Presentation on theme: "TOOLKIT FOR Hazardous Materials Transportation Education"— Presentation transcript:
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 by3 Sigma Consultants, LLC909 Edenbridge Way, Nashville, TN 37215Module 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 processHazmat legislation and regulationsUSDOT regulationsCompliance and enforcementOther regulatory requirements, standards, and guidelinesIssues 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 HMRand the final rules published in the Federal Register.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 1947Waverly, TN, LP gas tank car, February 1978Caldecott Tunnel, CA, April 1982Baltimore, MD, rail tunnel fire, July 2001Texas City16 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, TNAbout 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 TunnelOn 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.BaltimoreOn 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:HealthSafetyPropertyFull 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 PollutantsSource: PHMSA, USDOT, July 2012.
9 Dangerous Goods Are Internationally Regulated UN Recommendations on the Transport of Dangerous GoodsNot obligatory, but form the basis of many national systems and international agreementsInternational Maritime Organization (IMO)International Maritime Dangerous Goods (IMDG) Code, part of the International Convention for the Safety of Life at SeaIntergovernmental Organisation for International Carriage by RailInternational 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 AirInternational Air Transport Association (IATA)IATA Dangerous Goods RegulationsWhile 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 LegislationExamples: Hazardous Material Transportation Act, National Environmental Policy Act, Oil Pollution Act, laws in other spheresRegulatory AgenciesDOT, EPA and at least 50 othersCreate and enforce rules - regulations - that carry the full force of lawFederal Rulemaking ProcessThe 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.
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 hazardousIssue regulations for the safe and secure transportation of hazardous materialHazardous Material Transportation Act, 1974.Hazardous Materials Uniform Transportation Safety Act, Reauthorization, expansion, including new training requirements in 49 CFRFederal Hazardous Material Transportation Law 49 USC, 1994.In Canada: Transportation of Dangerous Goods Act, Other countries have similar laws.National Environmental Policy Act (NEPA),1970Oil Pollution Act (OPA), 1990Occupational Safety and Health Act of 1970Source: PHMSA, USDOT, July 2012.
14 The USDOT Hazardous Materials Regulations (HMR) 49 CFR 171 through 180171 General information, regulations,and definitions172 Hazardous materials table, specialprovisions, hazmat communications,emergency response, training173 Shippers and packaging174 Carriage by rail175 Carriage by aircraft176 Carriage by vessel177 Carriage by public highway178 Specs for packaging179 Specs for tank cars180 Continuing qualification andmaintenance of packagingsSource: PHMSA, USDOT, July 2012.
15 Who Is Subject to the HMR? All persons who:Transport hazardous materials in commerceOffer hazardous materials for transportationAre involved in producing hazmat packagingPrepare or accept hazmat shipmentsAre responsible for hazmat safetyCertify compliance with any requirement under the federal hazmat lawFull 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 soldas 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:ClassificationPackagingHazard communicationEmergency response informationHazmat employee trainingHazmat transportation by various modesIncident reportingSecuritySource: PHMSA, USDOT, July 2012.
17 The Hazardous Materials Table (HMT) HMT Purpose and ScopeList hazmat alphabetically, by proper shipping name.Provide required information used in shipping papers, and package marking and labeling.Prescribe:quantity limits for aircraft and railcarsmarine vessel stowage requirementstransport vehicle placardingSource: 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 CFRColumns 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:ClassificationPackagingHazard communicationHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecurityNote: 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: Explosives1.1 Mass explosion hazard1.2 Projection hazard1.3 Predominately a fire hazard1.4 No significant blast hazard1.5 Very insensitive explosives; blasting agents1.6 Extremely insensitive detonating substancesClass 2: Gases2.1 Flammable gas2.2 Non-Flammable compressed gas2.3 Poisonous gasClass 3: Flammable and Combustible LiquidsClass 4: Flammable Solids4.1 Flammable solid4.2 Spontaneously combustible material4.3 Dangerous when wet materialClass 5: Oxidizing Agents & Organic Peroxides5.1 Oxidizer5.2 Organic peroxideClass 6: Toxic & Infectious Substances6.1 Poisonous materials6.2 Infectious substance (Etiologic agent)Class 7: Radioactive MaterialClass 8: Corrosive MaterialClass 9: Miscellaneous Hazardous MaterialsEssentially 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 bomb1.2 tank ammunition1.3 propellant or pyrotechnics1.4 ammunition for personal weapons1.5 blasting agents – not many in DOD inventory at this time; use 1.1 materials instead1.6 none in DOD inventory at this time.Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
23 Class 3 – Flammable and Combustible Liquids Flammable - Flashpoint ator below 60oC (140oF)(acetone, gasoline)Combustible – Flashpointabove 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 CFRSource: 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 Examplescobalturanium hexafluoride“yellow cake”49 CFRSource: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
28 Class 8 – Corrosive Materials ExamplesAcids(nitric acid, sulfuric acid, batteries)Alkalis(sodium hydroxide)49 CFR8.1 Acids8.2 AlkalisSource: 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 MaterialHazardous SubstanceHazardous WasteMarine 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.ExamplesLithium batteriesHot liquid asphaltPCBsMolten sulfur49 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 WasteTransportation 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; ANDThe material is in a solution or mixture meeting specified concentrationsThe 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.Examplesconsumer commoditysmall arms or cartridgespower devicesMaterials 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 States49 CFRThese 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 COMATMaterials 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 applyAir 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 fireextinguisher;• to support the operation or maintenance of a motor vehicle (including its auxiliary equipment), such as a spare battery orgasoline; or• to directly support a principal business of a private motor carrier (including vehicles operated by a rail carrier) that is otherthan transportation by motor vehicle – for example, landscaping, pest control, painting, plumbing, or welding services.See for further details.For COMAT details seeHazardous Materials/Dangerous Goods consumed or used in the aircraft industry, including expendable items of replacement, are fully regulated and subject to allapplicable HMR/Dangerous Goods Regulations.Some typical items include oxygen bottles, life rafts, paint, and most other chemicals, fuels, chemical oxygen generators, unpurgedfuel 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 anapproved 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:ClassificationPackagingHazard communicationHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecurityNote: 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 PackagingIn the HMR, “package” refers to the packaging plus its contents.Examples of packagingFiberboard boxesDrumsPortable tanksCargo tanksTank carsCylindersBagsWood boxes§171.8Absorbent 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 materialCompatible with the materialAuthorized for the materialClosed securelyFilled appropriatelyThe 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 - §173.27Source: 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 greatestPGII mediumPGIII minorHMT 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 testLeakproofnessHydrostatic pressure testStackingCooperage testPackaging test US onlyVibration testUN 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:ClassificationPackagingHazard communicationShipping papersMarkings, labels, placardsHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecurityThe 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 papersidentify the dangerous goods involvedtake initial actions to protect themselves and the general publicThe 2012 Emergency Response Guidebook (ERG2012) was developed jointly by Transport Canada (TC), the U.S. Department of Transportation (DOT), the Secretariat of Transportand 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 otheremergency 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 quicklyidentifying 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 PapersA properly prepared shipping paper must accompany any hazmat shipment.May include:Shipping orderBill of ladingManifestOtherShipping Paper ExceptionsA or W in HMT column 1, but not being shipped by air or water, respectively.Small quantityCertain agricultural shipmentsCertain DOE and DOD shipmentsORM-D, unless transported by airSource: PHMSA, USDOT, July 2012.
46 General Shipping Paper Requirements LegibilityCodes and abbreviationsAdditional informationMultiple-page shipping papersContinuously monitored emergency response telephone numberDocuments and formsUN1263, Paint, 3, PGIIExcept for Hazardous Wastes there are no specific required forms.Additional Shipping Paper RequirementsContinuous monitoring of emergency contact telephone numberLocation on motor vehiclesWithin driver’s immediate reach and readily visibleIn a holder mounted to the inside of the driver’s doorRetention 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 1-5Contain 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 description5 Total quantity6 Number and type of packagesUN1114, Benzene, 9, PGIISource: PHMSA, USDOT, July 2012.
49 Shipper Certifications Domestic: both wordings highlighted are acceptable.DomesticInternationalSource: 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 DurableWritten in EnglishPrinted on or affixed to the surface of the packageDisplayed on a sharply contrasting color backgroundUnobscured by other labels or attachmentsLocated away from other marking§Source: PHMSA, USDOT, July 2012.
52 Marking Requirements for Non-Bulk Packaging Identification numberProper shipping nameTechnical name(s)Special permit informationConsignee’s or consignor’s name and addressMust be on both sides and both ends of the packageMust be visible, even after loaded on a rail car.§There are special cases relating to:Liquid hazmatLimited quantities materialsORM-D MaterialsMarine pollutantsHazardous substancesSource: PHMSA, USDOT, July 2012.
53 Marking Requirements for Bulk Packaging Identification numbersSize of markingsEmpty packagingsFumigant 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 packageMust 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 Table49 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.MixedConsolidatedSource: PHMSA, USDOT, July 2012.
58 PlacardingGeneral 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 TablesTable 1 – materials for which placards are required for any quantityTable 2 – materials that may or may not require placards, depending on hazard class/division, packaging, and quantityConsolidated shipments are also a factor.§Source: PHMSA, USDOT, July 2012.
60 Placarding Specifications Strength and durabilityDesignForm identificationExceptions§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:ClassificationPackagingHazard communicationHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecurityNote: 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 qualificationsHours of serviceEquipment standardsDriving and parking rulesAlcohol and controlled substancesFinancial responsibilityOperational requirementsFMCSR 49 CFR § and other sectionsHighway routing regulations are covered in module 4.Source: PHMSA, USDOT, July 2012.
66 Additional Motor Carrier Training Requirements Pre-trip safety inspectionsUse of vehicle controls and equipmentOperation of vehicleManeuvering at tunnels, bridges, and railroad crossingsAttendance of vehiclesParkingSmokingRoutingIncident reportingLoading/unloading of materials§Source: PHMSA, USDOT, July 2012 and 49 CFR §
67 Special Loading/Unloading Requirements ExplosivesFlammable liquidsStorage batteries/nitric acidGasesPoisons/TIHMaterials prohibited in driver compartmentSelected class 4 and 5 materialsRadioactive materials49 CFR § and 397.5Source: PHMSA, USDOT, July 2012.
68 Example - GasesSafety requirements for shipping compressed gas cylinders include:Securely restrain in upright or horizontal positionLoad into racks securely attached to the motor vehiclePack in boxes or cratesSource: 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 materialsSegregation table and compatibility table for mixed shipments and storageHazmat restrictions for motor vehicles carrying passengers for hireSource: 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 segregationE-F: special requirements for transport vehicles and bargesG-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 securedSegregation - 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, nationalityShipping name, emergency response phone numberI.D. number of each hazmat onboardNumber, description, and gross mass of each type of packageHazmat classification(s) from the HMT or IMDG codeHazmat stowage location(s)Additional information required by the regulationsStowage 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 deckUnder deckUnder deck and away from heat, with ventilationSee also HMT column 7, Special ProvisionsCarrier must secure hazmat packages against movement, and brace them to prevent piercing or crushing from a superimposed loadStowage 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 pollutantsHandling and stowage of break bulk hazmatStowage of transport vehicles, containers, and portable tanksHazmat transported on ferry vesselsExtensive requirements for handling and stowage of explosivesRequirements 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 CA: inspecting and accepting hazmat shipments, documentation, training, and reporting discrepanciesB: hazmat loading, unloading, and handling, including quantity limitations, stowage, cargo location, and orientation of packagesC: special requirements for certain hazard classes and commodities, such as flammable liquids, poisons, radioactive materials, and infectious substancesSource: 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 limitsContent and accuracy of shipping papers, including emergency response information and shipper certificationHazmat packages are marked, labeled, and placarded if requiredProper use of CARGO AIRCRAFT ONLY labelPackages are in good conditionSeals on radioactive material packages are not brokenSource: 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 aircraftHazmat for personal use of passengers and crewHazmat for use in special aircraft operationsHazmat in wheelchairs and other mobility and medical devicesMiscellaneous hazmat exceptionsHM 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 liquidsHazardous 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:ClassificationPackagingHazard communicationHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecuritySource: 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/familiarizationFunction-specific/mode-specific trainingSafety trainingSecurity awareness trainingIn-depth security training for some employees (see § )Initial training required within 90 daysNote: 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:ClassificationPackagingHazard communicationHazmat transportation by various modesHazmat employee trainingIncident reportingEmergency response informationSecurityNote: 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 ReportingMany 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 hoursInfectious substances – notify CDC within 12 hoursMarine 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 hospitalizationChange in flight pattern or routine of an aircraftShutdown of major facility or transportation arteryEvacuation of the public for one hour or moreAny situation that involves a continuing danger to lifeOn an aircraft, fire, rupture, explosion, or dangerous heat evolution resulting from a battery or battery-powered deviceWritten 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 facilitiesPackaging manufacturing, requalification, repair and reconditioning facilitiesCargo vessel ports, rail freight yards, motor carrier and air cargo terminalsChemical and explosive manufacturing plantsProgrammatic inspections of hazardous material transportation systems, procedures, and processesCivil and criminal enforcement investigationsAccident and incident investigation and failure analysisOutreach and educationEmergency responsePHMSA'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 Counselfor 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 inCivil penalties of $250 to $110,000Minimum $495 for training related violationEach day of a continuing violation is a separate offenseCriminal penalties of up to $250,000 (individuals) and $500,000 (corporations), plus up to ten years in prisonNote: 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 shipmentsDOE/NRC Nuclear materialsSTB Commercial transportationOSHA Worker health and safetyNLRB Organized laborNFPA First responder safety and healthUSDA Invasive speciesState-level hazmat compliance programsThe 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 theInternational 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; andDoes 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 TakeawaysThe 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 ExercisesFor 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 LogisticsHM-16 Module 4, Hazmat Mode and Route Selection49 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.CPHMSA, Technical Reports, U.S. Department of Transportation, Washington, DC,