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459 

Pipeline and Haz. Matls. Safety Admin., DOT 

§ 172.802 

ammonium nitrate emulsions, suspen-
sions, or gels. 

(11) Any quantity of organic per-

oxide, Type B, liquid or solid, tempera-
ture controlled. 

(12) A large bulk quantity of Division 

6.1 material (for a material poisonous 
by inhalation see paragraph (5) above). 

(13) A select agent or toxin regulated 

by the Centers for Disease Control and 
Prevention under 42 CFR part 73 or the 
U.S. Department of Agriculture under 9 
CFR part 121. 

(14) A quantity of uranium 

hexafluoride requiring placarding 
under § 172.505(b). 

(15) International Atomic Energy 

Agency Code of Conduct (IBR, see 
§ 171.7) Category 1 and 2 materials, Nu-
clear Regulatory Commission, Cat-
egory 1 and Category 2 radioactive ma-
terials as listed in Table 1, appendix A 
to 10 CFR part 37, and Highway Route 
Controlled quantities as defined in 49 
CFR 173.403. 

(16) A large bulk quantity of Class 8 

material meeting the criteria for Pack-
ing Group I. 

(c) 

Exceptions. 

Transportation activi-

ties of a farmer, who generates less 
than $500,000 annually in gross receipts 
from the sale of agricultural commod-
ities or products, are not subject to 
this subpart if such activities are: 

(1) Conducted by highway or rail; 
(2) In direct support of their farming 

operations; and 

(3) Conducted within a 150-mile ra-

dius of those operations. 

[68 FR 14521, Mar. 25, 2003, as amended at 70 
FR 73164, Dec. 9, 2005; 71 FR 32258, June 2, 
2006; 75 FR 10988, Mar. 9, 2010; 75 FR 53597, 
Sept. 1, 2010; 76 FR 56314, Sept. 13, 2011; 85 FR 
27878, May 11, 2020; 85 FR 83381, Dec. 21, 2020] 

§ 172.802

Components of a security 

plan. 

(a) The security plan must include an 

assessment of transportation security 
risks for shipments of the hazardous 
materials listed in § 172.800, including 
site-specific or location-specific risks 
associated with facilities at which the 
hazardous materials listed in § 172.800 
are prepared for transportation, stored, 
or unloaded incidental to movement, 
and appropriate measures to address 
the assessed risks. Specific measures 
put into place by the plan may vary 

commensurate with the level of threat 
at a particular time. At a minimum, a 
security plan must include the fol-
lowing elements: 

(1) 

Personnel security. 

Measures to 

confirm information provided by job 
applicants hired for positions that in-
volve access to and handling of the haz-
ardous materials covered by the secu-
rity plan. Such confirmation system 
must be consistent with applicable 
Federal and State laws and require-
ments concerning employment prac-
tices and individual privacy. 

(2) 

Unauthorized access. 

Measures to 

address the assessed risk that unau-
thorized 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. 

(3) 

En route security. 

Measures to ad-

dress the assessed security risks of 
shipments of hazardous materials cov-
ered by the security plan en route from 
origin to destination, including ship-
ments stored incidental to movement. 

(b) The security plan must also in-

clude the following: 

(1) Identification by job title of the 

senior management official responsible 
for overall development and implemen-
tation of the security plan; 

(2) 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 security plan must be imple-
mented; and 

(3) A plan for training hazmat em-

ployees in accordance with § 172.704 
(a)(4) and (a)(5) of this part. 

(c) The security plan, including the 

transportation security risk assess-
ment developed in accordance with 
paragraph (a) of this section, must be 
in writing and must be retained for as 
long as it remains in effect. The secu-
rity plan must be reviewed at least an-
nually and revised and/or updated as 
necessary to reflect changing cir-
cumstances. The most recent version of 
the security plan, or portions thereof, 
must be available to the employees 
who are responsible for implementing 
it, consistent with personnel security 
clearance or background investigation 

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460 

49 CFR Ch. I (10–1–23 Edition) 

§ 172.804 

restrictions and a demonstrated need 
to know. When the security plan is up-
dated or revised, all employees respon-
sible for implementing it must be noti-
fied and all copies of the plan must be 
maintained as of the date of the most 
recent revision. 

(d) Each person required to develop 

and implement a security plan in ac-
cordance with this subpart must main-
tain a copy of the security plan (or an 
electronic file thereof) that is acces-
sible at, or through, its principal place 
of business and must make the security 
plan available upon request, at a rea-
sonable time and location, to an au-
thorized official of the Department of 
Transportation or the Department of 
Homeland Security. 

[68 FR 14521, Mar. 25, 2003, as amended at 75 
FR 10989, Mar. 9, 2010] 

§ 172.804

Relationship to other Federal 

requirements. 

To avoid unnecessary duplication of 

security requirements, security plans 
that conform to regulations, standards, 
protocols, or guidelines issued by other 
Federal agencies, international organi-
zations, or industry organizations may 
be used to satisfy the requirements in 
this subpart, provided such security 
plans address the requirements speci-
fied in this subpart. 

§ 172.820

Additional planning require-

ments for transportation by rail. 

(a) 

General. 

Each rail carrier trans-

porting in commerce one or more of 
the following materials is subject to 
the additional safety and security plan-
ning requirements of this section: 

(1) More than 2,268 kg (5,000 lbs.) in a 

single carload of a Division 1.1, 1.2 or 
1.3 explosive; 

(2) A quantity of a material poi-

sonous by inhalation in a single bulk 
packaging; 

(3) A highway route-controlled quan-

tity of a Class 7 (radioactive) material, 
as defined in § 173.403 of this sub-
chapter; 

(4) A high-hazard flammable train 

(HHFT) as defined in § 171.8 of this sub-
chapter; or 

(5) A quantity of UN1972 (Methane, 

refrigerated liquid or Natural gas, re-
frigerated liquid) when transported in a 
rail tank car. 

(b) Not later than 90 days after the 

end of each calendar year, a rail carrier 
must compile commodity data for the 
previous calendar year for the mate-
rials listed in paragraph (a) of this sec-
tion. The following stipulations apply 
to data collected: 

(1) Commodity data must be col-

lected by route, a line segment or se-
ries of line segments as aggregated by 
the rail carrier. Within the rail carrier 
selected route, the commodity data 
must identify the geographic location 
of the route and the total number of 
shipments by UN identification number 
for the materials specified in para-
graph (a) of this section. 

(i) A rail carrier subject to additional 

planning requirements of this section 
based on paragraph (a)(5) of this sec-
tion that has yet to transport UN 1972, 
must factor in planned shipments of 
UN 1972 to the commodity data for use 
in the paragraph (c) route analysis 
prior to initial transport of the mate-
rial. 

(ii) [Reserved] 
(2) A carrier may compile commodity 

data, by UN number, for all Class 7 ma-
terials transported (instead of only 
highway route controlled quantities of 
Class 7 materials) and for all Division 
6.1 materials transported (instead of 
only Division 6.1 poison inhalation haz-
ard materials). 

(c) 

Rail transportation route analysis. 

For each calendar year, a rail carrier 
must analyze the safety and security 
risks for the transportation route(s), 
identified in the commodity data col-
lected as required by paragraph (b) of 
this section. The route analysis must 
be in writing and include the factors 
contained in appendix D to this part, as 
applicable. 

(1) The safety and security risks 

present must be analyzed for the route 
and railroad facilities along the route. 
For purposes of this section, railroad 
facilities are railroad property includ-
ing, but not limited to, classification 
and switching yards, storage facilities, 
and non-private sidings. This term does 
not include an offeror’s facility, pri-
vate track, private siding, or con-
signee’s facility. 

(2) In performing the analysis re-

quired by this paragraph, the rail car-
rier must seek relevant information