Post on 31-Mar-2015
TOOLKIT FOR HAZARDOUS MATERIALS TRANSPORTATION EDUCATION
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Module 3: Hazmat Legal and Regulatory Environment
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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 37215
Learning Outcomes
At the end of this module students will be able to:1.Identify the principal regulations governing hazmat transportation.2.Explain the general layout of the hazardous materials regulations and locate provisions that are applicable to specific shipping situations.3.Describe the operational elements required for the safe and secure movement of hazmat within the applicable regulatory requirements.
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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
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The Hazardous Materials Regulations (HMR)
5Source: PHMSA, USDOT, July 2012.
• This module is for educational purposes only.• It does not substitute for the actual HMR.• For authoritative information consult the latest
edition of the HMRhttp://www.ecfr.gov/cgi-bin/text-idx?
sid=69820f56014d9312d67ea8169b0e9e01&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl
and the final rules published in the Federal Register.https://www.federalregister.gov/
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
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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)
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Basic USDOT Definition of Hazardous Material
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A substance or material, that when transported in commerce, is capable of posing an unreasonable risk to:– Health– Safety– Property
Source: PHMSA, USDOT, July 2012.
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
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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"
10Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.
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.
11Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.
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Key U.S. Hazmat Legislation and Regulations
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
13Source: PHMSA, USDOT, July 2012.
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
14Source: PHMSA, USDOT, July 2012.
Who Is Subject to the HMR?
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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
Source: PHMSA, USDOT, July 2012.
Hazardous Materials Standards
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The HMR set forth standards for:• Classification• Packaging• Hazard communication• Emergency response information• Hazmat employee training• Hazmat transportation by various modes• Incident reporting• Emergency response information• Security
Source: PHMSA, USDOT, July 2012.
The Hazardous Materials Table (HMT)
17Source: PHMSA, USDOT, July 2012.
What’s in the HMT?
18Source: PHMSA, USDOT, July 2012.
• Contains more than 3,000 proper shipping names of commonly shipped hazmat.
• Contains 14 columns organized into 10 major headings.
Hazardous Materials Standards
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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.
USDOT/PHMSA Hazmat Classification System• 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
• 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
2049 CFR §173.2
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)
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Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
Class 2 - Gases
2.1 Flammable gases (methyl chloride, propane)2.2 Non-flammable compressed gases (anhydrous ammonia, carbon dioxide, compressed nitrogen)
2.3 Poisonous gases (chlorine, arsine, methyl bromide)
22Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
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)
23Source: 49 CFR § 173.120; Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
Class 4 – Flammable Solids
4.1 Flammable Solids (magnesium pellets, nitrocellulose)
4.2 Spontaneously Combustible (charcoal briquettes, phosphorous)
4.3 Dangerous When Wet (magnesium powder, sodium hydride)
24Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
Class 5 – Oxidizing Agents & Organic Peroxides
5.1 Oxidizers (ammonium nitrate, calcium hypochlorite)
5.2 Organic Peroxides (dibenzoyl peroxide, peroxyacetic acid)
25Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
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)
26Source: Defense Ammunition Center, April 2011.; NFPA 472 , Jan 2013.
Class 7 – Radioactive Materials
27Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
Examplescobalturanium hexafluoride“yellow cake”
Class 8 – Corrosive Materials
ExamplesAcids (nitric acid, sulfuric acid, batteries)
Alkalis (sodium hydroxide)
28Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
Class 9 – Miscellaneous Hazardous Materials
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ExamplesLithium batteriesHot liquid asphaltPCBsMolten sulfur
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
49 CFR § 173.140
Hazardous Substances
30Source: PHMSA, USDOT, July 2012.
• 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 Waste
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• Transportation of hazardous waste is regulated by DOT (49 CFR 171.3, 171.8) and EPA (40 CFR 262-263).
• 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)
Source: Transportation Safety Institute, USDOT, Feb 2012.
Marine Pollutants
32Source: PHMSA, USDOT, July 2012.
• A hazmat is also a marine pollutant when:– It is listed in §172.101, 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.
Other Materials Covered by Hazmat Regulations
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• Forbidden Materials (§ 173.21 )– May not be offered for transportation or transported.
• Forbidden Explosives (§ 173.54 )• ORM-D (Other Regulated Materials – Domestic) (§ 173.144)
– 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)
ORM-D: Consumer Commodities
34Source: Defense Ammunition Center, April 2011.
Classification used only in the United States
MOT and COMAT
35Source: PHMSA, USDOT, July 2012.
• 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.
Hazardous Materials Standards
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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.
Packaging
37Source: PHMSA, USDOT, July 2012.
• 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
General Package Requirements in the HMR
38Source: Transportation Safety Institute, USDOT, Feb 2012.
The hazmat packaging must be:• Able to contain the material• Compatible with the material• Authorized for the material• Closed securely• Filled appropriately
http://www.megacheminc.com/un_packaging.htm
HMT Column 5 – Packing Group (PG)
39Source: PHMSA, USDOT, July 2012.
• Assigned according to the relative degree of danger posed by the hazmat during transport:– PGI greatest– PGII medium– PGIII minor
HMT Column 8 – Packaging References
40Source: PHMSA, USDOT, July 2012.
• 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.
UN Standard Packaging Performance Tests
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• Drop test• Leakproofness• Hydrostatic pressure test• Stacking• Cooperage test• Packaging test US only– Vibration test
Source: Defense Ammunition Center, April 2011.
http://www.westpak.com/hazardous-materials/stack-testing.asp
Package Marking Requirements
42Source: PHMSA, USDOT, July 2012.
Hazardous Materials Standards
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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
Source: PHMSA, USDOT, July 2012.
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.
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
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Shipping Papers
• A properly prepared shipping paper must accompany any hazmat shipment.
• May include:– Shipping order– Bill of lading– Manifest– Other
45Source: PHMSA, USDOT, July 2012.
General Shipping Paper Requirements
• Legibility• Codes and abbreviations• Additional information• Multiple-page shipping
papers• Continuously monitored
emergency response telephone number
• Documents and forms
46Source: PHMSA, USDOT, July 2012.
UN1263, Paint, 3, PGII
HMT Columns 1-5
47Source: PHMSA, USDOT, July 2012.
• 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.
Shipping Description of the Hazmat
48Source: PHMSA, USDOT, July 2012.
• 1-4 Basic description• 5 Total quantity• 6 Number and type of packages
UN1114, Benzene, 9, PGII
Shipper Certifications
49Source: PHMSA, USDOT, July 2012.
International
Domestic
Marking, Labeling, and Placarding
• Each hazmat package, freight container, and vehicle must communicate hazard information as prescribed in the HMR.
50Source: PHMSA, USDOT, July 2012.
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
51Source: PHMSA, USDOT, July 2012.
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.
52Source: PHMSA, USDOT, July 2012.
Marking Requirements for Bulk Packaging
• Identification numbers• Size of markings• Empty packagings• Fumigant markings
53Source: PHMSA, USDOT, July 2012.
54Source: PHMSA, USDOT, Chart 14.
HMT Column 6 – Label Codes
55Source: PHMSA, USDOT, July 2012.
• Specifies the hazard warning labels that must be applied to each hazmat package.
• The codes are defined in the Label Substitution Table found in § 172.101(g).
Label Substitution Table
Display of Hazard Class on Labels
56Source: PHMSA, USDOT, July 2012.
Labels for Mixed or Consolidated Packaging
57Source: PHMSA, USDOT, July 2012.
Mixed Consolidated
Placarding
• General rule: if a freight unit contains hazmat there must be placards on both sides and each end displaying the hazard class.
• §172.504(e) gives details in Tables 1 and 2.
58Source: PHMSA, USDOT, July 2012.
Placarding Tables
59Source: PHMSA, USDOT, July 2012.
• 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.
Placarding Specifications
60Source: PHMSA, USDOT, July 2012.
• Strength and durability• Design• Form identification• Exceptions
§172.519
Placard Gallery
61Source: PHMSA, USDOT, July 2012.
§172.521-560
Example: Class 4 Placards
62Source: PHMSA, USDOT, July 2012.
§172.546-548
Hazardous Materials Standards
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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.
Carrier/Shipper Functions
64Source: PHMSA, USDOT, July 2012.
If a carrier repackages hazardous material, the carrier is functioning as a shipper and MUST comply with HMR shipper regulations.
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
FMCSR49 CFR §390-397and other sections
65Source: PHMSA, USDOT, July 2012.
Additional Motor Carrier Training Requirements
66Source: PHMSA, USDOT, July 2012 and 49 CFR §177.816.
• 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
Special Loading/Unloading Requirements
67Source: PHMSA, USDOT, July 2012.
• Explosives• Flammable liquids• Storage batteries/nitric acid• Gases• Poisons/TIH• Materials prohibited in driver compartment• Selected class 4 and 5 materials• Radioactive materials
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
68Source: PHMSA, USDOT, July 2012.
Other Motor Carrier Rules
69Source: PHMSA, USDOT, July 2012.
• 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
Carrier Requirements - Rail
70Source: PHMSA, USDOT, July 2012 and 49 CFR §174.
• 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.
Carrier Requirements - Water
71Source: PHMSA, USDOT, July 2012 and 49 CFR §176.
• When carrying hazardous materials by vessel, the International Maritime Dangerous Goods (IMDG) Code may be used, as long as HMR §171.12 and §176.11 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.
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
72Source: PHMSA, USDOT, July 2012.
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
73Source: PHMSA, USDOT, July 2012.
Additional Water Carrier Requirements
74Source: PHMSA, USDOT, July 2012.
• 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.
Carrier Requirements - Air
75Source: PHMSA, USDOT, July 2012.
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 packages
C: special requirements for certain hazard classes and commodities, such as flammable liquids, poisons, radioactive materials, and infectious substances
ICAO Technical Instructions
76Source: PHMSA, USDOT, July 2012.
• 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 §171-180.
Air Carrier Responsibilities
77Source: PHMSA, USDOT, July 2012.
• 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
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
78Source: PHMSA, USDOT, July 2012.
Loading Hazmat into Aircraft
79Source: PHMSA, USDOT, July 2012.
• 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.
Some Other Air Carrier Requirements
80Source: PHMSA, USDOT, July 2012.
• 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.
Hazardous Materials Standards
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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.
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 §172.800)• Initial training required within 90 days
82Source: PHMSA, USDOT, July 2012.
• DOT requires retraining and testing at least once every 3 years.• FAA requires air carrier employee training every 2 years.
Hazardous Materials Standards
83
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.
Incident Reporting
84Source: PHMSA, USDOT, July 2012.
• 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)
Other Reportable Incidents
85Source: PHMSA, USDOT, July 2012.
• 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 5800.1 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 §171.15-16 for detailed requirements.
PHMSA Hazmat Enforcement
86Source: PHMSA, USDOT, July 2012.
• 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
Hazmat Enforcement: Other Agencies
87Source: PHMSA, USDOT, July 2012.
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 350-399).•FRA - the transportation or shipment of hazardous materials by railroad. FRA also enforces the rail safety regulations (49 CFR 200-268).•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.
HM Inspections, Violations, and Penalties
Source: US DOT Pipeline and Hazardous Materials Safety Administration, Transportation of Hazardous Materials, 2009-2010, October 2011, p. 21. 88
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.
89Source: PHMSA, USDOT, July 2012.
Other Regulatory Requirements, Standards, and Guidelines
90
• 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
Issues Involving Multiple/Overlapping Regulations
91Source: PHMSA, USDOT, July 2012.
• 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.
Federal Waiver of Preemption
92Source: PHMSA, USDOT, July 2012.
• 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.
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.
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Student Exercises
1. 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.
2. 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.
3. 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?
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Resources for Support and Additional Learning
• HM-16 Module 2, Hazmat Transportation Logistics• HM-16 Module 4, Hazmat Mode and Route Selection• 49 CFR §171-180, 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 http://www.phmsa.dot.gov/hazmat/training/publications.
• PHMSA, Technical Reports, U.S. Department of Transportation, Washington, DC, http://phmsa.dot.gov/hazmat/library/reports/technical.
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