Category: TOP SECRET

Angleton, James

[Federal Register Volume 77, Number 124 (Wednesday, June 27, 2012)]
[Proposed Rules]
[Pages 38248-38266]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-15746]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Part 239

[Docket No. FRA-2011-0062, Notice No. 1; 2130-AC33]

Passenger Train Emergency Preparedness

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: FRA is proposing to revise its regulations for passenger train 
emergency preparedness. These proposed revisions would: ensure that 
railroad personnel who communicate and coordinate with first responders 
during emergency situations receive initial and periodic training and 
are subject to operational (efficiency) tests and inspections; clarify 
that railroads must develop procedures in their emergency preparedness 
plans (e-prep plans) addressing the safe evacuation of passengers with 
disabilities during emergency situations; limit the need for FRA to 
formally approve purely administrative changes to approved e-prep 
plans; specify new operational (efficiency) testing and inspection 
requirements for both operating and non-operating employees; and remove 
as unnecessary the section on the preemptive effect of the regulations.

DATES: Comments: Written comments must be received by August 27, 2012. 
Comments received after that date will be considered to the extent 
possible without incurring additional expense or delay.
    Hearing: FRA anticipates being able to resolve this rulemaking 
without a public, oral hearing. However, if FRA receives a specific 
request for a public, oral hearing prior to July 27, 2012, one will be 
scheduled and FRA will publish a supplemental notice in the Federal 
Register to inform interested parties of the date, time, and location 
of any such hearing.

ADDRESSES: Comments: Comments related to Docket No. FRA-2011-0062, 
Notice No. 1, may be submitted by any of the following methods:
     Web site: The Federal eRulemaking Portal, 
www.regulations.gov. Follow the Web site's online instructions for 
submitting comments.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Room W12-140, Washington, 
DC 20590.
     Hand Delivery: Docket Management Facility, U.S. Department 
of Transportation, 1200 New Jersey Avenue SE., Room W12-140 on the 
Ground level of the West Building, between 9 a.m. and 5 p.m., Monday 
through Friday, except Federal holidays.
    Instructions: All submissions must include the agency name, docket 
name and docket number or Regulatory Identification Number (RIN) for 
this rulemaking (2130-AC33). Note that all comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided. Please see the Privacy Act heading in 
the SUPPLEMENTARY INFORMATION section of this document for Privacy Act 
information related to any submitted comments or materials.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov at any time or 
visit the Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Room W12-140 on the Ground 
level of the West Building, between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Daniel Knote, Staff Director, 
Passenger Rail Division, U.S. Department of Transportation, Federal 
Railroad Administration, Office of Railroad Safety, Mail Stop 25, West 
Building 3rd Floor, 1200 New Jersey Avenue SE., Washington, DC 20590 
(telephone: 202-493-6350); or Brian Roberts, Trial Attorney, U.S. 
Department of Transportation, Federal Railroad Administration, Office 
of Chief Counsel, Mail Stop 10, West Building 3rd Floor,

[[Page 38249]]

1200 New Jersey Avenue SE., Washington, DC 20590 (telephone: 202-493-
6056).

SUPPLEMENTARY INFORMATION: 

Table of Contents for Supplementary Information

I. Executive Summary
II. Background
    A. 1998 Passenger Train Emergency Preparedness Final Rule
    B. 2008 Passenger Train Emergency Systems (PTES I) Final Rule
    C. 2012 Passenger Train Emergency Systems (PTES II) NPRM
    D. The Need for Revisions to Passenger Train Emergency 
Preparedness Regulations
    E. RSAC Overview
    F. Passenger Safety Working Group
    G. General Passenger Safety Task Force
III. Section-by-Section Analysis
IV. Regulatory Impact and Notices
    A. Executive Orders 12866 and 13563 and DOT Regulatory Policies 
and Procedures
    B. Regulatory Flexibility Act and Executive Order 13272; Initial 
Regulatory Flexibility Assessment
    C. Paperwork Reduction Act
    D. Federalism Implications
    E. International Trade Impact Assessment
    F. Environmental Impact
    G. Unfunded Mandates Reform Act of 1995
    H. Energy Impact
    I. Privacy Act

I. Executive Summary

    FRA is issuing this NPRM to revise FRA's passenger train emergency 
preparedness regulations. This NPRM is intended to clarify certain 
requirements and address issues that have arisen since the regulations 
were issued in May 1998. This NPRM is based on language developed by 
the General Passenger Safety Task Force (Task Force), a subgroup of the 
Railroad Safety Advisory Committee (RSAC), to resolve four main issues 
involving the regulations. The Task Force developed recommendations 
principally to: (1) Ensure that railroad personnel who communicate and 
coordinate with first responders during emergency situations receive 
initial and periodic training and are subject to operational 
(efficiency) tests and inspections under part 239; (2) clarify that 
railroads must develop procedures in their e-prep plans addressing the 
safe evacuation of passengers with disabilities during an emergency 
situation; (3) limit the need for FRA to formally approve purely 
administrative changes to approved e-prep plans; and (4) specify new 
operational (efficiency) testing and inspection requirements for both 
operating and non-operating employees for railroads covered by part 
239. The recommendations developed by the Task Force were approved by 
the full RSAC, and they form the basis of this NPRM.
    Among the NPRM's main proposals, the rule would:
     Clarify the types of railroad personnel who are required 
to be trained or be subjected to operational (efficiency) testing and 
inspections under part 239. This would include railroad personnel who 
directly coordinate with emergency responders;
     Clarify that operational (efficiency) testing under part 
239 can be conducted under and considered part of the railroad's 
efficiency testing program under 49 CFR part 217;
     Allow purely administrative changes to railroad e-prep 
plans to be excluded from the formal review and approval process 
required for more substantive amendments to e-prep plans under part 
239;
     Clarify that railroads must include procedures in their e-
prep plans addressing the safe evacuation of persons with disabilities 
during emergency situations as well as full-scale simulations of 
emergency situations; and
     Remove as unnecessary the section on the preemptive effect 
of the regulations.
    In analyzing the economic impacts of this proposed rule, FRA found 
that proposed regulatory changes would enhance the emergency planning 
process currently in place in part 239. FRA has quantified the costs 
associated with this NPRM. Any additional costs associated with 
amending part 239 would be mostly related to the inclusion of 
additional personnel in the testing and training programs required by 
part 239. Railroads would see reduced burdens in the filing and 
approval process of e-prep plans with non-substantive changes. The 
industry, however, would be subject to additional burden from minor new 
requirements for the submission of e-prep plans to make the review and 
approval of e-prep plans more efficient. Total costs over the next 10 
years are estimated to be $1,049,308 (or present value of $734,922 when 
discounted at 7 percent).
    FRA has analyzed the benefits associated with this rule. Benefits 
would accrue from the increased likelihood that the passenger railroads 
would handle external communications more efficiently, expediting the 
arrival of emergency responders to the accident scene, and from the 
ability of the railroad personnel to minimize health and safety risks 
through improved internal and external communications. FRA utilized a 
break-even analysis to quantify the minimum safety benefits necessary 
for the proposed rule to be cost-effective, considering the estimated 
quantified costs. The break-even point was found to be a reduction in 
severity of 3.84 injuries from Abbreviated Injury Scale (AIS) level 2 
to AIS level 1. Safety benefits are estimated to total $1,091,200 when 
four injuries have their severity mitigated from AIS 2 to AIS 1. Total 
discounted benefits are estimated to be $735,757 (PV 7 percent). The 
benefits for this proposed rule would exceed the estimated costs when 
four injuries are prevented from increasing in severity from an AIS 1 
to an AIS 2. FRA believes the proposed changes in this rulemaking will 
more than exceed the break-even estimate.

II. Background

A. 1998 Passenger Train Emergency Preparedness Final Rule

    On May 4, 1998, FRA published a final rule on passenger train 
emergency preparedness that was codified at 49 CFR part 239. See 63 FR 
24629 (May 4, 1998). The rule addresses passenger train emergencies of 
various kinds, including security situations, and sets minimum Federal 
safety standards for the preparation, adoption, and implementation of 
e-prep plans by railroads connected with the operation of passenger 
trains. The existing rule requires e-prep plans to include elements 
such as communication, employee training and qualification, joint 
operations, tunnel safety, liaison with emergency responders, on-board 
emergency equipment, and passenger safety information. Under the 
requirements of the rule, each affected railroad is required to 
instruct its employees on the applicable provisions of its plan. In 
addition, the plan adopted by each railroad is subject to formal review 
and approval by FRA. The rule also requires each railroad operating 
passenger train service to conduct emergency simulations to determine 
its capability to execute the e-prep plan under the variety of 
emergency scenarios that could reasonably be expected to occur.
    In promulgating the rule, FRA also established specific 
requirements for passenger train emergency systems. Among these are 
requirements that all emergency window exits and windows intended for 
rescue access by emergency responders be marked accordingly and that 
instructions be provided for their use. In addition, FRA established 
requirements that all door exits intended for egress be lighted or 
marked, all door exits intended for rescue access by emergency 
responders be marked, and that instructions be provided for their use.

[[Page 38250]]

B. 2008 Passenger Train Emergency Systems (PTES I) Final Rule

    In 2008, FRA revisited requirements for emergency systems on 
passenger trains by enhancing existing requirements for emergency 
window exits and establishing new requirements for rescue access 
windows used by emergency responders to evacuate passengers. See 73 FR 
6369 (February 1, 2008). While this final rule did not make any changes 
to the passenger train emergency preparedness regulations, the rule 
expanded existing requirements that were previously only applicable to 
passenger trains operating at speeds in excess of 125 mph but not 
exceeding 150 mph (Tier II passenger trains) to passenger trains 
operating at speeds not exceeding 125 mph (Tier I passenger trains), 
see Sec.  238.5. Specifically, Tier I passenger trains were required to 
be equipped with public address and intercom systems for emergency 
communication, as well as provide emergency roof access for use by 
emergency responders. FRA applied certain requirements to both existing 
and new passenger equipment, while other requirements applied only to 
new passenger equipment.

C. 2012 Passenger Train Emergency Systems (PTES II) NPRM

    On January 3, 2012, FRA published an NPRM proposing to enhance 
existing requirements as well as create new requirements for passenger 
train emergency systems. See 77 FR 154 (January 3, 2012). The NPRM 
proposes to add emergency passage requirements for interior vestibule 
doors as well as enhance emergency egress and rescue access signage 
requirements. The NPRM also proposes requirements for low-location 
emergency exit path markings, the creation of minimum emergency 
lighting standards for existing passenger cars, and enhancements to 
existing requirements for the survivability of emergency lighting 
systems in new passenger cars.
    Additionally, the NPRM proposes changes to FRA's passenger train 
emergency preparedness regulations in part 239. These changes include 
clarifying existing requirements for participation in debriefing and 
critique sessions following both passenger train emergency situations 
and full-scale simulations. Under the current regulation, a debriefing 
and critique session is required after each passenger train emergency 
situation or full-scale simulation to determine the effectiveness of 
the railroad's e-prep plan. See Sec.  239.105. The railroad is then 
required to improve or amend its plan, or both, in accordance with the 
information gathered from the session. Language proposed in the PTES II 
NPRM clarifies that, to the extent practicable, all on-board personnel, 
control center personnel, and any other employee involved in the 
emergency situation or full-scale simulation shall participate in the 
debriefing and critique session. The proposed rule would also clarify 
that employees be provided flexibility to participate in the debrief 
and critique sessions through a variety of different methods.

D. The Need for Revisions to Passenger Train Emergency Preparedness 
Regulations

    Among FRA's reasons for initiating this rulemaking, FRA learned 
that there was confusion regarding certain requirements within FRA's 
passenger train emergency preparedness regulations. For example, FRA 
learned that some passenger railroads were confused as to which types 
of railroad personnel were required to be trained or be subjected to 
operational (efficiency) testing and inspections under part 239. These 
railroads were unclear whether part 239 required certain railroad 
personnel who directly coordinate with emergency responders and other 
outside organizations during emergency situations to be trained or be 
subjected to operational (efficiency) testing and inspections. As a 
result, FRA believes that it is necessary to clarify the regulatory 
language in part 239 to ensure that railroad personnel who directly 
coordinate with emergency responders actually receive the proper 
training and are subject to operational (efficiency) testing and 
inspections. FRA also learned that many railroads were unclear whether 
operational (efficiency) testing under part 239 could be considered for 
purposes of the railroad's efficiency testing program required under 49 
CFR part 217.
    In addition, as a result of FRA's experience in reviewing and 
approving passenger railroads' e-prep plans that are updated 
periodically, FRA realized that a number of the changes were purely 
administrative in nature. While part 239 currently subjects all changes 
to an e-prep plan to a formal review and approval process, FRA believes 
that such purely administrative changes should be excluded from the 
process so that the agency can focus its resources on more substantive 
matters.
    Finally, FRA believed it was necessary to clarify part 239 to 
address the requirements of Executive Order 13347. 69 FR 44573 (July 
26, 2004). Executive Order 13347 requires, among other things, that 
Federal agencies encourage State, local, and tribal governments, 
private organizations, and individuals to consider in their emergency 
preparedness planning the unique needs of individuals with disabilities 
whom they serve. While under part 239 the unique needs of passengers 
with disabilities must already be considered in the railroads' e-prep 
plans, the NPRM would clarify the railroads' responsibilities.

E. RSAC Overview

    In March 1996, FRA established RSAC as a forum for collaborative 
rulemaking and program development. RSAC includes representatives from 
all of the agency's major stakeholder groups, including railroads, 
labor organizations, suppliers and manufacturers, and other interested 
parties. A list of member groups follows:
     American Association of Private Railroad Car Owners 
(AAPRCO);
     American Association of State Highway and Transportation 
Officials (AASHTO);
     American Chemistry Council;
     American Petroleum Institute;
     American Public Transportation Association (APTA);
     American Short Line and Regional Railroad Association 
(ASLRRA);
     American Train Dispatchers Association (ATDA);
     Association of American Railroads (AAR);
     Association of Railway Museums;
     Association of State Rail Safety Managers (ASRSM);
     Brotherhood of Locomotive Engineers and Trainmen (BLET);
     Brotherhood of Maintenance of Way Employees Division 
(BMWED);
     Brotherhood of Railroad Signalmen (BRS);
     Chlorine Institute;
     Federal Transit Administration (FTA);*
     Fertilizer Institute;
     High Speed Ground Transportation Association;
     Institute of Makers of Explosives;
     International Association of Machinists and Aerospace 
Workers;
     International Brotherhood of Electrical Workers;
     Labor Council for Latin American Advancement;*
     League of Railway Industry Women;*
     National Association of Railroad Passengers (NARP);
     National Association of Railway Business Women;*
     National Conference of Firemen & Oilers;
     National Railroad Construction and Maintenance Association 
(NRCMA);

[[Page 38251]]

     National Railroad Passenger Corporation (Amtrak);
     National Transportation Safety Board (NTSB);*
     Railway Supply Institute (RSI);
     Safe Travel America (STA);
     Secretaria de Comunicaciones y Transporte;*
     Sheet Metal Workers International Association (SMWIA);
     Tourist Railway Association, Inc.;
     Transport Canada;*
     Transport Workers Union of America (TWU);
     Transportation Communications International Union/BRC 
(TCIU/BRC);
     Transportation Security Administration (TSA);* and
     United Transportation Union (UTU).
    *Indicates associate, non-voting membership.
    When appropriate, FRA assigns a task to RSAC, and after 
consideration and debate, RSAC may accept or reject the task. If the 
task is accepted, RSAC establishes a working group that possesses the 
appropriate expertise and representation of interests to develop 
recommendations to FRA for action on the task. These recommendations 
are developed by consensus. A working group may establish one or more 
task forces to develop facts and options on a particular aspect of a 
given task. The individual task force then provides that information to 
the working group for consideration. When a working group comes to 
unanimous consensus on recommendations for action, the package is 
presented to the full RSAC for a vote. If the proposal is accepted by a 
simple majority of RSAC, the proposal is formally recommended to FRA. 
FRA then determines what action to take on the recommendation. Because 
FRA staff members play an active role at the working group level in 
discussing the issues and options and in drafting the language of the 
consensus proposal, FRA is often favorably inclined toward the RSAC 
recommendation. However, FRA is in no way bound to follow the 
recommendation, and the agency exercises its independent judgment on 
whether the recommended rule achieves the agency's regulatory goal, is 
soundly supported, and is in accordance with policy and legal 
requirements. Often, FRA varies in some respects from the RSAC 
recommendation in developing the actual regulatory proposal or final 
rule. Any such variations would be noted and explained in the 
rulemaking document issued by FRA. However, to the maximum extent 
practicable, FRA utilizes RSAC to provide consensus recommendations 
with respect to both proposed and final agency action. If RSAC is 
unable to reach consensus on a recommendation for action, the task is 
withdrawn and FRA determines the best course of action.

F. Passenger Safety Working Group

    The RSAC established the Passenger Safety Working Group (Working 
Group) to handle the task of reviewing passenger equipment safety needs 
and programs and recommending consideration of specific actions that 
could be useful in advancing the safety of rail passenger service and 
develop recommendations for the full RSAC to consider. Members of the 
Working Group, in addition to FRA, include the following:
     AAR, including members from BNSF Railway Company (BNSF), 
CSX Transportation, Inc. (CSXT), and Union Pacific Railroad Company 
(UP);
     AAPRCO;
     AASHTO;
     Amtrak;
     APTA, including members from Bombardier, Inc., Herzog 
Transit Services, Inc., Interfleet Technology, Inc. (Interfleet, 
formerly LDK Engineering, Inc.), Long Island Rail Road (LIRR), Maryland 
Transit Administration (MTA), Metro-North Commuter Railroad Company 
(Metro-North), Northeast Illinois Regional Commuter Railroad 
Corporation, Southern California Regional Rail Authority (Metrolink), 
and Southeastern Pennsylvania Transportation Authority (SEPTA);
     ASLRRA;
     BLET;
     BRS;
     FTA;
     NARP;
     NTSB;
     RSI;
     SMWIA;
     STA;
     TCIU/BRC;
     TSA;
     TWU; and
     UTU.
    In 2007, the Working Group tasked the Task Force (General Passenger 
Safety Task Force) to resolve four issues involving FRA's regulations 
related to passenger train emergency preparedness. The issues taken up 
by the Task Force were: (1) Ensure that railroad personnel who 
communicate and coordinate with first responders during emergency 
situations receive initial and periodic training and are subject to 
operational (efficiency) tests and inspections under part 239; (2) 
clarify that railroads must develop procedures in their e-prep plans 
addressing the safe evacuation of passengers with disabilities during 
an emergency situation; (3) limit the need for FRA to formally approve 
purely administrative changes to approved e-prep plans and update FRA 
headquarters' address; and (4) specify new operational (efficiency) 
testing and inspection requirements for both operating and non-
operating employees for railroads covered by part 239.
    While the Task Force was initially charged with updating FRA 
headquarters' address as it appeared in various regulations found in 
part 239, FRA has already amended its regulations to update the address 
of the physical headquarters of FRA and the U.S. Department of 
Transportation in Washington, DC. See 74 FR 25169 (May 27, 2009).

G. General Passenger Safety Task Force

    Members of the Task Force include representatives from various 
organizations that are part of the larger Working Group. Members of the 
Task Force, in addition to FRA, include the following:
     AAR, including members from BNSF, CSXT, Norfolk Southern 
Railway Co., and UP;
     AASHTO;
     Amtrak;
     APTA, including members from Alaska Railroad Corporation, 
Peninsula Corridor Joint Powers Board (Caltrain), LIRR, Massachusetts 
Bay Commuter Railroad Company, Metro-North, MTA, New Jersey Transit 
Corporation, New Mexico Rail Runner Express, Port Authority Trans-
Hudson, SEPTA, Metrolink, and Utah Transit Authority;
     ASLRRA;
     ATDA;
     BLET;
     FTA;
     NARP;
     NRCMA;
     NTSB;
     Transport Canada; and
     UTU.
    The full Task Force met together on the following dates and in the 
following locations to discuss the four e-prep-related issues charged 
to the Task Force:
     July 18-19, 2007, in Chicago, IL;
     December 12-13, 2007, in Ft. Lauderdale, FL;
     April 23-24, 2008, in San Diego, CA; and
     December 3, 2008, in Cambridge, MA.
    Staff from the Volpe Center attended all of the meetings and 
contributed to the technical discussions through their comments and 
presentations. To aid the Task Force in its delegated task, FRA's 
Office of Chief Counsel drafted regulatory text for discussion 
purposes. Task Force members made changes to

[[Page 38252]]

this draft text. Minutes of each of these Task Force meetings are part 
of the docket in this proceeding and are available for public 
inspection. The Task Force reached consensus on all four assigned tasks 
and adopted the draft text created from its meetings as a 
recommendation to the Working Group on December 4, 2008.
    FRA's Office of Chief Counsel revised the Task Force's 
recommendation to conform to technical drafting guidelines and to 
clarify the intent of the recommendation. On June 8, 2009, the Task 
Force presented both its initial consensus language as well as the 
consensus language revised by FRA's Office of Chief Counsel to the 
Working Group. The Working Group approved the Task Force's initial and 
revised consensus language at its June 8, 2009 meeting in Washington, 
DC. The consensus language was then presented before the full RSAC on 
June 25, 2009, where it was approved by unanimous vote. Thus, the 
Working Group's recommendation was adopted by the full RSAC as a 
recommendation to FRA.
    While RSAC's recommendation has provided a strong basis for this 
proposed rule, FRA has varied from the recommendation principally in 
one substantive way: FRA has declined to adopt the RSAC's 
recommendation to add language to Sec.  239.101(a)(2)(ii) that would 
require control center and ERCC personnel to receive initial and 
periodic training only on those portions of the railroad's e-prep plan 
that relate to their specific duties under the plan. FRA explains this 
decision, below. FRA has also made minor changes for purposes of 
clarity and formatting in the Federal Register, but these changes are 
not intended to affect the RSAC's consensus recommendation.

III. Section-by-Section Analysis

Subpart A--General

Section 239.5 Preemptive Effect
    FRA is proposing to remove this section on the preemptive effect of 
the regulations. FRA believes that this section is unnecessary because 
it is duplicative of statutory law at 49 U.S.C. 20106 and case law, 
which sufficiently address the preemptive scope of FRA's regulations.
Section 239.7 Definitions
    FRA is proposing that this section be amended to add a definition 
for the new term ``emergency response communications center'' (ERCC) to 
mean a central location designated by a railroad with responsibility 
for establishing, coordinating, or maintaining communication with 
emergency responders, representatives of adjacent modes of 
transportation, and appropriate railroad officials during a passenger 
train emergency. The ERCC may be part of the railroad's ``control 
center.'' The RSAC recommended that such a definition be added to this 
section, and FRA agrees with the RSAC's recommendation for the reasons 
stated below.
    Currently, the requirements of part 239 do not specifically apply 
to ERCC personnel but rather to personnel in a control center, i.e., a 
central location on a railroad with responsibility for directing the 
safe movement of trains. The individuals working in these train 
dispatch centers are subject to emergency preparedness plan training 
and operational (efficiency) tests and inspections. See 49 CFR 239.101. 
However, only requiring control center personnel to receive training on 
a railroad's emergency preparedness plan may be problematic because in 
many railroads' operational structures train dispatchers only notify 
internal railroad officials about an emergency situation and provide 
block protection for the affected train(s) or equipment involved in the 
incident. While an ERCC can be part of a railroad's dispatch center, 
most railroads maintain a separate center within their organizational 
structure that establishes and maintains communications with emergency 
first responders, adjacent modes of transportation, and appropriate 
railroad officials. In addition, ERCCs assist in coordinating the 
actual emergency response with first responders.
    This NPRM proposes to define ERCCs, which provide vital services 
during an emergency situation, and include the definition in various 
provisions of part 239 that address training, testing, and inspection 
requirements. By including this definition in the existing regulation, 
FRA can expressly require that ERCC personnel, who directly interact 
with emergency first responders, receive the proper training, testing, 
and oversight under the regulation to appropriately prepare for and 
respond to an emergency situation.
    The definition of ERCC recommended by the RSAC and that FRA is 
proposing in this rulemaking provides the railroads with maximum 
flexibility in designating what centers or groups of individuals within 
the railroad's organizational structure qualify as ERCCs and are 
responsible for communicating with the emergency first responders and 
other outside entities during an emergency situation on the railroad. 
With this flexibility, each affected railroad can ensure that the 
correct center or group of individuals within the railroad's 
organizational structure receives training on the railroad's e-prep 
plan, and that the center or group of individuals is subject to 
operational (efficiency) tests and inspections regardless of how the 
center or group of individuals is organized within the railroad.

Subpart B--Specific Requirements

Section 239.101 Emergency Preparedness Plan
    Each railroad subject to the regulation is required to establish an 
e-prep plan under this section that is designed to safely manage 
emergencies and minimize subsequent trauma and injury to passengers and 
on-board personnel. FRA is proposing to revise this section in several 
different ways. Additional language is being proposed to the following 
paragraphs of this section: paragraphs (a)(1)(ii), and (a)(2)(ii) 
through (v). Conversely, this NPRM proposes to remove language from 
paragraph (a)(2)(ii). Finally, FRA is proposing to create an entire new 
paragraph (a)(8). Each proposed change to this section is addressed 
below by paragraph.
    Paragraph (a)(1)(ii). As currently written, paragraph (a)(1) 
requires railroad control center or dispatch personnel to notify 
outside emergency responders, adjacent rail modes of transportation, 
and appropriate railroad officials when a passenger train emergency has 
occurred. However, a number of railroads have found it inefficient to 
use the control center or railroad dispatcher to perform these duties 
during an emergency situation because the personnel are likely 
providing block protection for the incident as well as performing their 
usual dispatching duties for other parts of the railroad unaffected by 
the emergency event. Instead, many railroads currently maintain in 
their organizational structure a separate center or desk within, or 
even completely separate from, the railroad dispatch center that 
establishes and maintains communications with internal and external 
organizations during a railroad emergency. See the discussion in Sec.  
239.7, above.
    Consequently, FRA is proposing to add specific language to this 
paragraph that would provide for ERCCs to notify outside emergency 
responders, adjacent rail modes of transportation, and appropriate 
railroad officials, when an emergency occurs under the passenger 
railroad's e-prep plan. Without this proposed language, the regulation 
would continue to place these responsibilities specifically on control

[[Page 38253]]

center personnel working in the railroad dispatch office. Instead, the 
regulation would now clearly recognize that railroads have the 
flexibility to decide which part of railroad operations should handle 
these tasks during an emergency situation.
    Paragraph (a)(2)(ii). Similar to the proposed change to paragraph 
(a)(1)(ii), additional language is being proposed to paragraph 
(a)(2)(ii) that would require ERCC personnel to receive initial and 
periodic training on appropriate courses of action for each potential 
emergency situation. Under this paragraph, initial and periodic 
training is already required for control center personnel. FRA also 
proposes adding language to this paragraph clarifying that control 
center or ERCC personnel can be employees of the railroad, as well as 
contractors, subcontractors, or employees of a contractor or 
subcontractor to the railroad. FRA notes that contractors, 
subcontractors, and employees of a contactor or subcontractor to the 
railroad are already subject to the requirements of part 239 when 
performing functions under this part per the requirements of Sec.  
239.9. Nonetheless, for clarity FRA is revising the rule text in 
paragraph (a)(2)(ii) and the text in various other paragraphs of this 
part to make clear that contractors, subcontractors, and employees of a 
contractor or subcontractor are indeed covered under the requirements 
of this part.
    FRA notes that RSAC reached consensus on adding language that would 
require control center and ERCC personnel to receive initial and 
periodic training only on those portions of the railroad's e-prep plan 
that relate to their specific duties under the plan. However, FRA 
believes that adding this language could create safety concerns and 
therefore declines to propose adding such language to this paragraph in 
this NPRM. Specifically, FRA is concerned that if individuals receive 
only initial and periodic training on the very specific parts of the 
railroad's e-prep plan they are required to perform during an emergency 
situation, a railroad's entire emergency response could be hindered if 
specific individuals happen to be absent during an actual emergency 
situation. For example, if a specific control center or ERCC employee 
is required under the railroad's e-prep plan to notify internal 
railroad personnel during an emergency situation that an emergency 
situation on the railroad has occurred, and that employee is absent or 
incapacitated during an actual emergency, then the railroad's emergency 
response may be hindered. By ensuring that control center and ERCC 
personnel receive broader initial and periodic training on appropriate 
courses of action on potential emergency situations beyond the 
individual's specific duties under the railroad's e-prep plan, these 
individuals will have a more holistic view of the railroad's emergency 
response and therefore be better prepared to respond to an emergency 
situation regardless of the specific circumstances.
    FRA believes that training control center and ERCC personnel on the 
railroad's entire e-prep plan, not just the specific portions of the 
plan that relate to their specific duties, will not add any additional 
cost to the railroads because the railroads are already providing this 
broader level of training to their employees. Many railroads provide 
this holistic training on the railroad's e-prep plan through an 
informational video, which provides useful information to the employees 
on all levels of the railroad's emergency response.
    FRA also proposes to amend paragraphs (a)(2)(ii)(A) through (D). In 
paragraph (a)(2)(ii)(A), FRA proposes to remove the word ``dispatch'' 
before ``territory familiarization.'' The Task Force recommended that 
the word ``dispatch'' be removed from this subsection so that control 
center and ERCC personnel who are not railroad dispatchers would not be 
required to be as familiar with a territory as dispatchers are required 
to be under current railroad operating rules. For example, to conduct 
their duties efficiently and safely, railroad dispatchers are required 
to memorize the physical characteristics of the railroad territory over 
which they control train movements. While this is necessary for a 
railroad dispatcher, the Task Force believed, and FRA agrees, that this 
level of familiarity with railroad territory is not necessary for 
individuals working in a control center or ERCC who are not railroad 
dispatchers.
    Therefore, FRA proposes that the word ``dispatch'' be struck from 
paragraph (a)(2)(ii)(A). Individuals working in control centers or 
ERCCs who are not also railroad dispatchers would not be required to 
have complete dispatch territory familiarization in their capacity to 
assist in emergency situations. If the proposed language is adopted, 
railroads would not have to spend resources training all control center 
and ERCC personnel who are not railroad dispatchers to be as familiar 
with the railroad territory in question. Instead, for the purposes of 
this paragraph, territory familiarization would focus on, but not be 
limited to: access points for emergency responders along the railroad's 
right-of-way; special circumstances (e.g., tunnels); parallel 
operations; and other operating conditions (e.g., elevated structures, 
bridges, and electrified territory) including areas along the 
railroad's right-of-way that are remote and known to present challenges 
for emergency personnel responding to a passenger train emergency.
    To complement the proposed language in paragraph (a)(2)(ii)(A), 
paragraph (a)(2)(ii)(B) would require initial and periodic training for 
control center and ERCC personnel on their ability to access and 
retrieve information that would aid emergency personnel in responding 
to an emergency situation. (Current paragraph (a)(2)(ii)(B) would be 
redesignated as proposed paragraph (a)(2)(ii)(C), below). Under the 
proposed regulation, control center and ERCC personnel would be 
required to receive sufficient training to be able to retrieve 
information to assist emergency personnel in their emergency response. 
For example, under a railroad's e-prep plan, a railroad employee 
designated as part of an ERCC might be required to be trained on how to 
electronically retrieve a map of railroad property, read it properly, 
and identify and describe important points of access to emergency 
responders.
    Language is also proposed to be added to paragraph (a)(2)(ii)(C) 
(redesignated from (a)(2)(ii)(B)). This new proposed language would 
require control center and ERCC personnel to receive initial and 
periodic training on the railroad's e-prep plan, including what 
protocols govern internal communications between these two groups when 
an actual emergency situation occurs. The language ``as applicable 
under the plan,'' would also be added to the regulatory text to 
emphasize that due to the variety of possible organizational designs on 
how railroads handle emergency responses, it is ultimately each 
individual railroad's decision on what protocols will be followed to 
govern internal communication between control center and ERCC 
personnel.
    Finally, a new paragraph (a)(2)(ii)(D) is proposed. This new 
paragraph reflects the Task Force's recommendation that initial and 
periodic e-prep plan training should include the protocols for 
establishing and maintaining external communications between the 
railroad's control center or ERCC, or both, and emergency responders. 
The Task Force recommended and FRA agrees that adding this requirement 
will ensure that control center and ERCC personnel receive initial and 
periodic training on what protocols need to be followed to

[[Page 38254]]

establish and maintain communications with external organizations 
assisting in the emergency response. The Task Force and FRA believe 
that it is just as important for control center and ERCC personnel to 
learn the protocols for establishing and maintaining communications 
with external organizations as for the protocols governing internal 
communications between centers being proposed in paragraph 
(a)(2)(ii)(C).
    FRA also realizes that if these proposed changes to part 239's 
emergency preparedness plan requirements are adopted, then railroads 
may have to amend their e-prep plans in order to be in compliance with 
the new requirements. Therefore, FRA intends to provide railroads 
sufficient time to have their amended e-prep plans submitted to FRA for 
review after the final rule making these changes is issued. FRA is 
considering lengthening the effective date of the final rule to do so, 
and invites comment on this issue.
    Paragraph (a)(2)(iii). FRA is proposing to add language to 
paragraph (a)(2)(iii) that would require ERCC personnel to be included 
in the initial training after the e-prep plan is approved under Sec.  
239.201(b)(1). It is important that ERCC personnel be included in this 
training because, depending on the organizational structure of the 
railroad, the actions of ERCC personnel during an emergency response 
situation may be more pivotal to the successful implementation of the 
plan than the actions of control center personnel. Language is also 
proposed to be added to paragraph (a)(2)(iii) so that not only would 
control center and ERCC personnel who are employed by the railroad be 
covered by the regulation, but also control center and ERCC personnel 
who are railroad contractors and subcontractors as well as employees of 
these contractors and subcontractors. The proposed heading of this 
paragraph reflects this change as well.
    Paragraph (a)(2)(iv). Similar to the proposed language in paragraph 
(a)(2)(iii), this NPRM proposes to add language to paragraph (a)(2)(iv) 
to ensure that ERCC personnel hired after the e-prep plan is approved 
by FRA receive initial training within 90 days after the individual's 
initial date of service with the railroad. Currently, this paragraph 
expressly requires that only on-board and control center personnel 
receive initial training within 90 days after their initial date of 
service with the railroad. Depending on how a railroad has chosen to 
organize its response to a specific emergency situation, failure to 
train a new ERCC employee within 90 days of starting his or her service 
on the railroad could create inefficiencies in the railroad's response 
to an emergency situation. Therefore, FRA proposes this modification to 
ensure that the railroads do not delay in providing training to new 
ERCC personnel.
    In addition, FRA is also proposing to add language to paragraph 
(a)(2)(iv) clarifying that not only are railroad employees covered by 
the requirements of this paragraph, but also on-board, control center, 
and ERCC contractors, subcontractors, and employees of contractors or 
subcontractors. A change to the heading of paragraph (a)(2)(iv) is also 
being proposed to reflect the proposed modification of the regulatory 
text.
    Paragraph (a)(2)(v). FRA is proposing to add language to this 
paragraph to clarify that railroads need to develop testing procedures 
not only for employees, but also for contractors and subcontractors, as 
well as employees of contractors and subcontractors who are being 
evaluated for qualification under the railroad's e-prep plan. The 
current regulatory text expressly requires railroads to develop testing 
procedures for railroad employees only. This proposed language, if 
adopted, would clarify that employees, as well as contractors, 
subcontractors, and employees of contractors and subcontractors, are 
required to be evaluated for qualification under the railroad's e-prep 
plan using appropriate testing procedures. Language is also being 
proposed to the heading of this paragraph to reflect the proposed 
change and to clarify that railroads need to develop testing procedures 
for ERCC personnel as well as on-board and control center personnel.
    Finally, paragraph (a)(2)(v)(A) is proposed to be modified to 
require that testing procedures developed by the railroads accurately 
measure an individual's, rather than an individual employee's, 
knowledge of his or her responsibilities under the railroad's e-prep 
plan. Currently, paragraph (a)(2)(v)(A) expressly applies only to 
railroad employees, and this modification would ensure that railroad 
contractors and subcontractor are covered by the provision as well.
    Paragraph (a)(8). Executive Order 13347 (``Individuals with 
Disabilities in Emergency Preparedness'') requires the Federal 
government to appropriately support safety and security for individuals 
with disabilities in all types of emergency situations. 69 FR 44573 
(July 26, 2004). Currently, each railroad subject to part 239 is 
required to provide for the safety of each of its passengers in its 
emergency preparedness planning. Nonetheless, FRA is proposing a new 
paragraph (a)(8) that would clarify that these railroads must include 
procedures in their e-prep plans addressing the safe evacuation of 
persons with disabilities during emergency situations (and full-scale 
simulations of them). FRA expects the railroads to address the 
responsibilities of on-board personnel to carry out these specific 
procedures. For example, if a train has a failure or is involved in an 
incident and an evacuation is deemed necessary, a crewmember in the 
body of the train would need to search for and identify those 
passengers who cannot reasonably be evacuated by stairs or steps.
    This new paragraph would not require a railroad to maintain any 
list of train passengers, whether or not they have a disability. 
However, the railroad must have in place procedures so that the 
locations of persons with disabilities on board its trains are 
generally known to the train crew, and that such persons can be 
evacuated under all potential conditions that require passenger 
evacuation, including those conditions identified under the Special 
Circumstances portion of the railroad's e-prep plan, when applicable, 
as required by paragraph (a)(4) of this section. In this regard, the 
railroad must address those situations requiring immediate passenger 
evacuation with or without the assistance of emergency response 
personnel or railroad personnel not on board its trains. At the same 
time, the railroad must have a process for notifying emergency response 
personnel in an emergency situation about the presence and general 
location of persons with disabilities when the railroad has knowledge 
that such passengers are on board a train.
Section 239.105 Debriefing and Critique
    This section requires railroads operating passenger train service 
to conduct debriefing and critique sessions after each passenger train 
emergency situation or full-scale emergency simulation to determine the 
effectiveness of the railroad's e-prep plan. FRA is proposing to add 
language to paragraph (c)(3) of this section so that the debriefing and 
critique session would be designed to determine whether the ERCC, as 
well as the control center, promptly initiated the required 
notifications. In addition, FRA makes clear that the plan's 
effectiveness in the evacuation of passengers with disabilities must be 
addressed during debrief and critique sessions.

[[Page 38255]]

Subpart C--Review, Approval, and Retention of Emergency Preparedness 
Plans

Section 239.201 Emergency Preparedness Plan; Filing and Approval
    Section 239.201 specifies the process for review and approval by 
FRA of each passenger railroad's e-prep plan. FRA is proposing to 
divide paragraph (a) of this section into paragraphs (a)(1) and (a)(2). 
As proposed, paragraph (a)(1) contains the regulatory requirements on 
how to file an e-prep plan, while proposed paragraph (a)(2) contains 
the requirements on how to file an amendment to an FRA-approved plan. 
Proposed paragraph (a)(2) is then further subdivided. Proposed 
paragraph (a)(2)(i) describes what procedures a railroad must follow 
when filing amendments to its e-prep plan with FRA. Conversely, 
proposed paragraph (a)(2)(ii) lists the limited circumstances in which 
a railroad could enact an amendment to its approved e-prep plan without 
first getting FRA approval of the amendment. Finally, FRA is also 
proposing to add language to paragraph (b)(3) to clarify that FRA will 
not formally review the limited number of amendments that could be 
enacted without prior FRA approval as described in proposed paragraph 
(a)(2)(ii).
    Specifically, FRA proposes a few small modifications to paragraph 
(a)(1). First, FRA is proposing to update the title of the FRA official 
who receives a railroad's e-prep plan, from Associate Administrator for 
Safety to Associate Administrator for Railroad Safety/Chief Safety 
Officer. Additionally, since the time part 239 was enacted, FRA's 
Office of Safety officially became the Office of Railroad Safety. 
Therefore, FRA proposes to update the language in proposed paragraph 
(a)(1) to reflect the name change of this FRA office. The RSAC also 
recommended modification of the time period new-start passenger 
railroads have to submit their e-prep plans to FRA before commencing 
passenger service. Currently, e-prep plans must be submitted by these 
passenger railroads no less than 45 days prior to commencing passenger 
operations. Consistent with this recommendation, FRA proposes that such 
railroads must submit their plans to FRA no less than 60 days prior to 
commencing passenger operations. This proposed change would provide FRA 
safety officials more time to review a railroad's e-prep plan, identify 
any safety concerns, and notify the railroad of any such concerns so 
that changes to the plan could be made before actual passenger 
operations commence. FRA notes that the original filing deadline for 
passenger railroads in operation around the time part 239 went into 
effect was not more than 180 days after May 4, 1998. For those 
passenger railroads then in existence and for those passenger railroads 
that have started-up service since and have already filed and received 
approval on their plans, the rule would make clear that those plans are 
timely filed.
    FRA also proposes to redesignate as paragraph (a)(2)(i) the 
regulatory requirement that all amendments to approved e-prep plans be 
filed with FRA 60 days prior to the effective date of the amendment. 
One exception to this requirement would be the limited number of e-prep 
plan amendments that can be enacted without FRA approval, listed in 
proposed paragraph (a)(2)(ii). These limited types of amendments to 
railroad e-prep plans would continue to be required to be filed with 
FRA, but they would become immediately effective and would not require 
FRA formal approval.
    However, under proposed paragraph (a)(2)(i), e-prep plan amendments 
submitted to FRA that do not qualify for the exception in proposed 
paragraph (a)(2)(ii) must be submitted with a written summary of what 
the proposed amendment would change in the approved e-prep plan and, as 
applicable, a training plan describing how and when current and new 
employees and contractors would be trained on any amendment. For 
example, if the amendment would affect how current and new railroad 
employees and contractors assist emergency responders, then under this 
paragraph the railroad must also submit a training plan with the 
amendment stating how and when these employees and contractors would be 
trained on these changes to the railroad's e-prep plan. As another 
example, if the railroad wants to identify new access roads to railroad 
property in its e-prep plan, then a training plan for employees and 
contractors should be included with the proposed amendment. Having the 
railroads include a summary with their proposed e-prep plan amendments 
that are not exempted by proposed paragraph (a)(2)(ii) is necessary 
because currently railroads have been submitting their entire approved 
e-prep plans with the amendment changes already incorporated in the 
plan without identifying to FRA what changes the railroad is 
specifically seeking to make to its approved e-prep plan. This has 
delayed FRA's ability to review the railroad's proposed amendment and 
respond to the railroad within 45 days as specified in paragraph 
(b)(3)(i). Requiring the railroads to include such summaries will help 
FRA efficiently review the proposed amendments and respond back to the 
railroad normally within 45 days; nevertheless, some reviews may take 
longer.
    As previously stated, FRA is proposing a new paragraph (a)(2)(ii) 
under which qualifying amendments would not be subject to FRA's formal 
approval process as outlined in paragraph (b)(3)(i). Amendments that 
add or amend the name, title, address, or telephone number of the e-
prep plan's primary contact person would qualify under paragraph 
(a)(2)(ii). Railroads filing amendments under this paragraph would be 
permitted to enact the amendment changes upon filing the amendment with 
FRA's Associate Administrator for Railroad Safety/Chief Safety Officer. 
Including a summary of the proposed changes caused by the amendment 
would not be required. All other e-prep plan amendments not covered by 
paragraph (a)(2)(ii) would be required to be filed in accordance with 
paragraph (a)(2)(i) and be subject to the formal approval process 
proposed in paragraph (b)(3)(i). FRA believes that paragraph (a)(2)(ii) 
is needed in order to limit the need for FRA to formally approve purely 
administrative changes to previously approved railroad e-prep plans. 
This new paragraph will allow these specific types of amendments to 
become effective immediately upon filing with FRA and thereby help to 
streamline the approval process.
    Additional language is also being proposed to paragraph (b)(3) in 
order to clarify that the limited types of amendments containing only 
administrative changes described in proposed paragraph (a)(2)(ii) would 
be exempt from the formal FRA review that is described in this 
paragraph.

Defendant	SDNY Complaint Numer	Residence	Age	Charges and Maximum Penalties
Christian Cangeopol, a/k/a “404myth”	12 Mag. 1667	Lawrenceville, Georgia	19	Conspiracy to commit access device fraud (7.5 years in prison)
Mark Caparelli, a/k/a “Cubby”	12 Mag. 1640	San Diego, California	20	Wire fraud (20 years in prison) Access device fraud (10 years in prison)
Steven Hansen, a/k/a “theboner1”	12 Mag. 1641	Kentucky (in prison in Wisconsin)	23	Fraud in connection with identification information (Five years in prison)
Sean Harper, a/k/a “Kabraxis314”	12 Mag. 1638	Albuquerque, New Mexico	23	Conspiracy to commit access device fraud (7.5 years in prison)
Ali Hassan, a/k/a “Mr Badoo,” a/k/a “Mr.Badoo,” a/k/a “Badoo”	12 Mag. 1565	Milan, Italy	22	Conspiracy to commit wire fraud (20 years in prison) Conspiracy to commit access device fraud, with object of possession 15 or more access devices (Five years in prison) Aggravated identity theft (Two years mandatory consecutive in prison)
Alex Hatala, a/k/a “kool+kake”	12 Mag. 1669	Jacksonville, Florida	19	Fraud in connection with identification information (Five years in prison)
Joshua Hicks, a/k/a “OxideDox”	12 Mag. 1639	Bronx, New York	19	Access device fraud (10 years in prison)
Michael Hogue, a/k/a “xVisceral”	12 Mag. 1632	Tucson, Arizona	21	Conspiracy to commit computer hacking (10 years in prison) Distribution of malware (10 years in prison)
Lee Jason Juesheng, a/k/a “iAlert,” a/k/a “Jason Kato”	12 Mag. 1605	Tokyo, Japan	23	Access device fraud (10 years in prison)
Peter Ketchum, Jr., a/k/a “iwearaMAGNUM”	12 Mag. 1651	Pittsfield, Massachusetts	21	Conspiracy to commit access device fraud (7.5 years in prison)
Jarand Moen Romtveit, a/k/a “zer0,” a/k/a “zer0iq”	12 Mag. 1656	Porsgrunn, Norway	25	Access device fraud (possession 15 unauthorized devices) (10 years in prison) Access device fraud (affecting transactions with unauthorized devices) (15 years in prison) Aggravated identity theft (Two years mandatory, consecutive in prison)
Mir Islam, a/k/a “JoshTheGod”	—	Bronx, New York	18	Access device fraud (10 years in prison) Access device fraud (affecting transactions with unauthorized devices) (15 years in prison

Date	Approximate Time	Subdivision	Location
Monday, May 6, 1991	8:00 p.m. – 11:00 p.m.	Washingtonian Woods	Gaithersburg, Md.
Thursday, Sept. 5, 1991	10:00 p.m. – 10:30p.m.	Watkins Meadows	Germantown, Md.
Thursday, Nov. 21, 1991	9:00 p.m. – 10:00 p.m.	Potomac Village/Downtown	Bethesda, Md.
Wednesday, Dec. 11, 1991	8:30 p.m. – 9:00 p.m.	Quince Orchard Knolls	North Potomac, Md.
Friday, Jan. 24, 1992	9:00 p.m.	Potomac Grove	North Potomac, Md.
Tuesday, March 8, 1994	7:00 p.m. – 8:00 p.m.	Highwood	Rockville, Md.
Saturday, July 20, 1996	8:30 p.m. – 8:45 p.m.	4900 block of MacArthur Boulevard, NW	Washington, DC
Wednesday, Feb. 26, 1997	7:00 p.m. – 8:00 p.m.	Rock Creek Manor	Rockville, Md.
Friday, Nov. 14, 1997	7:30 p.m. – 8:00 p.m.	New Hampshire Avenue/Rt. 198	Silver Spring, Md.
Saturday, Aug. 1, 1998	10:30 p.m. – 11:00 p.m.	3600 block Canal Road, Georgetown	Washington, D.C.

CWG-WCIT12 TEMPORARY DOCUMENT 43 (CWG-WCIT12/TD – 43) “Draft compilation of options”	137 pages	November 24, 2011	Download
CWG-WCIT12 TEMPORARY DOCUMENT 36 (CWG-WCIT12/TD – 36) “Draft compilation of proposals”	53 pages	June 13, 2011	Download


Investigative Agencies
Virginia State Police Virginia	City of Fairfax Police Virginia	Federal Bureau of Investigation Washington Field Office

FRA	Castries, Henri de	Chairman and CEO, AXA Group
DEU	Ackermann, Josef	Chairman of the Management Board and the Group Executive Committee, Deutsche Bank AG
GBR	Agius, Marcus	Chairman, Barclays plc
USA	Ajami, Fouad	Senior Fellow, The Hoover Institution, Stanford University
USA	Alexander, Keith B.	Commander, US Cyber Command; Director, National Security Agency
INT	Almunia, Joaquín	Vice-President – Commissioner for Competition, European Commission
USA	Altman, Roger C.	Chairman, Evercore Partners
PRT	Amado, Luís	Chairman, Banco Internacional do Funchal (BANIF)
NOR	Andresen, Johan H.	Owner and CEO, FERD
FIN	Apunen, Matti	Director, Finnish Business and Policy Forum EVA
TUR	Babacan, Ali	Deputy Prime Minister for Economic and Financial Affairs
PRT	Balsemão, Francisco Pinto	President and CEO, Impresa; Former Prime Minister
FRA	Baverez, Nicolas	Partner, Gibson, Dunn & Crutcher LLP
FRA	Béchu, Christophe	Senator, and Chairman, General Council of Maine-et-Loire
BEL	Belgium, H.R.H. Prince Philippe of
TUR	Berberoğlu, Enis	Editor-in-Chief, Hürriyet Newspaper
ITA	Bernabè, Franco	Chairman and CEO, Telecom Italia
GBR	Boles, Nick	Member of Parliament
SWE	Bonnier, Jonas	President and CEO, Bonnier AB
NOR	Brandtzæg, Svein Richard	President and CEO, Norsk Hydro ASA
AUT	Bronner, Oscar	Publisher, Der Standard Medienwelt
SWE	Carlsson, Gunilla	Minister for International Development Cooperation
CAN	Carney, Mark J.	Governor, Bank of Canada
ESP	Cebrián, Juan Luis	CEO, PRISA; Chairman, El País
AUT	Cernko, Willibald	CEO, UniCredit Bank Austria AG
FRA	Chalendar, Pierre André de	Chairman and CEO, Saint-Gobain
DNK	Christiansen, Jeppe	CEO, Maj Invest
RUS	Chubais, Anatoly B.	CEO, OJSC RUSNANO
CAN	Clark, W. Edmund	Group President and CEO, TD Bank Group
GBR	Clarke, Kenneth	Member of Parliament, Lord Chancellor and Secretary of Justice
USA	Collins, Timothy C.	CEO and Senior Managing Director, Ripplewood Holdings, LLC
ITA	Conti, Fulvio	CEO and General Manager, Enel S.p.A.
USA	Daniels, Jr., Mitchell E.	Governor of Indiana
USA	DeMuth, Christopher	Distinguished Fellow, Hudson Institute
USA	Donilon, Thomas E.	National Security Advisor, The White House
GBR	Dudley, Robert	Group Chief Executive, BP plc
ITA	Elkann, John	Chairman, Fiat S.p.A.
DEU	Enders, Thomas	CEO, Airbus
USA	Evans, J. Michael	Vice Chairman, Global Head of Growth Markets, Goldman Sachs & Co.
AUT	Faymann, Werner	Federal Chancellor
DNK	Federspiel, Ulrik	Executive Vice President, Haldor Topsøe A/S
USA	Ferguson, Niall	Laurence A. Tisch Professor of History, Harvard University
GBR	Flint, Douglas J.	Group Chairman, HSBC Holdings plc
CHN	Fu, Ying	Vice Minister of Foreign Affairs
IRL	Gallagher, Paul	Former Attorney General; Senior Counsel
USA	Gephardt, Richard A.	President and CEO, Gephardt Group
GRC	Giannitsis, Anastasios	Former Minister of Interior; Professor of Development and International Economics, University of Athens
USA	Goolsbee, Austan D.	Professor of Economics, University of Chicago Booth School of Business
USA	Graham, Donald E.	Chairman and CEO, The Washington Post Company
ITA	Gruber, Lilli	Journalist – Anchorwoman, La 7 TV
INT	Gucht, Karel de	Commissioner for Trade, European Commission
NLD	Halberstadt, Victor	Professor of Economics, Leiden University; Former Honorary Secretary General of Bilderberg Meetings
USA	Harris, Britt	CIO, Teacher Retirement System of Texas
USA	Hoffman, Reid	Co-founder and Executive Chairman, LinkedIn
CHN	Huang, Yiping	Professor of Economics, China Center for Economic Research, Peking University
USA	Huntsman, Jr., Jon M.	Chairman, Huntsman Cancer Foundation
DEU	Ischinger, Wolfgang	Chairman, Munich Security Conference; Global Head Government Relations, Allianz SE
RUS	Ivanov, Igor S.	Associate member, Russian Academy of Science; President, Russian International Affairs Council
FRA	Izraelewicz, Erik	CEO, Le Monde
USA	Jacobs, Kenneth M.	Chairman and CEO, Lazard
USA	Johnson, James A.	Vice Chairman, Perseus, LLC
USA	Jordan, Jr., Vernon E.	Senior Managing Director, Lazard
USA	Karp, Alexander	CEO, Palantir Technologies
USA	Karsner, Alexander	Executive Chairman, Manifest Energy, Inc
FRA	Karvar, Anousheh	Inspector, Inter-ministerial Audit and Evaluation Office for Social, Health, Employment and Labor Policies
RUS	Kasparov, Garry	Chairman, United Civil Front (of Russia)
GBR	Kerr, John	Independent Member, House of Lords
USA	Kerry, John	Senator for Massachusetts
TUR	Keyman, E. Fuat	Director, Istanbul Policy Center and Professor of International Relations, Sabanci University
USA	Kissinger, Henry A.	Chairman, Kissinger Associates, Inc.
USA	Kleinfeld, Klaus	Chairman and CEO, Alcoa
TUR	Koç, Mustafa	Chairman, Koç Holding A.Ş.
DEU	Koch, Roland	CEO, Bilfinger Berger SE
INT	Kodmani, Bassma	Member of the Executive Bureau and Head of Foreign Affairs, Syrian National Council
USA	Kravis, Henry R.	Co-Chairman and Co-CEO, Kohlberg Kravis Roberts & Co.
USA	Kravis, Marie-Josée	Senior Fellow, Hudson Institute
INT	Kroes, Neelie	Vice President, European Commission; Commissioner for Digital Agenda
USA	Krupp, Fred	President, Environmental Defense Fund
INT	Lamy, Pascal	Director-General, World Trade Organization
ITA	Letta, Enrico	Deputy Leader, Democratic Party (PD)
ISR	Levite, Ariel E.	Nonresident Senior Associate, Carnegie Endowment for International Peace
USA	Li, Cheng	Director of Research and Senior Fellow, John L. Thornton China Center, Brookings Institution
USA	Lipsky, John	Distinguished Visiting Scholar, Johns Hopkins University
USA	Liveris, Andrew N.	President, Chairman and CEO, The Dow Chemical Company
DEU	Löscher, Peter	President and CEO, Siemens AG
USA	Lynn, William J.	Chairman and CEO, DRS Technologies, Inc.
GBR	Mandelson, Peter	Member, House of Lords; Chairman, Global Counsel
USA	Mathews, Jessica T.	President, Carnegie Endowment for International Peace
DEN	Mchangama, Jacob	Director of Legal Affairs, Center for Political Studies (CEPOS)
CAN	McKenna, Frank	Deputy Chair, TD Bank Group
USA	Mehlman, Kenneth B.	Partner, Kohlberg Kravis Roberts & Co.
GBR	Micklethwait, John	Editor-in-Chief, The Economist
FRA	Montbrial, Thierry de	President, French Institute for International Relations
PRT	Moreira da Silva, Jorge	First Vice-President, Partido Social Democrata (PSD)
USA	Mundie, Craig J.	Chief Research and Strategy Officer, Microsoft Corporation
DEU	Nass, Matthias	Chief International Correspondent, Die Zeit
NLD	Netherlands, H.M. the Queen of the
ESP	Nin Génova, Juan María	Deputy Chairman and CEO, Caixabank
IRL	Noonan, Michael	Minister for Finance
USA	Noonan, Peggy	Author, Columnist, The Wall Street Journal
FIN	Ollila, Jorma	Chairman, Royal Dutch Shell, plc
USA	Orszag, Peter R.	Vice Chairman, Citigroup
GRC	Papalexopoulos, Dimitri	Managing Director, Titan Cement Co.
NLD	Pechtold, Alexander	Parliamentary Leader, Democrats ’66 (D66)
USA	Perle, Richard N.	Resident Fellow, American Enterprise Institute
NLD	Polman, Paul	CEO, Unilever PLC
CAN	Prichard, J. Robert S.	Chair, Torys LLP
ISR	Rabinovich, Itamar	Global Distinguished Professor, New York University
GBR	Rachman, Gideon	Chief Foreign Affairs Commentator, The Financial Times
USA	Rattner, Steven	Chairman, Willett Advisors LLC
CAN	Redford, Alison M.	Premier of Alberta
CAN	Reisman, Heather M.	CEO, Indigo Books & Music Inc.
DEU	Reitzle, Wolfgang	CEO & President, Linde AG
USA	Rogoff, Kenneth S.	Professor of Economics, Harvard University
USA	Rose, Charlie	Executive Editor and Anchor, Charlie Rose
USA	Ross, Dennis B.	Counselor, Washington Institute for Near East Policy
POL	Rostowski, Jacek	Minister of Finance
USA	Rubin, Robert E.	Co-Chair, Council on Foreign Relations; Former Secretary of the Treasury
NLD	Rutte, Mark	Prime Minister
ESP	Sáenz de Santamaría Antón, Soraya	Vice President and Minister for the Presidency
NLD	Scheffer, Paul	Professor of European Studies, Tilburg University
USA	Schmidt, Eric E.	Executive Chairman, Google Inc.
AUT	Scholten, Rudolf	Member of the Board of Executive Directors, Oesterreichische Kontrollbank AG
FRA	Senard, Jean-Dominique	CEO, Michelin Group
USA	Shambaugh, David	Director, China Policy Program, George Washington University
INT	Sheeran, Josette	Vice Chairman, World Economic Forum
FIN	Siilasmaa, Risto	Chairman of the Board of Directors, Nokia Corporation
USA	Speyer, Jerry I.	Chairman and Co-CEO, Tishman Speyer
CHE	Supino, Pietro	Chairman and Publisher, Tamedia AG
IRL	Sutherland, Peter D.	Chairman, Goldman Sachs International
USA	Thiel, Peter A.	President, Clarium Capital / Thiel Capital
TUR	Timuray, Serpil	CEO, Vodafone Turkey
DEU	Trittin, Jürgen	Parliamentary Leader, Alliance 90/The Greens
GRC	Tsoukalis, Loukas	President, Hellenic Foundation for European and Foreign Policy
FIN	Urpilainen, Jutta	Minister of Finance
CHE	Vasella, Daniel L.	Chairman, Novartis AG
INT	Vimont, Pierre	Executive Secretary General, European External Action Service
GBR	Voser, Peter	CEO, Royal Dutch Shell plc
SWE	Wallenberg, Jacob	Chairman, Investor AB
USA	Warsh, Kevin	Distinguished Visiting Fellow, The Hoover Institution, Stanford University
GBR	Wolf, Martin H.	Chief Economics Commentator, The Financial Times
USA	Wolfensohn, James D.	Chairman and CEO, Wolfensohn and Company
CAN	Wright, Nigel S.	Chief of Staff, Office of the Prime Minister
USA	Yergin, Daniel	Chairman, IHS Cambridge Energy Research Associates
INT	Zoellick, Robert B.	President, The World Bank Group
Rapporteurs
GBR	Bredow, Vendeline von	Business Correspondent, The Economist
GBR	Wooldridge, Adrian D.	Foreign Correspondent, The Economist

Obama Protection 47

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Fukushima Daiichi Nuclear Power Station Unit 3 Reactor Building Operating Floor Area Investigation

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READ THE DOCUMENTS

Background

Preparations

The Exercise

Critiques

ABBREVIATIONS