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TOOLKIT FOR Hazardous Materials Transportation Education

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1 TOOLKIT FOR Hazardous Materials Transportation Education

2 Module 3: Hazmat Legal and Regulatory Environment
This work is sponsored by the U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA).  It was conducted through the Hazardous Materials Cooperative Research Program (HMCRP), which is administered by the Transportation Research Board of the National Academies. Prepared by 3 Sigma Consultants, LLC 909 Edenbridge Way, Nashville, TN 37215 Module 3: Hazmat Legal and Regulatory Environment

3 Learning Outcomes At the end of this module students will be able to:
Identify the principal regulations governing hazmat transportation. Explain the general layout of the hazardous materials regulations and locate provisions that are applicable to specific shipping situations. Describe the operational elements required for the safe and secure movement of hazmat within the applicable regulatory requirements.

4 Topics Hazmat transportation regulatory context
Overview of legal, and regulatory process Hazmat legislation and regulations USDOT regulations Compliance and enforcement Other regulatory requirements, standards, and guidelines Issues involving multiple/overlapping regulations

5 The Hazardous Materials Regulations (HMR)
This module is for educational purposes only. It does not substitute for the actual HMR. For authoritative information consult the latest edition of the HMR and the final rules published in the Federal Register. https://www.federalregister.gov/ Source: PHMSA, USDOT, July 2012.

6 Why Regulate Hazmat Transportation?
The dangerous goods transported, if released or ignited, could cause harm to human health or the environment. Some releases are catastrophic. Texas City, TX, cargo ship explosions, April 1947 Waverly, TN, LP gas tank car, February 1978 Caldecott Tunnel, CA, April 1982 Baltimore, MD, rail tunnel fire, July 2001 Texas City 16 April 1947, over 2,000 tons of ammonium nitrate fertilizer ignited in the hold of the French Liberty ship Grandcamp, which disintegrated in a prodigious explosion heard as far as 241 km (150 mi) distant. A huge mushroom like cloud billowed more than 610 m (2,ooo ft) into the morning air, the shockwave knocking two light planes flying overhead out of the sky. A thick curtain of steel shards scythed through workers along the docks and a crowd of curious onlookers who had gathered at the head of the slip at which the ship was moored. Blast over pressure and heat disintegrated the bodies of the firefighters and ship's crew still on board. At the Monsanto plant, located across the slip, 145 of 450 shift workers perished. Waverly, TN About 10:25 p.m., on February 22, 1978, 23 cars of a Louisville & Nashville Railroad Company train derailed at a facing point switch in Waverly, Tennessee. At 2:53 p.m., on February 24, 1978, a derailed tank car containing liquefied petroleum gas ruptured, releasing the product which ignited with an explosive force. As a result, 16 persons died and 43 were injured; property damage was estimated at $1,800,000. Caldecott Tunnel On the night of April 7, 1982, a drunk driver in the Caldecott Tunnel, CA, hit the tunnel wall and then pulled to the left lane to inspect the vehicle. Moments later, a double tanker carrying gasoline hit the car causing gasoline to begin leaking into the gutters with small fires emerging around the tank and leaks. The driver escaped the tunnel, but others continued to enter. The tunnel ventilation system remained off for the majority of the time. Many drivers were able to back out of the tunnel, but four remained trapped. Seven individuals died as a result of the accident : two in crashes, five by smoke inhalation and fire. Another two were treated for injuries at the hospital. Baltimore On Wednesday, July 18, 2001, at 3:08 p.m., eastbound CSX 1 freight train L derailed 11 of its 60 cars while passing through the Howard Street Tunnel in Baltimore, Maryland. Four of the 11 derailed cars were tank cars: 1 contained tripropylene, a flammable liquid; 2 contained hydrochloric acid; and 1 contained di(2-ethylhexyl) phthalate, which is a plasticizer and an environmentally hazardous substance. The derailed tank car containing tripropylene was punctured, and the escaping tripropylene ignited. The fire spread to the contents of several adjacent cars, creating heat, smoke, and fumes that restricted access to the tunnel for several days. A 40-inch-diameter water main directly above the tunnel broke in the hours following the accident and flooded the tunnel with millions of gallons of water. Five emergency responders sustained minor injuries while involved with the on-site emergency. Total costs associated with the accident, including response and clean-up costs, were estimated at about $12 million. Hazmat incidents have often led to legislation, regulation or regulatory change, and improved emergency response practices. For example, the Exxon Valdez accident led to the OPA90 legislation and resulting regulations on oil spills.

7 What Is a Hazardous Material?
Many organizations have offered definitions of the synonymous terms “hazardous materials” and “dangerous goods” to meet various needs (see handout): Institute of Hazardous Material Management (IHMM) National Fire Protection Association (NFPA) U.S. Department of Transportation (DOT) U.S. Environmental Protection Agency (EPA) U.S. Occupational Safety and Health Administration (OSHA) U.S. Nuclear Regulatory Commission (NRC) U.S. General Services Administration (GSA) A handout provided with the curricula materials provides numerous definitions of dangerous goods/hazardous materials.

8 Basic USDOT Definition of Hazardous Material
A substance or material, that when transported in commerce, is capable of posing an unreasonable risk to: Health Safety Property Full wording from PHMSA source document, Federal Hazardous Materials Transportation Law: An Overview: Hazardous materials include: • Those items identified in 49 CFR § ; • Hazardous wastes and hazardous substances (as determined under statutes administered by and regulations issued by the Environmental Protection Agency); and • Marine Pollutants Source: PHMSA, USDOT, July 2012.

9 Dangerous Goods Are Internationally Regulated
UN Recommendations on the Transport of Dangerous Goods Not obligatory, but form the basis of many national systems and international agreements International Maritime Organization (IMO) International Maritime Dangerous Goods (IMDG) Code, part of the International Convention for the Safety of Life at Sea Intergovernmental Organisation for International Carriage by Rail International Carriage of Dangerous Goods by Rail, part of the Convention concerning International Carriage by Rail. International Civil Aviation Organization (ICAO) Technical Instructions For The Safe Transport of Dangerous Goods by Air International Air Transport Association (IATA) IATA Dangerous Goods Regulations While focus of this course is on U.S. system, it exists in an international arena, due to the size and importance of international commerce. “Dangerous Goods” is the international terminology for what is called “Hazardous Materials” in the U.S. The UN Recommendations on the Transport of Dangerous Goods are promulgated by the Sub-Committee of Experts on the Transport of Dangerous Goods of the United Nations Economic and Social Council. Now published in two parts: “Model Regulations,” and “Manual of Tests and Criteria.” The ICAO is a United Nations specialized agency. Its policy document is “Convention on International Civil Aviation, Annex 18 - The Safe Transport of Dangerous Goods by Air.” The “IATA Dangerous Goods Regulations” are in full compliance with the ICAO Technical Instructions and Annex 18.

10 Background: Overview of U.S. Legal and Regulatory Process
Congress passes a law designed to address a social or economic need or problem. The appropriate regulatory agency then creates regulations necessary to implement the law. The underlying laws are often referred to as "enabling legislation.“ Desirable guiding principle: “Reasonable regulations lead to voluntary compliance.” Allows enforcement to be directed toward the "bad actors" Federal regulations are authorized by major legislation enacted by Congress. Individuals, businesses, and private and public organizations can be fined, sanctioned, forced to close, and even jailed for violating federal regulations. While a desirable guiding principle might be “reasonable regulations lead to voluntary compliance,” it remains to be seen if the U.S. Hazmat regulations rise to this standard. Source: August 2012.

11 Overview of Legal and Regulatory Process
Federal Legislation Examples: Hazardous Material Transportation Act, National Environmental Policy Act, Oil Pollution Act, laws in other spheres Regulatory Agencies DOT, EPA and at least 50 others Create and enforce rules - regulations - that carry the full force of law Federal Rulemaking Process The process of creating and enacting federal regulations is generally referred to as the “rulemaking” process. Regulatory agencies create regulations according to rules and processes defined by Administration Procedure Act. Agencies must publish all proposed new regulations in the Federal Register at least 30 days before they take effect, and they must provide a way for interested parties to comment, offer amendments, or to object to the regulation. State and local governments have similar processes, but may not enact laws and regulations that conflict with federal enactments. Some regulations require only publication and an opportunity for comments to become effective. Others require publication and one or more formal public hearings. The enabling legislations states which process is to be used in creating the regulations. Regulations requiring hearings can take several months to become final. New regulations or amendments to existing regulations are known as "proposed rules." Notices of public hearings or requests for comments on proposed rules are published in the Federal Register, on the Web sites of the regulatory agencies and in many newspapers and other publications. The notices will include information on how to submit comments, or participate in public hearings on the proposed rule. Once a regulation takes effect, it becomes a "final rule" and is printed in the Federal Register, the Code of Federal Regulations (CFR) and usually posted on the Web site of the regulatory agency. CFR is updated frequently, so those affected by regulations should consult it regularly. Source: August 2012.

12 Key U.S. Hazmat Legislation and Regulations

13 The Federal Hazardous Materials Transportation Law
49 U.S.C. § 5101 et seq. is the basic statute regulating hazardous materials transportation in the United States. Purpose: to “protect against the risks to life, property, and the environment that are inherent in the transportation of hazardous material in intrastate, interstate, and foreign commerce” (emphasis added) Gives the Secretary of Transportation the authority to: Designate material as hazardous Issue regulations for the safe and secure transportation of hazardous material Hazardous Material Transportation Act, 1974. Hazardous Materials Uniform Transportation Safety Act, Reauthorization, expansion, including new training requirements in 49 CFR Federal Hazardous Material Transportation Law 49 USC, 1994. In Canada: Transportation of Dangerous Goods Act, Other countries have similar laws. National Environmental Policy Act (NEPA),1970 Oil Pollution Act (OPA), 1990 Occupational Safety and Health Act of 1970 Source: PHMSA, USDOT, July 2012.

14 The USDOT Hazardous Materials Regulations (HMR)
49 CFR 171 through 180 171 General information, regulations, and definitions 172 Hazardous materials table, special provisions, hazmat communications, emergency response, training 173 Shippers and packaging 174 Carriage by rail 175 Carriage by aircraft 176 Carriage by vessel 177 Carriage by public highway 178 Specs for packaging 179 Specs for tank cars 180 Continuing qualification and maintenance of packagings Source: PHMSA, USDOT, July 2012.

15 Who Is Subject to the HMR?
All persons who: Transport hazardous materials in commerce Offer hazardous materials for transportation Are involved in producing hazmat packaging Prepare or accept hazmat shipments Are responsible for hazmat safety Certify compliance with any requirement under the federal hazmat law Full wording from PHMSA source document, Federal Hazardous Materials Transportation Law: An Overview: The HMR apply to persons who: • Transport hazardous materials in commerce (common, contract, and private carriers); • Offer hazardous materials for interstate, foreign, and intrastate transportation in commerce (offerors, sometimes called shippers); • Design, manufacture, fabricate, inspect, mark, maintain, recondition, repair or test a package, container, or packaging component that is represented, marked, certified, or sold as qualified for use in transporting hazardous material in commerce; • Prepare or accept hazardous materials for transportation in commerce; • Are responsible for the safety of transporting hazardous materials in commerce; • Certify compliance with any requirement under the Federal hazmat law; and • Misrepresent whether he or she is engaged in any activity listed above. In some cases registration of relevant parties is required (see 49 CFR 107 subparts F and G). Source: PHMSA, USDOT, July 2012.

16 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Emergency response information Hazmat employee training Hazmat transportation by various modes Incident reporting Security Source: PHMSA, USDOT, July 2012.

17 The Hazardous Materials Table (HMT)
HMT Purpose and Scope List hazmat alphabetically, by proper shipping name. Provide required information used in shipping papers, and package marking and labeling. Prescribe: quantity limits for aircraft and railcars marine vessel stowage requirements transport vehicle placarding Source: PHMSA, USDOT, July 2012.

18 What’s in the HMT? Contains more than 3,000 proper shipping names of commonly shipped hazmat. Contains 14 columns organized into 10 major headings. 49 CFR Columns 1 – 5 Contain the information required for the basic description that is a key part of the shipping paper. Column 2 provides the proper shipping name of the material. Column 4 provides the UN identification number, and column 3 gives the hazard class or division (see next section on classification). Symbols in column 1 (blank, or one of six symbols +, A, D, G, W, I), designate groups of hazmat with specific transportation requirements. Source: PHMSA, USDOT, July 2012.

19 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security Note: per 49 CFR § the metric system is the required measurement system for all hazardous material shipments domestic or international. In the U.S. customary unit equivalents are displayed as a convenience, but the required standards are the metric quantities. Source: PHMSA, USDOT, July 2012.

20 USDOT/PHMSA Hazmat Classification System
Class 1: Explosives 1.1 Mass explosion hazard 1.2 Projection hazard 1.3 Predominately a fire hazard 1.4 No significant blast hazard 1.5 Very insensitive explosives; blasting agents 1.6 Extremely insensitive detonating substances Class 2: Gases 2.1 Flammable gas 2.2 Non-Flammable compressed gas 2.3 Poisonous gas Class 3: Flammable and Combustible Liquids Class 4: Flammable Solids 4.1 Flammable solid 4.2 Spontaneously combustible material 4.3 Dangerous when wet material Class 5: Oxidizing Agents & Organic Peroxides 5.1 Oxidizer 5.2 Organic peroxide Class 6: Toxic & Infectious Substances 6.1 Poisonous materials 6.2 Infectious substance (Etiologic agent) Class 7: Radioactive Material Class 8: Corrosive Material Class 9: Miscellaneous Hazardous Materials Essentially identical to the UN hazard classes. The Globally Harmonized System of Classification and Labelling of Chemicals (GHS) is an internationally agreed upon system set to replace the various classification and labeling standards used in different countries. Reference: "Globally Harmonized System of Classification and Labelling of Chemicals (GHS) - second revised edition,” United Nations, 2007. Other regulatory agencies may have additional or supplementary classifications. To assist emergency responders this list of hazard classes/divisions is provided in the 2012 Emergency Response Guidebook near the front, on p. 4. 49 CFR §173.2

21 Class 1 - Explosives 1.1 Mass explosion hazard (dynamite, TNT)
1.2 Projection hazard (aerial flares, detonating cord) 1.3 Predominately a fire hazard (liquid fueled rocket motors, propellant explosives) 1.4 No significant blast hazard (practice ammunition, signal cartridges) 1.5 Very insensitive explosives; blasting agents (pilled ammonium nitrate fertilizer-fuel oil mixtures) 1.6 Extremely insensitive detonating substances (items with a negligible probability of accidental initiation or propagation) DOD examples: 1.1 large artillery round or bomb 1.2 tank ammunition 1.3 propellant or pyrotechnics 1.4 ammunition for personal weapons 1.5 blasting agents – not many in DOD inventory at this time; use 1.1 materials instead 1.6 none in DOD inventory at this time. Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

22 Class 2 - Gases 2.1 Flammable gases 2.2 Non-flammable compressed gases
(methyl chloride, propane) 2.2 Non-flammable compressed gases (anhydrous ammonia, carbon dioxide, compressed nitrogen) 2.3 Poisonous gases (chlorine, arsine, methyl bromide) 49 CFR 2.1 Flammable gas 2.2 Non-Flammable gases 2.3 Poisonous gases 2.4 Corrosive gases Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

23 Class 3 – Flammable and Combustible Liquids
Flammable - Flashpoint at or below 60oC (140oF) (acetone, gasoline) Combustible – Flashpoint above 60oC (140oF) and below 93 °C (200 °F) (No. 6 fuel oil, mineral oil) See 49 CFR § fore detailed definitions. Flammable liquids also includes any material in a liquid phase with a flash point at or above 37.8 °C (100 °F) that is intentionally heated and offered for transportation or transported at or above its flash point in a bulk packaging, with exceptions. Flammable liquids with a flashpoint above 38oC (100oF) may be reclassified as combustible liquids. Source: 49 CFR § ; Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

24 Class 4 – Flammable Solids
(magnesium pellets, nitrocellulose) 4.2 Spontaneously Combustible (charcoal briquettes, phosphorous) 4.3 Dangerous When Wet (magnesium powder, sodium hydride) 49 CFR Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

25 Class 5 – Oxidizing Agents & Organic Peroxides
5.1 Oxidizers (ammonium nitrate, calcium hypochlorite) 5.2 Organic Peroxides (dibenzoyl peroxide, peroxyacetic acid) See 49 CFR & for more details. Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

26 Class 6 – Toxic & Infectious Substances
6.1 Toxic or Poison (arsenic compounds, carbon tetrachloride, tear gas) 6.2 Infectious Substance (Etiologic Agent) (anthrax, botulism, rabies, tetanus) 49 CFR & Source: Defense Ammunition Center, April 2011.; NFPA 472 , Jan 2013.

27 Class 7 – Radioactive Materials
Examples cobalt uranium hexafluoride “yellow cake” 49 CFR Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

28 Class 8 – Corrosive Materials
Examples Acids (nitric acid, sulfuric acid, batteries) Alkalis (sodium hydroxide) 49 CFR 8.1 Acids 8.2 Alkalis Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

29 Class 9 – Miscellaneous Hazardous Materials
A material which presents a hazard during transportation but which does not meet the definition of any other hazard class, including: Elevated Temperature Material Hazardous Substance Hazardous Waste Marine Pollutant §     Class 9—Definitions. For the purposes of this subchapter, miscellaneous hazardous material (Class 9) means a material which presents a hazard during transportation but which does not meet the definition of any other hazard class. This class includes: (a) Any material which has an anesthetic, noxious or other similar property which could cause extreme annoyance or discomfort to a flight crew member so as to prevent the correct performance of assigned duties; or (b) Any material that meets the definition in § 171.8 of this subchapter for an elevated temperature material, a hazardous substance, a hazardous waste, or a marine pollutant. Examples Lithium batteries Hot liquid asphalt PCBs Molten sulfur 49 CFR § 

30 Hazardous Substances Listed in §172.101, Appendix A, Table 1
Shipped in one package in a quantity that equals or exceeds the Reportable Quantity (RQ). Table 2 in Appendix A lists radionuclide's and their RQs. Hazardous substances are of special interest to the EPA. Source: PHMSA, USDOT, July 2012.

31 Hazardous Waste Transportation of hazardous waste is regulated by DOT (49 CFR 171.3, 171.8) and EPA (40 CFR ). All discarded materials must be evaluated to see if they meet the definition of “hazardous waste.” EPA hazardous waste classifications: Chemicals (generally toxic materials being discarded) Process wastes (waste streams from a process operation, most commonly chemical solvents) Characteristic wastes (ignitibility, corrosivity, reactivity, toxicity) Hazardous waste regulations came about with the Resource Conservation and Recovery Act (RCRA) of 1976 (40 CFR ). Through an MOU between EPA and DOT hazardous wastes are regulated in transport by DOT, but EPA has some added requirements that must be met. Source: Transportation Safety Institute, USDOT, Feb 2012.

32 Marine Pollutants A hazmat is also a marine pollutant when:
It is listed in § , Appendix B; AND The material is in a solution or mixture meeting specified concentrations The marine pollutant requirements in the HMR apply to: All marine pollutants transported by vessel, But not to non-bulk shipments by air, rail, or highway. Marine pollutants are of special interest to the EPA. The “Marine Pollutant” notation must be added to the shipping papers for all modes (49CFR (l)(2). Source: PHMSA, USDOT, July 2012.

33 Other Materials Covered by Hazmat Regulations
Forbidden Materials (§ ) May not be offered for transportation or transported. Forbidden Explosives (§ 173.54 ) ORM-D (Other Regulated Materials – Domestic) (§ ) ORM designates a material which, although otherwise subject to 49 CFR 173, presents a limited hazard during transport due to its form, quantity, and packaging. Examples consumer commodity small arms or cartridges power devices Materials of Trade (MOT) and Company Owned Material (COMAT) § Forbidden materials and packages. Unless otherwise provided in this subchapter, the offering for transportation or transportation of the following is forbidden: Materials that are designated “Forbidden” in Column 3 of the § table. (b) Forbidden explosives as defined in § of this part. (c) Electrical devices, such as batteries and battery-powered devices, which are likely to create sparks or generate a dangerous evolution of heat, unless packaged in a manner which precludes such an occurrence. (d) For carriage by aircraft, any package which has a magnetic field of more than gauss measured at 4.5 m (15 feet) from any surface of the package. (e) A material in the same packaging, freight container, or overpack with another material, the mixing of which is likely to cause a dangerous evolution of heat, or flammable or poisonous gases or vapors, or to produce corrosive materials. (f) A package containing a material which is likely to decompose with a self-accelerated decomposition temperature (SADT) of 50 °C (122 °F) or less, or polymerize at a temperature of 54 °C (130 °F) or less with an evolution of a dangerous quantity of heat or gas when decomposing or polymerizing, unless the material is stabilized or inhibited in a manner to preclude such evolution. The SADT may be determined by any of the test methods described in Part II of the UN Manual of Tests and Criteria (IBR, see § of this subchapter).

34 ORM-D: Consumer Commodities
Classification used only in the United States 49 CFR These shipments are exempt from most regulations that would otherwise apply to the material, due to limited quantities and types of packaging. Source: Defense Ammunition Center, April 2011.

35 MOT and COMAT Materials of Trade (MOT) are hazmat carried on motor vehicles for the carrier’s use, or to support a non-transport business. Fewer regulations (e.g., no placarding) Quantity limits apply Air carrier Company Owned Materials (COMAT) are regulated as hazmat/dangerous goods. COMAT shipped as replacement items for installed equipment, serviceable items, or items removed for servicing and repair may be regulated. Installed equipment containing hazardous materials or hazardous materials required aboard an airplane to meet airworthiness requirements of the FAA are excepted from the HMR. What Are Materials of Trade, and What Regulations Apply? Materials of Trade (MOTs) are hazardous materials, other than hazardous waste, that are carried on a motor vehicle: • to protect the health and safety of the motor vehicle operator or passengers, such as insect repellant or a fire extinguisher; • to support the operation or maintenance of a motor vehicle (including its auxiliary equipment), such as a spare battery or gasoline; or • to directly support a principal business of a private motor carrier (including vehicles operated by a rail carrier) that is other than transportation by motor vehicle – for example, landscaping, pest control, painting, plumbing, or welding services. See https://hazmatonline.phmsa.dot.gov/services/publication_documents/MOTS05.pdf for further details. For COMAT details see Hazardous Materials/Dangerous Goods consumed or used in the aircraft industry, including expendable items of replacement, are fully regulated and subject to all applicable HMR/Dangerous Goods Regulations. Some typical items include oxygen bottles, life rafts, paint, and most other chemicals, fuels, chemical oxygen generators, unpurged fuel pumps, fire extinguishers, airplane batteries, under seat life vests, rain repellent, radioactive exit signs, auxiliary power units, first aid kits and emergency slides. Only an airline with an FAA approved Hazardous Material/Dangerous Goods program may transport its own materials as COMAT. If an airline does not have an approved program, it must offer its COMAT to another carrier for transport as cargo. Source: PHMSA, USDOT, July 2012.

36 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security Note: per 49 CFR § the metric system is the required measurement system for all hazardous material shipments domestic or international. In the U.S. customary unit equivalents are displayed as a convenience, but the required standards are the metric quantities. Source: PHMSA, USDOT, July 2012.

37 Packaging In the HMR, “package” refers to the packaging plus its contents. Examples of packaging Fiberboard boxes Drums Portable tanks Cargo tanks Tank cars Cylinders Bags Wood boxes §171.8 Absorbent materials may be included in a container to reduce the potential for leakage from spills should they occur within a package. Source: PHMSA, USDOT, July 2012.

38 General Package Requirements in the HMR
The hazmat packaging must be: Able to contain the material Compatible with the material Authorized for the material Closed securely Filled appropriately The HMR general requirements address package design, construction, and content limitations, and are written to prevent the release of the hazmat, the reduction in effectiveness of the packaging, and the mixing of gases or vapors that could reduce package effectiveness (§173.24). Specific requirements address situations particular to passenger railcars or aircraft, cargo aircraft, and vessels, and related quantity limitations. Some HMR references for added requirements: Additional non-bulk - §173.24(a) Additional bulk - §173.24(b) Transport by air - §173.27 Source: Transportation Safety Institute, USDOT, Feb 2012.

39 HMT Column 5 – Packing Group (PG)
Assigned according to the relative degree of danger posed by the hazmat during transport: PGI greatest PGII medium PGIII minor HMT columns 5 (Packing Groups) and 8 (Packaging References) provide requirements related to packaging. Column 5: other parts of the HMR specify requirements that apply to the three packing groups. Note: There are no packing groups designated for Class 2 (compressed gas), Class 7 (radioactive materials), Division 6.2 (other than regulated medical wastes), and ORM-D materials (other regulated materials). Source: PHMSA, USDOT, July 2012.

40 HMT Column 8 – Packaging References
Columns 8A, 8B, and 8C complete the citations to §173.***. Go to the cited sections to find the packaging exceptions, non-bulk, and bulk requirements. Source: PHMSA, USDOT, July 2012.

41 UN Standard Packaging Performance Tests
Drop test Leakproofness Hydrostatic pressure test Stacking Cooperage test Packaging test US only Vibration test UN standard packagings are those tested to meet the Part 178 performance requirements. Source: Defense Ammunition Center, April 2011.

42 Package Marking Requirements
The packaging identification codes provide specific packaging and testing information. See later section on hazmat markings for added information. Source: PHMSA, USDOT, July 2012.

43 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Shipping papers Markings, labels, placards Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security The prime objective of all hazard communication is to ensure that the hazmat information needed by emergency responders is readily available in a standard format. Note: per 49 CFR § the metric system is the required measurement system for all hazardous material shipments domestic or international. In the U.S. customary unit equivalents are displayed as a convenience, but the required standards are the metric quantities. Source: PHMSA, USDOT, July 2012.

44 2012 Emergency Response Guidebook (ERG)
The ERG provides information to first responders to a hazmat incident to help them quickly: locate shipping papers identify the dangerous goods involved take initial actions to protect themselves and the general public The 2012 Emergency Response Guidebook (ERG2012) was developed jointly by Transport Canada (TC), the U.S. Department of Transportation (DOT), the Secretariat of Transport and Communications of Mexico (SCT) and with the collaboration of CIQUIME (Centro de Información Química para Emergencias) of Argentina, for use by fire fighters, police, and other emergency services personnel who may be the first to arrive at the scene of a transportation incident involving dangerous goods. It is primarily a guide to aid first responders in quickly identifying the specific or generic hazards of the material(s) involved in the incident, and protecting themselves and the general public during the initial response phase of the incident. ERG2012 incorporates dangerous goods lists from the most recent United Nations Recommendations as well as from other international and national regulations. Explosives are not listed individually by either proper shipping name or ID Number.

45 Shipping Papers A properly prepared shipping paper must accompany any hazmat shipment. May include: Shipping order Bill of lading Manifest Other Shipping Paper Exceptions A or W in HMT column 1, but not being shipped by air or water, respectively. Small quantity Certain agricultural shipments Certain DOE and DOD shipments ORM-D, unless transported by air Source: PHMSA, USDOT, July 2012.

46 General Shipping Paper Requirements
Legibility Codes and abbreviations Additional information Multiple-page shipping papers Continuously monitored emergency response telephone number Documents and forms UN1263, Paint, 3, PGII Except for Hazardous Wastes there are no specific required forms. Additional Shipping Paper Requirements Continuous monitoring of emergency contact telephone number Location on motor vehicles Within driver’s immediate reach and readily visible In a holder mounted to the inside of the driver’s door Retention of shipping papers – carrier must retain for 2 years (3 years for hazardous waste) (Previously the retention period was 1 year. See § (e).) Source: PHMSA, USDOT, July 2012.

47 HMT Columns 1-5 Contain the information required for the basic description that is a key part of the shipping paper. Column 2 provides the proper shipping name of the material. Source: PHMSA, USDOT, July 2012.

48 Shipping Description of the Hazmat
1-4 Basic description 5 Total quantity 6 Number and type of packages UN1114, Benzene, 9, PGII Source: PHMSA, USDOT, July 2012.

49 Shipper Certifications
Domestic: both wordings highlighted are acceptable. Domestic International Source: PHMSA, USDOT, July 2012.

50 Marking, Labeling, and Placarding
Each hazmat package, freight container, and vehicle must communicate hazard information as prescribed in the HMR. Source: PHMSA, USDOT, July 2012.

51 General Marking Requirements
Durable Written in English Printed on or affixed to the surface of the package Displayed on a sharply contrasting color background Unobscured by other labels or attachments Located away from other marking § Source: PHMSA, USDOT, July 2012.

52 Marking Requirements for Non-Bulk Packaging
Identification number Proper shipping name Technical name(s) Special permit information Consignee’s or consignor’s name and address Must be on both sides and both ends of the package Must be visible, even after loaded on a rail car. § There are special cases relating to: Liquid hazmat Limited quantities materials ORM-D Materials Marine pollutants Hazardous substances Source: PHMSA, USDOT, July 2012.

53 Marking Requirements for Bulk Packaging
Identification numbers Size of markings Empty packagings Fumigant markings § Source: PHMSA, USDOT, July 2012.

54 Source: PHMSA, USDOT, Chart 14.
§ requires labeling of specified (per the HMT, column 6) hazmat packages. General rules: Must be on both sides and both ends of the package Must be visible, even after loaded on a rail car. Source: PHMSA, USDOT, Chart 14.

55 HMT Column 6 – Label Codes
Specifies the hazard warning labels that must be applied to each hazmat package. The codes are defined in the Label Substitution Table found in § (g). Label Substitution Table 49 CFR (g) & Source: PHMSA, USDOT, July 2012.

56 Display of Hazard Class on Labels
§ Hazard class number must be in bottom corner. Source: PHMSA, USDOT, July 2012.

57 Labels for Mixed or Consolidated Packaging
§ Labels for all commodities must be on the outside package. This is true for both mixed and consolidated packages. Mixed Consolidated Source: PHMSA, USDOT, July 2012.

58 Placarding General rule: if a freight unit contains hazmat there must be placards on both sides and each end displaying the hazard class. § (e) gives details in Tables 1 and 2. Source: PHMSA, USDOT, July 2012.

59 Placarding Tables Table 1 – materials for which placards are required for any quantity Table 2 – materials that may or may not require placards, depending on hazard class/division, packaging, and quantity Consolidated shipments are also a factor. § Source: PHMSA, USDOT, July 2012.

60 Placarding Specifications
Strength and durability Design Form identification Exceptions § Source: PHMSA, USDOT, July 2012.

61 Placard Gallery § Source: PHMSA, USDOT, July 2012.

62 Example: Class 4 Placards
§ Source: PHMSA, USDOT, July 2012.

63 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security Note: per 49 CFR § the metric system is the required measurement system for all hazardous material shipments domestic or international. In the U.S. customary unit equivalents are displayed as a convenience, but the required standards are the metric quantities. The material on this topic is quite extensive, so only some representative samples can be covered here. Source: PHMSA, USDOT, July 2012.

64 Carrier/Shipper Functions
If a carrier repackages hazardous material, the carrier is functioning as a shipper and MUST comply with HMR shipper regulations. Source: PHMSA, USDOT, July 2012.

65 Carrier Requirements - Highway
HMR Part 177, applies to common, contract, and private motor carriers transporting hazmat. Must also comply with Federal Motor Carrier Safety Regulations (FMCSR) covering: Driver qualifications Hours of service Equipment standards Driving and parking rules Alcohol and controlled substances Financial responsibility Operational requirements FMCSR 49 CFR § and other sections Highway routing regulations are covered in module 4. Source: PHMSA, USDOT, July 2012.

66 Additional Motor Carrier Training Requirements
Pre-trip safety inspections Use of vehicle controls and equipment Operation of vehicle Maneuvering at tunnels, bridges, and railroad crossings Attendance of vehicles Parking Smoking Routing Incident reporting Loading/unloading of materials § Source: PHMSA, USDOT, July 2012 and 49 CFR §

67 Special Loading/Unloading Requirements
Explosives Flammable liquids Storage batteries/nitric acid Gases Poisons/TIH Materials prohibited in driver compartment Selected class 4 and 5 materials Radioactive materials 49 CFR § and 397.5 Source: PHMSA, USDOT, July 2012.

68 Example - Gases Safety requirements for shipping compressed gas cylinders include: Securely restrain in upright or horizontal position Load into racks securely attached to the motor vehicle Pack in boxes or crates Source: PHMSA, USDOT, July 2012.

69 Other Motor Carrier Rules
Hazmat must be loaded, blocked, braced, and unloaded in accordance with the prescribed safeguards. Minimum separation distances for radioactive materials Segregation table and compatibility table for mixed shipments and storage Hazmat restrictions for motor vehicles carrying passengers for hire Source: PHMSA, USDOT, July 2012.

70 Carrier Requirements - Rail
Inspect railcars containing hazmat. Forward hazmat shipments within 48 hours or on first available train. Follow all applicable separation requirements. Display required markings and placards on railcars. Train crews must carry shipping papers, and also a document showing the current location of all hazmat railcars. Escorted cars must be placed next to or ahead of the car occupied by the guards or technical escorts if placarded as divisions 1.1, 1.2, 2.3, or 6.1. Leaking packages, other than tank cars, must be repaired, reconditioned, or placed in a salvage drum. These are some of the principal items covered. See 49 CFR §174 for much more information. Rail routing regulations are covered in module 4. Source: PHMSA, USDOT, July 2012 and 49 CFR §174.

71 Carrier Requirements - Water
When carrying hazardous materials by vessel, the International Maritime Dangerous Goods (IMDG) Code may be used, as long as HMR § and § are also followed. 49 CFR §176 is divided into Subparts A through O: A-D: general information and operating requirements, and general handling, stowage, and segregation E-F: special requirements for transport vehicles and barges G-O: detailed requirements for specific classes of hazardous materials. Source: PHMSA, USDOT, July 2012 and 49 CFR §176.

72 Stowage and Segregation
Stowage - where cargo may be located on the vessel and how it is secured Segregation - separation of hazardous cargo by distance or barriers (see Segregation Table) Carrier must prepare a dangerous cargo manifest, list, or stowage plan showing: Vessel name, official number, nationality Shipping name, emergency response phone number I.D. number of each hazmat onboard Number, description, and gross mass of each type of package Hazmat classification(s) from the HMT or IMDG code Hazmat stowage location(s) Additional information required by the regulations Stowage and segregation are critical on a vessel because of the forces and stresses that affect it while it is underway. Rotational and linear forces can cause shifts of cargo that can result in significant damage. Source: PHMSA, USDOT, July 2012.

73 Vessel Stowage Locations
Stowage locations authorized for a material are found in HMT column 10, and may include any of the following: On deck Under deck Under deck and away from heat, with ventilation See also HMT column 7, Special Provisions Carrier must secure hazmat packages against movement, and brace them to prevent piercing or crushing from a superimposed load Stowage and segregation are critical on a vessel because of the forces and stresses that affect it while it is underway. Rotational and linear forces can cause shifts of cargo that can result in significant damage. Source: PHMSA, USDOT, July 2012.

74 Additional Water Carrier Requirements
Stowage of marine pollutants Handling and stowage of break bulk hazmat Stowage of transport vehicles, containers, and portable tanks Hazmat transported on ferry vessels Extensive requirements for handling and stowage of explosives Requirements pertaining to hazard classes/divisions 2 through 8. Source: PHMSA, USDOT, July 2012.

75 Carrier Requirements - Air
49 CFR §175 has subparts A, B, and C A: inspecting and accepting hazmat shipments, documentation, training, and reporting discrepancies B: hazmat loading, unloading, and handling, including quantity limitations, stowage, cargo location, and orientation of packages C: special requirements for certain hazard classes and commodities, such as flammable liquids, poisons, radioactive materials, and infectious substances Source: PHMSA, USDOT, July 2012.

76 ICAO Technical Instructions
Instead of preparing shipments in accordance with 49 CFR, Parts 172 and 173, shippers may classify, package, mark, label, and describe them on shipping papers in accordance with the International Civil Aviation Organization (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Air. Shipments must still meet all other applicable requirements of 49 CFR § Source: PHMSA, USDOT, July 2012.

77 Air Carrier Responsibilities
Material is authorized and within quantity limits Content and accuracy of shipping papers, including emergency response information and shipper certification Hazmat packages are marked, labeled, and placarded if required Proper use of CARGO AIRCRAFT ONLY label Packages are in good condition Seals on radioactive material packages are not broken Source: PHMSA, USDOT, July 2012.

78 Exceptions to Prohibitions Against Carrying Hazmat
Hazardous materials may not be carried in the cabin of a passenger aircraft or on the flight deck of any aircraft, except as authorized in the HMR. Exceptions include: Hazmat required for safe operation of aircraft Hazmat for personal use of passengers and crew Hazmat for use in special aircraft operations Hazmat in wheelchairs and other mobility and medical devices Miscellaneous hazmat exceptions HM for safe operation of the aircraft include aviation fuel, fire extinguishers, oxygen generators, escape chutes, and life rafts. HM intended for use in special aircraft operations include: • Hazardous materials loaded and carried for purposes of aerial seeding, dusting, spraying, fertilizing, crop improvement or pest control; • Smoke grenades flares and pyrotechnics used in air shows; • Parachute activation devices; hazardous materials used during dedicated air ambulance, firefighting, or search and rescue operations. Source: PHMSA, USDOT, July 2012.

79 Loading Hazmat into Aircraft
Passenger aircraft – Hazmat may be carried in a main deck cargo compartment provided that the compartment is inaccessible to passengers and that it meets all certification requirements for a Class B or Class C aircraft cargo compartment. Cargo aircraft - Load hazmat acceptable in such a manner that a crewmember or other authorized person can see, handle, and – when size and weight permit – separate such packages from other cargo during flight. Source: PHMSA, USDOT, July 2012.

80 Some Other Air Carrier Requirements
Hazmat quantity limitations are found in the HMT, column 9. Packagings must be designed and constructed to prevent leakage that may be caused by internal pressure changes in altitude and temperature during air transportation. Venting packages to reduce internal pressure is not permitted. Specific requirements for packages containing liquids Hazardous materials shipped by air and authorized for cargo aircraft only must have the CARGO AIRCRAFT ONLY label affixed to the package, in addition to the hazard class label. Packages must be secured in an aircraft so that movement or damage of the package in flight is prevented. Source: PHMSA, USDOT, July 2012.

81 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security Source: PHMSA, USDOT, July 2012.

82 Required Hazmat Training
Hazmat employers must certify the training of employees who perform functions such as load, unload, or handle the shipment of hazmat, prepare hazmat shipping papers, prepare hazmat shipments for transport, or operate a vehicle moving hazmat. Training must include: General awareness/familiarization Function-specific/mode-specific training Safety training Security awareness training In-depth security training for some employees (see § ) Initial training required within 90 days Note: For emergency preparedness and response federal planning and training grants area available to states under 49 CFR §110. Federally-recognized Indian tribes may apply for training grants. DOT requires retraining and testing at least once every 3 years. FAA requires air carrier employee training every 2 years. Source: PHMSA, USDOT, July 2012.

83 Hazardous Materials Standards
The HMR set forth standards for: Classification Packaging Hazard communication Hazmat transportation by various modes Hazmat employee training Incident reporting Emergency response information Security Note: per 49 CFR § the metric system is the required measurement system for all hazardous material shipments domestic or international. In the U.S. customary unit equivalents are displayed as a convenience, but the required standards are the metric quantities. Emergency response, including regulations and industry standards, is covered in module 6. The security topic is covered in module 7. Source: PHMSA, USDOT, July 2012.

84 Incident Reporting Many incidents resulting in an unintentional hazmat release must be reported to the National Response Center (NRC) and, in some cases, the Center for Disease Control (CDC). Some require a telephone report within 12 hours. All require a written report within 30 days. Radioactive materials – notify NRC within 12 hours Infectious substances – notify CDC within 12 hours Marine pollutants – notify NRC within 12 hours of any release of: Solid greater than 400 Kg (882 lb) Liquid greater than 450 L (119 gal) Source: PHMSA, USDOT, July 2012.

85 Other Reportable Incidents
Telephone report required if any of the following occur: Death, or injury requiring hospitalization Change in flight pattern or routine of an aircraft Shutdown of major facility or transportation artery Evacuation of the public for one hour or more Any situation that involves a continuing danger to life On an aircraft, fire, rupture, explosion, or dangerous heat evolution resulting from a battery or battery-powered device Written report on DOT Form F is required within 30 days following all telephone reports, and in general for any release of a hazardous waste, or any other hazmat releases of at least 20 liters (5.2 gal) for liquids or 20 Kg (66 lb) for solids. See 49 CFR § for detailed requirements. Additional details about incident reporting are covered in module 6. Source: PHMSA, USDOT, July 2012.

86 PHMSA Hazmat Enforcement
Independent and joint modal field inspections of: Shipper and carrier transportation facilities Packaging manufacturing, requalification, repair and reconditioning facilities Cargo vessel ports, rail freight yards, motor carrier and air cargo terminals Chemical and explosive manufacturing plants Programmatic inspections of hazardous material transportation systems, procedures, and processes Civil and criminal enforcement investigations Accident and incident investigation and failure analysis Outreach and education Emergency response PHMSA's Hazardous Materials Enforcement program may issue Letters of Warning and Tickets for less serious violations. However, the program refers matters which are believed to compromise safety to PHMSA's Office of the Chief Counsel for appropriate sanction which includes Notices of Probable Violation and Corrective Action and Compliance Orders. Source: PHMSA, USDOT, July 2012.

87 Hazmat Enforcement: Other Agencies
Enforcement authority under the federal hazmat law is shared by PHMSA, FMCSA, FRA, FAA, and USCG. FMCSA - the transportation or shipment of hazardous materials by highway. FMCSA also enforces the Federal Motor Carrier Safety Regulations (49 CFR Parts ). FRA - the transportation or shipment of hazardous materials by railroad. FRA also enforces the rail safety regulations (49 CFR ). FAA - the transportation or shipment of hazardous materials by air. FAA also enforces all regulations applicable to air carriers and shippers by air issued under the Federal Aviation Act. USCG - the transportation or shipment of hazardous materials by water. USCG also enforces its own regulations governing the bulk transportation of hazardous materials by vessel, and regulations issued under other laws, such as the Federal Water Pollution Control Act and the Comprehensive Environmental Response, Compensation and Liability Act. In addition, EPA enforces environmental regulations related to hazardous wastes and substances, and marine pollutants. Source: PHMSA, USDOT, July 2012.

88 HM Inspections, Violations, and Penalties
Source: US DOT Pipeline and Hazardous Materials Safety Administration, Transportation of Hazardous Materials, , October 2011, p. 21.

89 Penalties for Violating HMR
Violations of the HMR may result in Civil penalties of $250 to $110,000 Minimum $495 for training related violation Each day of a continuing violation is a separate offense Criminal penalties of up to $250,000 (individuals) and $500,000 (corporations), plus up to ten years in prison Note: MAP-21 includes language changing some of the penalties, so the regulations will be changing to incorporate the new minimums and maximums. While each day of a continuing violation can be a separate offense, it is rare that the DOT levies a fine for each occurrence. Source: PHMSA, USDOT, July 2012.

90 Other Regulatory Requirements, Standards, and Guidelines
DOD Military shipments DOE/NRC Nuclear materials STB Commercial transportation OSHA Worker health and safety NLRB Organized labor NFPA First responder safety and health USDA Invasive species State-level hazmat compliance programs The USDA Animal and Plant Health Inspection Service (APHIS) strives to prevent the introduction of foreign pests and diseases and promote the health of U.S. agriculture. One tool used is the International Standards For Phytosanitary Measures No. 15 (ISPM 15) that directly addresses the need to treat wood materials used to ship products between countries. Its main purpose is to prevent the international transport and spread of disease and insects that could negatively affect plants or ecosystems. This is an example of an important ancillary regulation that hazmat shippers must follow when selecting packaging.

91 Issues Involving Multiple/Overlapping Regulations
The federal hazmat law and the HMR provide that, unless authorized by another Federal law, a requirement of a state, local government, or Indian tribe is preempted if: Compliance with both laws/regulations is not possible. The non-federal requirement interferes with carrying out the federal law or HMR. The State, local, or Indian tribe requirement concerns a “covered subject,” and is NOT “substantively the same” as any provision of, the Federal hazmat law/regulation concerning that subject. The “covered subjects” are those covered in the main provisions of the HMR, e.g., hazmat identification and classification, shipping papers, marking, labeling, packaging, etc. State and Indian tribe highway routing designations, limitations and requirements relating to hazardous materials will be preempted unless they meet federal procedural and substantive requirements. Source: PHMSA, USDOT, July 2012.

92 Federal Waiver of Preemption
Notwithstanding the preemption of a State or local require-ment, DOT may waive preemption upon a showing by the jurisdiction that its requirement: Affords an equal or greater level of protection to the public as is afforded by the federal requirement; and Does not unreasonably burden commerce. FMCSA has authority to issue preemption determinations and waivers of preemption concerning highway routing. PHMSA has authority to issue preemption determinations and waivers of preemption with regard to all other requirements. There is a right to petition a U.S. Court of Appeals for review of a preemption determination or waiver of preemption. Source: PHMSA, USDOT, July 2012.

93 Key Takeaways The hazmat regulations (HMR)are both comprehensive and complex, and cover all aspects preparing and executing hazmat shipments. Shippers, carriers, and all other parties involved in making hazmat shipments must comply with the HMR and other regulations. Regulations are regularly updated and changed; therefore, one must access them frequently to stay in compliance. The packaging and handling regulations guard against accidental release of hazmat during storage and transport. The extensive regulations on shipping papers, marking, labeling, and placarding are designed to facilitate hazard communication. Enforcement of the hazmat regulations is a joint effort of multiple agencies. 93

94 Student Exercises For three materials specified by the instructor, use the HMR and HMT to prepare the content of the basic descriptions of each for use on the shipping papers. Vinyl chloride is to be shipped from a manufacturer in Mississippi to a customer in Manchester, England. Identify the modes that may be used and their respective quantity limits and packaging requirements. Compare the requirements for shipping small quantities of corrosive substances by air and truck. Does either mode have a competitive advantage or disadvantage due to the HMR?

95 Resources for Support and Additional Learning
HM-16 Module 2, Hazmat Transportation Logistics HM-16 Module 4, Hazmat Mode and Route Selection 49 CFR § , Federal Hazardous Materials Regulations. PHMSA, Federal Hazardous Materials Transportation Law: An Overview, U.S. Department of Transportation, Washington, DC. PHMSA, Publications and Training Modules, U.S. Department of Transportation, Washington, D.C PHMSA, Technical Reports, U.S. Department of Transportation, Washington, DC,


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