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
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