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TRANSPORTATION OF HAZARDOUS MATERIALS RISK IDENTIFICATION AND MANAGEMENT  CCIC RISK MANAGEMENT SEMINAR JULY 14, 2005 JULY 14, 2005 Presented by: Martin.

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Presentation on theme: "TRANSPORTATION OF HAZARDOUS MATERIALS RISK IDENTIFICATION AND MANAGEMENT  CCIC RISK MANAGEMENT SEMINAR JULY 14, 2005 JULY 14, 2005 Presented by: Martin."— Presentation transcript:

1 TRANSPORTATION OF HAZARDOUS MATERIALS RISK IDENTIFICATION AND MANAGEMENT  CCIC RISK MANAGEMENT SEMINAR JULY 14, 2005 JULY 14, 2005 Presented by: Martin Costello, Yale University Presented by: Martin Costello, Yale University

2 U.S. Department of Transportation Risk Based Decision Making in Hazardous Materials Safety Program Mission To administer a comprehensive nationwide safety program to protect the Nation from the risk to life, health, property, and the environment inherent in the transportation of hazardous materials by all modes of transportation.

3 U.S. DOT – Risk Management Federal Hazardous Materials Transportation Law “The Secretary shall designate material or a group or class of material as hazardous when the transporting of the material in commerce in a particular amount and form may pose an unreasonable risk to human health and safety or property. The Secretary shall prescribe regulations for safe transportation of hazardous materials in interstate, intrastate and foreign commerce.”

4 U.S. DOT – Risk Management The resulting safety program and regulations: Are risk based Are risk based Use date, information and experience to define hazardous materials and manage their risk in transportation Use date, information and experience to define hazardous materials and manage their risk in transportation Are prevention oriented Are prevention oriented Focus on identifying and communicating hazards Focus on identifying and communicating hazards Designed to reduce probability of material release and mitigate release consequences. Designed to reduce probability of material release and mitigate release consequences.

5 Designed to address a very broad set of hazardous materials, all modes of transport (except bulk marine) and all routes Designed to address a very broad set of hazardous materials, all modes of transport (except bulk marine) and all routes A minimum standard which does not specifically address all risk management parameters a shipper or carrier may need to employ in its risk management program A minimum standard which does not specifically address all risk management parameters a shipper or carrier may need to employ in its risk management program

6 U.S. DOT – Risk Management Program Elements: Risk Assessment – Addresses Hazards, Consequences, and Probability in Hazmat Transportation: Risk Assessment – Addresses Hazards, Consequences, and Probability in Hazmat Transportation: – Classification system is a hazard analysis system – Consequences and probability are addressed by: Commodity flow survey Commodity flow survey Chemical manufacturing, use, transportation studies Chemical manufacturing, use, transportation studies Public comment on Rulemakings Public comment on Rulemakings

7 Program Elements: Risk Management Regulations: Classification, Communication, Packaging, Testing, Training, Approvals, Routing, Registration Regulations: Classification, Communication, Packaging, Testing, Training, Approvals, Routing, Registration Compliance/Outreach: Training, Information Compliance/Outreach: Training, Information Dissemination, Enforcement Dissemination, Enforcement Alternatives to Regulations: Exemptions Alternatives to Regulations: Exemptions Mitigation: ERG’s, Grants for Training Mitigation: ERG’s, Grants for Training

8 Regulations – Fundamental Objectives Provide uniform regs that support consistent hazard classification and packaging standards and clear hazard communication Provide uniform regs that support consistent hazard classification and packaging standards and clear hazard communication Provide regulatory harmony with world-wide regulatory system Provide regulatory harmony with world-wide regulatory system Clear hazard and Risk Communication Clear hazard and Risk Communication Regulations are necessary and benefits exceed cost of compliance Regulations are necessary and benefits exceed cost of compliance Regulations are understandable and facilitate compliance Regulations are understandable and facilitate compliance

9 Thomas Butler (Texas Tech University) vs. The Department of Justice Convicted on 47 counts of illegal transport of hazardous materials and theft from Texas Tech University. and theft from Texas Tech University.

10 The facts : Butler collected blood and tissue samples from Tanzanians believed to be infected with Yersinia Pestis (bubonic plague) Butler collected blood and tissue samples from Tanzanians believed to be infected with Yersinia Pestis (bubonic plague) Samples were collected in test tubes and petri dishes, then packed in cardboard box. Samples were collected in test tubes and petri dishes, then packed in cardboard box. Samples were described as “ laboratory materials,” and checked with luggage on flight from Tanzania to USA. Samples were described as “ laboratory materials,” and checked with luggage on flight from Tanzania to USA. Once reaching US, Butler transported samples in trunk of his car to USAMRID (Ft Detrick, MD) Once reaching US, Butler transported samples in trunk of his car to USAMRID (Ft Detrick, MD)

11 Part of original sample set returned to Govt. of Tanzania via FEDEX and remainder sent to Butler’s lab at TTU (Lubbock, TX) Part of original sample set returned to Govt. of Tanzania via FEDEX and remainder sent to Butler’s lab at TTU (Lubbock, TX) He did not obtain necessary export permit for shipment of Select Agent. He did not obtain necessary export permit for shipment of Select Agent. Contents of FEDEX package were not marked, labeled or documented properly. Contents of FEDEX package were not marked, labeled or documented properly. Butler observes that plague vials seem to be missing from TTU lab and reports to FBI. Butler observes that plague vials seem to be missing from TTU lab and reports to FBI. FBI’s preliminary investigation reveals no evidence of theft. FBI’s preliminary investigation reveals no evidence of theft. FBI suggests that Butler retract his statement and instead document that vials were likely destroyed in lab incident several weeks earlier. He does so. FBI suggests that Butler retract his statement and instead document that vials were likely destroyed in lab incident several weeks earlier. He does so. He is subsequently arrested and later charged with lying to FBI. He is subsequently arrested and later charged with lying to FBI.

12 Outcome: Butler is convicted on 47 of 69 counts - sentenced to 2 years incarceration and 3 years of probation Butler is convicted on 47 of 69 counts - sentenced to 2 years incarceration and 3 years of probation Acquitted on 12 of 15 felony charges. Convicted of improper shipment of hazardous material and theft from TTU Acquitted on 12 of 15 felony charges. Convicted of improper shipment of hazardous material and theft from TTU He is assessed a significant fine – approximately $300,000 He is assessed a significant fine – approximately $300,000 Position at TTU is terminated Position at TTU is terminated Medical license is forfeited Medical license is forfeited TTU’s relationship with DOD placed in jeopardy TTU’s relationship with DOD placed in jeopardy Missing vials never found Missing vials never found

13 SOURCES OF HAZMAT TRANSPORTATION RISK UNDECLARED SHIPMENTS BY UNIVERSITY PERSONNEL ! UNDECLARED SHIPMENTS BY UNIVERSITY PERSONNEL ! (strong correlation with lack of awareness and failure to connect with institutional liability) – If not documented, then risk is completely undefined and uncontrolled. – If requirements unknown to shipper then significant risk of noncompliance No training No training Failure to use spec package Failure to use spec package Failure to properly mark, label and document Failure to properly mark, label and document – (denies carrier knowledge needed to segregate from incompatible materials) Failure to maintain records of shipment Failure to maintain records of shipment – If contents are unknown, then ability of Emergency Response team to contain release from package is severely compromised - - > complete loss of control

14 Documented shipments of hazmats Documented shipments of hazmats – Commercial carriers (ground freight) Insurance coverage – is it adequate? Insurance coverage – is it adequate? Driver training/instruction Driver training/instruction – Newly implemented restrictions on driver hours Compliance history Compliance history – Ability to package and ship in compliance with DOT Safety record Safety record – Accidents with and without hazmat cargo DOT Security Plan DOT Security Plan – Has carrier developed plan? – Have drivers received security awareness training? – How are shipments protected? – How does carrier ensure that plan is followed by its employees? Many carriers limit distribution of security plan. Should nevertheless ask for documentation that carrier has plan that meets DOT requirements. Keep letter on file.

15 – Commercial carriers (air freight) Is the air carrier properly insured? Is the air carrier properly insured? – What is adequate insurance for an air cargo shipment? Growing number of countries will not accept hazmat package by air freight Growing number of countries will not accept hazmat package by air freight – Check with destination country before shipping – Evaluate need for additional insurance (delivery is delayed/refused and package is destroyed) – Ground carrier will not have this information Congress has asked carriers to develop screening process to identify hazardous materials in air cargo Congress has asked carriers to develop screening process to identify hazardous materials in air cargo – Regulatory scrutiny and expectation is increasing – Little tolerance for ignorance or errors

16 Commercial shipments Issues to consider: Identify those who may ship hazardous materials using commercial carriers Research staff Research staff – Investigators – Graduate Students Samples Samples – Museum staff Collection loans Collection loans Environmental Health and Safety Staff Environmental Health and Safety Staff – Waste materials – Environmental samples

17 Anyone who prepares a hazardous material package, including selection of packaging, marking, labeling, completion of paperwork, etc. is required to have current training (DOT and/or IATA) Anyone who prepares a hazardous material package, including selection of packaging, marking, labeling, completion of paperwork, etc. is required to have current training (DOT and/or IATA) – Does shipper know that material is regulated? (Many feel that they are “grandfathered”... “I’ve been doing this for 20 years!!”) (Many feel that they are “grandfathered”... “I’ve been doing this for 20 years!!”) Does shipper/employee know whether material will be shipped via air or ground? Does shipper/employee know whether material will be shipped via air or ground? – Material may not be air eligible – IATA training required in cases where DOT is not. Does the University have mechanism to identify all hazardous material shippers? Does the University have mechanism to identify all hazardous material shippers? – Commercial carriers will generally accept package if paperwork is signed and completed properly, and packaging looks appropriate. Carrier will not ask for training records. – Regulatory agencies have the ability to identify every person who has made a declared shipment of a hazardous material...

18 – A bills of lading and/or manifest (hazardous waste) can be claimed by agency officers from the carrier and used to trigger inspection This technique has been used to inspect several universities and hospitals in the Boston, MA area This technique has been used to inspect several universities and hospitals in the Boston, MA area Agency officials requested records of training, specification package documents and copies of shipping papers. Agency officials requested records of training, specification package documents and copies of shipping papers. – How best to organize this program? Train all shippers – IATA training is approximately 16 hours; DOT training is 8; training must be updated periodically Train all shippers – IATA training is approximately 16 hours; DOT training is 8; training must be updated periodically Create a centralized shipping group through which all inbound and outbound packages are routed Create a centralized shipping group through which all inbound and outbound packages are routed Train and use EH&S staff to prepare outbound packages Train and use EH&S staff to prepare outbound packages If many don’t yet have fully developed programs (undeclared shipments), how do we know what is being received at our institution? If many don’t yet have fully developed programs (undeclared shipments), how do we know what is being received at our institution?

19 -Transportation of hazmat by University employees Identify employees who transport hazardous materials Identify employees who transport hazardous materials – Environmental Health and Safety Radioactive materials and waste Radioactive materials and waste Chemical moves Chemical moves Environmental samples to analytical lab Environmental samples to analytical lab Hazardous waste – can’t be transported without EPA/DEP permit Hazardous waste – can’t be transported without EPA/DEP permit – Research Staff Field work – sample preservation Field work – sample preservation – Trades people Gasoline, compressed gases, paint, solvents, acetylene, etc. Gasoline, compressed gases, paint, solvents, acetylene, etc. – Student workers Electronic waste collection Electronic waste collection Do any of these shipments require a placard? - - > Security Plan Do any of these shipments require a placard? - - > Security Plan How is material transported? How is material transported? – University vehicle – Personal vehicle – Rented vehicle – Borrowed vehicle

20 Is University Risk Management office aware that materials are transported by its employees and is insurance coverage sufficient? Is University Risk Management office aware that materials are transported by its employees and is insurance coverage sufficient? Is training adequate for all applications? Is training adequate for all applications? – EH&S staff generally need full DOT and IATA training – If EH&S makes campus to campus shipments of placarded material then Security Plan and Security training required – Field sample collection by research staff and transportation by trades people can generally be made under DOT’s “Material of Trade” Exemption Transportation by MOT does not require formalized training, but employee must be aware of exemption requirements and scope Transportation by MOT does not require formalized training, but employee must be aware of exemption requirements and scope


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