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Safety and Security Plans and In-Depth Security Training Required by the US DOT for Shippers and Carriers of HazMat

Safety and Security Plans and In-Depth Security Training Required by the US DOT for Shippers and Carriers of HazMat

An often overlooked or misunderstood component of the Hazardous Material Regulations (HMR) is the requirement for a shipper or carrier of a hazardous material to comply with the regulations at 49 CFR 172, Subpart I which require a Safety and Security Plan and those at §172, Subpart H that require Security Awareness Training and In-Depth Security Training.  The purpose of this article is to explain the method for determining applicability to these regulations.

Determining the applicability of these regulations to your operations is important for two reasons:

  1. Not all HazMat shippers and carriers are subject to these regulations.
  2. Many in the regulated community remain unaware that the applicability determination regulations changed effective October 1, 2010.

We’ll begin with  Security Awareness Training which since 2003 has been required to be included with triennial HazMat Employee Training per §172.704(a):

Each hazmat employee must receive training that provides 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.

So, if you are a HazMat Employer with HazMat Employees (and if you’re reading this article, you are and you do) then you must include a section on Security Awareness Training with your current HazMat Employee training.  This training must be provided within 90 days of new hire or job responsibility and updated at least once every three years thereafter.

The determination of the applicability of a Safety and Security Plan and In-Depth Security Training to your operations is more complex and requires a review of the regulations at §172.800(b), see below.  Found in Subpart I of Part 172, these regulations apply only to the determination of the need for a  Safety and Security Plan.  However, in Subpart H at §172.704(a)(5) you read that In-Depth Security Training is required for:

Each hazmat employee of a person required to have a security plan in accordance with subpart I of this part who handles hazardous materials covered by the plan, performs a regulated function related to the hazardous materials covered by the plan, or is responsible for implementing the plan must be trained concerning the security plan and its implementation.

Therefore, the regulations at §172.800(b) can be used to determine your need for both a Safety and Security Plan and In-Depth Security Training.   Both are required for each person who offers for transportation in commerce (a shipper) or transports in commerce (a carrier) one or more of the following hazardous materials:

(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 in accordance with subpart F of this part;

(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, as defined in § 171.8 of this subchapter;

(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 Division 4.1 or Class 3 material requiring placarding in accordance with subpart F of this part;

(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 in accordance with subpart F of this part;

(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, or gels;

(11) Any quantity of organic peroxide, Type B, liquid or solid, temperature 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 United States 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 (IAEA) Code of Conduct Category 1 and 2 materials including Highway Route Controlled quantities as defined in 49 CFR 173.403 or known radionuclides in forms listed as RAM-QC by the Nuclear Regulatory Commission;

(16) A large bulk quantity of Class 8 material meeting the criteria for Packing Group I.

§172.800(b) defines a large bulk quantity:

As used in this section, “large bulk quantity” refers to a quantity greater than 3,000 kg (6,614 pounds) for solids or 3,000 liters (792 gallons) for liquids and gases in a single packaging such as a cargo tank motor vehicle, portable tank, tank car, or other bulk container.

The sole exception to these regulations is found at §172.800(c) and applies to small farming operations.

If you are engaged in any of the above activities, you must complete the following:

  • Implement a Safety and Security Plan pursuant to §172.802 (with additional requirements for shipment of HazMat by rail at §172.820).
  • Immediately provide In-Depth Security Training for applicable personnel  pursuant to §172.704(a)(5).  Updated training must be provided at least once every three years thereafter and within 90 days of any update or changes to the Safety and Security Plan.

If you are subject to these regulations, then you are clearly subject to the remainder of Subpart H of 49 CFR 172, which requires triennial HazMat Employee training for any employees responsible for the safe transportation of hazardous materials.  Contact me for a free consultation of your responsibilities for compliance with any aspect of the Hazardous Materials Regulations.