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United States Hazardous Materials Instructions for Rail
 9 Miscellaneous hazardous material.
Exception: For U.S. transportation only, Class 9 placards are not required for non-bulk
shipments. However, bulk shipments of Class 9 materials transported in the US one of the
following is acceptable:
1) Class 9 placard with identification number
2) White square-on-point configuration containing the identification number
3) Orange panel containing the identification number.
(see Section IV, item 4).
c. Placards are not required for:
(1) Hazardous material shipments with less than 1001 lbs (454 kg) total weight, provided the
hazard classes are included in item b above
(2) Class 6.2 (Infectious Substances)
(3) Class 9 (US/Canadian transportation) materials that display the identification number
(4) Limited Quantity (LTD QTY) shipments when identified as such on shipping documents
(5) Cryogenic atmospheric gases, other than Oxygen (Argon. Carbon Dioxide, Nitrogen)
(6) Combustible liquids in non-bulk packaging (i.e., drums), usually found in intermodal
shipments, unless the material is a hazardous substance or hazardous waste
(7) Rail cars and intermodal tank containers of hazardous materials which have been cleaned
and purged
(8) Shipments listed as Radioactive White I and Radioactive Yellow II on shipping documents
(9) Class 1.4S
(10) Shipments of molten sulfur moving to or from Canada, provided the letters and numerals
“UN2448”, or the numerals “2448” and the words “MOLTEN SULFUR” (or “MOLTEN
SULPHUR”) appear on each side of the tank car.
d. Placards may be displayed for hazardous materials, even when not required, as long as the
placard is appropriate for the contents of the shipment. If displayed, then all instructions for that
placard apply.
e. Certain hazard classes require the display of the primary placard on a white square background,
including (see Figure 4, Placard Chart): (when required to be affixed to the rail car)
(1) Class 1.1 or 1.2 explosives
(2) Class 2.3 or 6.1 poison/toxic inhalation hazard zone A material
(3) Class 2.1 flammable gases loaded in DOT-113 tank cars, including tank cars containing
only a residue of the material.
f. The DANGEROUS placard may be used instead of separate placards for each hazard class
when a rail car, trailer, or container is loaded with non-bulk packages of two or more hazard
classes from this section’s item 2b.
Note: When 2205 lbs (1000 kg) or more of one hazard class is loaded at one loading facility, the
placards for that hazard class as specified in item 2b of this section must also be applied.
g. Some shipments of hazardous materials require subsidiary placards that represent secondary
hazards. Subsidiary placards must not display a 4-digit identification number, but will display the
hazard class or division number.
Note: Subsidiary placards must be displayed when the subsidiary hazard class is 2.3, 4.3, or 6.1
with the notation ”POISON-INHALATION HAZARD” or ”TOXIC-INHALATION HAZARD” present
on the shipping documents.
h. For residue/empty hazardous materials shipments, the rail car, trailer, or container must remain
placarded in the same manner as the loaded shipment, unless the packaging:

20
United States Hazardous Materials Instructions for Rail
 (1) has been cleaned of residue; or
(2) has been purged of vapor to remove any hazard; or
(3) has been refilled, with a material requiring different placards or no placards, to such an
extent that any residue remaining in the packaging is no longer hazardous.
(4) contains a residue of an elevated temperature material. These shipments may remain
placarded in the same manner as when it contained a greater quantity of the material even
though the material no longer meets the definition for an elevated temperature material.
(5) contains a residue of a hazardous substance, Class 9, that does not meet the definition of
another hazard class and is not a hazardous waste or marine pollutant. These shipments
may remain marked, labeled, and/or placarded in the same manner as when it contained a
greater quantity of the material even though the material no longer meets the definition for a
hazardous substance.
3. Inspecting for Placards
a. Make sure that all required placards are:
(1) consistent with the shipping document information
(2) on both sides and both ends of the shipment
(3) matching on both sides and both ends of the shipment and when required the UN/NA
numbers all match
(4) in placard holders or securely attached to the rail car, trailer, or container
(5) not damaged, faded - color should be similar to the color printed in this document (see
Figure 4, Placard Chart), or obscured by dirt or car part
(6) oriented horizontally, so you can read them from left to right
(7) readily visible from the direction they face, except for placards on the ends of trailers and
containers in or on a rail car.

21
United States Hazardous Materials Instructions for Rail
Figure 4. Placards for Hazardous Materials by Hazard Class
Text indicating the hazard is not required on placards other than the Class 7 and DANGEROUS placards;
however, for shipments originating internationally, text may not appear on a Class 7 placard. The hazard
class text does not have to be in English, except for the DANGEROUS placard, as long as the size, color,
hazard class, and symbol are correct.

22
United States Hazardous Materials Instructions for Rail
 b. When picking up a hazardous material shipment at the customer’s facility or siding, and a placard
is not correct, does not meet the standards above, or is missing:
(1) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(2) Do not accept the hazardous material shipment until corrections have been made.
c. When a placard does not meet the standards above or is discovered missing en route, notify the
train dispatcher, yardmaster, or your supervisor, as appropriate. Corrections must be made at the
next inspection point.
4. Marking Requirements and Inspecting for Markings
Marking - a descriptive commodity name, identification number, caution (such as inhalation hazard,
elevated temperature material, marine pollutant, fumigant, non-odorized, sour crude oil), or tank car
specification and qualification dates stencils displayed on hazardous material shipments.
Make sure the markings above are displayed on bulk packages as follows:

a. Identification Number Markings

(1) Identification number markings must appear on both sides and both ends either on the
placard or in close proximity to the placard, when a placard is required:
(a) Bulk packages of hazardous materials (including Class 9 when no placard is required)
Note: Identification number markings are not required on the ends of multi-
compartmented tank cars transporting more than one hazardous material having
different identification numbers.
(b) Rail cars, trailers, and containers when 8,820 lbs (4000 kg) or more of non-bulk
packages of hazardous materials, with the same proper shipping name and
identification number, are loaded at one location and the transport vehicle does not
contain any other hazardous or non-hazardous materials.
Exception: For shipments of molten sulfur from Canada, the identification number
marking must appear only on both sides of the tank car.
(2) Identification numbers can be displayed in one of three ways, as Figure 5 shows:

Figure 5. Identification Numbers

23
United States Hazardous Materials Instructions for Rail
 (3) Identification numbers must not be displayed on:
(a) EXPLOSIVES 1.1, 1.2, 1.3, 1.4, 1.5, or 1.6 placards
(b) RADIOACTIVE placards
(c) DANGEROUS placards
(d) Subsidiary placards
(4) Make sure the identification numbers appear as required above and agree with the shipping
document entries.
(5) When picking up a hazardous material shipment at the customer’s facility, a siding or an
interchange point and the identification number is not correct, is not legible, or is missing:
(a) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(b) Do not accept the hazardous material shipment until corrections have been made.
(6) When an identification number is not correct, is not legible, or is missing en route, notify the
train dispatcher, yardmaster, or your supervisor, as appropriate. Corrections must be made
at the next inspection point.
Note: Missing identification numbers must be replaced and may be entered on the
appropriate placard, orange panel, or white square-on-point configuration by hand using a
black indelible marker.

b. MARINE POLLUTANT Mark

(1) For a material described on the shipping documents as a” MARINE POLLUTANT” and the
shipment does not require a placard, make sure that the MARINE POLLUTANT mark (see
Figure 6) appears on both sides and both ends of bulk packaging.

Figure 6. MARINE POLLUTANT Mark

Note: MARINE POLLUTANT marks are not required for DOMESTIC transportation when
the bulk package displays a placard.
(2) When picking up a hazardous material shipment at the customer's facility or siding or at an
interchange point, and a required MARINE POLLUTANT mark is not legible or is missing:
(a) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(b) Do not accept the hazardous material shipment until corrections have been made.
(3) When a required MARINE POLLUTANT mark is not legible or is missing en route, notify the
train dispatcher, yardmaster, or your supervisor, as appropriate. Corrections must be made
at the next inspection point.

24
United States Hazardous Materials Instructions for Rail
 c. Elevated Temperature Material Mark
(1) For a material described on the shipping documents with the words "HOT," "ELEVATED
TEMPERATURE," or "MOLTEN” and transported in a bulk packaging, the elevated
temperature material mark must be displayed on two opposing sides of the bulk packaging,
in one of the following valid formats:
(a) the word HOT stenciled on the packaging itself
(b) the words MOLTEN SULFUR (or MOLTEN SULPHUR) or MOLTEN ALUMINUM (or
MOLTEN ALUMINIUM), as appropriate, stenciled on the packaging itself
(c) the international elevated temperature material symbol (see Figure 7)
(d) the word HOT displayed on a plain white-square-on-point configuration having the
same outside dimensions as a placard (see Figure 7).

Figure 7. Elevated Temperature Material Mark

Note: Residue/empty shipments that last contained an elevated temperature material,

such as asphalt, are not considered hazardous materials and do not require hazardous
material shipping description entries on the shipping document. When the shipping
document indicates empty, the shipment may be accepted and moved in rail
transportation without the hazardous material shipping description entries, even though
the elevated temperature material mark and identification number are displayed.
(2) When picking up a hazardous material shipment at a customer’s facility or siding or at an
interchange point and an elevated temperature material mark is not legible or is missing:
(a) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(b) Do not accept the hazardous material shipment until corrections have been made.
(3) When an elevated temperature material mark is not legible or is missing en route, notify the
train dispatcher, yardmaster, or your supervisor, as appropriate. Corrections must be made
at the next inspection point.

d. LIMITED QUANTITIES Mark

(1) For a material listed on the shipping documents as “LIMITED QUANTITY” or “LTD QTY”,
the LIMITED QUANTITIES mark (see Figure 8) must be displayed on at least one side or
end of trailers/containers as explained below.

25
United States Hazardous Materials Instructions for Rail
 or

Figure 8. LIMITED QUANTITIES Mark

(a) The LIMITED QUANTITIES mark is required:
(i) When the entire load of hazardous materials is limited quantities.
(ii) For a mix of non-hazardous materials and hazardous materials in limited quantity.
(b) The LIMITED QUANTITIES mark is not required when there are limited quantities and
other hazardous materials NOT in limited quantities, but you would placard for the
regular hazardous materials.
(2) A package displaying the LIMITED QUANTITIES mark is not subject to additional marking
requirements for non-bulk packages (proper shipping name or identification number
marking) unless it contains a hazardous substance or a hazardous waste.

e. INHALATION HAZARD Mark

(1) For a material described on the shipping documents as “POISON (TOXIC) – INHALATION
HAZARD" or "INHALATION HAZARD," the words INHALATION HAZARD must appear (at
least 3.9 inches in height for tank cars and at least 2 inches in height for intermodal tank
containers) on both sides of the rail car, trailer, or container, near the placards.
Note: When the words INHALATION HAZARD appear on the placards, the INHALATION
HAZARD mark is not required on the bulk packaging.
(2) When picking up a hazardous material shipment at the customer's facility or siding or at an
interchange point and the words INHALATION HAZARD are illegible or missing:
(a) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(b) Do not accept the shipment until corrections have been made.
(3) When the INHALATION HAZARD marking is illegible or missing en route, notify the train
dispatcher, yardmaster, or your supervisor, as appropriate. Corrections must be made at
the next inspection point.

f. Commodity Name
(1) For intermodal tank containers transporting any hazardous materials and for tank cars
transporting certain hazardous materials, the commodity name must appear on two
opposing sides of the intermodal tank container or tank car. The commodity name (at least
3.9 inches in height for tank cars and at least 2 inches in height for intermodal tank
containers) must match the proper shipping name on the shipping documents and may
include the technical name, although it is not specifically required.
(2) When accepting an intermodal tank container or tank car of hazardous materials from the
shipper or in interchange and the commodity name is illegible or missing:
(a) Notify the customer, train dispatcher, yardmaster, or your supervisor, as appropriate.
(b) Do not accept the shipment until corrections have been made.

26
United States Hazardous Materials Instructions for Rail
 (3) When the commodity name on a tank car is discovered illegible or missing en route, notify
the train dispatcher, yardmaster, or your supervisor, as appropriate. They will arrange to
correct the problem at the next inspection point.
Note: See Appendix 1 for list of materials that require the commodity name on tank cars

g. Tank Car Specification and Qualification Dates Stencils

(1) Make sure the stencils describing the tank car specification DOT 111A100W1) and
qualification dates are legible (see Figure 9). These stencils will appear on both sides of the
tank car toward the end on the right as you face the car.
(2) Make sure the tank car qualification dates for pressure relief devices (PRD), tank, and
interior heater coils are current (a car is currently within the qualification date until the last
day of the year shown) (see Figure 9).
Note 1: When the car is loaded before the end of the year, it may be transported for
unloading purposes but must be requalified before reloading.
Note 2: A tank car containing the residue of a hazardous material that is overdue its
periodic qualification date may move and not be in violation of DOT regulations. The
regulations only address loading a tank car overdue for its periodic qualification.

DOT 111A100W1
STATION QUALIFIED DUE
STENCIL
TANK QUALIFICATION ABC-1 2021 2031
THICKNESS TEST ABC-1 2021 2031
SERVICE EQUIPMENT ABC-1 2021 2031
PRD: Valve 75 PSI DEF-1 2021 2031
INT HTR FGL-1 2021 2031
LINING ABC-1 2021 2031
88.B.2 INSPECTION ABC-1 2021 2031
STUB SILL INSPECTION ABC-1 2021 2031
Figure 9. Tank Car Specification and Qualification Stencils

(3) When the qualification date is overdue, do not accept loaded tank cars from the shipper.
(4) When found en route, car may proceed to destination after contacting your supervisor.

h. FUMIGANT mark
(1) As information, the purpose of the FUMIGANT mark (see Figure 10) is to warn persons
unloading the rail car, trailer, or container that it has been fumigated and that they must
take appropriate precautions before unloading the car. The (*) on the mark will be replaced
by the name of the fumigant.
(2) The FUMIGANT mark must be in English. However, EPA regulations allow another
language in addition to the English version on the same FUMIGANT mark or an additional
one.
Note: The FUMIGANT mark is required on each point of entry to a trailer/or container.
(3) Shipping Description Entries
(a) For U.S. shipments that are fumigated, information on the shipping documents is not
required.
(b) For International (Canadian and IMDG) shipments verify that the information for the
shipment on the shipping documents includes the following entries - UN3359,

27
United States Hazardous Materials Instructions for Rail
 Fumigated Unit, Class 9, name of the fumigant, amount of fumigant, date of
fumigation, and any disposal information.

Figure 10. FUMIGANT Mark

i. Non - Odorized Mark

A tank car or intermodal tank container transporting non-odorized liquefied petroleum gas (LPG)
must be legibly marked NON - ODORIZED or NOT- ODORIZED on two opposing sides, either
near the commodity name or the placard(s).
The NON-ODORIZED or NOT - ODORIZED marks may appear on a tank car used for both non-
odorized and odorized LPG.
Shippers must include on shipping documents information that a shipment is not odorized (i.e.
provide “NON - ODORIZED” or “NOT - ODORIZED" notation).

j. Sour Crude Oil Mark

(1) US - A bulk packaging transporting petroleum crude oil containing hydrogen sulfide (i.e. sour
crude oil) in sufficient concentration that its vapors may present an inhalation hazard must include
a marking to warn of the toxic hazard (see Figure 11), which must be displayed at each location
(manway) where exposure to hydrogen sulfide vapors may occur. The square-on-point must be
black or red on a white or other contrasting background, and the skull and crossbones symbol
must be black, located in the center of the square-on-point, and clearly visible

Figure 11. Sour Crude Oil Mark

(3) Canada - When bulk package of petroleum crude oil (UN1267 or UN3494) contains
hydrogen sulphide in sufficient concentration that vapors from the crude oil can present an
inhalation hazard, the words “toxic by inhalation” or “toxic — inhalation hazard” must be

28
United States Hazardous Materials Instructions for Rail
 included next to the placard for the primary class (Class 3). The marking can be done by
use of an inhalation hazard placard or by marking on the car.

SECTION V. SWITCHING
1. General Requirement
Switch placarded hazardous material shipments only in compliance with the restrictions on the
Switching Chart (see Figure 12).
Switching is defined as “the operation of moving rail cars within a yard in order to place them in a
train or on a classification, repair, or storage track.” Switching also includes making pickups and
setouts at a customer's facility or interchange points. Switching does not include moving rail cars to
or from a shipper's facility or industry track into or out of the yard.
Reminder: When moving rail cars to or from a shipper’s facility or on an industrial lead into or out of
the yard, comply with both the train placement restrictions in Section VI and the required
documentation requirements in Section II.
WHEN RAIL CARS ARE CUT OFF IN MOTION, THE COUPLING SPEED MUST NOT EXCEED 4
MILES PER HOUR.
2. Safety
Before coupling, position yourself toward the end of a tank car, if possible, away from the manway
and valves. Contents of tank cars may splash during or immediately following coupling, due to either
improperly secured closures or the impact of coupling.
3. When to Use the Switching Chart
Refer to the Switching Chart:
a. when moving placarded hazardous material shipments in a yard to place them in a train or on a
classification, repair, or storage track
b. when making pickups or setouts of placarded hazardous material shipments at a customer's
facility, interchange point, or other setout point.

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United States Hazardous Materials Instructions for Rail
 SWITCHING CHART
GROUP A GROUP B GROUP C GROUP D GROUP E GROUP F HOW TO USE THIS CHART
Select the applicable column and row on the Switching Chart. To do so:

1. Identify the placards and/or markings applied to the car

Note: When placards are displayed, but are not required by regulation
Note: Applies only to (permissive placarding), the rail car must be switched as required for
cars with spent nuclear the placard displayed.
fuel or high-level 2. Use the shipping document to determine whether car is loaded or
radioactive waste residue/empty. Note: Residue/empty tank cars are identified on switch
lists, track list, and track inquiries with an “E” or “DE” in the
appropriate field. The notation “RESIDUE: LAST CONTAINED” on the
shipping documents indicates a residue/empty shipment.
3. Identify the car type involved by observation (e.g. tank car, hopper car,
gondola, etc.).
Note: Only for Anhydrous 4. Find the applicable section on the chart, based on the placard or
DOT 113 Ammonia UN1005 marking applied, the load/empty status, and the car type.
Tank Car 5. Follow the restrictions associated with the placard or marking as the
(Loads or “X”s in the columns indicate.
Residue/Empty)

Note: The Word “TOXIC” can be used in place of the word “POISON” on
placards.
*Anhydrous Ammonia
(Canadian) Cars with placards displaying 4-digit identification numbers will be handled
the same as cars with word description placards.

EQUIVALENT =
Canada
ada US
PLACARDS

Loaded Other Any Loaded Other

Any
Any Car Tank Loaded Loaded Tank Loaded Any Car RESTRICTIONS
Car
Car Car Car Car Car
1) Separate these cars from an engine by at least one non-placarded car or by one
GROUP F placarded or marked car.
X Do not place where there is any probable danger of fire (e.g. switch heaters).
Do not place under bridges, under overpasses or along passenger stations.
2) These cars must not be:
x Cut off in motion,
X **X X X **X x Struck by any free rolling car, or
x Coupled into with more force than needed to make the coupling.
3) These cars must not be cut off in more than two car cuts.
X No more than two car cuts can couple into these cars.

4) When a person must ride a rail car to operate the hand brake:
x Verify the hand brake is working properly.
X X x Do not cut cars off until all preceding cars are clear of the lead.
x Do not cut off any additional cars until the lead is clear.
* Authorized only for U.S. to Canada or Canada to U.S. shipments.
** Applies only to placarded flatcars, freight containers, trailers, portable tanks, tote bins, intermodal portable tanks, or U.N. portable tanks.

Figure 12. Switching Chart

SECTION VI. TRAIN PLACEMENT
1. General Requirement
Place placarded hazardous material shipments in a train so as to comply with the instructions on the
Position-in-Train Chart (see Figure 13).
Note: Correct hazardous materials train placement errors at the first location that allows switching
once the error is identified.
A Train is one or more engines coupled, with or without rail cars, displaying a marker, and requiring
an appropriate air brake test.
2. When to Use the Position-in-Train Chart
Use the chart to make sure placement position in train is correct:
a. before a train departs the initial terminal
b. before a train departs an intermediate station where pickups and setouts were made en route
c. when delivering cars to or picking cars up at interchange tracks that are owned and operated by
another railroad.
3. General Information
a. For train placement purposes, each platform or well of an intermodal rail car counts as one car.
b. A buffer car is a:
(1) non-placarded rail car
(2) rail car with a placard or marking shown in Group E
(3) residue/empty tank cars may be used as a buffer but may not be placed against an engine
that is working or not working, occupied caboose or business car. See Instruction # 2 on the
Position-in-Train Chart
(4) placarded rail car and tank car, as long as it is in placard group E. See instruction #6 on the
Position-in-Train Chart.
c. The word TOXIC can appear in place of the word POISON on placards.
d. A business car train is not a passenger train.
e. An engine, working or not working and regardless of placement in train, is always considered as
an engine for train placement of hazardous materials.

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United States Hazardous Materials Instructions for Rail
 POSITION-IN-TRAIN CHART
GROUP A GROUP B GROUP C GROUP D GROUP E HOW TO USE THIS CHART
May be placed next to
Explosives 1.1 or 1.2 Select the applicable column of the Position-in-Train chart. To do so:
(Special Permit
DOT SP-9271) 1. Identify the placards and/or markings applied to the car.
2. Use the shipping document to determine whether car is loaded or
residue/empty. Note: The notation: “RESIDUE: LAST/CONTAINED”
on the shipping document indicate a residue/empty shipment.
3. Identify the car type involved by observation (e.g. tank car,
hopper car, gondola, etc.).
4. Find the applicable section on the chart, based on the placard or
marking applied, the load/empty status, and the car type.
Canada or 5. Follow the restrictions associated with the placard or marking as
Internationall the “X”s in the columns indicate.
*Authorized only for U.S. to Canada or Canada to U.S. shipments.
*Anhydrous
us
Ammoniaa The Word “TOXIC” can be used in place of the word “POISON” on
(Canadian)
(Can
nadian)) placards.
Cars with placards displaying 4-digit identification numbers will be
handled the same as cars with word description placards.

EQUIVALENT
PLACARDS =
Canada
nada US

Loaded Residue Other Loaded Residue Other

Any Car Tank Tank Loaded Tank Tank Loaded Any Car Any Car RESTRICTIONS
Car Car Car Car Car Car
1) A placarded car must not be nearer than the 6th car from an engine
(working or not and regardless of placement in train) or occupied
caboose/business car. If the train does not have at least five buffer cars,
then all available buffer cars must be placed between the placarded car
and the engine (working or not and regardless of placement in train).
x x x When an occupied caboose/business car is in the train, the available
buffer cars must be equally divided to protect both the engine (working
or not and regardless of placement in train and occupied
caboose/business car from the hazardous material shipment. Exception:
In a loaded or empty bulk commodity unit train, only one buffer car is
required to be placed between the placarded car and the locomotive.
2) Engine (working or not and regardless of placement in train), occupied
x x x x x x caboose, or business car.
3) Open top cars (including bulkhead flats), when any of the contents
protrude beyond the car ends or, if shifted, would protrude beyond the
x x x car ends.
4) Loaded flat cars, except closed TOFC/COFC equipment, multi-levels,
and other specially-equipped cars with tie down devices for handling
x x x vehicles. Railroad wheels loaded on wheel car flats, in gondolas with
no ends, or loaded with the axles above the top of the car.
5) Any rail cars, transport vehicles, or freight containers with
temperature control equipment or internal combustion engine
x x x whether running or not. Note: Does not apply to cryogenic
refrigerated equipment.
6) Any placarded car in another placarding Group, except it may be
next to any residue placarded car or any car placarded or marked as
MUST NOT BE NEXT TO

x x x x x x a Group E.

Figure 13. Position-in-Train Chart

SECTION VII. KEY TRAINS
1. General Requirement
Trains carrying specified numbers of loaded rail cars, trailers, or containers of hazardous materials
must be operated as “Key Trains.”
2. Key Train Definition
A “Key Train” is any train as described in either a, b, or c below:
a. one (1) or more loads of spent nuclear fuel (SNF) or high level radioactive waste (HLRW) moving
under the following Hazardous Materials Response Codes – 4929142, 4929143, 4929144, or
4929147
or
b. one (1) or more loaded tank cars containing materials that require the phrase “POISON/TOXIC-
INHALATION HAZARD” on the shipping documents (Hazard Zone A, B, C, or D), anhydrous
ammonia (UN1005), or ammonia solutions (UN3318)
or
c. twenty (20) or more loaded hazardous materials shipments or intermodal portable tank loads
having any combination of hazardous material
Exception: Do not count box cars, trailers, or containers carrying mixed loads of hazardous
materials when determining key train status.
3. Identifying Key Trains
a. A computer-generated train consist/train list will identify Key Train status in the header block on
the first page.
b. When a computer-generated train consist/train list is not available or hazardous material cars are
added to a train, the conductor must review the shipping documents for all hazardous material
cars and determine Key Train status.
c. After picking up or setting out hazardous material shipments en route, the Key Train status may
change. The conductor must determine whether or not Key Train status has changed and, if so,
promptly notify the train dispatcher.
4. Instructions for Operating Key Trains
a. The maximum authorized speed for Key Trains is 50 MPH, unless further restricted.
Note: Where lower speed restrictions are in effect, or when the train is restricted to a lower speed
for other reasons, the lower speed governs.
b. A key train will hold the main track, when practicable, unless a speed of greater than 10 MPH is
authorized for the siding or auxiliary track.
c. Only cars equipped with roller bearings will be allowed in a Key Train.
d. When a defect in a Key Train is reported by a wayside/trackside warning detector but a visual
inspection fails to confirm evidence of a defect, the train must not exceed 30 MPH until it has
passed over the next wayside detector or is delivered to a terminal for a mechanical inspection. If
the same car sets off the next detector or is found to be defective, it must be set out from the
train.
e. Unless relieved of the requirement to do so by the operating railroad’s train dispatcher, the crew
operating a Key Train on a foreign railroad must, at the earliest opportunity, notify the foreign
railroad’s train dispatcher that the train is a Key Train as defined by the operating railroad.

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United States Hazardous Materials Instructions for Rail
SECTION VIII. EMERGENCY RESPONSE
1. General Requirement
When an emergency occurs, SAFETY IS OF FIRST IMPORTANCE.
a. Make an emergency call as radio rules require.
b. Look for a fire, vapor cloud or other release of materials.
c. Determine the status of crew members in the area.
d. Warn and keep everyone at a safe distance.
2. When a Fire or Vapor Cloud is Visible
a. Take the shipping documents (including the emergency response information) and the
Emergency Response Guidebook and move yourself and other crew members uphill and upwind
the evacuation distance recommended in the Emergency Response Guidebook. Stay out of
ditches and low areas.
b. Do not smoke or use fusees.
c. Provide the train dispatcher or yardmaster with as much of the following information as is
available:
(1) Specific location of the emergency (station, mile post location, nearest street or crossing)
(2) Type of emergency
(3) Status of crew members
(4) Cars involved, including each car’s initials and numbers and their extent of involvement
(leaking, derailed, or on fire)
(5) Surroundings (proximity to populated areas, local bodies of water, or nearby drainage
ditches or storm sewers; description of terrain; location of access roads; weather
conditions)
(6) Resources necessary to handle the situation (fire, ambulance, and law enforcement
agencies)
(7) Location where a crew member with shipping documents will meet arriving emergency
response personnel.
d. Once you are in a safe location:
(1) Identify yourself and cooperate with the local emergency response personnel as described
in Section VIII item 4.
(2) Review your shipping documents and emergency response information.
(3) If necessary, move to the farthest distance recommended in:
(a) information from the Emergency Response Guidebook
or
(b) other supplementary emergency response information printed as part of the train
list/consist or provided by the customer – for example, a Safety Data Sheet (SDS).

34
United States Hazardous Materials Instructions for Rail
3. When No Fire or Vapor Cloud is Visible
a. Review the shipping documents for hazardous material shipments.
b. Take the shipping documents (including the emergency response information) and the
Emergency Response Guidebook and inspect the train to identify the rail cars, trailers, or
containers involved, and look for indications of the release of hazardous materials.
c. If you encounter a hazardous material release, unusual smells, or noises during this inspection:
Provide the train dispatcher or yardmaster with as much of the following information as is
available:
(1) Specific location of the emergency (station, mile post location, nearest street or crossing)
(2) Type of emergency
(3) Avoid contact with the material and its vapors.
(4) Move yourself and other crew members uphill and upwind the evacuation distance
recommended in the Emergency Response Guidebook. Stay out of ditches and low areas.
(5) Eliminate any ignition sources (no smoking, no fusees).
(6) Warn all bystanders to stay away.
d. After completing the inspection, notify the train dispatcher or yardmaster with as much of this
information as is available:
(1) Status of crew members
(2) Cars involved, including each car’s initials and numbers and their extent of involvement
(leaking, derailed, or on fire)
(3) Surroundings (proximity to populated areas, local bodies of water, or nearby drainage
ditches or storm sewers; description of terrain; location of access roads; weather
conditions)
(4) Resources necessary to handle the situation (fire, ambulance, and law enforcement
agencies)
(5) Location where a crew member with shipping documents will meet arriving emergency
response personnel.
e. Once you are in a safe location:
(1) Identify yourself and cooperate with the local emergency response personnel as described
in Section VIII item 4.
(2) Review your shipping documents and emergency response information.
(3) If necessary, move to the farthest distance recommended in:
(a) information from the Emergency Response Guidebook
or
(b) other supplementary emergency response information printed as part of the train
list/consist or provided by the customer – for example, a Safety Data Sheet (SDS).

4. Cooperating with Local Emergency Responders

a. Immediately share any requested information from the shipping documents with emergency
response personnel.
(1) Provide an extra copy of the train list/consist, when available.
Note: Retain any waybills and a copy of the train list/consist until you can deliver them to
the first railroad manager on the scene.
(2) Immediately share a copy of the emergency response information provided with the
shipment.

35
United States Hazardous Materials Instructions for Rail
 b. Help emergency response personnel identify cars and the commodities involved. Use shipping
documents or observations from a safe location to accomplish this task.
c. Give the first railroad manager on the scene a description of the incident and indicate any
assistance you provided emergency responders.
d. Remain at the scene, at a safe distance, until a railroad manager relieves you.
e. A railroad spokesperson will handle discussing the incident with the media or other non-
emergency response personnel.
5. Handling Leaking Hazardous Material Shipments
Take these actions when there is any sign of leakage:
a. Do not allow the hazardous material shipment to continue in transportation until the leak is
controlled.
Note: Leaking hazardous material shipments may be moved, with proper railroad authority, only
as far as necessary to reduce or eliminate the immediate threat of harm to human health, the
environment, or railroad operations. Movement of leaking hazardous material shipments may
require government approval.
b. When it is necessary to move a leaking hazardous material shipment, use an adequate number
of buffer cars between the locomotive and the leaking car, to prevent chemical exposure.

36
United States Hazardous Materials Instructions for Rail
APPENDICES

1. List of materials that require the commodity name on tank cars

Division 2.1 materials
Division 2.3 materials
Acrolein, stabilized
Ammonia, anhydrous, liquefied
Ammonia solutions (more than 50% ammonia)
Bromine or Bromine solutions
Bromine chloride
Chloroprene, stabilized
Dispersant gas or Refrigerant gas
Formic acid
Hydrocyanic acid, aqueous solutions
Hydrofluoric acid, solution
Hydrogen cyanide, stabilized (less than 3% water)
Hydrogen fluoride, anhydrous
Hydrogen peroxide, aqueous solutions (greater than 20% hydrogen
peroxide)
Hydrogen peroxide, stabilized
Hydrogen peroxide and peroxyacetic acid mixtures
Nitric acid (other than red fuming)
Phosphorus, amorphous
Phosphorus, white dry or Phosphorus, white, under water or Phosphorus
white, in solution, or Phosphorus, yellow dry or Phosphorus, yellow,
under water or Phosphorus, yellow, in solution
Phosphorus white, molten
Potassium nitrate and sodium nitrate mixtures
Potassium permanganate
Sulfur trioxide, stabilized
Sulfur trioxide, uninhibited

37
United States Hazardous Materials Instructions for Rail
GLOSSARY
Note: This glossary defines/explains the terms as used in this document.
Basic description – the identification number, proper shipping name, hazard class/division number, and
packing group (if assigned) prescribed for a hazardous material.
Buffer car – a non-placarded rail car, a railcar with a placard or marking shown in Group F on the
Switching Chart or Group E on the Position-in-Train Chart, a residue/empty tank with no other restrictions,
or a placarded rail car with no other restrictions.
Bulk packaging - packaging with capacity greater than 119 gallons (450 liters) for liquids, 882 pounds
(400 kilograms) for solids, or a water capacity of greater than 1000 pounds (454 kilograms) for gases. For
example, bulk bags, intermodal (IM) portable tanks, portable tanks, portable bins, gondola cars, hopper
cars, or tank cars.
Carrier – a person (individual, corporation, company, etc.) who transports property in commerce by rail
car, aircraft, motor vehicle, or vessel.
Commodity name – the proper shipping name or an authorized common name of a hazardous material.
Container – any freight container (box) or intermodal tank container (intermodal (IM) portable tank,
portable tank, UN portable tank, or portable bin).
Dangerous goods – term used for “hazardous materials” in countries other than the United States.
Division – a subdivision of a hazard class; typically two numerals separated by a decimal point (2.1, 2.2,
2.3, 5.1, 5.2, etc.). For Class 1 (explosive materials), a “compatibility group letter” will be shown after the
second numeral (1.1A, 1.4G, etc.).
Documentation – includes complete shipping documents with the appropriate shipping description
entries and acceptable emergency response information.
Elevated temperature material – a material which, when offered for transportation or when transported
as a bulk package, is:
• a liquid at a temperature at or above 212°F (100°C);
• a liquid with a flash point at or above 100°F (38°C) that is intentionally heated and offered for
transportation or transported at or above its flash point; or,
• a solid at a temperature at or above 464°F (240°C).
Contact with an elevated temperature material may result in thermal burns, in addition to other hazards
associated with the material.
Emergency – an unforeseen combination of circumstances or the resulting state that calls for immediate
action (derailment and leaks).
Emergency response information - hazard and response information for each hazardous material,
contained in the Emergency Response Guidebook (ERG) and other supplementary train documentation,
to assist response personnel at hazardous material incidents.
Emergency response telephone number – the telephone number of an entity who is either
knowledgeable of a hazardous material being shipped and has comprehensive emergency response and
incident mitigation information for that material, or has immediate access to an entity who possesses such
knowledge and information.
Engine – means a locomotive propelled by any form of energy and used by a railroad.
Freight container – a reusable container having a volume of 64 cubic feet or more, designed and
constructed to permit being lifted with its contents intact and intended primarily for containment of
packages (in unit form) during transportation.
Fumigant – a poisonous/toxic agent in vapor form intended to destroy insects and vermin.

38
United States Hazardous Materials Instructions for Rail
Hazard class - the category of hazard assigned to a material. A hazard class may be subdivided into
divisions. When talking about hazard classes/divisions, the hazard class/division can be expressed as a
number or with words (Class 3 (three) or Flammable Liquid; Division 2.1 (two-point-one) or Flammable
Gas). A material will have a primary hazard class/division and may have one or more subsidiary hazard
classes/divisions which represent additional hazards associated with the material.
Hazardous material - a substance or material which the Secretary of Transportation has determined to
be capable of posing an unreasonable risk to health, safety, and property when transported in commerce.
The term “hazardous material” includes hazardous substances, hazardous wastes, elevated temperature
materials, and marine pollutants.
Hazardous material shipment - a hazardous material in rail cars, trailers, or containers in rail
transportation. All hazardous material shipments require shipping documents. When moved in rail cars,
trailers, or containers, hazardous material shipments may or may not be placarded or marked with an
identification number.
Hazardous substance – a hazardous material that, as determined by the U.S. Environmental Protection
Agency, has a detrimental effect on the environment. To be regulated in transportation, the quantity in
one package must equal or exceed the material’s “Reportable Quantity” (“RQ”).
Hazardous waste – a material subject to the Hazardous Waste Manifest Requirements of the U.S.
Environmental Protection Agency due to its potential threat to public health or the environment.
Hazardous waste manifest - a document specifically for tracking hazardous wastes in transportation. It
contains the shipping description and identifies the waste generator, each transporter, and the designated
(disposal) facility.
Hazard zone - one of four levels of inhalation hazard (Hazard Zones A through D) assigned to gases,
and one of two levels of hazard (Hazard Zones A and B) assigned to liquids that are poisonous/toxic by
inhalation. For example, when the hazard zone is "A," it is shown on the shipping document as "Zone A."
Zone A is the most hazardous, and Zone D is the least hazardous.
Identification number – a 4-digit number preceded by “UN”, “NA” or “ID” assigned to a hazardous
material.
Improvised Explosive Device (IED) – is a device fabricated in an improvised manner incorporating
explosives or destructive, lethal, noxious, pyrotechnic, or incendiary chemicals in its design. This device
generally includes a power supply, a switch or timer, and a detonator or initiator.
Inhalation Hazard – term used to identify certain gases and liquids that may cause health problems if
breathed in very low concentrations for short periods of time.
Interchange - the process of transferring rail cars to or from another railroad.
Intermodal tank container – an intermodal (IM) portable tank, portable tank, UN portable tank, or
portable bin
International shipment – a shipment being made between two or more countries or between places in
one country through another country.
Limited quantity (LTD QTY) – a term used to indicate a hazardous material shipment which is allowed
an exception to certain regulatory requirements because of the small amount of the material in a
package.
Marine pollutant – a hazardous material that has a detrimental effect on marine/aquatic life.
Marking – a descriptive commodity name, identification number, instructions, cautions (such as marine
pollutant, inhalation hazard, elevated temperature material, limited quantities, fumigant, non-odorized,
sour crude oil), weight, tank car specification and qualification dates stencils, or UN marks, or
combinations thereof, required for display on hazardous material shipments.
Movement Approval – a one-time authorization to move a non-conforming package not meeting the
applicable hazardous material regulations. This provides no relief of any regulations other than
specifically stated in the approval.
N.O.S. - initials, found on shipping documents, which mean "Not Otherwise Specified."

39
United States Hazardous Materials Instructions for Rail
Non-bulk packaging - packaging with a capacity equal to or less than 119 gallons (450 liters) for liquids,
882 pounds (400 kilograms) for solids, or a water capacity of equal to or less than 1000 pounds (454
kilograms) for gases. For example, bags, bottles, boxes, cylinders, or drums.
Package – the packaging plus its contents. Packaging is the receptacle and any other components or
materials necessary for the receptacle to perform its containment function.
Packing group - a grouping of hazardous materials according to the degree of danger:
x Packing Group I (shown as "PG I" or "I" on the shipping documents) indicates great danger.
x Packing Group II (shown as "PG II" or "II" on the shipping documents) indicates medium danger.
x Packing Group III (shown as "PG III" or "III" on the shipping documents) indicates minor danger.
Placard – a sign measuring at least 250 mm (9.8 in) by 250 mm (9.8 in) square-on-point, communicating
a hazard by symbol, color, hazard class/division number and possibly text. Some placards must be
displayed on a square background which is white with a black border.
Placarded car - a rail car displaying placards in accordance with DOT regulations.
Poison Inhalation Hazard (PIH) or Toxic Inhalation Hazard (TIH) - term used to identify certain gases
and liquids that may cause health problems if breathed in very low concentrations for short periods of
time.
Position-in-Train document – a document showing the current position of all hazardous material
shipments within the train. This document could be the train list/consist or a separate document
specifically for this purpose.
Primary hazard – see definition of “hazard class”.
Proper shipping name – the name of a hazardous material as specified by the regulations.
Radio waybill – a form used to record shipping description entries provided orally.
Rail car – equipment used in rail transportation. For example, box car, flat car, gondola car, hopper car,
tank car, or caboose, but not an engine.
Reportable quantity (RQ) – the minimum quantity (in pounds or kilograms) in one package, required for
a hazardous material to meet the definition of a “hazardous substance”.
Residue – the hazardous material remaining in a packaging, including a tank car, after its contents have
been unloaded to the maximum extent possible. It may be indicated on the shipping documents by the
phrase "RESIDUE: LAST CONTAINED . . ." in association with the basic description.
Shipper's Certification - a signed (or electronically printed) declaration on the shipping document
provided by the shipper to the first transporter for a loaded hazardous material shipment. It indicates
compliance with the DOT regulations. The certification must be signed by hand or mechanically. It may
read either:
"This is to certify that the above-named materials are properly classified, described, packaged,
marked, and labeled and are in proper condition for transportation according to the applicable
regulations of the Department of Transportation."
or
"I hereby declare that the contents of this consignment are fully and accurately described above by
proper shipping name, and are classified, packaged, marked, and labeled/placarded, and are in all
respects in proper condition for transport according to applicable international and national
governmental regulations."
Note: A shipper’s certification is required on any shipping document that the customer provides to the
crew for loaded hazardous material cars.
Shipping description entries – the specific information required on a shipping document, including the
“basic description”, number and type of packages, total quantity; and additional entries that may be
applicable to the shipment (such as “RQ”, “Limited Quantity”/” LTD QTY”, “Marine Pollutant”,
“Poison/Toxic Inhalation Hazard Zone A (or B, C or D)”, etc.).

40
United States Hazardous Materials Instructions for Rail
Shipping document – any document providing the required entries for a hazardous material shipment.
This document can be in paper or electronic form. If in electronic form, the carrier must have
authorization from DOT.
Special Car Handling Instructions (SCHI) Code (specific to BNSF operations) – A two-letter code
used to identify the primary placard required for a hazardous material shipment.

Special Permit – A document issued by the Department of Transportation (DOT) permitting a person to
perform a function that is not otherwise permitted under the DOT’s regulations.
Subsidiary hazard – see definition of “hazard class”.
Subsidiary placard – a placard that identifies a specific material’s subsidiary hazard(s).
Switching - the operation of moving rail cars within a yard, at a customer’s facility, or at an interchange
point, in order to place them in a train or on a classification, repair, or storage track. It does not include
moving rail cars to or from a shipper's facility or industry track into or out of the yard.
Technical name - a recognized chemical name or microbiological name used in scientific and technical
handbooks, journals, and texts to further identify a hazardous material.
Total quantity notation – the total weight or volume, including the unit of measurement, of the
hazardous material contained in a package, such as “100 LBS”, “55 GAL”, “5 KG”, or “208 L”. For bulk
packages and cylinders, merely an indication of the total quantity is required, such as “1 IM Tank” or “2
IBCs”; or, “10 cylinders” or “10 cyl.” For non-bulk packages, number and type of packages are also
required, such as “12 DRUMS (UN 1A1)” or “15 BOXES”. An indication of total quantity is not required for
packages containing only residue.
Toxic Inhalation Hazard (TIH) or Poison Inhalation Hazard (PIH) - term used to identify certain gases
and liquids that may cause health problems if breathed in very low concentrations for short periods of
time.
Trailer – a cargo carrying body with permanent wheels on the rear end (also called a van or semitrailer).
Train - one or more engines coupled, with or without rail cars, displaying a marker, and requiring an
appropriate air brake test.

Yard - a system of tracks, other than main tracks and sidings, used for making and breaking up trains and
for other purposes, such as repair or storage of cars.

41
United States Hazardous Materials Instructions for Rail
 48218 Federal Register / Vol. 78, No. 152 / Wednesday, August 7, 2013 / Notices

changed from aeronautical to non- this document. All comments received notice grants AASHTO’s request and
aeronautical use and release the lands will be available for examination and extends the deadline by 30 calendar
from the conditions of the Airport copying at the above address from 9 days to September 8, 2013.
Improvement Program Grant Agreement a.m. to 5 p.m., e.t., Monday through Issued on: August 2, 2013.
Grant Assurances. In accordance with Friday, except Federal holidays. Those Victor M. Mendez,
49 U.S.C. 47107(c)(2)(B)(i) and (iii), the desiring notification or receipt of
FHWA Administrator.
airport will receive fair market value for comments must include a self-
[FR Doc. 2013–19176 Filed 8–5–13; 4:15 pm]
the property, which will be addressed, stamped postcard or you
subsequently reinvested in another may print the acknowledgment page BILLING CODE 4910–22–P

eligible airport improvement project for that appears after submitting comments
general aviation facilities at the electronically. You may review DOT’s
DEPARTMENT OF TRANSPORTATION
Ottumwa Regional Airport. complete Privacy Act Statement in the
Any person may inspect, by Federal Register published on April 11, Federal Railroad Administration
appointment, the request in person at 2000 (Volume 65, Number 70, Page
the FAA office listed above under FOR 19477–78). [FRA Emergency Order No. 28, Notice No.
FURTHER INFORMATION CONTACT. In FOR FURTHER INFORMATION CONTACT: Mr. 1]
addition, any person may, upon Gerald Yakowenko, Contract
appointment and request, inspect the Administration Team Leader, Office of Emergency Order Establishing
application, notice and other documents Program Administration, (202) 366– Additional Requirements for
determined by the FAA to be related to 1562, or Mr. Michael Harkins, Office of Attendance and Securement of Certain
the application in person at the the Chief Counsel, (202) 366–4928, Freight Trains and Vehicles on
Ottumwa Regional Airport. Federal Highway Administration, 1200 Mainline Track or Mainline Siding
Issued in Kansas City, MO on July 26, New Jersey Avenue SE., Washington, Outside of a Yard or Terminal
2013. DC 20590. Office hours are from 8 a.m. The Federal Railroad Administration
Jim A. Johnson, to 4:30 p.m., e.t., Monday through (FRA) of the United States Department
Manager, Airports Division. Friday, except Federal holidays. of Transportation (DOT) has determined
[FR Doc. 2013–19003 Filed 8–6–13; 8:45 am] SUPPLEMENTARY INFORMATION: that public safety compels issuance of
BILLING CODE 4910–13–P
Electronic Access and Filing this Emergency Order (EO), which
requires railroads operating on the
This document and all comments general system to implement additional
DEPARTMENT OF TRANSPORTATION received may be viewed online through processes and procedures to ensure that
the Federal eRulemaking portal at: certain unattended trains and vehicles 1
Federal Highway Administration http:www.regulations.gov. on mainline track or mainline siding
[FHWA Docket No. FHWA–2013–0041] Regulations.gov is available 24 hours outside of a yard or terminal are
each day, 365 days each year. Electronic properly secured against unintended
Buy America Policy submission and retrieval help and movement. FRA re-examined its
guidelines are available under the help regulations governing the securement of
AGENCY: Federal Highway section of the Web site. An electronic
Administration (FHWA), DOT. such equipment in light of the July 6,
copy of this document may also be 2013, derailment in Lac-Mégantic,
ACTION: Notice of extension of deadline. downloaded by accessing the Office of Quebec, Canada, which demonstrated
SUMMARY: The FHWA is extending the the Federal Register’s home page at: the terrible consequences that can arise
deadline for comments regarding the http://www.archives.gov/federal- when a railroad accident results in a
continued need, in whole or in part, for register/, or the Government Printing sudden release of flammable liquids.
the general waivers from Buy America Office’s Web page at: http:// FRA’s inspection data since January
for manufactured products; for ferry www.gpo.gov/fdsys. 2010 shows significant non-compliance
boat equipment; and for pig iron and Background with FRA’s securement regulations, 49
processed, pelletized, and reduced iron CFR 232.103(n), with nearly 4,950
On July 10, 2013, at 78 FR 41492, the recorded defects in that time. Moreover,
ores, which was published on July 10,
FHWA published in the Federal FRA has seen a number of serious
2013. The original deadline for
Register a notice seeking comments accidents during rail transportation of
submitting comments was August 9,
regarding the continued need, in whole flammable liquids since 2009, and there
2013. This notice extends the deadline
or in part, for the general waivers from has been significant growth in these
by 30 calendar days to September 8,
Buy America for manufactured types of rail shipments since 2011.
2013.
products; for ferry boat equipment; and These factors lead FRA to the
DATES: Comments must be received on for pig iron and processed, pelletized, conclusion that additional action is
or before September 8, 2013. Late filed and reduced iron ores. This notice also necessary to eliminate an immediate
comments will be considered to the sought comment on the continuing need hazard of death, personal injury, or
extent practicable. for the FHWA’s minimal use threshold significant harm to the environment,
ADDRESSES: Mail or hand deliver (currently established at $2,500 or 1/10 particularly in instances where certain
comments to the U.S. Department of of 1 percent of the total contract value, hazardous materials are involved. As a
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Transportation, Dockets Management whichever is greater). The original result, FRA is ordering that each
Facility, Room W12–140, 1200 New deadline for comments was August 8, railroad take the following actions on
Jersey Avenue SE., Washington, DC 2013. In a letter dated July 23, 2013, the mainline track or mainline siding
20590, or submit electronically at American Association of State Highway outside of a yard or terminal to ensure
http://www.regulations.gov or fax and Transportation Officials (AASHTO)
comments to (202) 493–2251. All submitted a comment to the docket for 1 A vehicle, as defined in 49 U.S.C. 20301,
comments should include the docket this notice requesting a 30-day ‘‘means a car, locomotive, tender, or similar
number that appears in the heading of extension to submit comments. This vehicle.’’

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 Federal Register / Vol. 78, No. 152 / Wednesday, August 7, 2013 / Notices 48219

the safe transportation by rail of 5. Develop procedures to ensure that train unattended on mainline track with
hazardous material: a qualified railroad employee inspects a descending grade of approximately 1.2
1. No train or vehicle transporting all equipment that any emergency percent.
hazardous materials as described in responder has been on, under, or At around 11:50 p.m. a local resident
Appendix A shall be left unattended on between for proper securement before reported a fire on the controlling
a mainline track or mainline siding the train or vehicle is left unattended. locomotive (MMA 5017) of the train.
outside of a yard or terminal until the Additionally, each railroad must The local fire department was called
railroad develops, adopts, complies provide notice of this EO to all and responded with another MMA
with and makes available to FRA upon employees affected by this EO to ensure employee. At approximately midnight,
request, a plan that identifies specific that they have knowledge of the EO’s the controlling locomotive was shut
locations and circumstances when such requirements. down and the fire extinguished. After
trains or vehicles may be left the fire was extinguished, the fire
Authority
unattended. The plan shall contain a department and the MMA employee left
sufficient safety justification for any Authority to enforce Federal railroad the site.
determination allowing such trains or safety laws has been delegated by the At approximately 1:00 a.m. the next
vehicles to be unattended. FRA will Secretary of Transportation to the day (the early morning of July 6th) it
monitor such plans and if FRA Administrator of FRA. 49 CFR 1.89. appears that the train began rolling and
determines that adequate justification is Railroads are subject to FRA’s safety picking up speed down the descending
not provided, the railroad shall ensure jurisdiction under the Federal railroad grade toward the town of Lac-Mégantic,
that trains and equipment are attended safety laws. 49 U.S.C. 20101, 20103. Quebec, which sits approximately 30
until appropriate modifications to the FRA is authorized to issue emergency miles from the United States-Canada
plan are completed. FRA does not orders where an unsafe condition or border. Near the center of town, the box
intend to grant approval to any plan. practice ‘‘causes an emergency situation car and 63 of the loaded tank cars
Each railroad shall notify FRA when it involving a hazard of death, personal derailed. The locomotives, which
has developed a plan under this injury, or significant harm to the separated from the train, traveled an
provision prior to the railroad operating environment.’’ 49 U.S.C. 20104. These additional 1⁄2 mile before coming to a
pursuant to the plan. orders may immediately impose stop. A number of derailed tank cars
2. Develop processes for the ‘‘restrictions and prohibitions . . . that released product resulting in multiple
securement of unattended trains or may be necessary to abate the explosions and subsequent fires. At this
vehicles transporting hazardous situation.’’ Id. time, it is estimated that there were 42
materials as described in Appendix A Lac-Mégantic Derailment fatalities and that 5 persons are still
on mainline track or mainline siding missing. There was also extensive
outside of a yard or terminal if FRA has re-examined its requirements
damage to the town, and approximately
permitted by the railroad’s plan for securing trains and vehicles on
2,000 people were evacuated from the
required by this order that contains the mainline track and mainline sidings
surrounding area. While the
following requirements: outside of a yard or terminal in the
investigation is ongoing and the
a. The controlling locomotive cab aftermath of the catastrophic July 6,
Transportation Safety Board of Canada
must be locked or the reverser on the 2013, accident involving loaded tank
has not reached any final conclusions,
controlling locomotive must be removed cars containing petroleum crude oil that
it has made a determination that the
and secured, and occurred in the town of Lac-Mégantic,
braking force applied to the train was
b. Employees who are responsible for Quebec, Canada, on track owned by
insufficient to hold it on the 1.2-percent
securing trains and vehicles Montreal, Maine & Atlantic Railway
descending slope between Nantes and
transporting hazardous materials as Corporation (MMA), a company
Lac-Mégantic.
described in Appendix A must incorporated in the United States. While In response to this accident, Transport
communicate to the train dispatcher the Canadian authorities are still Canada (the Canadian government
number of hand brakes applied, the investigating the accident and no final department responsible for regulating
tonnage and length of the train or conclusions have been made, the transportation safety in Canada) issued
vehicle, the grade and terrain features of following is known based on an emergency railroad directive
the track, any relevant weather preliminary information released by the pursuant to Section 33 of the Canadian
conditions, and the type of equipment Transportation Safety Board of Canada. Railway Safety Act.2 While Transport
being secured; train dispatchers must According to Rail Safety Advisory
Canada explained in the emergency
record the information provided; and Letters issued by the Transportation
directive that the cause of the accident
train dispatchers or other qualified Safety Board of Canada on July 19, 2013,
in Lac-Mégantic remains unknown, the
railroad employees must verify and the incident is summarized as follows.
emergency directive stated that:
confirm with the train crew that the At approximately 10:45 p.m. Eastern [I]n light of the catastrophic results of the
securement meets the railroad’s Daylight Time (EDT) on July 5, 2013, Lac-Mégantic accident and in the interest of
requirements. MMA train 2 was proceeding eastward ensuring the continued safety and security of
3. Review and verify, and adjust, as from Montreal, Quebec, to St. John, New railway transportation, there is an immediate
necessary, existing procedures and Brunswick. The train was need to clarify the regime respecting
processes related to the number of hand approximately 4,700 feet long and unattended locomotives on main track and
weighed over 10,000 tons. It consisted sidings and the transportation of dangerous
brakes to be set on all unattended trains
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and vehicles and ensure the means of of five locomotives, a loaded box car, 2 Available online at: http://www.tc.gc.ca/eng/
verifying that number is appropriate. and 72 loaded tank cars containing mediaroom/backgrounders-safety-locomotives-
4. Implement operating rules and petroleum crude oil (U.S. DOT Hazard 7292.html. Additionally, in response to this
practices requiring the discussion of Class 3, UN 1267). At approximately accident, the Transportation Safety Board of Canada
securement for any job that will impact 11:00 p.m. the train stopped near issued Rail Safety Advisory Letter—09/13 regarding
the securement of equipment and trains left
or require the securement of any train or milepost 7.40 near Nantes, Quebec. At unattended; available online at: http://
vehicle in the course of the work being that location the operator of the train www.tsb.gc.ca/eng/medias-media/sur-safe/letter/
performed. secured it and departed, leaving the rail/2013/r13d0054/r13d0054-617-09-13.asp.

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 48220 Federal Register / Vol. 78, No. 152 / Wednesday, August 7, 2013 / Notices

goods in tank cars using a one person crew include the following: Reviewing the being transported by rail is classified as
to address any threat to the safety and details and lessons learned from the flammable.4
security of railway operations. Lac-Mégantic accident; reviewing crew The MMA train in the Lac-Mégantic
As such, Transport Canada exercised staffing levels; removing and securing incident was transporting 72 carloads of
its statutory emergency directive the train’s ‘‘reverser’’ when unattended; petroleum crude oil with five
authority to order railroad companies a thorough review of all railroad locomotives and a loaded box car. A
operating in Canada to comply with operating procedures, testing and similar type of train consist is
certain requirements related to operating rules around securing a train; commonly found on rail lines in the
unauthorized entry into locomotive reviewing Transport Canada’s directives United States because crude oil is often
cabs, directional controls on to secure and safely operate a train; and transported in units of cars or by a unit
locomotives, the application of hand conducting a system-wide assessment of train consisting virtually entirely of tank
brakes to cars left unattended for more security risks when a train is cars containing crude oil. Crude oil is
than one hour, setting of the automatic unattended and identifying mitigation often classified by an offeror as a
brake and independent brake on any efforts for those risks. Additionally, the flammable liquid; per PHMSA’s Hazmat
locomotive attached to cars that is left Safety Advisory recommends testing Regulations (HMR), however, its
unattended for one hour or less, and sampling of crude oil for proper packing group can be I, II, or III
attendance related to locomotives classification for shipment, as well as a depending on the blend of constituent
attached to loaded tank cars review of all shippers’ and carriers crude oils. According to the Association
transporting dangerous goods on main safety and security plans. Finally, FRA of American Railroads (AAR), crude oil
track, and the number of crew members is convening an emergency meeting of traffic increased 443 percent in the
assigned to a locomotive attached to FRA’s Railroad Safety Advisory United States between 2005 and 2012.
loaded tank cars transporting dangerous Committee to begin the deliberative Much of this growth has occurred
goods on a main track or siding. process with FRA’s stakeholders, because of developments in North
In addition, Transport Canada issued including railroad management, railroad Dakota, as the Bakken formation in the
an accompanying order pursuant to labor, shippers, car owners, and others, Williston Basin has become a major
paragraph 19(a)(1) of the Canadian as the agency considers source for oil production in the United
Railway Safety Act directing railroad recommendations in the Safety States. Texas also has contributed to the
companies in Canada to formulate or Advisory that should be made a part of growth of crude oil shipments by rail.
revise certain railroad operating rules, its regulations. As a result, carloads of crude oil
respecting the safety and security of increased from approximately 65,600 in
unattended locomotives, uncontrolled Safety Concerns Arising Out of the Lac-
Mégantic Derailment 2011 to approximately 257,450 in 2012.
movements, and crew size The Bakken crude oil from North Dakota
requirements. The order provides that Generally, the transportation of is primarily shipped via rail to refineries
rules should be based on an assessment hazardous materials by rail is extremely located near the U.S. Gulf Coast—
of safety and security risks, and shall at safe. The vast majority of hazardous
particularly in Texas and Louisiana—or
a minimum ensure that the cab(s) of materials shipped by rail each year
also to pipeline connections, most
unattended controlling locomotives are arrive at their destinations safely and
notably to connections located in
secure against unauthorized entry; without incident. Indeed, in calendar
Oklahoma. Crude oil is also shipped via
ensure that the reversers of unattended year 2011, there were only 20 accidents
rail to refineries on the East Coast and,
locomotives are removed and secured; in which a hazardous material was
to a lesser extent, refineries in other
prevent uncontrolled movements of released out of approximately 2.2
regions of the U.S.5
railway equipment by addressing the million shipments of hazardous material
All indications from the U.S. Energy
application of hand brakes; ensure the transported by rail in the United States.
Information Administration (EIA)
security of stationary railway equipment However, the Lac-Mégantic incident
within the U.S. Department of Energy
transporting dangerous goods; and demonstrates the substantial potential
are that rail export capacity for Bakken
provide for minimum operating crew for danger that exists when an
crude oil from the Williston Basin will
requirements considering technology, unattended train rolls away and derails
continue to expand to meet production.6
length of train, speeds, classification of resulting in the sudden release of
dangerous goods being transported, and hazardous materials into the 4 PHMSA prescribes a comprehensive regulatory
other risk factors. environment. Although the Lac- safety system that categorizes hazardous materials
DOT is taking actions consistent with Mégantic incident occurred in Canada, into nine hazard classes based on the type of
Transport Canada to ensure the safe the freight railroad operating hazards presented by the materials. See 49 CFR
environment in Canada is similar to that Parts 172 and 173. Under PHMSA’s regulations,
transportation of products by rail in the crude oil, in most forms, meets the definition of a
United States, with a particular focus on in the United States, and a number of ‘‘Class 3’’ hazardous material, which signifies that
certain hazardous materials that present railroads operate in both countries.3 it is a flammable liquid. Ethanol, discussed below,
an immediate danger for communities Freight railroads in the United States also is a Class 3 hazardous material. PIH materials,
and the environment in the event of a also transport a substantial amount and referenced above, include ‘‘Class 2 and Division
2.3’’ gases and ‘‘Class 6, and Division 6.1’’ poisons
train accident. Through this EO, FRA is variety of hazardous materials, other than gases. Chlorine gas and anhydrous
addressing the immediate dangers that including materials poisonous by ammonia are two examples of PIH materials
arise from unattended equipment that is inhalation (PIH), materials or toxic by (Division 2.3) that are commonly transported by
left unsecured. Additionally, FRA and inhalation (TIH), and explosive rail.
5 See AAR’s May 2013 paper ‘‘Moving Crude Oil
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the Pipeline and Hazardous Materials materials. Moreover, an increasing by Rail’’ available online at: https://www.aar.org/
Safety Administration (PHMSA) are proportion of the hazardous materials keyissues/Documents/Background-Papers/Crude-
issuing a joint Safety Advisory to oil-by-rail.pdf.
railroads and commodity shippers 3 As an example, MMA operates both in the 6 See EIA reports ‘‘Bakken crude oil price

detailing eight recommended actions United States and Canada, with approximately 510 differential to WTI narrows over last 14 months,’’
miles of track in Maine, Vermont, and Quebec, and available online at: http://www.eia.gov/
the industry should take to better ensure the tank cars transporting the crude oil that derailed todayinenergy/detail.cfm?id=10431; and ‘‘Rail
the safe transport of hazardous in Lac-Mégantic originated in the Williston Basin of delivery of U.S. oil and petroleum products
materials. These recommendations North Dakota. continues to increase, but pace slows,’’ available

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 Federal Register / Vol. 78, No. 152 / Wednesday, August 7, 2013 / Notices 48221

Rail exports from the North Dakota evacuation of a one-mile radius around • On January 6, 2005, in Graniteville,
region are forecast to increase over the the derailment. SC, a Norfolk Southern train collided
next two years (as are pipeline exports). • On July 11, 2012, in Columbus, OH, with another Norfolk Southern train that
Much of the near-term growth in rail a Norfolk Southern train derailed while was parked on a customer side track,
originations right now is a function of operating on main track. Thirteen tank derailing both locomotives and 16 cars
how quickly tank car manufacturers can cars containing ethanol derailed of the moving train. The accident was
produce new cars to meet the demand resulting in a fire and the evacuation of caused by a misaligned switch. Three
for tank cars, primarily for transporting 100 people within a one-mile radius of tank cars containing chlorine derailed,
Bakken crude oil. The rise in rail the derailment. one of which was punctured. The
originations in crude oil is subject to • On August 5, 2012, in Plevna, MT, resulting chlorine exposure caused 9
changes in the number of tank cars a BNSF Railway Co. train derailed 18 deaths, approximately 554 people were
available, price of crude oil, and overall cars while en route from Baker, MT. taken to local hospitals, and an
production of crude oil in that region, Seventeen of the 18 cars were tank cars additional 5,400 people within a one-
and is also dependent on whether, or loaded with denatured alcohol, a form mile radius of the site were evacuated
how quickly, additional pipeline export of ethanol. Five of the cars caught on by law enforcement personnel. FRA’s
capacity from that region comes online. fire resulting in explosions, the burning analysis of the total cost of the accident
However, for the foreseeable future, all of surrounding property not within the was $126 million, including fatalities,
indications are for continued growth of railroad’s right-of-way, and the injuries, evacuation costs, property
rail originations of crude in that region evacuation of the immediate area. damage, environmental cleanup, and
as new tank car fleets come online to Although these accidents were track out of service.
meet demand. serious, their results had potential for While train accidents involving
more catastrophic outcomes. The hazardous materials are caused by a
As demonstrated by the Lac-Mégantic
catastrophic releases created the variety of factors, nearly one-half of all
derailment, in a catastrophic incident,
potential for additional deaths, injuries, accidents are related to railroad human
crude oil is problematic when released
property damage, and environmental factors or equipment defects. FRA’s data
because it is flammable. This risk is damage.
compounded because it is commonly shows that since 2009, human factors
There are other hazardous materials have been the most common cause of
shipped in large units. Similar dangers that have similar potential for
exist with other hazardous materials reportable train accidents. Based on
catastrophic danger. For example, FRA’s accident reporting data for the
such as ethanol, which is another accidents involving trains transporting period from 2009 through 2012, 35.7
flammable liquid that is commonly other hazardous materials, including percent of train accidents were human
transported by rail. More carloads of PIH materials, such as chlorine and factor-caused. With regard to the
ethanol were transported via rail than anhydrous ammonia, can also result in securement of unattended equipment,
any other hazardous material in 2012. serious consequences as evidenced by specifically, FRA accident data
Ethanol experienced an increase in the following accidents: indicates that approximately 8.5 percent
traffic of 442 percent between 2005 and • On July 18, 2001, 11 of 60 cars in of human factor-caused train accidents
2010. Although in 2012 the number of a CSX Transportation, Inc. freight train from calendar year 2011 until April
carloads dropped by 11 percent from derailed while passing through the 2013 were the result of improper
2010 levels, there were still Howard Street Tunnel in downtown securement. This EO is intended to
approximately 366,000 carloads Baltimore, MD. The train included 8 address some of the human factors
transported by rail. Since 2009, there tank cars loaded with hazardous failures that may cause unattended
have been at least four serious mainline material; 4 of these were among the cars equipment to be improperly secured to
derailments resulting in the breach of that derailed. A leak in a tank car protect against a derailment situation
tank cars containing ethanol. While FRA containing tripropylene resulted in a similar to that which occurred in Lac-
recognizes that none of these four chemical fire. A break in a water main Mégantic.
derailments resulted from a roll-away above the tunnel flooded both the
situation, they are instructive on the tunnel and the streets above it, resulting Securement Requirements
destructive potential of a derailment in the tunnel collapsing. As previously noted, FRA has issued
involving tank cars containing • On January 18, 2002, a Canadian regulations designed to ensure that
flammable products: Pacific Railway train containing 15 tank trains and vehicles are properly secured
• On June 19, 2009, in Cherry Valley, cars of anhydrous ammonia derailed before being left unattended. See
IL, a Canadian National Railway train half a mile from the city limits of Minot, § 232.103(n). ‘‘Unattended equipment’’
derailed 19 tank cars loaded with ND due to a breaking of the rail at a is defined as ‘‘equipment left standing
ethanol. Thirteen of the 19 derailed cars joint. Five of these tank cars ruptured and unmanned in such a manner that
caught fire, and there were reports of catastrophically, resulting in an the brake system of the equipment
explosions. One person died, and there ammonia vapor that spread 5 miles cannot be readily controlled by a
were 9 reported injuries related to the downwind over an area where 11,600 qualified person.’’ Id. Section
fire. Additionally, approximately 600 people lived. The accident caused one 232.103(n) addresses the securement of
residences were evacuated within a 1⁄2- death, 11 serious injuries, and 322 unattended equipment by stating that a
mile radius of the derailment. minor injuries. Environmental cleanup train’s air brakes must not be depended
• On February 6, 2011, in Arcadia, costs reported to the National on to hold equipment standing
mstockstill on DSK4VPTVN1PROD with NOTICES

OH, a Norfolk Southern Railway Co. Transportation Safety Board (NTSB) unattended on a grade and further
(Norfolk Southern) train operating on were $8 million. requires the application of a sufficient
single main track derailed 33 tank cars • On June 28, 2004, near Macdona, number of hand brakes to hold the
loaded with ethanol. The derailment TX, a Union Pacific Railroad Company equipment with the air brakes released
caused a major fire and forced the train passed a stop signal and collided and the ventilation of the brake pipe
with a BNSF train. A chlorine car was pressure to zero with the angle cock
online at: http://www.eia.gov/todayinenergy/ punctured and the chlorine gas that was opened on one end of a cut of cars when
detail.cfm?id=12031. released killed three and injured 32. not connected to a locomotive or other

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compressed air source. The regulations complies with a plan that identifies the foreman of engines, or another train
also require railroads to develop a specific locations and circumstances for crew employee) will be in a position to
process or procedure for verifying that which it is safe and suitable for leaving ensure that a sufficient number of hand
the hand brakes that are applied are such trains or vehicles unattended. The brakes have been applied.
sufficient to hold the equipment with plan must contain sufficient analysis of Third, this E.O. requires that railroads
the air brakes released. When dealing the safety risks and any mitigating review, verify, and adjust, as necessary,
with locomotives and locomotive circumstances the railroad has existing requirements and instructions
consists, § 232.103(n)(3) establishes considered in making its determination. related to the number of hand brakes to
specific additional requirements: FRA does not intend to grant approval be set on unattended trains and vehicles
• All hand brakes must be fully to any plan, per se. However, FRA will and that railroads review and adjust, as
applied on all locomotives in the lead monitor such plans and if FRA necessary, the procedures for verifying
consist of an unattended train. determines that adequate justification is that the number of hand brakes is
• All hand brakes must be fully not provided, the railroad shall ensure sufficient to hold the train or vehicle
applied on all locomotives in an that trains and equipment are attended with the air brakes released. FRA’s
unattended locomotive consist outside until appropriate modifications are concern is that existing railroad
of yard limits. made to the railroad’s plan. processes and procedures related to
• The minimum requirement for an setting and verifying hand brakes on
unattended locomotive consist within Second, FRA is requiring railroads to
develop specific processes for unattended trains and equipment may
yard limits is that the hand brake must not be sufficient to hold all trains and
be fully applied on the controlling employees responsible for securing any
vehicles in all circumstances. FRA
locomotive. unattended train or vehicles
expects that the procedures and number
• Railroads must develop, adopt, and transporting hazardous materials as
of hand brakes required to be set will
comply with procedures for securing described in Appendix A that must be
vary significantly, depending on a
any unattended locomotive that is not left on mainline track or a mainline
variety of factors, including, but not
equipped with an operative hand brake. siding outside of a yard or terminal. The
limited to: The length and weight of the
Additionally, FRA requires each employees responsible for securing the
train or vehicle(s), the location, the
railroad to adopt and comply with train or vehicles must lock the
grade and other terrain features of the
instructions addressing the throttle controlling locomotive cab door before
track, the weather conditions, the type
position, status of the reverse lever leaving it unattended or remove and of equipment being secured, and
(commonly referred to as a ‘‘reverser’’), secure the reverser. The reverser is the whether the hand brakes apply on one
position of the generator field switch, directional control for the locomotive. or more trucks of a piece of equipment.
status of the independent brakes, Removing it would put the locomotive The procedures should also ensure that
position of the isolation switch, and in neutral, preventing it from moving an additional margin of safety is
position of the automatic brake valve of forward or backward under the power of provided when determining the number
an unattended locomotive. See the engine. Additionally, employees of hand brakes to be set in order to
§ 232.103(n)(4). must communicate to the train compensate for the differing ability of
In FRA’s view, these regulations— dispatcher the number of hand brakes individuals to set a hand brake at a
when followed—substantially reduce applied, the tonnage of the train or specified level. FRA also expects
the risk of movement of unattended vehicle, the grade and terrain features of railroads to develop appropriate
equipment. However, FRA has found the track, any other relevant weather procedures to be followed by their
there is significant non-compliance conditions, and the type of equipment employees to test or verify that the
among the railroads with respect to being secured. The dispatcher is then number of hand brakes set will hold the
FRA’s securement regulations. With required to record the information equipment with the air brakes released.
limited resources, FRA can inspect only provided by the employee. Finally, the Fourth, this E.O. requires railroads to
a small percentage of trains and vehicles dispatcher or other qualified railroad implement operating rules and practices
for regulatory compliance. However, employee must verify and confirm with requiring the job briefing of securement
even with its limited resources, FRA has the train crew that the securement meets among crewmembers and other
recorded nearly 4,950 securement the railroad’s requirements. This involved railroad employees before
defects in the course of its inspections requirement provides a check on those engaging in any job that will impact or
since January 2010, an average of individuals setting hand brakes to require the securement of any train or
approximately 1,483 defects per year. ensure appropriate securement vehicle in the course of the work being
With increased shipments of hazardous procedures are followed. The performed. This requirement is
materials such as crude oil and ethanol, requirement is similar to FRA’s existing analogous to other Federal regulations
securement non-compliance, regulations that require employees to that require crewmembers to have a job
particularly on mainline track and report to the train dispatcher when a briefing before performing various tasks,
mainline sidings outside of a yard or main track switch in non-signaled such as confirming the position of a
terminal, has become a serious, territory has been restored to normal main track switch before leaving an
immediate safety concern. Therefore, position and locked. FRA believes this area. The purpose of this job briefing
additional measures are necessary to type of notification and verification requirement is to make certain that all
protect the health and safety of railroad requirement will help ensure that crewmembers and other involved
employees, the general public, and the employees responsible for securing railroad employees are aware of what is
mstockstill on DSK4VPTVN1PROD with NOTICES

environment. equipment containing hazardous necessary to properly secure the

First, in this EO, FRA is prohibiting materials will follow appropriate equipment in compliance with
railroads from leaving trains or vehicles procedures because the employee will § 232.103(n).
that are transporting hazardous need to fully consider the securement Finally, FRA is requiring railroads to
materials as described in Appendix A procedures in order to relay what was develop procedures to ensure that a
unattended on mainline track or done to the dispatcher. Further, the qualified railroad employee inspects all
mainline siding outside of a yard or dispatcher or other qualified railroad equipment that any emergency
terminal unless the railroad adopts and employee (e.g. a trainmaster, road responder has been on, under, or

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between for proper securement before are completed. FRA does not intend to Associate Administrator shall grant
the rail equipment or train is left grant approval to any plan. Railroads petitions only in which a petitioner has
unattended. One of the facts that has shall notify FRA when the railroad has clearly articulated an alternative action
come to light in the aftermath of the developed a plan under this provision that will provide, in the Associate
Lac-Mégantic derailment is that first prior to the railroad operating pursuant Administrator’s judgment, at least a
responders were at milepost 7.4 near to the plan. level of safety equivalent to that
Nantes (along with an MMA employee) 2. Railroads shall develop processes provided by this E.O..
to check a report of a fire on the train. for securing unattended trains or
This was well after the operator had vehicles transporting Appendix A Penalties
secured the train and left it unattended. Materials on a mainline track or Any violation of this order or the
Because it may be necessary for mainline siding outside of a yard or terms of any written plan adopted
emergency responders to modify the terminal if permitted by the railroad’s pursuant to this order to provide
state of the equipment if it is necessary plan required under paragraph (1) of alternate protection shall subject the
for them to go on, under, or between this order that contains the following person committing the violation to a
equipment in order to perform their requirements: civil penalty of up to $105,000. 49
jobs, it is critical for the railroad to have a. The controlling locomotive cab U.S.C. 21301. Any individual who
a qualified employee inspect the must be locked or the reverser on the willfully violates a prohibition stated in
equipment after the emergency controlling locomotive must be removed this order is subject to civil penalties
responders have completed their jobs to and secured. under 49 U.S.C. 21301. In addition,
ensure that the equipment is properly b. Employees who are responsible for such an individual whose violation of
secured before it is again left securing trains and vehicles this order demonstrates the individual’s
unattended. transporting Appendix A Materials must unfitness for safety-sensitive service
communicate to the train dispatcher the may be removed from safety-sensitive
Finding and Order number of hand brakes applied, the service on the railroad under 49 U.S.C.
While FRA recognizes that the tonnage and length of the train or 20111. If appropriate, FRA may pursue
transportation of hazardous materials by vehicle, the grade and terrain features of criminal penalties under 49 U.S.C.
rail is extremely safe and that the vast the track, any relevant weather 522(a) and 49 U.S.C. 21311(a), as well
majority of hazardous materials shipped conditions, and the type of equipment as 18 U.S.C. 1001, for the knowing and
by rail each year arrive at their being secured; train dispatchers must willful falsification of a report required
destinations safely and without record the information provided; and by this order. FRA may, through the
incident, FRA finds that there are gaps train dispatchers or other qualified Attorney General, also seek injunctive
in the regulatory scheme that create an railroad employees must verify and relief to enforce this order. 49 U.S.C.
emergency situation involving a hazard confirm with the train crew that the 20112.
of death, personal injury, or significant securement meets the railroad’s
harm to the environment, with respect requirements. Effective Date and Notice to Affected
to securement of unattended vehicles 3. Railroads shall review and verify, Persons
and trains transporting a hazardous and adjust, as necessary, existing Upon issuance of this E.O., railroads
material of the type described in procedures and processes related to the shall immediately initiate steps to
Appendix A to this E.O. on mainline number of hand brakes to be set on all implement this E.O.. Railroads shall
track and mainline sidings outside of a unattended trains and equipment and complete implementation no later than
yard or terminal. Accordingly, pursuant shall ensure the means of verifying that September 1, 2013. Notice of this E.O.
to the authority of 49 U.S.C. 20104, number is appropriate. will be provided by publishing it in the
delegated to the FRA Administrator by 4. Railroads shall implement Federal Register.
the Secretary of Transportation, 49 CFR operating rules and practices requiring
1.89, it is hereby ordered that each the job briefing of securement for any Review
railroad must institute and carry out the job that will impact or require the Opportunity for formal review of this
following measures, effective within 30 securement of any train or vehicle in the E.O. will be provided in accordance
days after the date of this order: course of the work being performed. with 49 U.S.C. 20104(b) and section 554
1. No train or vehicles transporting 5. Railroads shall develop procedures of title 5 of the United States Code.
the type and quantity of hazardous to ensure that a qualified railroad Administrative procedures governing
materials described in Appendix A employee inspects all equipment that such review are found at 49 CFR part
(Appendix A Materials) shall be left any emergency responder has been on, 211. See 49 CFR 211.47, 211.71, 211.73,
unattended on a mainline track or under, or between for proper 211.75, and 211.77.
mainline siding outside of a yard or securement before the train or vehicle is
terminal until the railroad develops, Issued in Washington, DC, on August 2,
left unattended. 2013.
adopts, complies with and makes 6. Notice of this E.O. shall be
available to FRA upon request a plan provided to all employees affected by Joseph C. Szabo,
that identifies specific locations and this E.O.. Administrator.
circumstances when such trains or Appendix A to Emergency Order 28
vehicles may be left unattended. The Relief
plan shall contain a sufficient safety Petitions for special approval to take (1) Five or more tank car loads of any one
or any combination of materials poisonous by
mstockstill on DSK4VPTVN1PROD with NOTICES

justification for any determination actions not in accordance with this E.O.
allowing such trains or vehicles to be may be submitted to the Associate inhalation as defined in 49 CFR 171.8, and
including anhydrous ammonia (UN 1005)
unattended. FRA will monitor such Administrator for Railroad Safety/Chief and ammonia solutions (UN 3318); or
plans and if FRA determines that Safety Officer (Associate Administrator), (2) 20 rail car loads or intermodal portable
adequate justification is not provided, who shall be authorized to dispose of tank loads of any one or any combination of
the railroad shall ensure that trains and those requests without the necessity of materials listed in (1) above, or, any Division
equipment are attended until amending this E.O.. In reviewing any 2.1 flammable gas, Class 3 flammable liquid
appropriate modifications to the plan petition for special review, the or combustible liquid, Class 1.1 or 1.2

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 48224 Federal Register / Vol. 78, No. 152 / Wednesday, August 7, 2013 / Notices

explosive, or hazardous substance listed in 493–6047; or Charles Betts, Director, and came to a stop approximately 1⁄2
49 CFR 173.31(f)(2).7 Standards and Rulemaking Division, mile from the derailment site. The box
[FR Doc. 2013–19215 Filed 8–6–13; 8:45 am] Office of Hazardous Materials Safety, car and 63 of the loaded tank cars
BILLING CODE 4910–06–P PHMSA, 1200 New Jersey Avenue SE., derailed. A number of derailed tank cars
Washington, DC 20590, telephone (202) released product resulting in multiple
366–8553. explosions and subsequent fires. At this
DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: time, it is estimated that there were 42
fatalities and 5 persons are still missing.
Federal Railroad Administration Incident Summary There was also extensive damage to the
[Safety Advisory 2013–06] On July 6, 2013, a catastrophic town, and approximately 2,000 people
accident involving a freight train were evacuated from the surrounding
Pipeline and Hazardous Materials containing loaded tank cars of area.
Safety Administration petroleum crude oil occurred in the
Transport Canada Emergency Directive
[Docket No. PHMSA–2013–0196; Notice No.
town of Lac-Mégantic, Quebec, on the
13–13] Montreal, Maine & Atlantic Railway In response to this accident, Transport
(MMA). While the accident is still being Canada (the Canadian government
Lac-Mégantic Railroad Accident investigated by Canadian authorities department responsible for regulating
Discussion and DOT Safety and no final determinations have been transportation safety in Canada) issued
Recommendations made, the following is known based on an emergency railroad directive
preliminary information released by the pursuant to Section 33 of the Canadian
AGENCY: Federal Railroad Transportation Safety Board of Canada.1 Railway Safety Act.2 The directive
Administration (FRA) and Pipeline and According to Rail Safety Advisory ordered railroad companies in Canada
Hazardous Materials Safety Letters issued by the Transportation to ensure that:
Administration (PHMSA), Department Safety Board of Canada on July 19, 2013, • Within five days of the issuance of
of Transportation (DOT). the incident is summarized as follows. the directive, all unattended controlling
ACTION: Notice of Safety Advisory and At approximately 10:45 p.m. (EDT) on locomotives on a main track and sidings
Announcement of Emergency Meeting July 5, 2013, an MMA train was are protected from unauthorized entry
of the Railroad Safety Advisory proceeding eastward from Montreal, into the cab;
Committee. Quebec, to St. John, New Brunswick. • The directional controls, commonly
The train was approximately 4,700 feet known as reversers, are removed from
SUMMARY: A recent catastrophic railroad long, weighed over 10,000 tons and any unattended locomotives, preventing
accident occurred in Canada when an consisted of five locomotives, a loaded them from moving forward or backward,
unattended freight train containing box car, and 72 loaded tank cars on a main track or sidings;
hazardous materials rolled down a containing petroleum crude oil (Class 3, • Their company’s special
descending grade and subsequently UN 1267). At approximately 11:00 p.m. instructions on hand brakes are applied
derailed. It is currently estimated that the train stopped near mile post 7.40 to any locomotive attached to one or
this accident resulted in 42 fatalities, near Nantes, Quebec. At that location more cars that are left unattended for
and 5 persons are still reported to be the single operator secured the train and more than one hour on a main track or
missing. In response, FRA issued departed, leaving the train unattended sidings;
Emergency Order No. 28 regarding the on mainline track with a descending • In addition to complying with their
securement of trains, and FRA and grade of approximately 1.2 percent. company’s special instructions on hand
PHMSA (collectively, DOT) are also At approximately 11:50 p.m., a local brakes referred to in the item
issuing this safety advisory. This safety resident reported a fire on the lead immediately above, the automatic brake
advisory discusses the circumstances locomotive (MMA 5017) of the train and is set in full service position and the
surrounding the accident and makes the local fire department was called and independent brake is fully applied for
certain safety-related recommendations responded with another MMA any locomotive attached to one or more
to railroads operating in the United employee. At approximately midnight, cars that are left unattended for one
States. This safety advisory also in accordance with established hour or less on a main track or sidings;
provides notice of FRA’s intent to operating procedures, the lead • No locomotive attached to one or
schedule an emergency meeting of the locomotive was shut down and the fire more loaded tank cars transporting
Railroad Safety Advisory Committee to extinguished. After the fire was dangerous goods is left unattended on a
discuss this accident and potential extinguished, the fire department and main track; and
regulatory actions to prevent similar the MMA employee left the site. • No locomotive attached to one or
future accidents from occurring. At approximately 1:00 a.m. the next more loaded tank cars transporting
FOR FURTHER INFORMATION CONTACT: day, it appears that the train began dangerous goods is operated on a main
Thomas J. Herrmann, Acting Director, rolling and picking up speed down the track or siding with fewer than two
Office of Safety Assurance and descending grade toward the town of persons qualified under their company’s
Compliance, Office of Railroad Safety, Lac-Mégantic, Quebec. Near the center requirements for operating employees.
FRA, 1200 New Jersey Avenue SE., of town, the train derailed. The Transport Canada explained in the
Washington, DC 20590, telephone (202) locomotives separated from the train emergency directive that the cause of
493–6404; Joseph St. Peter, Trial
mstockstill on DSK4VPTVN1PROD with NOTICES

Attorney, Office of Chief Counsel, FRA, 1 This accident occurred in Canada and DOT is 2 Available online at: http://www.tc.gc.ca/eng/

1200 New Jersey Avenue SE., neither responsible for determining, nor has mediaroom/backgrounders-safety-locomotives-
jurisdiction to investigate, the cause of this 7292.html. Additionally, in response to this
Washington, DC 20590, telephone (202) accident. Further, Canadian authorities have not yet accident, the Transportation Safety Board of Canada
determined the cause of this accident. As such, issued Rail Safety Advisory Letter—09/13 regarding
7 See 49 CFR 173.115 for the definition of nothing in this safety advisory is intended to the securement of equipment and trains left
Division 2.1 flammable gas, 173.120 for definition attribute a definitive cause to this accident or place unattended; available online at: http://
of Class 3 flammable liquid; and 173.50 for the responsibility for the incident on the acts or www.tsb.gc.ca/eng/medias-media/sur-safe/letter/
definition of the various classes of explosives. omissions of any specific person or entity. rail/2013/r13d0054/r13d0054-617-09-13.asp.

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 1 of 4

Equipment Instructions
March 09, 2023
EI-0033
File Number: TWBL-18A.6

Subject: NSC Loose Wheels

To: All Subscribers

A member railroad has experienced three loose wheels in the subject car series. These cars are
new builds. This advisory is issued to inspect and remove from service wheel sets that were
mounted by National Steel Car (NSC-T) in the date range between 08-22 and 03-23 inclusive.
These wheels sets are at an increased risk of an out of gage derailment.

All cars included in this advisory must be inspected for the wheel sets in question and reported as
outlined below. Any cars, loaded or empty, found so equipped must have the NSC-T mounted
wheel sets removed immediately as directed below. If available, replace suspect wheel sets with
new wheel sets. Handle in accordance with the instructions for identification, inspection and
counter billing outlined below.

Suspect Wheel Set Determination:

1. Car Series:
NS 162390 – 162749
NKLX 400000 – 400314
2. H-36 Wheel
3. Wheel Shop Mark: NSC T
4. Wheel Mounting Dates: 08-22 to 03-23 inclusive. (on one field side hub face)

Inspection Procedure and Determination

1. Inspect all wheel sets of each suspect car for wheel shop mark and wheel mounting date
stamp. Both are located on the field side hub face of only one wheel per wheel set. The
mate wheel will not have a mounting stamp. Refer to AAR Field Manual, Rule 41, Figure
41.44.

2. If the mark is NSC T, remove the wheel set. The T may be several inches to the right
from NSC and may look like the number “1”.

3. If wheel mounting information is illegible remove the wheel set.

Instructions
1) Cars inspected and not equipped with suspect wheel sets

EI-0033 TWBL-18A.6
 2 of 4

a. Any car inspected and found to not be equipped with a suspect wheel set is to be
removed from this Maintenance Advisory by reporting Activity Code MR.
i. Report to car owner using normal AAR Billing

Inspection
Job Code 4454
Why Made Code 13, “Attention Required as Directed by EA”
Responsibility Code 1, “Owner’s Responsibility”

2) Cars found with suspect wheel sets

a. Replace all suspect wheel sets with new wheel sets if available. Bill with all
normally required AAR CRB details.
i. Report to car owner using normal AAR billing

Wheel set replacement

Applicable Rule 44 Job Code
Why Made Code 13, “Attention Required as Directed by EA”
Responsibility Code 1, “Owner’s Responsibility”

Wheels Replaced
Applicable Rule 41 Job Code
Why Made Code 13, “Attention Required as Directed by EA”
Responsibility Code 1, “Owner’s Responsibility”

Roller Bearings replaced

Applicable Rule 36 Job Code
Why Made Code 13, “Attention Required as Directed by EA”
Responsibility Code 1, “Owner’s Responsibility”

Axle replacement
Applicable Rule 43 Job Code
Why Made Code 13, “Attention Required as Directed by EA”
Responsibility Code 1, “Owner’s Responsibility”

Jacking Charge
Job Code 4458
Why Made Code 09, “Account Repairs”
Responsibility Code 1, “Owner’s Responsibility”

b. Remove car from this Equipment Advisory by reporting Activity Code MH

c. Mark axles of captured wheel sets with orange tape and mark “EI-33” on the
wheel plates to ensure proper handling by the receiving wheel shop.

EI-0033 TWBL-18A.6
 3 of 4

d. Mark the wheel plates and axle with the car number, the Why Made Code and
location removed.
e. Send wheel sets matching the suspect wheel set information to wheel shop for
quarantine.

3) Wheel Shops
a. Quarantine any wheel sets matching the suspect wheel set information.
b. Send notification to wabl@aar.com with EI-33 as the subject, include equipment
name and number, and how many wheel sets removed. (Example email subject
header: EI-33, NS XXXXXX, # wheel sets)

4) Car Owner Counter Billing Procedures

a. Car owners should request counter billing authority per AAR Office Manual Rule
112.

AAR and the WABL Committee will continue to monitor the situation and issue supplement(s)
to this Advisory as warranted.

Questions regarding this Equipment Instruction Advisory should be directed to the WABL
Committee Manager at wabl@aar.com.

Sincerely,
Ron Hynes
Assistant Vice President – Technical Services
Phone: 202-639-2144
Email: RHynes@aar.org

Safety and Operations

Association of American Railroads
425 Third Street, SW, Suite 1000
Washington, DC, 20024

EI-0033 TWBL-18A.6
 4 of 4

In accordance with AAR Interchange Rule 125, this Equipment Instructions is assigned
SEVERITY CODE(S) and ESCALATION INTERVAL(S):
XX - Restricted at Interchange

Assignment Marks Associated with this Advisory:

AAR Only

Periodic Inspections:
There are no periodic inspection codes for this advisory.

Inspection Marks Associated with this Advisory:

Open

Allowable Final Inspection Codes Associated with this Advisory:

MH - Car inspected, defect found, repaired and returned to service.
MR - Car inspected, no defect found, and returned to service.

Equipment Locations Associated for Inspection Reporting:

Mechanical Designations Associated with this Advisory:

Component Registry:
This Equipment Instructions Advisory is NOT designated a Component Registry Advisory.

Cars Remaining on EI-0033 List

Total Assigned: 0
Total Remaining: 0
Severity XX: 0

EI-0033 TWBL-18A.6