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In the last few decades suicide bombings, terrorist attacks, and domestic terrorism have increased dramatically. Many of these violent acts were conducted using hazardous materials to create mass explosions. To reduce this threat, the Hazardous Materials Regulations require shippers and carriers of certain high-value hazardous materials to have a security plan. The security plan is designed to protect high-value shipments of hazardous materials from malicious misuse, sabotage, and diversion.
Scope
Each person who offers for transportation in commerce or transports in commerce one or more of the following hazardous materials must develop and adhere to a security plan for hazardous materials. Used below, “large bulk quantity” means a quantity greater than 6,614 pounds for solids or 792 gallons for liquids and gases in a single packaging.
- Any quantity of a Division 1.1, 1.2, or 1.3 material,
- A quantity of a Division 1.4, 1.5, or 1.6 material requiring placarding,
- A large bulk quantity of Division 2.1 material,
- A large bulk quantity of Division 2.2 material with a subsidiary hazard of 5.1,
- Any quantity of a material poisonous by inhalation,
- A large bulk quantity of a Class 3 material meeting the criteria for Packing Group I or II,
- A quantity of a desensitized explosives meeting the definition of a Division 4.1 or Class 3 material requiring placarding,
- A large bulk quantity of a Division 4.2 material meeting the criteria for Packing Group I or II,
- Any quantity of a Division 4.3 material,
- 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, or gels,
- Any quantity of organic peroxide, Type B, liquid or solid, temperature controlled,
- A large bulk quantity of Division 6.1 material,
- A select agent or toxin regulated by the Centers for Disease Control or the United States Department of Agriculture,
- A quantity of uranium hexafluoride requiring placarding,
- International Atomic Energy Agency (IAEA) Code of Conduct Category 1 and 2 materials including Highway Route Controlled quantities or known as radionuclides in forms listed as RAM-QC by the Nuclear Regulatory Commission,
- A large bulk quantity of Class 8 material meeting the criteria for Packing Group I.
The security plan requirements do not apply to combustible liquids because of exceptions found in 173.150(f). In 173.150(f)(2) combustible liquids, that are not a hazardous substance, hazardous waste, or marine pollutant, in non-bulk packaging are not subject to the Hazardous Materials Regulations (this includes security plans). In addition, in 173.150(f)(3) 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.
Regulatory citations
- 49 CFR 172 Subpart I — Safety and Security Plans
Key definitions
- Commerce: Trade or transportation in the jurisdiction of the United States within a single state; between a place in a state and a place outside of the state; that affects trade or transportation between a place in a state and place outside of the state; or on a United States-registered aircraft.
- Person: An individual, corporation, company, association, firm, partnership, society, joint stock company; or a government, Indian Tribe, or authority of a government or Tribe, that offers a hazardous material for transportation in commerce, transports a hazardous material to support a commercial enterprise, or designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container, or packaging component that is represented, marked, certified, or sold as qualified for use in transporting hazardous material in commerce.
- Person who offers: Any person who performs, or is responsible for performing, any pre-transportation function or tenders or makes the hazardous material available to a carrier for transportation in commerce.
Summary of requirements
A security plan must contain a risk assessment, which must include 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 the assessed risks.
At a minimum, a security plan must include the following elements:
- Personnel security. Measures to confirm information provided by job applicants hired for positions that involve access to and handling of the hazardous materials covered by the security plan. Such confirmation system 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 the hazardous materials covered by the security plan or transport conveyances being prepared for transportation of the hazardous materials covered by the security plan.
- En route security. Measures to address the assessed security risks of shipments of hazardous materials 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 and the process of notifying employees when specific elements of the plan must be implemented, and
- A plan for training hazmat employees in accordance with 172.704 on security awareness and in-depth security training.
Retention, availability, and revisions. The security plan, including the risk assessment, must be in writing and retained for as long as it remains in effect. Copies of the security plan must be made available to all employees who are responsible for implementing it.
The security plan needs to be reviewed at least annually and revised and/or updated as necessary to reflect changing circumstances. When the security plan is updated or revised, all employees responsible for implementing it must be notified and 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 DOT or DHS official.
Training. Hazmat employees of employers that are required to have a security plan must receive in-depth security training on the security plan and its implementation. In-depth security training must include company security objectives, organizational security structure, specific security procedures, specific security duties and employee responsibilities, and actions to be taken by each employee in the event of a security breach.