CHAPTER 11
Security

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TABLE OF CONTENTS

[each of the little knights is a link to that item]

Goals and Objectives
History
HazMat Endorsement
HazMat Security Plan
HazMat Security Training Requirements
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Goals and Objectives

Lesson Goal:

Familiarize the student with recent additions to Title 49 Code of Federal Regulations (CFR) regarding security of hazardous materials in transportation, including:

Department of Transportation (DOT) Pipeline and Hazardous Materials Safety Administration (PHMSA) training requirements (49 CFR172.704) and security plan requirements (49 CFR172.800 & 802);

DOT Federal Motor Carrier Safety Administration (FMCSA) requirements for a hazardous materials transportation endorsement (49 CFR parts 383 & 384);

Department of Homeland Security (DHS) Transportation Security Administration (TSA) requirements for land transportation security (49 CFR parts 1570 & 1572).

Lesson Objectives:

Upon completion of this lesson:

Given a commercial cargo shipment of hazardous materials, the student will be able to explain the hazardous materials training requirments, plan requirements, and hazardous materials endorsement requirements as they pertain to land transportation (highway) security as defined in 49 CFR parts 172, 383, 384, 1570, and 1572

Recommended Time:

Approximately 3 hours

Materials Required:

Course outline would help. It's on the CD/DVD.

And don't forget you 49 CFR.

Standard:

At the conclusion of this course the accomplishment of the objectives of this lesson will be demonstrated by completing a 25 question written final-term examination, approximately 10% of which will relate to the material covered in this lesson.
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Lesson Conventions
INFORMATION:

When a reference is made to a section of the California Vehicle Code (CVC) it will be highlighted in green: (CVC15210(k))

When a reference is made to a section of Title 49 of the Code of Federal Regulations (CFR) it will be highlighted in blue: (49CFR383.5)

is a symbol that means "Section". 49CFR383.5 means Title 49, Code of Federal Regulations, Section 383.5.

These little incidents are a link to what ever is next to it.
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ACTION:

In your Student Guide you should be open to Chapter 11 Security. We will begin on page 11-5, paragraph I "History". For the most part you will not need your 49 CFR during this first discussion becuase it is mostly a narrative. But don't put your 49 CFR away because we will be visiting it later in this lesson.

DISCUSSION 1: History

The transportation has always been vulnerable to attack while on the road (also rail, water, and air), primarily for cargo theft. This is because the driver is out there on the road alone and might be a hauling valuable carge. This could include hijacking, burglary while the truck is parked, or they could just steal the whole truck and load. About 80% or such attacks occur while the load is in transit and the rest at the yard or company facility. Law enforcement and the public give this type of crime a low priority because it is considered a victimless crime and it is all "covered by insurance" and nobody is real concerned with the insurance company's losses. Current estimates are that about $10 to $12 billion a year are lost to such crimes and could soon reach about $20 billion per year. It is a major issue because we all pay for it through premiums and higher prices.

Modern theives are becoming more organized and are taking advantage of modern technology such as GPS and cell phones. Also, employees are involved in quite a number of the thefts by either giving away the cargo or providing information about shipments, routes, etc.

And, since September 11, 2001, we have the additonal threat of terrorists. They could contaminate fuels or food shipments. Hijack explosives, compressed gases, flammables, or radioactive materials to use as weapons. It might be foreign terrorists bent on destroying our way of life or home grown extremist (animal rights activists, environmental activists, or anti-war groups, for instance) that take issue with government policy. There are also concerns that in the future they may employ CBR (chemical, biological, and radiological) weapons, contaminate or destroy food at the source (agroterrorism), interfer with communications (cyberterrorism), or use sound or electromagnetism as weapons. And everybody is at risk. That includes the public, transportation employees, public and private facilities and equipment, and cargo. Just eveyone and everything.

Since 9/11 the government has taken a more active role in threat assessment and increasing security. The "Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act" (USA PATRIOT Act) ( click on the knight for the Patriot Act in its entirety) became law on October 26, 2001, only about 45 days after the attack. That is swift by congressional standards. There are currently some amendments before congress and the president, but they are not up on the net as yet. But keep looking if you are interested.

Section 5103a if this act placed limitations on the issuance of the Hazardous Materials Endorsement on Commercial Drivers Licenses. This is one of the heavy items we will look at in this course because it is one that really affects HazMat transportation. But first on with some more history.

On November 19, 2001 (those folks were still moving pretty fast) the "Aviation and Transportation Security Act" was passed and that created the "Transportation Security Administration (TSA)" within DOT. This is the act that got all the baggage checkers at the airport converted to government employees and a lot of other stuff.

On November 25, 2002, the "Homeland Security Act" became law and created the Department of Homeland Security (DHS)". At that time TSA was transferred from DOT to DHS. It is TSA that promulgates 49 CFR parts 1570 and 1572. These sections are not in your 49 CFR (it only goes to part 180) but they are on line and I have included much of the regulations in Appendix A of Chapter 11 of your student guide.

Also, if you look on page 11-8 of your student guide you will see a list of documents that may be of interest. Some I have included on your CD in the folder "SecurPDF". Others you might look up on-line. There are links to federal regulations in the "External Links" button on the BlackBoard. Some of the regulations (part 383 & 384) can be found in the same appendix as 1570 & 1572. We are not going to do an in-depth discussion of these documents but I have made them available if you want to look them over.
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ACTION:

In your Student Guide you should be open to Chapter 11 Security. We will begin on page 11-9, paragraph II "HazMat Endorsement". We won't be going very much into your 49 CFR at this time because much of what we will discuss here is in parts 383, 384, 1570, and 1572 and those are not in your book. You can access them by going to the CFR link in the External Link section of BlackBoard. But don't put your 49 CFR away because we will be visiting 172.700 and 800 sections later.

DISCUSSION 2: HazMat Endorsement

The primary item of concern for us in the PATRIOT ACT is the insertion of 49 USC5103a which places limitiations on the issuance of a HazMat endorsement for commercial drivers licenses.

What that sections says is that a state may not issue a HazMat license or renew a HazMat license (the endorsement) unless the Secretary of the DOT determines that the individual does not pose a security risk. So when a state requests a security check on an applicant for a HazMat endorsement, DOT (it is actually TSA who asks for thge background check and, if the individual is not a security risk, approves the endorsement, which was part of DOT at the time the law was written, but they have moved to DHS, but the law apparently still says the Secretary of DOT) asks the FBI, through the Attorney General, to do a background check and report back to DOT whether the individual poses a security risk. The FBI will check criminal history, immigration status in the US, and records with Interpol.

The Federal Motor Carrier Safety Administration has similiar requirements in 49 CFR383.71 to 73. They also do not allow a learner's permit for HazMat. [49 CFR383.23(c)(3)]

The individual should apply for the endorsement or renewal at least 90 days before his license expires becuase it could take that long for the background check. If the individual is from a foreign country the process could take longer.

The state is also required to comply with all background check requirements of 49 CFR part 1572 and 49 CFR383.141.

49 CFR part 1572 is promulgated by TSA, within DHS, and is included in Appendix A of Chapter 11 of your student guide. Also, on page 11-12 through 11-14 is a list of various aspects of the TSA requirements for approval or disapproval of a HazMat endorsement. It explains the individual's responsibilities and the state's responsibilities during the application process. It also includes the procedures for threat assessment and disqualifying criminal offenses (page 11-14). It is not necessary that you memorize all these issues. This information is provided so that you may later locate the current requirements if needed. It could be of benefit to review the sections just to get a feel for what is going on in the background check.
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ACTION:

In your Student Guide you should be open to Chapter 11 Security. We will begin on page 11-15, paragraph III "HazMat Security Plan". Break out you 49 CFR because this is where we will be visiting the 49 CFR172.800 sections. OK, carry on.

DISCUSSION 3: HazMat Security Plan

49 CFR172.800 through 804

First off, you need to determine whether you need to develop a security plan. 49 CFR172.800 lists several criteria that would require you to develop and implement a HazMat Security Plan.

1

If you transport a Route Controlled Quantity of Radioactive Material.

2

If you transport 55 pounds or more ot explosives 1.1 - 1.3.

3

If you transport more than 1L or a material poison by inhalation.

4

If you transport bulk (3500 gallons of liquid or gas, 468 cubic feet of solid).

5

If you transport non-bulk (5000 pounds if placard is required).

6

If you transport a toxin regulated by CDC under 42 CFR (etiologic agent).

7

If you transport any load requiring a placard.

Most of this list appears redundant since all but #6 requires a placard and would fall under #7 anyway. But I don't write the regulations.

Now, if you determine that you are required to develop a plan, then you must take several steps.

First do a threat assessment. How attractive is your cargo to thieves or terrorists? How and where might you be vulnerable to thieves or terrorists? How secure are your records? Facility? Personnel? And anything else you can think of.

Once you have identified the threat then you must develop countermeasures. It might involve restricted communications, fenses around your facility, background checks, guards, vehicels tracking systems, personnel identification badges, security monitoring cameras, etc. Whatever is necessary to overcome the threat.

The minimum requirements of the plan include personnel security. Here you would take measures to insure that the information on a job applicant's application is valid. You might also do a background check (be aware of state and federal privacy laws, the are different in each state and constantly change with court decisions). This would include all employees not just drivers. Your clerical staff might have access to personnel records, pay records, route and customer records, and a lot of other sensitive information that could aid theives or terrorists.

Another minimum aspect is facility security. You need to control who has access to you loading, dock, storage, and records area. You can not have just everyone wandering around with access to you cargos, vehicles, and data. Don't forget to protect your on-line data aw well.

One of the most difficult is en route security. How do you keep you cargo and driver safe while they are on the road? What routes does the driver follow? Where does they park for rest? To eat? How do you communicate? What is the proper action during an attempted hijack? Appropriate action if someone is tampering with the vehicle or load? And a miriad of other concerns while on the road.

If you look at Appendix C of Chapter 11 of your student guide you will find a sample security plan that I developed. It is an actual plan developed for a tank truck transporter and modified for this lesson. If you look through the plan you will see how some risks were considered and what countermeasures were put in place to minimize those risks.

Also note that every page is marked "SECURITY SENSITIVE INFORMATION" and includes a "WARNING" on the bottom. This is not just a cool idea, it is required by 49 CFR15.13.

So, review the sample plan. Then if you ever need to develop on yourself you won't have to start from scratch.
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ACTION:

In your Student Guide you should be open to Chapter 11 Security. We will begin on page 11-19, paragraph IV "HazMat Security Training Requirements". Break out you 49 CFR because this is where we will be visiting the 49 CFR172.700 sections. So please continue.

DISCUSSION 4: HazMat Security Training Requirements

49 CFR172.700 to 704 (also known as Subpart H)

This subpart is very short (only 5 sections) and states all the training requirements for HazMat employees (look in 49 CFR171.8 for a definition of HazMat Employee).

The key section is 49 CFR172.704. This is where it is spelled out what the training requirements are.

49 CFR172.704(a)(1) describes the general awareness and familiarization requirements for all HazMat employees. That is essentially what this entire course covers. When you are done with this course you should have a general awareness of the contents of Subchapter C the HMR. Right? I hope so, at least.

49 CFR172.704(a)(2) requires function specific training. If you are a driver there will be certain things that you will need to be trained on that would not apply to the clerk that types up shipping papers. While that clerk would require in-depth instruction on the proper preparation of shipping papers. So whatever your job is, you are required to be trained in how to do that job in addition to the general awareness training.

49 CFR172.704(a)(3) requires Safety Training, Each employee must be trained in what hazards are associated with the HazMat they might deal with and how to protect themselves from injury and exposure. Again, the nature of the job the employee performs will dictate the nature of the safety training required. Drivers would require different safety training that a loader or the clerk that prepares the paperwork.

Then we come to 49 CFR172.704(a)(4). This is where we find the requirments for HazMat "Security Awareness Training". Here the employee would be trained to be aware of the security risks associated with their employement and methods to enhance security in light of those risks. They must also be trained on how to recognized possible security threats.

And finally the In-depth Security Training required by 49 CFR172.704(a)(5). This section requires that any employee of a company that requires a HazMat security plan must train all of its employees on the contents of the security plan and its implementation. This training must include the security objectives of the company, specific security procedures, employee responsibilities, actions to take in the event of a security breach, and the organizational security structure.

All of this required training must be completed within 90 days of employment and every three years thereafter. [49 CFR172.704(c)]

Your company must keep records of this training. The record must include the name of the employee, date of training, a copy of the training materials, name and address of the person providing the training, and a certification that the employee has been trained and tested as required by this subpart. [49 CFR172.704(d)] You know the interesting part of that section is that it gives no guidlines about the test, not how long it should be or what or how many questions. It doesn't even require the employee pass the test. Just that he take the test. Hmmmmm!

Another issue about certifying the training is that it is the company that certifies that the employee has been trained, not an outside trainer. So if you the company, I would be reluctant to test this issue by certifying an employee that got a "0" on the test I gave. Think about it.

I have also been unable find any specific requirements for the trainer. So it will be up to you to evaluate the trainers qualifications. Myself, for instance. I have included quite a bit of HazMat background on me back in the early part of this course. That will give you and example of the type of stuff you might consider if you hire and outside trainer.

Now, if you look in Appendix B of Chapter 11 in your student guide you will see a sample HazMat Security Lesson Plan based on the HazMat Security Plan in Appendix C. Review that sample lesson plan to see how the training might go. Then if you are ever called upon to present such training you will have your student guide (for awareness training) and the sample lesson plan (for security training) available to use. I hope this stuff helps with both your plan and training.
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ACTION:

Well, guess what. You've done it. You have survived "Safety and Security in Hazardous Materials Transportation" as presented by the University of California, Riverside, Extension University. Now all you have to do is get you completed project mailed in for grading and then take the 25 question multiple choice final exam.

Your project is due next week and it is important to everyone that they all be submitted on time. Late projects could delay the project review for everyone.

The final exam will also be next week.

Once you complete the exam I will eMail the individual with the grade. Once I have all projects in and graded I will eMail each individual the project grade and final course grade.

Okay?

Then relax until next week.
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