---
kind: "section"
citation: "6 U.S.C. § 1162"
title: "6"
title_heading: "Domestic Security"
number: "1162"
heading: "Railroad carrier assessments and plans"
release: "119-102"
url: "https://uscodex.org/usc/6/1162"
units:
  - "Chapter 4 — Transportation Security"
  - "Subchapter IV — Surface Transportation Security"
  - "Part B — Railroad Security"
---

# §1162. Railroad carrier assessments and plans

- (a) **In general—** Not later than 12 months after August 3, 2007, the [Secretary](/usc/6/1151.md?p=2) shall issue regulations that—
  - (1) require each [railroad carrier](/usc/6/1151.md?p=8) assigned to a high-risk tier under this section to—
    - (A) conduct a vulnerability assessment in accordance with subsections [(c)](#c) and [(d)](#d); and
    - (B) to[^1] prepare, submit to the [Secretary](/usc/6/1151.md?p=2) for approval, and implement a security plan in accordance with this section that addresses security performance requirements; and
  - (2) establish standards and guidelines, based on and consistent with the risk assessment and National Strategy for [Railroad](/usc/6/1151.md?p=7) [Transportation](/usc/6/1151.md?p=11) Security developed under [section 1161 of this title](/usc/6/1161.md), for developing and implementing the vulnerability assessments and security plans for [railroad carriers](/usc/6/1151.md?p=8) assigned to high-risk tiers.
- (b) **Non high-risk programs—** The [Secretary](/usc/6/1151.md?p=2) may establish a security program for [railroad carriers](/usc/6/1151.md?p=8) not assigned to a high-risk tier, including—
  - (1) guidance for such carriers in conducting vulnerability assessments and preparing and implementing security plans, as determined appropriate by the [Secretary](/usc/6/1151.md?p=2); and
  - (2) a process to review and approve such assessments and plans, as appropriate.
- (c) **Deadline for submission—** Not later than 9 months after the date of issuance of the regulations under [subsection (a)](#a), the vulnerability assessments and security plans required by such regulations for [railroad carriers](/usc/6/1151.md?p=8) assigned to a high-risk tier shall be completed and submitted to the [Secretary](/usc/6/1151.md?p=2) for review and approval.
- (d) **Vulnerability assessments—**
  - (1) **Requirements—** The [Secretary](/usc/6/1151.md?p=2) shall provide technical assistance and guidance to [railroad carriers](/usc/6/1151.md?p=8) in conducting vulnerability assessments under this section and shall require that each vulnerability assessment of a [railroad carrier](/usc/6/1151.md?p=8) assigned to a high-risk tier under this section, include, as applicable—
    - (A) identification and evaluation of critical [railroad carrier](/usc/6/1151.md?p=8) assets and infrastructure, including platforms, stations, intermodal terminals, tunnels, bridges, switching and storage areas, and [information systems](/usc/6/383.md?p=i-3) as appropriate;
    - (B) identification of the vulnerabilities to those assets and infrastructure;
    - (C) identification of strengths and weaknesses in—
      - (i) physical security;
      - (ii) passenger and cargo security, including the security of [security-sensitive materials](/usc/6/1151.md?p=13) being transported by [railroad](/usc/6/1151.md?p=7) or stored on [railroad](/usc/6/1151.md?p=7) property;
      - (iii) programmable electronic devices, computers, or other automated systems which are used in providing the [transportation](/usc/6/1151.md?p=11);
      - (iv) alarms, cameras, and other protection systems;
      - (v) communications systems and utilities needed for [railroad](/usc/6/1151.md?p=7) security purposes, including dispatching and notification systems;
      - (vi) [emergency](/usc/6/701.md?p=6) response planning;
      - (vii) employee training; and
      - (viii) such other matters as the [Secretary](/usc/6/1151.md?p=2) determines appropriate; and
    - (D) identification of redundant and backup systems required to ensure the continued operation of critical elements of a [railroad carrier](/usc/6/1151.md?p=8)’s system in the event of an attack or other [incident](/usc/6/383.md?p=i-2), including disruption of commercial electric power or communications network.
  - (2) **Threat information—** The [Secretary](/usc/6/1151.md?p=2) shall provide in a timely manner to the appropriate employees of a [railroad carrier](/usc/6/1151.md?p=8), as designated by the [railroad carrier](/usc/6/1151.md?p=8), threat information that is relevant to the carrier when preparing and submitting a vulnerability assessment and security plan, including an assessment of the most likely methods that could be used by terrorists to exploit weaknesses in [railroad](/usc/6/1151.md?p=7) security.
- (e) **Security plans—**
  - (1) **Requirements—** The [Secretary](/usc/6/1151.md?p=2) shall provide technical assistance and guidance to [railroad carriers](/usc/6/1151.md?p=8) in preparing and implementing security plans under this section, and shall require that each security plan of a [railroad carrier](/usc/6/1151.md?p=8) assigned to a high-risk tier under this section include, as applicable—
    - (A) identification of a security coordinator having authority—
      - (i) to implement security actions under the plan;
      - (ii) to coordinate security improvements; and
      - (iii) to receive immediate communications from appropriate Federal officials regarding [railroad](/usc/6/1151.md?p=7) security;
    - (B) a list of needed capital and operational improvements;
    - (C) procedures to be implemented or used by the [railroad carrier](/usc/6/1151.md?p=8) in response to a terrorist attack, including evacuation and passenger communication plans that include individuals with disabilities as appropriate;
    - (D) identification of steps taken with [State](/usc/6/1151.md?p=9) and local law enforcement [agencies](/usc/6/701.md?p=2), [emergency](/usc/6/701.md?p=6) responders, and Federal officials to coordinate security measures and plans for response to a terrorist attack;
    - (E) a strategy and timeline for conducting training under [section 1167 of this title](/usc/6/1167.md);
    - (F) enhanced security measures to be taken by the [railroad carrier](/usc/6/1151.md?p=8) when the [Secretary](/usc/6/1151.md?p=2) declares a period of heightened security risk;
    - (G) plans for providing redundant and backup systems required to ensure the continued operation of critical elements of the [railroad carrier](/usc/6/1151.md?p=8)’s system in the event of a terrorist attack or other [incident](/usc/6/383.md?p=i-2);
    - (H) a strategy for implementing enhanced security for shipments of [security-sensitive materials](/usc/6/1151.md?p=13), including plans for quickly locating and securing such shipments in the event of a terrorist attack or security [incident](/usc/6/383.md?p=i-2); and
    - (I) such other actions or procedures as the [Secretary](/usc/6/1151.md?p=2) determines are appropriate to address the security of [railroad carriers](/usc/6/1151.md?p=8).
  - (2) **Security coordinator requirements—** The [Secretary](/usc/6/1151.md?p=2) shall require that the individual serving as the security coordinator identified in [paragraph (1)(A)](#e-1-A) is a citizen of the [United States](/usc/6/1151.md?p=12). The [Secretary](/usc/6/1151.md?p=2) may waive this requirement with respect to an individual if the [Secretary](/usc/6/1151.md?p=2) determines that it is appropriate to do so based on a background check of the individual and a review of the consolidated terrorist watchlist.
  - (3) **Consistency with other plans—** The [Secretary](/usc/6/1151.md?p=2) shall ensure that the security plans developed by [railroad carriers](/usc/6/1151.md?p=8) under this section are consistent with the risk assessment and National Strategy for [Railroad](/usc/6/1151.md?p=7) [Transportation](/usc/6/1151.md?p=11) Security developed under [section 1161 of this title](/usc/6/1161.md).
- (f) **Deadline for review process—** Not later than 6 months after receiving the assessments and plans required under this section, the [Secretary](/usc/6/1151.md?p=2) shall—
  - (1) review each vulnerability assessment and security plan submitted to the [Secretary](/usc/6/1151.md?p=2) in accordance with [subsection (c)](#c);
  - (2) require amendments to any security plan that does not meet the requirements of this section; and
  - (3) approve any vulnerability assessment or security plan that meets the requirements of this section.
- (g) **Interim security measures—** The [Secretary](/usc/6/1151.md?p=2) may require [railroad carriers](/usc/6/1151.md?p=8), during the period before the deadline established under [subsection (c)](#c), to submit a security plan under [subsection (e)](#e) to implement any necessary interim security measures essential to providing adequate security of the [railroad carrier](/usc/6/1151.md?p=8)’s system. An interim plan required under this subsection will be superseded by a plan required under [subsection (e)](#e).
- (h) **Tier assignment—** Utilizing the risk assessment and National Strategy for [Railroad](/usc/6/1151.md?p=7) [Transportation](/usc/6/1151.md?p=11) Security required under [section 1161 of this title](/usc/6/1161.md), the [Secretary](/usc/6/1151.md?p=2) shall assign each [railroad carrier](/usc/6/1151.md?p=8) to a risk-based tier established by the [Secretary](/usc/6/1151.md?p=2):
  - (1) **Provision of information—** The [Secretary](/usc/6/1151.md?p=2) may request, and a [railroad carrier](/usc/6/1151.md?p=8) shall provide, information necessary for the [Secretary](/usc/6/1151.md?p=2) to assign a [railroad carrier](/usc/6/1151.md?p=8) to the appropriate tier under this subsection.
  - (2) **Notification—** Not later than 60 days after the date a [railroad carrier](/usc/6/1151.md?p=8) is assigned to a tier under this subsection, the [Secretary](/usc/6/1151.md?p=2) shall notify the [railroad carrier](/usc/6/1151.md?p=8) of the tier to which it is assigned and the reasons for such assignment.
  - (3) **High-risk tiers—** At least one of the tiers established by the [Secretary](/usc/6/1151.md?p=2) under this subsection shall be designated a tier for high-risk [railroad carriers](/usc/6/1151.md?p=8).
  - (4) **Reassignment—** The [Secretary](/usc/6/1151.md?p=2) may reassign a [railroad carrier](/usc/6/1151.md?p=8) to another tier, as appropriate, in response to changes in risk. The [Secretary](/usc/6/1151.md?p=2) shall notify the [railroad carrier](/usc/6/1151.md?p=8) not later than 60 days after such reassignment and provide the [railroad carrier](/usc/6/1151.md?p=8) with the reasons for such reassignment.
- (i) **Nondisclosure of information—**
  - (1) **Submission of information to Congress—** Nothing in this section shall be construed as authorizing the withholding of any information from Congress.
  - (2) **Disclosure of independently furnished information—** Nothing in this section shall be construed as affecting any authority or obligation of a Federal [agency](/usc/6/701.md?p=2) to disclose any record or information that the Federal [agency](/usc/6/701.md?p=2) obtains from a [railroad carrier](/usc/6/1151.md?p=8) under any other Federal law.
- (j) **Existing procedures, protocols and standards—**
  - (1) **Determination—** In response to a petition by a [railroad carrier](/usc/6/1151.md?p=8) or at the discretion of the [Secretary](/usc/6/1151.md?p=2), the [Secretary](/usc/6/1151.md?p=2) may determine that existing procedures, protocols, and standards meet all or part of the requirements of this section, including regulations issued under [subsection (a)](#a), regarding vulnerability assessments and security plans.
  - (2) **Election—** Upon review and written determination by the [Secretary](/usc/6/1151.md?p=2) that existing procedures, protocols, or standards of a [railroad carrier](/usc/6/1151.md?p=8) satisfy the requirements of this section, the [railroad carrier](/usc/6/1151.md?p=8) may elect to comply with those procedures, protocols, or standards instead of the requirements of this section.
  - (3) **Partial approval—** If the [Secretary](/usc/6/1151.md?p=2) determines that the existing procedures, protocols, or standards of a [railroad carrier](/usc/6/1151.md?p=8) satisfy only part of the requirements of this section, the [Secretary](/usc/6/1151.md?p=2) may accept such submission, but shall require submission by the [railroad carrier](/usc/6/1151.md?p=8) of any additional information relevant to the vulnerability assessment and security plan of the [railroad carrier](/usc/6/1151.md?p=8) to ensure that the remaining requirements of this section are fulfilled.
  - (4) **Notification—** If the [Secretary](/usc/6/1151.md?p=2) determines that particular existing procedures, protocols, or standards of a [railroad carrier](/usc/6/1151.md?p=8) under this subsection do not satisfy the requirements of this section, the [Secretary](/usc/6/1151.md?p=2) shall provide to the [railroad carrier](/usc/6/1151.md?p=8) a written notification that includes an explanation of the determination.
  - (5) **Review—** Nothing in this subsection shall relieve the [Secretary](/usc/6/1151.md?p=2) of the obligation—
    - (A) to review the vulnerability assessment and security plan submitted by a [railroad carrier](/usc/6/1151.md?p=8) under this section; and
    - (B) to approve or disapprove each submission on an individual basis.
- (k) **Periodic evaluation by railroad carriers required—**
  - (1) **Submission of evaluation—** Not later than 3 years after the date on which a vulnerability assessment or security plan required to be submitted to the [Secretary](/usc/6/1151.md?p=2) under [subsection (c)](#c) is approved, and at least once every 5 years thereafter (or on such a schedule as the [Secretary](/usc/6/1151.md?p=2) may establish by regulation), a [railroad carrier](/usc/6/1151.md?p=8) who submitted a vulnerability assessment and security plan and who is still assigned to the high-risk tier must also submit to the [Secretary](/usc/6/1151.md?p=2) an evaluation of the adequacy of the vulnerability assessment and security plan that includes a description of any material changes made to the vulnerability assessment or security plan.
  - (2) **Review of evaluation—** Not later than 180 days after the date on which an evaluation is submitted, the [Secretary](/usc/6/1151.md?p=2) shall review the evaluation and notify the [railroad carrier](/usc/6/1151.md?p=8) submitting the evaluation of the [Secretary](/usc/6/1151.md?p=2)’s approval or disapproval of the evaluation.
- (l) **Shared facilities—** The [Secretary](/usc/6/1151.md?p=2) may permit under this section the development and implementation of coordinated vulnerability assessments and security plans to the extent that a [railroad carrier](/usc/6/1151.md?p=8) shares facilities with, or is colocated with, other [transportation](/usc/6/1151.md?p=11) entities or providers that are required to develop vulnerability assessments and security plans under Federal law.
- (m) **Consultation—** In carrying out this section, the [Secretary](/usc/6/1151.md?p=2) shall consult with [railroad carriers](/usc/6/1151.md?p=8), nonprofit employee labor organizations representation [railroad](/usc/6/1151.md?p=7) employees, and public safety and law enforcement officials.

## Footnotes

[^1]: So in original. The word “to” probably should not appear.

## Source credit

(Pub. L. 110–53, title XV, § 1512, Aug. 3, 2007, 121 Stat. 429.)