[Federal Register Volume 67, Number 31 (Thursday, February 14, 2002)]
[Notices]
[Pages 6963-6966]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-3636]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

[RSPA-2002-11270, Notice No. 02-4]


Advisory Notice; Enhancing the Security of Hazardous Materials in 
Transportation

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Advisory notice.

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SUMMARY: This notice advises shippers and carriers of voluntary 
measures to enhance the security of hazardous materials shipments 
during

[[Page 6964]]

transportation. The notice addresses personnel, facility, and en route 
security issues and includes contact points for obtaining additional, 
more detailed information.

FOR FURTHER INFORMATION CONTACT: Susan Gorsky, Office of Hazardous 
Materials Standards, Research and Special Programs Administration, 
telephone (202) 366-8553.

SUPPLEMENTARY INFORMATION: As a result of the terrorist attacks on the 
World Trade Center and the Pentagon on September 11, 2001, and 
subsequent threats related to biological materials, the Research and 
Special Programs Administration (RSPA, we) is engaged in a broad review 
of government and industry hazardous materials transportation safety 
and security programs. As part of this review, we established the 
Hazardous Materials Direct Action Group (Hazmat DAG). The Hazmat DAG 
met with representatives of the hazardous materials industry, emergency 
response community, and state governments to discuss transportation 
security issues in the wake of the September 11 attacks and continuing 
terrorist threats.
    In the wrong hands, hazardous materials pose a significant security 
threat, particularly those that may be used as weapons of mass 
destruction. Persons who offer, transport, or store hazardous materials 
in transit should review their security measures and make any necessary 
adjustments to ensure the security of hazardous materials shipments.
    Based in part on discussions in the Hazmat DAG and on the results 
of our initial internal review of ongoing security programs and 
practices, we identified a number of actions for persons involved in 
the transportation of hazardous materials to implement to enhance 
security. You should consider actions commensurate with the level of 
threat posed by the specific hazardous materials you handle. These 
possible actions are not government regulations or mandates. However, 
we strongly suggest that you consider implementation of the following 
measures as appropriate to your industry and operations.

I. Security Plan

    The most important action a shipper or carrier should consider is 
the development and implementation of a security plan. You can use a 
risk management model to assess security risks and develop appropriate 
measures to reduce or eliminate risk. Most risk management models 
utilize the following steps:
    (1) Identify areas of concern and partners that may be affected or 
with whom coordination may be appropriate;
    (2) Assemble detailed information on system operations;
    (3) Identify control points where interventions can reduce or 
eliminate risk;
    (4) Select and prioritize options to meet identified security 
goals;
    (5) Take action to implement the strategy;
    (6) Verify implementation of the strategy; and
    (7) Evaluate the effectiveness of the strategy to determine whether 
additional actions are necessary.
    You may first want to list materials you handle, and identify those 
materials with the potential to be used as weapons of mass destruction 
or targets of opportunity. Then, consider a review of your current 
activities and operations from a transportation security perspective. 
Ask yourself, ``What are we doing now? What could go wrong? What can we 
do differently?'' The next step is to consider how to reduce the risks 
you have identified. For hazardous materials transportation, a security 
plan likely will focus on personnel, facility, and en route security 
issues. To assist you in performing appropriate risk assessments, we 
posted a Risk Management Self-Evaluation Framework on our website 
(http://hazmat.dot.gov).

II. Personnel Security

    Your employees can be one of your most critical assets as you 
endeavor to improve the security of your shipping or transportation 
operations. You should consider taking one or more of the following 
actions:
     Assure your employees are familiar with your security plan 
and properly trained in its implementation. Training should include 
company security objectives, specific security procedures, employee 
responsibilities, and organizational security structure.
     Encourage your employees to report suspicious incidents or 
events.
     Implement routine security inspections.
     Convene regular employee/management meetings on security 
measures and awareness.
     Have an internal communication system to inform your staff 
of events, facts, trends, updates, and the like. Because Internet 
communications may be accessed by others, consider alternative methods 
for communicating sensitive information.
    At the same time, you should be aware of the possibility that 
someone you hire may pose a potential security risk. You should 
consider establishing a process to verify the information provided by 
applicants on application forms or resumes, including checking with 
former and current employers and personal references provided by job 
applicants.

III. Facility Security

    You should consider taking one or more of the following steps to 
prevent unauthorized access to your facility:
     Establish partnerships with local law enforcement 
officials, emergency responders and other public safety agencies with 
jurisdiction over your facility. Through such relationships, you can 
learn about threats, trends, and successful and unsuccessful security 
programs.
     Request a review of your facility and security program by 
local law enforcement officials.
     Restrict the availability of information related to your 
facility and the materials you handle. Encourage authorities in 
possession of information about your facility to limit disclosure of 
that information on a need-to-know basis.
     Add security guards and increase off-hours patrols by 
security or law enforcement personnel.
     Improve fencing around your facility. Check the adequacy 
of locks and other protective equipment. Consider equipping access 
gates with timed closure devices. Conduct frequent inspections.
     Install additional lights, alarm systems, or surveillance 
cameras.
     Restrict access to a single entry or gate.
     Place limits on visitor access; require visitors to 
register and show photo identification and have someone accompany 
visitors at all times.
     Require employees to display identification cards or 
badges.
     Conduct security spot checks of personnel and vehicles.
     Upgrade security procedures for handling pick-ups and 
deliveries at your facilities. Verify all paperwork and require pick-
ups and deliveries to be handled only by appointment with known 
vendors. Require vendors to call before a delivery and to provide the 
driver's name and vehicle number. Accept packages and deliveries only 
at the facility front gate.
     Secure hazardous materials in locked buildings or fenced 
areas. Have a sign-out system for keys.
     Secure valves, manways, and other fixtures on 
transportation equipment when not in use. Lock all vehicle and delivery 
trailer doors when not in use. Secure all rail, truck, and barge

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containers when stored at your location. Use tamper-resistant or 
tamper-evident seals and locks on cargo compartment openings.
     Periodically inventory the quantity of hazardous materials 
you have on site in order to recognize if a theft has occurred.
     Keep records of security incidents. Review records to 
identify trends and potential vulnerabilities.
     Report any suspicious incidents or individuals to your 
local Federal Bureau of Investigation (FBI) office and to local law 
enforcement officials.

IV. En Route Security

    Shippers and carriers can work together to assure the security of 
hazardous materials shipments en route from origin to destination:
     Shippers should assess the transportation modes or 
combinations of modes available for transporting specific materials and 
select the most appropriate method of transportation to assure 
efficient and secure movement of product from origin to destination.
     Know your carriers. Have a system for qualifying the 
carriers used to transport hazardous materials. Use carrier safety 
ratings, assessments, safety surveys, or audits and ask the carrier to 
provide information on security measures it has implemented. Verify the 
carrier has an appropriate employee hiring and review process, 
including background checks, and an on-going security training program.
     Verify the identity of carrier and/or driver prior to 
loading a hazardous material. Ask the driver for photo identification 
and commercial drivers license and compare with information provided by 
the carrier. Ask the driver to tell you the name of the consignee and 
the destination for the material and confirm with your records before 
releasing shipments.
     Identify preferred and alternative routing, including 
acceptable deviations. Strive to minimize product exposures to 
communities or populated areas, including downtown areas; avoid tunnels 
and bridges where possible; and expedite transportation of the shipment 
to its final destination.
     Minimize stops en route; if you must stop, select 
locations with adequate lighting on well-traveled roads and check your 
vehicle after each stop to make sure nothing has been tampered with. 
Consider using two drivers or driver relays to minimize stops during 
the trip. Avoid layovers, particularly for high hazard materials.
     Shippers and rail carriers should cooperate to assure the 
security of rail cars stored temporarily on leased track.
     If materials must be stored during transportation, make 
sure they are stored in secure facilities.
     Train drivers in how to avoid highjacking or stolen 
cargo--keep vehicles locked when parked and avoid casual conversations 
with strangers about cargoes and routes.
     Consider if a guard or escort for a specific shipment or 
hazardous material is appropriate.
     Consider utilizing advanced technology to track or protect 
shipments en route to their destinations. For example, you may wish to 
install tractor and trailer anti-theft devices or utilize satellite 
tracking or surveillance systems. As an alternative, consider frequent 
checks with drivers by cell phone to ensure everything is in order.
     Install tamper-proof seals on all valves and package or 
container openings.
     Establish a communication system with transport vehicles 
and operators, including a crisis communication system with primary and 
back-up means of communication among the shipper, carrier, and law 
enforcement and emergency response officials.
     Implement a system for a customer to alert the shipper if 
a hazardous materials shipment is not received when expected. When 
products are delivered, check the carrier's identity with shipping 
documents provided by the shipper.
     Get to know your customers and their hazardous materials 
programs. If you suspect you shipped or delivered a hazardous material 
to someone who may intend to use it for a criminal purpose, notify your 
local FBI office or local law enforcement officials.
     Report any suspicious incidents or individuals to your 
local FBI office and to local law enforcement officials.

V. Additional Information

    Up-to-date information is a key element of any security plan. You 
should consider methods to: (1) Gather as much data as you can about 
your own operations and those of other businesses with similar product 
lines and transportation patterns; (2) develop a communications network 
to share best practices and lessons learned; (3) share information on 
security incidents to determine if there is a pattern of activities 
that, when considered in isolation are not significant, but when taken 
as a whole generate concern; and (4) revise your security plans as 
necessary to take account of changed circumstances and new information.
    The following resources may be helpful:

Federal Agencies

Research and Special Programs Administration, U.S. Department of 
Transportation, 400 7th Street, SW., Washington, DC 20590, 
Telephone: 800-467-4922 (Hazardous Materials Information Center), 
http://hazmat.dot.gov">hazmat.dot.gov (Hazmat Safety Homepage)
Federal Aviation Administration, 800 Independence Avenue, SW., 
Washington, DC 20591, Telephone: 202-366-4000, www.faa.gov
Federal Motor Carrier Safety Administration, U.S. Department of 
Transportation, 400 7th Street, SW., Washington, DC 20590, 
Telephone, www.fmcsa.dot.gov 
Federal Railroad Administration, U.S. Department of Transportation, 
1120 Vermont Ave., NW., Washington, DC 20590, Telephone, 
www.fra.dot.gov 
United States Coast Guard, 2100 Second Street, SW., Washington, DC 
20593, Telephone: 202-267-2229, www.uscg.mil 
Environmental Protection Agency, Ariel Rios Building, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460, Telephone: 202-260-
2090, www.epa.gov 
Occupational Safety and Health Administration, 200 Constitution 
Avenue, NW., Washington, DC 20210, Telephone, www.osha.gov 

Industry Associations and Organizations

American Chemistry Council, 1300 Wilson Boulevard, Arlington, 
Virginia 22209, Telephone: 703-741-5000, www.americanchemistry.com 
American Petroleum Institute, 1220 L Street, NW., Washington, DC 
20005, Telephone: 202-682-8000, www.api.org 
American Society for Industrial Security, 1625 Prince Street, 
Alexandria, Virginia 22314, Telephone: 703-519-6200, 
www.asisonline.org 
American Trucking Associations, 2200 Mill Road, Alexandria, Virginia 
22314, Telephone: 703-838-1700, www.truckline.com 
Association of American Railroads, 50 F Street, NW., Washington, DC 
20001-1564, Telephone: 202-639-2100, www.aar.org 
Center for Chemical Process Safety, American Institute of Chemical 
Engineers, 3 Park Ave, New York, N.Y. 10016-5991, Telephone: 212-
591-7319, www.aiche.org/ccps 
Chlorine Institute, Suite 506, 2001 L Street, NW., Washington, DC 
20036, Telephone: 202-775-2790, www.cl2.com 
Compressed Gas Association, Suite 1004, 1725 Jefferson Davis 
Highway, Arlington, Virginia 22202, Telephone: 703-412-0900, 
www.cganet.com 
Fertilizer Institute, Union Center Plaza, Suite 430, 820 First 
Street, NE., Washington, DC 20002, Telephone: 202-962-0490, 
www.tfi.org 
Institute of Makers of Explosives, Suite 310, 1120 19th Street, NW., 
Washington, DC 20036, Telephone: 202-429-9280, www.ime.org 
National Association of Chemical Distributors, Suite 1250, 1560 
Wilson Boulevard, Arlington, Virginia 22209, Telephone: 703-527-
6223, www.nacd.com 

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National Propane Gas Association, Suite 100, 600 Eisenhower Lane, 
Lisle, Illinois 60532, Telephone: 630-515-0600, www.npga.org 
National Tank Truck Carriers, 2200 Mill Road, Alexandria, Virginia 
22314, Telephone: 703-838-1960, www.tanktransport.com 
Security Industry Association, 635 Slaters Lane, Alexandria, 
Virginia 22314, www.siaonline.org 
Synthetic Organic Chemical Manufacturers Association, Suite 700, 
1850 M Street, NW., Washington, DC 20036, Telephone: 202-721-4100, 
www.socma.com 

    The above listing is by no means exhaustive; other government and 
private organizations have developed or are developing hazardous 
materials transportation security guidelines.

    Issued in Washington, DC, on February 10, 2002.
Robert A. McGuire,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 02-3636 Filed 2-13-02; 8:45 am]
BILLING CODE 4910-60-P