527 
considers to have been spent for a purpose other than those specified in the 
grant award. The Secretary shall take all necessary actions to recover those 
funds. 
(f) CONGRESSIONAL NOTIFICATION.—Not later than 5 days before the 
award of a grant is made under this chapter, the Secretary shall notify the 
appropriate congressional committees of the intent to award the grant. 
(g) GUIDELINES.—The Secretary shall ensure, to the extent practicable, 
that grant recipients under this chapter who use contractors or subcontrac-
tors use small, minority, women-owned, or disadvantaged business concerns 
as contractors or subcontractors when appropriate. 
§ 40703. Public awareness and outreach 
The Secretary shall implement a national plan for railroad and over-the- 
road bus security public outreach and awareness. The plan shall— 
(1) be designed to increase awareness of measures that the general 
public, passengers, and employees of railroad carriers and over-the-road 
bus operators can take to increase the security of the national railroad 
and over-the-road bus transportation systems; and 
(2) provide outreach to railroad carriers and over-the-road bus oper-
ators and their employees to improve their awareness of available tech-
nologies, ongoing research and development efforts, and available Fed-
eral funding sources to improve security. 
Subchapter II—Railroad Security 
§ 40711. Railroad transportation security risk assessment 
and National Strategy 
(a) RISK ASSESSMENT.—The Secretary shall establish a Federal task 
force, including the Transportation Security Administration and other agen-
cies in the Department, the Department of Transportation, and other ap-
propriate Federal agencies, to complete a nationwide risk assessment of a 
terrorist attack on railroad carriers. The assessment shall include— 
(1) a methodology for conducting the risk assessment, including 
timelines, that addresses how the Department will work with the enti-
ties described in subsection (c) and make use of existing Federal exper-
tise in the Department, the Department of Transportation, and other 
appropriate agencies; 
(2) identification and evaluation of critical assets and infrastructure, 
including tunnels used by railroad carriers in high-threat urban areas; 
(3) identification of risks to those assets and infrastructure; 
(4) identification of risks that are specific to the transportation of 
hazardous materials via railroad; 
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(5) identification of risks to passenger and cargo security, transpor-
tation infrastructure protection systems, operations, communications 
systems, and any other area identified by the assessment; 
(6) an assessment of employee training and emergency response 
planning; 
(7) an assessment of public and private operational recovery plans, 
taking into account the plans for the maritime sector required under 
section 70103 of title 46, to expedite, to the maximum extent prac-
ticable, the return of an adversely affected railroad transportation sys-
tem or facility to its normal performance level after a major terrorist 
attack or other security event on that system or facility; and 
(8) an account of actions taken or planned by both public and pri-
vate entities to address identified railroad security issues and an as-
sessment of the effective integration of the actions. 
(b) NATIONAL STRATEGY.— 
(1) REQUIREMENT.—Based upon the assessment conducted under 
subsection (a), the Secretary, consistent with and as required by sec-
tion 11314 of this title, shall develop and implement the modal plan 
for railroad transportation, entitled the ‘‘National Strategy for Rail-
road Transportation Security’’. 
(2) CONTENTS.—The modal plan shall include prioritized goals, ac-
tions, objectives, policies, mechanisms, and schedules for, at a min-
imum— 
(A) improving the security of railroad tunnels, railroad bridges, 
railroad switching and car storage areas, other railroad infrastruc-
ture and facilities, information systems, and other areas identified 
by the Secretary as posing significant railroad-related risks to 
public safety and the movement of interstate commerce, taking 
into account the impact that a proposed security measure might 
have on the provision of railroad service or on operations served 
or otherwise affected by railroad service; 
(B) deploying equipment and personnel to detect security 
threats, including those posed by explosives and hazardous chem-
ical, biological, and radioactive substances, and appropriate coun-
termeasures; 
(C) consistent with section 40716 of this title, training railroad 
employees in terrorism prevention, preparedness, passenger evacu-
ation, and response activities; 
(D) conducting public outreach campaigns for railroads regard-
ing security, including educational initiatives designed to inform 
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the public on how to prevent, prepare for, respond to, and recover 
from a terrorist attack on railroad transportation; 
(E) providing additional railroad security support for railroads 
at high or severe threat levels of alert; 
(F) ensuring, in coordination with freight and intercity and 
commuter passenger railroads, the continued movement of freight 
and passengers in the event of an attack affecting the railroad sys-
tem, including the possibility of rerouting traffic due to the loss 
of critical infrastructure, such as a bridge, tunnel, yard, or station; 
(G) coordinating existing and planned railroad security initia-
tives undertaken by the public and private sectors; 
(H) assessing— 
(i) the usefulness of covert testing of railroad security sys-
tems; 
(ii) the ability to integrate security into infrastructure de-
sign; and 
(iii) the implementation of random searches of passengers 
and baggage; and 
(I) identifying the immediate and long-term costs of measures 
that may be required to address those risks and public- and pri-
vate-sector sources to fund the measures. 
(3) RESPONSIBILITIES.—The Secretary shall include in the modal 
plan a description of the roles, responsibilities, and authorities of Fed-
eral, State, and local agencies, government-sponsored entities, tribal 
governments, and appropriate stakeholders described in subsection (c). 
The plan also shall include— 
(A) the identification of, and a plan to address, gaps and unnec-
essary overlaps in the roles, responsibilities, and authorities de-
scribed in this paragraph; 
(B) a methodology for how the Department will work with the 
entities described in subsection (c), and make use of existing Fed-
eral expertise within the Department, the Department of Trans-
portation, and other appropriate agencies; 
(C) a process for facilitating security clearances for the purpose 
of intelligence and information sharing with the entities described 
in subsection (c), as appropriate; 
(D) a strategy and timeline, coordinated with the research and 
development program established under section 40717 of this title, 
for the Department, the Department of Transportation, other ap-
propriate Federal agencies, and private entities to research and 
develop new technologies for securing railroad systems; and 
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(E) a process for coordinating existing or future security strate-
gies and plans for railroad transportation, including— 
(i) the National Infrastructure Protection Plan required by 
Homeland Security Presidential Directive–7; 
(ii) Executive Order No. 13416, 71 Fed. Reg. 71033 (Dec. 
5, 2006); and 
(iii) the Memorandum of Understanding between the De-
partment and the Department of Transportation on Roles 
and Responsibilities, dated September 28, 2004, subsequent 
annexes to this Memorandum of Understanding, and other 
relevant agreements between the two Departments. 
(c) CONSULTATION WITH STAKEHOLDERS.—In developing the National 
Strategy required under this section, the Secretary shall consult with rail-
road management, nonprofit employee organizations representing railroad 
employees, owners or lessors of railroad cars used to transport hazardous 
materials, emergency responders, offerors of security-sensitive materials, 
public safety officials, and other relevant parties. 
(d) ADEQUACY OF EXISTING PLANS AND STRATEGIES.—In developing 
the risk assessment and National Strategy required under this section, the 
Secretary shall utilize relevant existing plans, strategies, and risk assess-
ments developed by the Department or other Federal agencies, including 
those developed or implemented under section 11314 of this title, or Home-
land Security Presidential Directive–7, and, as appropriate, assessments de-
veloped by other public and private stakeholders. 
(e) ANNUAL UPDATES.—Consistent with the requirements of section 
11314 of this title, the Secretary shall update the assessment and National 
Strategy each year and transmit a report, which may be submitted in both 
classified and redacted formats, to the appropriate congressional committees 
containing the updated assessment and recommendations. 
§ 40712. Railroad carrier assessments and plans 
(a) IN GENERAL.—The Secretary shall issue regulations that— 
(1) require each railroad carrier assigned to a high-risk tier under 
this section to— 
(A) conduct a vulnerability assessment under subsections (c) 
and (d); and 
(B) prepare, submit to the Secretary for approval, and imple-
ment a security plan under 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 Transportation 
Security developed under section 40711 of this title, for developing and 
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implementing the vulnerability assessments and security plans for rail-
road carriers assigned to high-risk tiers. 
(b) NON HIGH-RISK PROGRAMS.—The Secretary may establish a security 
program for railroad carriers not assigned to a high-risk tier, including— 
(1) guidance for the carriers in conducting vulnerability assessments 
and preparing and implementing security plans, as determined appro-
priate by the Secretary; and 
(2) a process to review and approve the assessments and plans, as 
appropriate. 
(c) SUBMISSION OF ASSESSMENTS AND SECURITY PLANS.—The vulner-
ability assessments and security plans required by the regulations for rail-
road carriers assigned to a high-risk tier shall be completed and submitted 
to the Secretary for review and approval. 
(d) VULNERABILITY ASSESSMENTS.— 
(1) REQUIREMENTS.—The Secretary shall provide technical assist-
ance and guidance to railroad carriers in conducting vulnerability as-
sessments under this section and shall require that each vulnerability 
assessment of a railroad carrier assigned to a high-risk tier under this 
section, include, as applicable— 
(A) identification and evaluation of critical railroad carrier as-
sets and infrastructure, including platforms, stations, intermodal 
terminals, tunnels, bridges, switching and storage areas, and infor-
mation systems as appropriate; 
(B) identification of the vulnerabilities of those assets and infra-
structure; 
(C) identification of strengths and weaknesses in— 
(i) physical security; 
(ii) passenger and cargo security, including the security of 
security-sensitive materials being transported by railroad or 
stored on railroad property; 
(iii) programmable electronic devices, computers, or other 
automated systems which are used in providing the transpor-
tation; 
(iv) alarms, cameras, and other protection systems; 
(v) communications systems and utilities needed for rail-
road security purposes, including dispatching and notification 
systems; 
(vi) emergency response planning; 
(vii) employee training; and 
(viii) other matters the Secretary determines appropriate; 
and 
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(D) identification of redundant and backup systems required to 
ensure the continued operation of critical elements of a railroad 
carrier’s system in the event of an attack or other incident, includ-
ing disruption of commercial electric power or a communications 
network. 
(2) THREAT INFORMATION.—The Secretary shall provide in a timely 
manner to the appropriate employees of a railroad carrier, as des-
ignated by the railroad carrier, 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 secu-
rity. 
(e) SECURITY PLANS.— 
(1) REQUIREMENTS.—The Secretary shall provide technical assist-
ance and guidance to railroad carriers in preparing and implementing 
security plans under this section, and shall require that each security 
plan of a railroad carrier 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 security; 
(B) a list of needed capital and operational improvements; 
(C) procedures to be implemented or used by the railroad car-
rier in response to a terrorist attack, including evacuation and 
passenger communication plans that include individuals with dis-
abilities as appropriate; 
(D) identification of steps taken with State and local law en-
forcement agencies, emergency 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 sec-
tion 40716 of this title; 
(F) enhanced security measures to be taken by the railroad car-
rier when the Secretary 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 rail-
road carrier’s system in the event of a terrorist attack or other 
incident; 
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(H) a strategy for implementing enhanced security for ship-
ments of security-sensitive materials, including plans for quickly 
locating and securing the shipments in the event of a terrorist at-
tack or security incident; and 
(I) other actions or procedures the Secretary determines are ap-
propriate to address the security of railroad carriers. 
(2) SECURITY COORDINATOR REQUIREMENTS.—The Secretary shall 
require that the individual serving as the security coordinator identified 
in paragraph (1)(A) is a citizen of the United States. The Secretary 
may waive this requirement with respect to an individual if the Sec-
retary 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 shall ensure 
that the security plans developed by railroad carriers under this section 
are consistent with the risk assessment and National Strategy for Rail-
road Transportation Security developed under section 40711 of this 
title. 
(f) DEADLINE FOR REVIEW PROCESS.—Not later than 6 months after re-
ceiving the assessments and plans required under this section, the Secretary 
shall— 
(1) review each vulnerability assessment and security plan submitted 
to the Secretary under subsection (c); 
(2) require amendments to a security plan that does not meet the 
requirements of this section; and 
(3) approve a vulnerability assessment or security plan that meets 
the requirements of this section. 
(g) TIER ASSIGNMENT.— 
(1) IN GENERAL.—Utilizing the risk assessment and National Strat-
egy for Railroad Transportation Security required under section 40711 
of this title, the Secretary shall assign each railroad carrier to a risk- 
based tier established by the Secretary. 
(2) PROVIDING INFORMATION.—The Secretary may request, and a 
railroad carrier shall provide, information necessary for the Secretary 
to assign a railroad carrier to the appropriate tier under this sub-
section. 
(3) NOTIFICATION.—Not later than 60 days after the date a railroad 
carrier is assigned to a tier under this subsection, the Secretary shall 
notify the railroad carrier of the tier to which it is assigned and the 
reasons for the assignment. 
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(4) HIGH-RISK TIERS.—At least one of the tiers established by the 
Secretary under this subsection shall be designated a tier for high-risk 
railroad carriers. 
(5) REASSIGNMENT.—The Secretary may reassign a railroad carrier 
to another tier, as appropriate, in response to changes in risk. The Sec-
retary shall notify the railroad carrier not later than 60 days after the 
reassignment and provide the railroad carrier with the reasons for the 
reassignment. 
(h) NONDISCLOSURE OF INFORMATION.— 
(1) SUBMISSION OF INFORMATION TO CONGRESS.—Nothing in this 
section shall be construed as authorizing the withholding of information 
from Congress. 
(2) DISCLOSURE OF INDEPENDENTLY FURNISHED INFORMATION.— 
Nothing in this section shall be construed as affecting the authority or 
obligation of a Federal agency to disclose a record or information that 
the Federal agency obtains from a railroad carrier under another Fed-
eral law. 
(i) EXISTING PROCEDURES, PROTOCOLS, AND STANDARDS.— 
(1) DETERMINATION.—In response to a petition by a railroad carrier 
or at the discretion of the Secretary, the Secretary may determine that 
existing procedures, protocols, and standards meet all or part of the 
requirements of this section, including regulations issued under sub-
section (a), regarding vulnerability assessments and security plans. 
(2) ELECTION.—Upon review and written determination by the Sec-
retary that existing procedures, protocols, or standards of a railroad 
carrier satisfy the requirements of this section, the railroad carrier may 
elect to comply with those procedures, protocols, or standards instead 
of the requirements of this section. 
(3) PARTIAL APPROVAL.—If the Secretary determines that the exist-
ing procedures, protocols, or standards of a railroad carrier satisfy only 
part of the requirements of this section, the Secretary may accept the 
submission, but shall require submission by the railroad carrier of addi-
tional information relevant to the vulnerability assessment and security 
plan of the railroad carrier to ensure that the remaining requirements 
of this section are fulfilled. 
(4) NOTIFICATION.—If the Secretary determines that particular ex-
isting procedures, protocols, or standards of a railroad carrier under 
this subsection do not satisfy the requirements of this section, the Sec-
retary shall provide to the railroad carrier a written notification that 
includes an explanation of the determination. 
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(5) REVIEW.—Nothing in this subsection shall relieve the Secretary 
of the obligation— 
(A) to review the vulnerability assessment and security plan 
submitted by a railroad carrier under this section; and 
(B) to approve or disapprove each submission on an individual 
basis. 
(j) PERIODIC EVALUATION BY RAILROAD CARRIERS REQUIRED.— 
(1) SUBMISSION.—Not later than 3 years after the date on which 
a vulnerability assessment or security plan required to be submitted to 
the Secretary under subsection (c) is approved, and at least once every 
5 years after the approval (or on another schedule the Secretary may 
establish by regulation), a railroad carrier who submitted a vulner-
ability assessment and security plan and who is still assigned to the 
high-risk tier must submit to the Secretary an evaluation of the ade-
quacy of the vulnerability assessment and security plan that includes 
a description of material changes made to the vulnerability assessment 
or security plan. 
(2) REVIEW.—Not later than 180 days after the date on which an 
evaluation is submitted, the Secretary shall review the evaluation and 
notify the railroad carrier submitting the evaluation of the Secretary’s 
approval or disapproval of the evaluation. 
(k) SHARED FACILITIES.—The Secretary may permit under this section 
the development and implementation of coordinated vulnerability assess-
ments and security plans to the extent that a railroad carrier shares facili-
ties with, or is co-located with, other transportation entities or providers 
that are required to develop vulnerability assessments and security plans 
under Federal law. 
(l) CONSULTATION.—In carrying out this section, the Secretary shall con-
sult with railroad carriers, nonprofit employee labor organizations represen-
tation railroad employees, and public safety and law enforcement officials. 
§ 40713. Railroad security assistance 
(a) SECURITY IMPROVEMENT GRANTS.— 
(1) IN GENERAL.—The Secretary, in consultation with the Adminis-
trator of the Transportation Security Administration and other appro-
priate agencies or officials, may make grants to railroad carriers, the 
Alaska Railroad, security-sensitive materials offerors who ship by rail-
road, owners of railroad cars used in the transportation of security-sen-
sitive materials, State and local governments (for railroad passenger fa-
cilities and infrastructure not owned by Amtrak), and Amtrak for 
intercity passenger railroad and freight railroad security improvements 
described in subsection (b) as approved by the Secretary. 
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