Who regulates the transportation of hazardous materials in the US?

• PHMSA, USCG, FMCSA, FRA, FAA, and OSHA are all responsible for regulating, implementing, and enforcing policies for the transportation of hazardous materials.

The regulatory authority for hazardous materials transportation in the United States resides with the federal government. The agencies below assist with regulating, implementing, and enforcing policies for the transportation of hazardous materials:

• Pipeline and Hazardous Materials Safety Administration (PHMSA)
• United States Coast Guard (USCG)
• Federal Motor Carrier Safety Administration (FMCSA)
• Federal Railroad Administration (FRA)
• Federal Aviation Administration (FAA)
• Occupational Safety and Health Administration (OSHA)

Who must comply with the regulations?

• Hazardous material regulations apply to pre-transportation functions, transportation functions, and hazardous materials packaging.
• Pre-transportation functions include activities performed by the hazardous materials shipper and deal largely with paperwork.
• Transportation functions include activities performed by those directly involved in transport, like drivers.

The hazardous materials regulations apply to those involved in three primary types of activities: pre-transportation functions, transportation functions, and hazardous materials packaging.

Pre-transportation functions include activities that would be performed by a person offering hazardous materials for transportation in commerce, also known as a hazardous materials shipper. These pre-transportation functions would include:

• Determining the hazard class of a hazardous material;
• Selecting a hazardous materials packaging;
• Filling a hazardous materials packaging, including a bulk packaging;
• Securing a closure on a filled or partially filled hazardous materials package or container or on a package or container containing a residue of a hazardous material;
• Marking and/or labeling a package to indicate that it contains a hazardous material;
• Preparing a shipping paper; and
• Providing and maintaining emergency response information.

Transportation functions include activities that would be performed by those directly involved in transporting hazardous materials, including drivers. Transportation functions would include:

• Taking physical possession of the hazardous material for the purpose of transporting it and delivering it to the destination;
• Loading packaged or containerized hazardous material onto a transport vehicle, aircraft, or vessel for the purpose of transporting it;
• Blocking and bracing a hazardous materials package in a freight container or transport vehicle;
• Segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo; and/or
• Unloading and/or storage incidental to the movement of a hazardous material.
• Finally, hazardous materials packaging requirements apply to those who manufacture, fabricate, mark, maintain, recondition, repair, or test a packaging or a component of a packaging that is represented, marked, certified, or sold as qualified for use in the transport of hazardous materials.

How changes are made to the US Hazardous Materials Regulations

• All rules that change the HMR are issued by PHMSA in a process involving multiple rounds of notifications, comments, and revisions.

The Pipeline and Hazardous Materials Safety Administration (PHMSA) issues all rules that change the Hazardous Materials Regulations (HMR).

PHMSA often issues an Advanced Notice of Proposed Rulemaking (ANPRM) that discusses suggested changes and requests comments on the possible options.

If the changes are not very complicated, or after comments from an ANPRM have been reviewed, a Notice of Proposed Rulemaking (NPRM) is issued. The NPRM has the exact wording and changes as they could appear in a final rule. Comments on the proposed changes are requested.

After comments on an NPRM are reviewed, a final rule is issued. This contains the changes to the regulations. The changes may become effective on the date of publication or at a date specified in the rulemaking. The date when the changes become effective is when the regulations actually change. Compliance with the changes may be mandatory on the effective date, or it could be delayed, in some cases for several years.

Even after the final rule is issued, comments can still be submitted, and appropriate changes may be made by PHMSA. If these changes are made, they will be issued in another final rule.

Hazardous Materials Regulations and the FMCSRs

• PHMSA handles HMRs while FMCSA handles FMCSRs, which deal with on-road hazardous materials for special interstate carriers.

The hazardous materials regulations (HMR) and the Federal Motor Carrier Safety Regulations (FMCSRs) both fall under the Department of Transportation. The regulations, however, are handled separately by two agencies: the Pipeline and Hazardous Materials Safety Administration (PHMSA) and the Federal Motor Carrier Safety Administration (FMCSA), respectively.

The FMCSA enforces on-road hazardous materials regulations for interstate carriers with a USDOT (U.S. Department of Transportation) number and intrastate-only carriers transporting placarded hazardous materials. Motor carrier performance, including hazardous materials compliance, is tracked under FMCSA’s Compliance Safety Accountability (CSA) program.

The FMCSRs contain limited hazardous materials transportation requirements in Part 397. This part covers hazardous materials transportation requirements, specifically the driving, parking, and hazardous materials routing rules when transporting hazardous materials.

The requirement for an FMCSA hazardous materials safety permit (when hauling certain materials) is found in Part 385.

Are there any exceptions to the Hazardous Materials Regulations?

• Some exceptions to the HMR exist, such as the limited quantity exception and certain combinations of contents and packagings, but often only if the situation meets specific requirements.

Throughout the Hazardous Materials Regulations (HMR), there are exceptions to the regulations. These exceptions provide relief from requirements in the regulations.

In many situations, the relief is authorized only if specific requirements are met. Anyone can use these exceptions, as long as they meet all the requirements.

Some examples of exceptions include:

• 171.4 for marine pollutants;
• 172.504(c) for not placarding non-bulk packages of Table 2 materials in quantities of 1,001 pounds or less;
• 173.6 for Materials of Trade; and
• 173.150(f) for combustible liquids in non-bulk packaging.

Exceptions for limited quantities and consumer commodities for a wide range of hazards can be found in sections 173.150 to 173.156.

PHMSA registration requirements

• PHMSA requires registration and an annual fee for anyone who offers for transport or transports materials in applicable types and quantities.
• The registration and fee requirements do not apply to government agencies or their employees, to indigenous tribes, hazmat employees, or people domiciled outside the U.S.

A national registration program, including an annual fee, is in place for people who offer for transport or transport certain hazardous materials. The annual fee funds a nationwide emergency response training and planning grant program for states, indigenous tribes, and local communities.

Who must register?

The Pipeline and Hazardous Materials Safety Administration’s (PHMSA) hazardous materials registration and fee requirements apply to any person who offers for transport or transports in foreign, interstate, or intrastate commerce any of the following:

• Any highway route-controlled quantity of a Class 7 (radioactive) material;
• More than 55 pounds (25 kg) of a Division 1.1, 1.2, or 1.3 (explosive) material;
• More than 1.06 quarts (1 L) per package of a material that is extremely toxic by inhalation (i.e., “material poisonous by inhalation,” as defined in 171.8, that meets the criteria for “hazard zone A,” as specified in 173.116[a] or 173.133[a]);
• A shipment (offered or loaded at one loading facility using one transport vehicle) in a bulk packaging having a capacity:
  • Equal to or greater than 3,500 gallons (13,248 L) for liquids or gases, or
  • More than 468 cubic feet (13.24 m3) for solids;
• A shipment (offered or loaded at one loading facility using one transport vehicle) in any packaging other than a bulk packaging of ≥5,000 pounds (2,268 kg) gross weight, containing one class of hazardous material for which placarding is required; or
• A quantity of hazardous material that requires placarding, except for farmers in direct support of farming operations. (107.601)

Exceptions

The following are exempt from the registration and fee requirements:

• An agency of the federal government;
• A state agency;
• An agency of a political subdivision of a state;
• A Native American tribe;
• An employee of any of the above agencies;
• A hazmat employee — including the owner/operator of a motor vehicle that transports hazardous materials and is leased to a registered motor carrier under a 30-day or longer lease (or an equivalent contractual relationship);
• A person domiciled outside the U.S. who offers hazardous materials for transportation in commerce from locations outside the U.S., provided the person is domiciled in a country that does not require U.S. persons to register or pay a fee. (107.606)

Hazmat safety permit

Certain carriers of hazardous materials must obtain a Federal Motor Carrier Safety Administration (FMCSA) Hazardous Materials Safety Permit. A hazardous materials safety permit is required only if transporting the types of hazardous materials listed in 385.403:

• A highway route-controlled quantity of a Class 7 (radioactive) material;
• More than 25 kg (55 pounds) net weight of a Division 1.1, 1.2, or 1.3 (explosive) material or articles or an amount of a Division 1.5 (explosive) material requiring placarding under Part 172;
• More than one liter (1.08 quarts) per package of a “material poisonous by inhalation,” that meets the criteria for “hazard zone A”;
• A “material poisonous by inhalation,” in a “bulk packaging,” that meets the criteria for “hazard zone B”; or
• A “material poisonous by inhalation,” that meets the criteria for “hazard zone C,” or “hazard zone D,” in a packaging having a capacity equal to or greater than 13,248 L (3,500) gallons; or
• A shipment of methane (compressed or refrigerated liquid), natural gas (compressed or refrigerated liquid), or any other compressed or refrigerated liquefied gas with a methane content of at least 85 percent, in bulk packaging having a capacity equal to or greater than 13,248 L (3,500 gallons).

New entrant carriers use the MCSA-1 form to obtain the permit. Existing carriers use the MCS-150B “Combined Motor Carrier Identification Report and HM Permit Application” to complete the biennial update.

PHMSA registration vs. Hazmat safety permit

There’s sometimes confusion surrounding the PHMSA registration requirement and the FMCSA hazardous materials safety permit.

One way to differentiate between the two is to remember that the PHMSA registration applies to a larger and wider group of hazmat transporters and shippers. Transporting or shipping placarded hazmat can make a hazmat transporter or shipper subject to the PHMSA registration.

The FMCSA hazmat safety permit applies to a smaller number of motor carriers involved in transporting hazmat that is more hazardous in nature, including explosives, radioactives, poisonous by inhalation materials, and methane or natural gas.

PHMSA training requirements

• Hazmat employers must train their employees to fulfill PHMSA requirements, including procedures, safety, security, and function- and mode-specific requirements.

Hazmat training for each hazmat employee is one of the most important steps to take to ensure the safe movement of hazardous materials. The hazmat employer is responsible for training each hazmat employee to fulfill Pipeline and Hazardous Materials Safety Administration (PHMSA) requirements.

Training

A hazmat employee is an individual, including a self-employed individual, who during the course of employment performs any function subject to the Hazardous Materials Regulations (HMR). Before any hazmat employee performs any function subject to the HMR, the employee must be trained, tested, and certified by the hazmat employer. (172.702)

An employee may perform hazmat job functions before completing hazmat training, provided:

• The employee does so under the direct supervision of a properly trained and knowledgeable hazmat employee; and
• The hazmat training is completed within 90 days of employment or change in job function. (172.704[c][1])

Training content

Hazmat employee training must include the following types of training:

1. General awareness/familiarization. This training must provide familiarity with the regulations and enable the employee to recognize and identify hazardous materials. (172.704[a][1])
2. Function-specific. This training must provide specific information on the regulations and special permits/exemptions that are applicable to the functions performed by the employee. (172.704[a][2])
3. Safety. This training must provide information on hazmat emergency response information; measures to protect the employee from hazards to which they may be exposed, including measures implemented to protect the employee from exposure; and methods and procedures for avoiding accidents. (172.704[a][3])
   Employees who repair, modify, recondition, or test packagings may be excepted from safety training. (172.704[e])
4. Security awareness. This training must provide an awareness of security risks associated with hazardous materials transportation and methods designed to enhance transportation security. This training must also include a component covering how to recognize and respond to possible security threats. (172.704[a][4])
5. In-depth security. Each hazmat employee of an entity that is required to have a security plan must be trained on the security plan and its implementation if they handle materials covered by the plan, perform a function related to the materials covered by the plan, or are responsible for implementing the plan. This training must include company security objectives, organizational security structure, specific security procedures, specific security duties and responsibilities for each employee, and specific actions to be taken in the event of a security breach. (172.704(a)(5))
6. Modal specific. In addition to the above five types of training, modal-specific training requirements may be required for the individual modes of transportation (air, rail, highway, or vessel). (172.700[c]) For example, by highway, drivers must also be trained on the safe operation of the relevant motor vehicle(s) and the applicable requirements of the Federal Motor Carrier Safety Regulations. (177.816)

Hazmat security plan requirements

• Companies or people offering for transport or transporting hazard materials as listed in 172.800 are required to develop and implement a security plan.
• The security plan must address security and access issues, people and duties relevant to the plan, and employee training.
• Security plans for rail carriers are subject to additional requirements.

Any entity that offers for transportation or transports in commerce one or more of the hazardous materials listed in 172.800(b)(1)-(16) must develop and implement a security plan.

Security plans must address the following elements:

• Personnel security,
• Unauthorized access,
• En route security,
• Job title of the senior management official responsible for overall development and implementation of the security plan,
• Security duties for each position that is responsible for implementing the plan or a portion of the plan, and
• A plan for training hazmat employees on security awareness and in-depth security training.

The security plan must be reviewed at least annually and revised and/or updated as necessary to reflect changes in circumstances. The plan, including the risk assessment, must be in writing and must be retained as long as it remains in effect.

What are the hazmat incident reporting requirements?

• Hazmat incidents that occur during transportation must be reported, with additional reporting requirements for vessel carriers.

Each person in physical possession of a hazardous material must report a hazardous materials incident in writing, by phone, or both.

Two important distinctions should be made:

• First, hazardous materials incidents will not necessarily involve accidents; a hazmat incident can happen without an accident occurring. Accident reporting requirements are regulated by each mode of transport and may involve incidents.
• Second, a hazardous materials incident must occur during transportation to be reportable. Transportation includes loading, unloading and temporary storage.

General reporting requirements are in effect for all modes of transport, including air, rail, vessel and highway. In addition, specific additional requirements govern each mode of transport.

Special requirements for vessel carriers

Carriers by vessel are subject to specific additional requirements when accidents occur on vessel and hazardous materials are involved.

When an accident involves hazardous materials and endangers the safety of the vessel, passengers, or crew, the “master” of the vessel must adopt procedures to achieve maximum safety for all concerned. If the accident results in damaged packages of hazardous materials, or results in the emergency use of packagings not authorized under the Hazardous Materials Regulations (HMR), these packages may not be offered to any forwarding carrier for continued transportation. The master must notify the nearest Captain of the Port of the U.S. Coast Guard for further instructions on the disposition of such packages.

Whenever a fire occurs or another hazardous condition exists on board a vessel carrying hazardous materials, the master must notify the nearest Captain of the Port as soon as possible and comply with instructions received.

If a package, freight container, portable tank, or highway or rail vehicle containing a hazardous material is jettisoned or lost, the master must notify the nearest Captain of the Port as soon as possible and provide the location, quantity, and type of material lost.

Special requirements

• In some circumstances, PHSMA can grant special permits for HMR exceptions, provided that the applicant can demonstrate that the substituted practice has an equivalent level of safety to that required by the regulations.

Under provisions of Part 107, Subpart B of the Hazardous Materials Regulations (HMR), the Pipeline and Hazardous Materials Safety Administration (PHMSA) has the authority to grant special permits or administrative relief from the HMR based on equivalent levels of safety as provided in the regulations, or levels of safety consistent with the policy of the Transportation Safety Act. These special permits may allow, for example, a particular hazardous material to be shipped in a packaging that is not specified by the regulations.

Special permits

Special permits are based on the applicant’s ability to demonstrate that a special provision achieves a level of safety at least equal to that required by the regulations — or, if a required safety level does not exist, that it is consistent with the public interest.

Applications for special permits are most often submitted by the shipper for a given product or class of product. However, some applications are submitted by package manufacturers with a packaging that is not currently authorized by the regulations but that they feel meets the needs of shippers and offers the same degree of safety as the authorized packagings.

Special permits are granted for a given length of time and must be renewed periodically. The request for renewal must be submitted at least 60 days prior to the expiration date of the special permit.

After a packaging authorized under a special permit has proven itself to meet the safety standards of the regulations, the Office of Hazardous Materials Standards (OHMS) may adopt the special permit as a rule of general application and incorporate it into the regulations.

Many packaging special permits issued to shippers contain special instructions for the carrier. In such instances, the shipper is required to furnish a copy of the special permit to the carrier.

Pipeline and Hazardous Materials Safety Administration

• PHMSA is an agency within the DOT that establishes policy, sets and enforces standards, and gathers and communicates information regarding the safe transportation of energy and hazardous materials.

The Pipeline and Hazardous Materials Safety Administration’s (PHMSA) mission is to protect people and the environment by advancing the safe transportation of energy and other hazardous materials that are essential to our daily lives. To accomplish this, PHMSA establishes national policy, sets and enforces standards, educates, and conducts research to prevent incidents. PHMSA also prepares the public and first responders to reduce consequences if an incident should occur.

PHMSA has five primary goals that it keeps in mind when developing new regulations or revising older ones:

1. Safety: To reduce the risk of harm to people due to the transportation of hazardous materials by pipelines and other modes.
2. Environmental stewardship: To reduce the risk of harm to the environment due to the transportation of oil and hazardous materials by pipeline and other modes.
3. Reliability: To help maintain and improve the reliability of systems that deliver energy products and other hazardous materials.
4. Global connectivity: To harmonize and standardize the requirements for pipeline and hazardous materials transportation internationally, and to facilitate efficient and safe transportation through ports of entry and through the supply chain.
5. Preparedness and response: To reduce the consequences (harm to people, environment, and economy) after a pipeline or hazmat failure.

Historical note

PHMSA is a U.S. Department of Transportation (DOT) agency. It was created under the Norman Y. Mineta Research and Special Programs Improvement Act of 2004. This act changed the agency’s name from Research and Special Programs Administration (RSPA) to Pipeline and Hazardous Materials Administration (PHMSA).

PHMSA is composed of two safety offices that are responsible for regulating the safe movement of hazardous materials.

Office of Hazardous Materials Safety

The Office of Hazardous Materials Safety (OHMS) develops and recommends regulatory changes governing the multimodal transportation of hazardous materials. It develops long- and short-term plans, schedules hazardous materials regulatory actions, and carries them out in accordance with the plan. When proposed regulations apply only to a single mode of transportation, OHMS develops and coordinates those regulations with the appropriate operating administration.

OHMS responds to requests for interpretation of regulations, inconsistency rulings, and non-preemption determinations. OHMS also conducts public hearings in conjunction with regulatory changes, issues special permits where needed (consulting with the DOT as appropriate), and makes final determinations on registration approvals and reconsideration petitions.

OHMS’s primary duty is to develop regulatory policy options and initiatives based on social, economic, technological, environmental, and safety impacts of regulatory, legislative, or program activities that involve hazardous materials transportation. The office participates fully in policy determinations and implements guidance for approved policies within its authority.

Office of Pipeline Safety

The Office of Pipeline Safety (OPS) administers the national regulatory program to ensure the safe, reliable, and environmentally sound operation of the nation’s natural gas and hazardous liquid pipeline transportation system. OPS develops regulations and other approaches to risk management to assure safety in design, construction, testing, operation, maintenance, and emergency response of pipeline facilities. Since 1986, the entire pipeline safety program has been funded by a user fee assessed on a per-mile basis on each pipeline operator OPS regulates.

OPS also:

• Supports and coordinates with the United States Coast Guard on the National Response Center.
• Serves as a DOT liaison with the Department of Homeland Security and the Federal Emergency Management Agency (FEMA) on matters involving pipeline safety.
• Develops and maintains partnerships with other federal, state, and local agencies; public interest groups; tribal governments; and the regulated industry and other underground utilities to address threats to pipeline integrity, service, and reliability and to share responsibility for the safety of communities.
• Administers pipeline safety regulatory programs and establishes the regulatory agenda.
  • Develops regulatory policy options and initiatives.
  • Researches, analyzes, and documents social, economic, technological, environmental, safety, and security impacts upon existing/proposed regulatory, legislative, or program activities involving pipeline safety.
• Supports the development and conduct of pipeline safety training programs for federal and state regulatory and compliance staff and the pipeline industry.

Other federal bodies

• Other federal bodies involved in regulating the transport of hazardous materials include the Coast Guard, the Federal Motor Carrier Safety Administration, the Federal Railroad Administration, the Federal Aviation Administration, and OSHA.

Several other federal bodies are involved in regulating the transport of hazardous materials. These include the United States Coast Guard (USCG), the Federal Motor Carrier Safety Administration (FMCSA), the Federal Railroad Administration (FRA), the Federal Aviation Administration (FAA), and the Occupational Safety & Health Administration (OSHA).

United States Coast Guard

The USCG enforces the domestic regulations for the transportation of hazardous materials by vessel. They may board any vessel in U.S. waters to enforce the Hazardous Materials Regulations (HMR) and may inspect:

• The vessel’s suitability for loading hazardous materials;
• The proper stowage of hazardous materials;
• The securement of hazardous materials; and
• The hazardous materials shipping documents.

Federal Motor Carrier Safety Administration

FMCSA is responsible for regulating operational standards for companies and individuals operating trucks, vans, buses, and other commercial motor vehicles involved in interstate commerce. FMCSA’s primary mission is to reduce crashes, injuries, and fatalities involving large trucks and buses.

In order to accomplish its primary mission, FMCSA’s strategy is to:

• Develop and enforce data-driven regulations that balance motor carrier (truck and bus companies) safety with efficiency;
• Harness safety information systems to focus on higher-risk carriers in enforcing the safety regulations;
• Target educational messages to carriers, commercial drivers, and the public; and
• Partner on efforts to reduce bus- and truck-related crashes with stakeholders that include:
  • Federal, state, and local enforcement agencies;
  • The motor carrier industry;
  • Safety groups; and
  • Organized labor.

Federal Railroad Administration

The FRA’s mission is to enable the safe, reliable, and efficient movement of people and goods for a strong America, now and in the future. FRA regulates more than 760 railroads (including 27 passenger, 8 switching and terminal, 134 tourist/excursion/historical, and 640 freight railroads).

The mission is primarily accomplished through:

• Issuance, implementation, and enforcement of safety regulations;
• Selective investment in rail corridors across the country; and
• Research and technology development.

Seven offices make up the FRA structure. However, the Office of Railroad Safety (ORS) is responsible for the safe transportation of hazmat by rail. The ORS administers a safety program that oversees the movement of hazardous materials (including hazmat), such as petroleum, chemicals, and nuclear products, throughout national and international rail transportation systems.

Federal Aviation Administration

The FAA is responsible for the regulation and oversight of civil aviation within the United States, as well as operation and development of the National Airspace System. Its primary mission is to ensure the safety of civil aviation.

The FAA regulates and oversees all aspects of civil aviation, including:

• Regulating civil aviation to promote safety;
• Encouraging and developing civil aeronautics, including new aviation technology;
• Developing and operating a system of air traffic control and navigation for both civil and military aircraft;
• Researching and developing the National Airspace System and civil aeronautics;
• Developing and implementing programs to control aircraft noise and other environmental effects of civil aviation; and
• Regulating U.S. commercial space transportation.

Occupational Safety and Health Administration

OSHA is responsible for ensuring safe and healthful conditions for employees in the workplace. To accomplish this, OSHA sets and enforces standards and provides training, outreach, education, and compliance assistance.

OSHA developed the Hazard Communication Standard (HCS) as a way to protect workers from chemical hazards. HCS is designed to ensure that the hazards of all chemicals produced or imported are evaluated and that information regarding these hazards is available to all workers. The details for HCS are communicated through labels and Safety Data Sheets (SDS).

Caution: OSHA’s Hazard Communication Standard (HCS) pictograms look very similar to the Department of Transportation (DOT) hazmat labels, but they are not authorized for use during transportation. HCS pictograms can be on a package with DOT hazmat labels provided they are part of a complete HCS label.

Enforcement and reciprocity of the Hazardous Materials Regulations

• The HMR are enforced by PHMSA and by the agencies that regulate the various modes of transport.
• Under the HMR, other regulations can be used for transport into and out of the United States, with some specific limitations and requirements.

Enforcement of the Hazardous Materials Regulations (HMR) is conducted by many agencies at the federal, state, indigenous people reservation, county, and city levels. The U.S. Department of Transportation’s (DOT) Pipeline and Hazardous Materials Safety Administration (PHMSA) is responsible for maintaining and updating the HMR in 49 CFR Parts 100-180. PHMSA also has an enforcement office that inspects entities that do the following:

• Offer hazardous materials for transportation; and
• Manufacture, requalify, rebuild, repair, recondition, or retest packaging (other than cargo tanks and tank cars) used to transport hazardous materials.

Other federal agencies enforce the HMR for the modes of transport that they regulate, such as the Federal Motor Carrier Safety Administration (FMCSA) for highway transport, Federal Aviation Administration (FAA) for air, Federal Railroad Administration (FRA) for rail, and Coast Guard for water.

States also adopt and enforce the federal HMR. State HMR enforcement concentrates primarily on highway transport. For information on state hazardous materials requirements see State Information.

Some indigenous people tribes, counties, and cities also enforce the HMR. What they enforce and the penalties they impose vary.

Information on federal civil and criminal violations of the Hazardous Materials Regulations can be found in Part 107, Subpart D of the Hazardous Materials Regulations. According to 107.329, a person who violates a requirement in the regulations is liable for a civil penalty of not more than $84,425 and not less than $508 for each violation.

However:

• If the violation results in death, serious illness or injury, or substantial destruction of property, the maximum penalty becomes $196,992.
• If the violation is related to training, the minimum penalty is $508.
• If the violation is a continuing one, each day of the violation constitutes a separate offense.

Examples of PHMSA violations and possible penalties can be found in Appendix A to Subpart D of Part 107 of the Hazardous Materials Regulations. This appendix provides guidelines to be used by PHMSA’s Office of Hazardous Materials Safety (OHMS) in making initial determinations for civil penalties.

Reciprocity surrounding the HMR

The HMR allow the use of other regulations for the transport of hazardous materials/dangerous goods into and out of the United States.

There are specific limitations and requirements depending on what is being transported, mode of transport, and what other regulations are being used. The specifics on what is allowed can be found in the following sections of Part 171 of the HMR:

• 171.12 – North American shipments;
• 171.22 – Authorization and conditions for use of international standards and regulations;
• 171.23 – Requirements for specific materials and packagings transported under the ICAO Technical Instructions, IMDG Code, Transport Canada TDG Regulations, or the IAEA Regulations;
• 171.24 – Additional requirements for the use of the ICAO Technical Instructions;
• 171.25 – Additional requirements for the use of the IMDG Code; and
• 171.26 - Additional requirements for the use of the IAEA Regulations.

Limited quantity exception

• HMR exceptions exist for limited quantities, which are smaller amounts of hazardous materials in non-bulk combination packages.
• Limited quantity packaging must meet the requirements for quantity, weight, packaging, marking, and documentation that correspond to the material’s class/division as listed in HMT Column 8A.

Limited quantities are smaller amounts of hazardous materials in non-bulk combination packages. A limited quantity exception can only be used for a hazardous material if Column 8A of the Hazardous Materials Table (HMT) references the specific section in Part 173 that contains the exception.

The sections in Part 173 that contain the limited quantity requirements for the different hazard classes and divisions are as follows, with examples:

• 173.306 - Class 2 (gases)
• 173.150 - Class 3 (flammable and combustible liquids)
• 173.151 - Class 4 (flammable solids)
• 173.152 - Class 5 (oxidizers and organic peroxides)
• 173.153 - Division 6.1 (poisons)
• 173.421 - Class 7 (radioactives)
• 173.154 - Class 8 (corrosives)
• 173.155 - Class 9 (miscellaneous) Although not identified as limited quantities, Class 1 has some similar exceptions listed in Section 173.63 for certain less hazardous explosive materials.

Packaging

Limited quantity packaging must conform to the specifications, quantity, and weight limits specified for each hazard class/division and packing group. These specifications are listed in the section in Part 173 (listed in Column 8A of the HMT) that is applicable to the material.

Except for Class 1 and 7, each combination package may not exceed 66 pounds (30 kg) gross weight. The size of inner packagings that are allowed to be used varies depending on the hazard/division and packing group of the material.

For example, Class 8 materials in Packing Group III must be in inner packagings not more than 1.3 gallons (5 L) for liquids or 11 pounds (5 kg) for solids. These inner packagings must be packed in a strong outer packaging.

Markings

A package containing a limited quantity of hazardous materials must be marked as follows:

1. Non-air packages containing a limited quantity must display the square-on-point limited quantity marking. A non-air package displaying the limited quantity marking does not have to be marked with the proper shipping name or identification number unless the material is a hazardous substance or hazardous waste. (172.315)
2. Packages meeting the requirements for air transport must display the square-on-point “Y” limited quantity marking. A package displaying the “Y” limited quantity marking must be marked with the proper shipping name and identification number when transported by air. Packages displaying the square-on-point “Y” limited quantity marking are authorized for transport by all modes of transportation. (172.315)

The width of the border forming the square-on-point marking must be at least 2 mm. Each side of the marking must be at least 100 mm.

If the size of the package requires a smaller marking, then each side of the marking may be reduced to no less than 50 mm. For cargo transport units transported by water, each side of the marking must have a minimum size of 250 mm. (172.315)

Labels

Labels are not required for most limited quantities of hazardous materials. However, labels are required for a limited quantity transported by aircraft and for poison-by-inhalation materials. (173.150 - 173.155)

Shipping papers

In most situations, shipping papers are not required for a limited quantity of hazardous material. However, shipping papers are required for a limited quantity of a hazardous material that is a hazardous substance, hazardous waste, or marine pollutant, or is offered/transported by air or water. When a shipping paper is required, the words “Limited Quantity” or the abbreviation “Ltd Qty” must follow the basic description for the hazardous material. (172.203)

Training

If an employer offers or transports limited quantities, their employees are performing functions subject to the Hazardous Materials Regulations (HMR) and must receive hazmat training. Before these hazmat employees perform any function, they must be trained, tested, and certified as required by the HMR. (172.704)

Exceptions

Listing an emergency response telephone number on the shipping papers is not required for limited quantities. (172.604(c))

Most limited quantities are excepted from the specification packaging, shipping papers, labeling, and placarding requirements. Examples of this can be found in 173.150 through 173.155.

The exceptions section in Part 173 (listed in Column 8A of the HMT) gives the exceptions allowed and the requirements that must be met to offer and transport each specific material as a limited quantity.

Materials of trade exception

• MOTs are hazardous materials carried on a motor vehicle to protect the vehicle’s occupants, support the vehicle’s operation, or support a business that is not motor transport (e.g., lawn care).
• MOTs are excepted from some HMR requirements such as shipping papers and placarding but must be packaged and labeled as specified in 173.6.

Materials of trade (MOTs) are hazardous materials that are carried on a motor vehicle:

• To protect the health and safety of the vehicle operator or passengers (such as insect repellant or self-contained breathing apparatus);
• To support the operation or maintenance of the vehicle, including its auxiliary equipment (such as a spare battery, gasoline, or engine starting fluid); or
• By a private motor carrier (including vehicles operated by a rail carrier) in direct support of a principal business other than transportation by motor vehicle (such as lawn care, plumbing, welding, or painting operations). (171.8)

Hazard and Size Limitations

A material of trade (not including self-reactive material, poisonous by inhalation material, or hazardous waste) is limited to:

1. A Class 3, 8, 9, Division 4.1, 5.1, 5.2, 6.1, or ORM-D material contained in a packaging having a gross mass or capacity not over—
   • 1 pound (0.5 kg) or 1 pint (0.5 L) for Packing Group I material,
   • 66 pounds (30 kg) or 8 gallons (30 L) for a Packing Group II, III, or ORM-D material,
   • 400 gallons (1500 L) for a diluted mixture, not to exceed 2 percent concentration, of a Class 9 material;
2. A Division 2.1 or 2.2 material in a cylinder with a gross weight not over 220 pounds (100 kg);
3. A Division 2.1 or 2.2 material in a Dewar flask meeting the requirements in Section 173.320;
4. A non-liquefied Division 2.2 material with no subsidiary hazard in a permanently mounted tank manufactured to the ASME Code at not more than 70 gallons water capacity;
5. A Division 4.3 material in Packing Group II or III contained in a packaging having a gross capacity not exceeding 1 ounce (30 mL);
6. A Division 6.2 material, other than a Category A infectious substance, contained in human or animal samples being transported for research, diagnosis, investigational activities, or disease treatment or prevention or is a biological product or regulated medical waste.
   • The material must be contained in a combination packaging. For liquids the inner packaging must be leakproof, and the outer packaging must contain sufficient absorbent material to absorb the entire contents of the inner packaging.
   • For sharps, the inner packaging must be constructed of a rigid material resistant to punctures and securely closed to prevent leaks or punctures, and the outer packaging must be securely closed to prevent leaks or punctures.
   • For solids, liquids, and sharps, the outer packaging must be a strong, tight packaging securely closed and secured against movement, including relative motion between packages, within the vehicle on which it is being transported.
   • For other than regulated medical waste, the amount of Division 6.2 material in a combination packaging must be in:
     • One or more inner packagings, each of which may not contain more than 1.1 pounds (0.5 kg) or 17 ounces (0.5 L), and an outer packaging containing not more than 8.8 pounds (4 kg) or 1 gallon (4 L); or
     • A single inner packaging containing not more than 35.2 pounds (16 kg) or 4.2 gallons (16 L) in a single outer packaging.
7. For regulated medical waste, a combination packaging must consist of one or more inner packagings, each of which may not contain more than 8.8 pounds (4 kg) or 1 gallon (4 L), and an outer packaging containing not more than 35.2 pounds (16 kg) or 4.2 gallons (16 L);
8. A limited quantity package prepared in accordance with the regulations. Class 7 (radioactive) substances, instruments, and articles are not authorized.
9. For a material or article that does not have a packing group in column 5 of the Hazardous Materials Table: for classes identified in item 1 above, the amounts specified there; and for Division 4.3 materials, packaging having a gross capacity not exceeding 30 mL.

Gross weight

The gross weight of all MOTs on a motor vehicle may not exceed 440 pounds (200 kg), not including 400 gallons (1,500 L) or less of a diluted mixture of Class 9 material, as mentioned above. (173.6)

Markings

A non-bulk packaging, other than a cylinder, must be marked with a common name or proper shipping name to identify the material it contains (such as spray paint or isopropyl alcohol).

If the packaging contains a reportable quantity of a hazardous substance, the letters “RQ” must be included.

A bulk packaging containing a diluted mixture (≤2%) of a Class 9 material must be marked on two opposing sides with the identification number. (173.6)

Packagings

Packaging for MOTs must be leak tight for liquids and gases; sift proof for solids; and securely closed, secured against shifting, and protected against damage. Each material must be packaged in the manufacturer’s original packaging or a packaging of equal or greater strength and integrity. Packaging for gasoline must be made of metal or plastic and conform to the Hazardous Materials Regulations (HMR) or Occupational Safety & Health Administration (OSHA) regulations.

Outer packagings are not required for receptacles (e.g., cans and bottles) or articles that are secured against shifting in cages, carts, bins, boxes, or compartments, or by other means. (173.6)

Cylinders

A cylinder or other pressure vessel containing a Division 2.1 or 2.2 material must conform to the marking, labeling, packaging, qualification, maintenance, and use requirements of the HMR, except that outer packagings are not required. Manifolding of cylinders is authorized provided all valves are tightly closed. (173.6)

Drivers

The operator of a motor vehicle that contains MOTs must be informed of the presence of the material and must be informed of the MOTs requirements in HMR section 173.6.

Exceptions

The MOTs regulations do not require:

• Shipping papers,
• Emergency response information,
• Placarding,
• Formal hazmat training, or
• Retention of training records.

The MOTs regulations do require:

• General knowledge of the regulations,
• Quantity limitations,
• Packaging requirements,
• Marking requirements,
• Labeling requirements,
• Closure requirements, and
• Securement requirements. (173.6)

Packaging exceptions

• Packaging exceptions include small quantities of some classes/divisions and limited quantities under certain exceptions.
• Salvage drums are used to transport hazardous materials that have spilled or leaked or are in damaged packaging, and must be shipped under specific conditions.

Packaging exceptions are applied in certain situations where normal packaging requirements cannot be met.

All packagings of hazardous materials, regardless of the mode of transportation, must be as specified in Part 173, unless exceptions are authorized. Some exceptions include:

• Small quantities of Class 3, Division 4.1, Division 5.1, Division 5.2, Class 8, Division 6.1 materials, Class 9 materials, and Class 7 materials, to the extent allowed in 173.4.
• Certain limited quantities, under the exceptions in 173.150 (Class 3), 173.151 (Division 4.1), 173.152 (Class 5), 173.153 (Division 6.1), 173.154 (Class 8), 173.155 (Class 9), and 173.306 (Class 2).
• “Salvage drums" for use in transporting damaged, defective, or leaking packages for repackaging or disposal. (173.3)

Salvage drums

Packages of hazardous materials that are damaged, defective, or found leaking and hazardous materials that have spilled or leaked may be placed in a salvage drum for transport to be repackaged or for disposal. The salvage drum must be metal or plastic, have a removable head, and be compatible with the lading.

The salvage drum must be shipped under the following conditions:

1. The drum must be a UN 1A2 (removable head steel drum), 1B2 (removable head aluminum drum), 1N2 (removable head metal drum other than steel or aluminum), or 1H2 (removable head plastic drum). All drums must be tested and marked for Packing Group III or higher for liquids or solids and a leakproofness test of 20 kPa (3 psi).
2. A drum that was manufactured and marked as a salvage drum prior to October 1, 1993, can be used if it’s marked in accordance with the provisions of 173.3 that went into effect on September 30, 1991.
3. The capacity of the drum may not exceed 450 L (119 gallons).
4. The drum must have, when necessary, sufficient cushioning and absorption material to prevent excessive movement of the damaged package and to eliminate the presence of any free liquid at the time the drum is closed. Cushioning and absorption material must be compatible with the hazardous material.
5. The drum must be:
   • Marked with the proper shipping name of the material inside,
   • Marked with the name and address of the consignee,
   • Marked with the words “Salvage Drum,” and
   • Labeled for the material inside.

Placarding exemption for 1,001 pounds or less

A transport vehicle or freight container that contains less than 1,001 pounds (454 kg) aggregate gross weight of hazardous materials in non-bulk packages covered by Table 2 is not required to display placards. (This exception does not apply to bulk packages or materials with subsidiary hazards that must be placarded according to Section 172.505.) (172.504)

Marine pollutants

• When transported by water, marine pollutants are subject to all the applicable requirements.
• When transported by other modes, marine pollutants are only subject to the requirements if transported in bulk packages.
• Severe marine pollutants are subject to the requirements when they make up at least 1% of a mixture or solution being transported.

Marine pollutants transported by water, in any size packaging, are subject to all the applicable requirements. Marine pollutants transported by highway, rail, or air are subject to the requirements only when transported in bulk packages. (171.4)

Shipping papers

For materials that are marine pollutants, the words “Marine Pollutant" must be entered on the shipping paper in association with the basic description. In addition, if the name of the component that makes a material a marine pollutant is not identified in the proper shipping name, it must be added in parentheses in association with the basic description. If two or more components are involved, the two components most predominantly contributing to the marine pollutant designation must be listed. (172.203[l])

Markings

The marine pollutant marking shows a dead fish floating in black water near a leafless tree, as seen here:

Non-bulk packagings that contain marine pollutants and are offered for transportation by vessel must be marked with:

• The name of the component(s), in parentheses, that make the material a marine pollutant — if the proper shipping name does not identify the component(s).
• The marine pollutant marking in association with the required hazard warning label(s) or, in the absence of labels, in association with the proper shipping name.

Bulk packagings with a capacity of 3,785 L (1,000 gallons) or more must be marked on each side and each end with the marine pollutant marking.

Bulk packagings with a capacity of less than 3,785 L (1,000 gallons) must be marked on two opposing sides with the marine pollutant marking.

The marine pollutant marking must meet the following specifications:

• The symbol, letters, and border must be black on a white background, or be of a contrasting color to the surface on which the marking is displayed.
• Each side of the marking must be at least 100 mm (4 inches) for non-bulk packagings and bulk packagings with a capacity of less than 3,785 L (1,000 gallons).
• For all other bulk packagings, each side of the marking must be at least 250 mm (10 inches).
• The width of the border must be at least 2 mm. (172.322)

Marking exceptions

Non-bulk packagings of marine pollutants transported by motor vehicle, rail car, or aircraft are not subject to the marine pollutant requirements. (171.4)

A bulk packaging that bears a label or placard is not required to display the marine pollutant marking, unless it’s being transported by vessel. (172.322)

A package of limited quantity material marked with a square-on-point limited quantity marking is not required to display the marine pollutant marking. (172.322)

When offered for transportation by vessel, the marine pollutant marking is not required on single packagings or combination packagings where each single package or each inner packaging of combination packagings has:

• A net quantity of 1.3 gallons (5 L) or less for liquids, or
• A net mass of 11 pounds (5 kg) or less for solids. (172.322)

When offered for transportation by vessel, the marine pollutant marking is not required on a combination packaging containing a non-severe marine pollutant in inner packagings, each of which contains:

• 1.3 gallons (5 L) or less net capacity for liquids; or
• 11 pounds (5 kg) or less net capacity for solids. (172.322)

Immediate reporting

Immediate notice is required after a release of a marine pollutant in a quantity exceeding 450 L (119 gallons) for liquids or 400 kg (882 pounds) for solids.

Severe marine pollutants

The materials listed in Column 2 of the table in Appendix B to 172.101 have been identified by the International Maritime Organization (IMO) as environmentally hazardous or marine pollutants. Those considered most hazardous are designated as “severe marine pollutants” and identified by the letters “PP” in Column 1.

Severe marine pollutants are subject to the regulations when in a mixture or solution and packaged in a concentration that equals or exceeds 1 percent by weight of the mixture or solution.

Combustible liquids in non-bulk packaging

• Combustible liquids, which have flashpoints higher than 140° but below 200°F (60° to below 93°C), are only subject to the HMR if they’re in bulk packaging or are a hazardous substance or marine pollutant.
• Flammable liquids with flashpoints of 100° to 140°F (38° to 60°C) count as combustible liquids for highway and rail transport, unless they fit into the definition of another hazard class.

Combustible liquids that are in non-bulk packaging and are not a hazardous substance, hazardous waste, or marine pollutant are not subject to the Hazardous Materials Regulations (HMR) (173.150[f][2]).

Furthermore, combustible liquids that are:

• In bulk packaging, or
• A hazardous substance, hazardous waste, or marine pollutant

are only subject to the hazmat regulations specified in 173.150(f)(3). This does not include labeling or security plans.

For shipments involving any air, water, or international movement, these materials are considered Class 3 (flammable) materials.

Combustible and flammable liquids

Combustible liquid is defined as any liquid that doesn’t fit the definition of any other hazard class and has a flashpoint higher than 140° but less than 200°F (60° to less than 93°C). (173.120[b][1])

A flashpoint is the minimum temperature at which a liquid gives off vapor within a test vessel in sufficient concentration to form an ignitable mixture with air near the surface of the liquid.

Class 3 (flammable) materials with flashpoints of 100° to 140°F (38° to 60°C) that do not meet the definition of any other hazard class are classed as a “combustible liquid” for transportation by highway and rail. (173.120[b][2])

Flammable liquid is defined as either:

• A liquid having a flashpoint of not more than 140°F (60°C); or
• Any material in a liquid phase with a flashpoint of at least 100°F (37.8°C) that is intentionally heated and offered for transportation or transported at or above its flashpoint in a bulk packaging, with the following exceptions:
  • Any liquid meeting one of the definitions specified in 173.115.
  • Any mixture with one or more components that have a flashpoint of at least 140°F (60°C) and make up at least 99 percent of the total volume of the mixture, if the mixture is not offered for transportation and not transported at or above its flashpoint.
  • Any liquid with a flashpoint greater than 95°F (35°C) that does not sustain combustion according to ASTM D 4206 (IBR, see 171.7) or the procedure in Part 173, Appendix H.
  • Any liquid with a flashpoint greater than 95°F (35°C) and with a fire point greater than 212°F (100°C) according to ISO 2592 (IBR, see 171.7).
  • Any liquid with a flashpoint greater than 95°F (35°C) that is in a water-miscible solution with a water content of more than 90 percent by mass.

Bulk packaging requirements

Bulk packagings are packagings in which hazardous materials are loaded with no intermediate form of containment. These include transport vehicles and freight containers, but not vessels or barges.

To be defined as a bulk packaging, a packaging must have:

• As a receptacle for a liquid: A maximum capacity greater than 119 gallons (450 L).
• As a receptacle for a solid: A maximum net mass greater than 882 pounds (400 kg) and a maximum capacity greater than 119 gallons (450 L), as a receptacle for a solid.
• As a receptacle for a gas: A water capacity greater than 1,000 pounds (454 kg).

A Large Packaging in which hazardous materials are loaded with an intermediate form of containment, such as one or more articles or inner packagings, also counts as a bulk packaging.

Who needs a hazmat security plan?

• Entities who carry and transport certain (often large) quantities of particular hazardous materials must develop and adhere to a transportation security plan.
• Exemptions from the security plan requirements include most farmers and those offering for transport or transporting combustible liquids.
• Additional security plan requirements exist for rail transportation depending on the type and quantity of the materials being transported.

Entities must develop and adhere to a security plan for hazardous materials if they offer for transportation in commerce or transport in commerce one or more of the following:

1. Any quantity of a Division 1.1, 1.2, or 1.3 material;
2. A quantity of a Division 1.4, 1.5, or 1.6 material requiring placarding;
3. A large bulk quantity of Division 2.1 material;
4. A large bulk quantity of Division 2.2 material with a subsidiary hazard of 5.1;
5. Any quantity of a material poisonous by inhalation;
6. A large bulk quantity of a Class 3 material meeting the criteria for Packing Group I or II;
7. A quantity of desensitized explosives meeting the definition of a Division 4.1 or Class 3 material requiring placarding;
8. A large bulk quantity of a Division 4.2 material meeting the criteria for Packing Group I or II;
9. A quantity of a Division 4.3 material requiring placarding;
10. A large bulk quantity of a Division 5.1 material in Packing Groups I and II; perchlorates; or ammonium nitrate, ammonium nitrate fertilizers, or ammonium nitrate emulsions/suspensions/gels;
11. Any quantity of organic peroxide, Type B, liquid or solid, temperature controlled;
12. A large bulk quantity of Division 6.1 material;
13. A select agent or toxin regulated by the Centers for Disease Control and Prevention (CDC) under 42 CFR part 73 or the United States Department of Agriculture (USDA) under 9 CFR part 121;
14. A quantity of uranium hexafluoride requiring placarding;
15. International Atomic Energy Agency (IAEA) Code of Conduct Category 1 and 2 materials including highway route controlled quantities or known radionuclides in forms listed as RAM-QC by the Nuclear Regulatory Commission; or
16. A large bulk quantity of Class 8 material meeting the criteria for Packing Group I.

Exceptions for hazmat security plans

Most farmers are not subject to the security plan requirements. The transportation activities of a farmer who generates less than $500,000 annually in gross receipts from the sale of agricultural commodities or products are not subject to the security plan requirements if such activities are:

• Conducted by highway or rail;
• In direct support of farming operations; and
• Conducted within a 150-mile radius of those operations.

The security plan requirements also do not apply to combustible liquids that are not a hazardous substance, hazardous waste, or marine pollutant in non-bulk packaging, because these are not subject to the Hazardous Materials Regulations (HMR) in general.

In addition, the security plan requirements in Part 172, Subpart I are not listed as required compliance for combustible liquids in bulk packaging or combustible liquids that are also a hazardous substance, hazardous waste, or marine pollutant. (173.150[f])

Additional requirements for rail

Each rail carrier transporting one or more of the following materials is subject to additional safety and security planning requirements:

• A highway route-controlled quantity of a Class 7 (radioactive) material;
• More than 5,000 pounds (2,268 kg) in a single carload of Division 1.1, 1.2, or 1.3 explosives; or
• A quantity of a material poisonous by inhalation in a single bulk packaging.

The additional safety and security planning requirements include:

• Compiling commodity data from the previous year;
• Analyzing the safety and security risks for the transportation route;
• Identifying practicable alternative routes over which the carrier has authority to operate;
• Selecting the route to be used based on the analysis of the above two route requirements;
• Completing the above requirements no later than the end of the calendar year following the year to which the analyses apply.

Each rail carrier must ensure that its safety and security plan includes all of the following:

1. A procedure under which the rail carrier must consult with offerors and consignees to develop measures for minimizing the duration of any storage of the material incidental to movement.
2. Measures to prevent unauthorized access to the materials during storage or delays in transit.
3. Measures to mitigate risk to population centers associated with in-transit storage.
4. Measures to be taken in the event of an escalating threat level for materials stored in transit.
5. Procedures for notifying the consignee of a significant delay during transportation.

Each rail carrier must maintain the above information so it is accessible at or through the carrier’s principal place of business and retain this information for a minimum of two years.

Security plan training requirements

• Hazmat employees must be trained on security awareness and in-depth security training.

In-depth security training requirements

Each hazmat employee of a person/company that is required to have a security plan must be trained on the security plan and its implementation. This training must include:

• Company security objectives,
• Organizational security structure,
• Specific security procedures,
• Specific security duties and employee responsibilities, and
• Actions to be taken in the event of a security breach.

Security awareness training

Every hazmat employee must receive security awareness training. New hazmat employees must receive the training within 90 days of employment.

This training must provide an awareness of security risks associated with hazardous materials transportation and methods designed to enhance transportation security. It must also include a component covering how to recognize and respond to possible security threats.

Security plan contents and handling

• A security plan must at a minimum address personnel security, unauthorized access, en route security, communication and training practices, and responsibilities for plan development and implementation.
• Security plans must be marked with “SENSITIVE SECURITY INFORMATION,” kept available to employees and officials in written form, and updated at least annually.
• Written security plans must be retained for as long as they are effective and reviewed at least annually to reflect necessary changes.

Each plan must include an assessment of possible transportation security risks for shipments of hazardous materials, including site-specific or location-specific risks associated with facilities at which the materials are prepared for transport, stored, or unloaded incidental to movement, and appropriate measures to address these risks. Specific measures may vary depending upon the level of threat.

At a minimum, a security plan must consist of the following elements:

• Personnel security. Measures to confirm information provided by job applicants hired for positions that involve access to and handling of hazardous materials covered by the security plan. These measures must be consistent with applicable federal and state laws and requirements concerning employment practices and individual privacy.
• Unauthorized access. Measures to address the assessed risk that unauthorized persons may gain access to hazmat covered by the security plan or transport conveyances being prepared for transportation of materials covered by the security plan.
• En route security. Measures to address the assessed security risks of shipments of hazmat covered by the security plan en route from origin to destination, including shipments stored incidental to movement.

In addition, a security plan must also include:

• Identification by job title of the senior management official responsible for overall development and implementation of the security plan.
• Security duties for each position or department that is responsible for implementing the plan or a portion of the plan.
• The process of notifying employees when specific elements of the plan must be implemented.
• A plan for training hazmat employees in accordance with 172.704 on security awareness and in-depth security training.

Handling sensitive security information

Security plans must be marked as Sensitive Security Information (SSI) as required by 49 CFR 15.13. Security plans on paper must include the protective marking “SENSITIVE SECURITY INFORMATION” at the top and the distribution limitation warning at the bottom of:

• The front and back cover, including a binder cover or folder;
• Any title page; and
• Each page of the document.

The distribution limitation warning must read as follows:

• WARNING: This record contains Sensitive Security Information that is controlled under 49 CFR parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know”, as defined in 49 CFR parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. government agencies, public disclosure is governed by 5 U.S.C. 552 and 49 CFR parts 15 and 1520.

Non-paper security plans must be clearly and conspicuously marked with the protective marking and distribution limitation warning so that a viewer or listener is reasonably likely to see or hear them when obtaining access to the security plan.

Security plan retention and revision

The security plan, including the risk assessment, must be in writing and must be retained as long as it remains in effect. Copies must be made available to those employees who are responsible for implementing it, consistent with personnel security clearance or background investigation restrictions and demonstrated need to know.

The security plan must be reviewed at least annually and revised and/or updated as necessary to reflect changes in circumstances. When the plan is updated or revised, all employees responsible for implementing it must be notified. All copies of the plan must be maintained as of the date of the most recent revision.

A copy of the security plan or an electronic file must be maintained at the employer’s principal place of business and must be made available upon request, at a reasonable time and location, to an authorized Department of Transportation (DOT) or Department of Homeland Security (DHS) official.