FAA / DOT Inspections Cornell University

Bill Leonard2013 CUHWC

Bill Leonard

6 Years US Navy – Nuclear Power School

15 Years at Cornell University– Manage Radioactive Waste Program– Manage DOT Hazardous Materials Program– Assist with Chemical Waste Program

CDL w/Hazmat, Pesticide Applicator, Hazmat Team, CHMP

Outline

History of FAA Inspections at Cornell– FAA (Federal Aviation Administration)

Recent FAA Inspections Internal DOT Audits First Motor Carrier Inspection

– New York State DOT US DOT Number DOT regulatory changes and updates

DOT Inspection History

2003 – 2 FAA Agents, 53 citations, $9000 fines 2007 – 2 FAA Agents, 10 citations, Warning

Notice 2009 – FAA Agent reviews EH&S webpage,

notice of update 2011 – 1 NYS DOT Investigator 2012 – 1 FAA Agent,8 citations, Warning Notice 2013 – 1 FAA Investigation

FAA Inspection 2012

Phone message FAA Agent to arrive at 11 am

Inspection based on records reviewed at FedEx Express facility

Phone call to campus shipper made 2 days earlier

FAA Inspection 2012

Briefing Copies of shipping paperwork

– 33 Dangerous Goods forms (mostly Cat A)– 1 Airway Bill (dry ice)

Discussed – Paperwork issues – Phone call to shipper– Locations he planned on visiting– Broken DOT flowchart link

FAA Inspection 2012 (EH&S)

Copies of all EH&S shipping papers Training

– List of all campus DOT trained staff Added certification statement

– Course/Class curriculum General Awareness/Function Specific/Security

Awareness DOT Security Plan

FAA Inspection 2012 (campus)

Animal Health Diagnostic Center– Asked to walk through a shipment– Record review

Training Dangerous Goods forms Package Closure Instructions Regulations

– Findings 18 shipments over passenger limit 1 chemical return without training Lab staff classifying materials on shipment form

FAA Inspection 2012 (campus)

Vet Medical Center– Asked to see Category A packaging

4GU package? Used package

– Asked to walk through shipment Inner and secondary package closed inside BSL-3

– Record review Never happened

FAA Inspection 2012 (campus)

Biotechnology Building– Dry Ice shipper

Asked for training records– Findings

Training out of date Air waybill completed incorrectly

FAA Inspection 2012 (campus)

Biotechnology Shipping/Receiving– Asked for copies of DG form– Findings

First shipment was rejected Second shipment lost volume? Undeclared hazmat shipment Added information to proper shipping name

FAA Inspection 2012 (actions)

Suspended shipper DOT training

– Hired ERC to provide DOT training– Required re-training of all inspected shippers

Sent shipping notice to campus

Informed FAA Agent

FAA Inspection 2012 (final results)

Received Warning Notice– Cited 6 shipments over passenger limit– Cited 2 untrained shippers

Noted in letter “you have taken corrective action, the FAA has decided not to pursue Civil Penalty Action”

FAA Inspection 2013

Phone call from FAA– UPS reported undeclared dry ice package– Contents potentially infectious? “Human”

Inspection or self disclosure Findings

– Shipment made by lab partner– No DOT training– Samples not infectious

UPS Photos

FAA Inspection 2013

Actions– Required DOT training– Sent Dry Ice notice to campus– Planned meeting with building safety committee

Results– Warning notice

DOT Audits

FedEx– Quarterly review of DG and air waybills– Form review, 24 hour info, PSN, limits

Shipper– Training– Access to Regulations– UN packaging and closure instructions– Demonstrate the steps to complete an shipment– Copies of DG forms – What to do if contacted by a Federal Agency

CARRIER AUDIT FORM

Ship Date Shipper Location DG FormHaz Class UN # Training Date ClassY / N Y / N

Checks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

Y / N Y / NChecks: PSN Limits 24 hr # Other

SHIPPER AUDIT FORM

Date: ________________

Location: __________________________ Auditor: ___________________________ Shippers: __________________________ ____________________________ __________________________ ____________________________

1. Can all shippers produce DOT training certification? Y / N

2. Does the trained shipper make the hazardous material determination? Y / N

3. Does the shipper have access/copies of the DOT regulations? Y / N

4. Are DOT certified packages used (except Dry Ice)? Y / N

5. Are copies of package closure instructions on file? Y / N

6. Does the shipper have required DOT labels? Y / N

7. Is the To: and From: addresses placed on all packages? Y / N

8. Copies of shipping papers (DG forms) maintained for last 2 years? Y / N

9. Does the shipper know what to do if contacted by the FAA or Federal Agency? Y / N

10. Can the shipper demonstrate the process required for a hazmat shipment? Y / N

Comments: ____________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Corrective Actions: _____________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

US DOT number

Do I need one for our farm services truck that is over 10,000 GVWR?– Farm vehicles are exempt, but not our waste trucks– Who manages the US DOT number?

Grounds Finance office Facilities Operations (transportation services)

– Look up US DOT number Wilson lab (3 trucks)

– Update of US DOT number registration

NYS DOT Motor Carrier Inspection

April 2011 US DOT number renewal and update– 3 trucks to 79 trucks, – Added hazardous materials

December 2011 Motor Carrier Inspection by NYS DOT Investigator– Driver records on operators GVWR >10,000 lbs

CDL’s, medical certificates, driving history, time logs– Vehicle records on all vehicles GVWR >10,000 lbs

Maintenance files, driver inspections

NYS DOT Inspection (hazmat)

Questions via conference call– Do we transport Hazmat?– Do we use a shipping paper?– How do we label our shipments?– Do we use placards?– Where are our shipping paper’s when properly

seated and belted?– Do we have a Route Plan?

Route Plan?

Triggered by radioactive placards for LSA– Could not specify the requirement for such plan

Only required for HRC quantities of RAM Safety Plan

– HRC quantity of RAM– > 1 liter PIH zone A– >450 liter PIH zone B– >13,248 liter PIH zone C or D– >13,248 liter liquefied gas with >85% methane

DOT Inspection or Safety Audit?

NYS DOT inspection became safety audit– Treated as a new number

Facilities Operations hired a DOT consultant– Review all transportation functions– Provided guidance and example forms

US DOT number requirements

Applied to any vehicle or driver of a vehicle– GVWR > 10,000 lbs– Truck and trailer with combined GVWR >10,000

Exceptions– Operation of Fire trucks and Rescue Vehicles– Certain farm vehicles and drivers– Transportation performed by the Fed. Gov’t, a

state, or any political subdivision of a state…

US DOT number requirements

Driver’s– Application for employment

Must contain previous driving information– Safety performance history (previous employers)– State driving records previous 3 years– Annual driving record review including violations– Drivers road test (practical)

US DOT number requirements

Vehicle and time logs– Time log (start/finish)

Less than 100 mile radius and returns to headquarters Less than 12 hour shift separated by 8 hours off

– Inspection, Repair and Maintenance Records– Driver’s vehicle inspection report

Specific items listed (including trailers if used) Drivers signature Mechanics signature

DOT Regulatory Updates

Closure instructions (recent update 90 days) FedEx

– Dry ice no longer allowed in just styrofoam boxes Lithium Batteries

UN Number size on packages– 2017 for Domestic– 2014 for Air (IATA currently)

6 mm / 30L or 30 Kg / 12 mm

DOT Regulatory Updates

Jan 2013 – UN number first and Cargo Only

Jan 2014 – Organic Peroxide placard

Oct 2014 – Class 6.2 and 9 label

DOT Reference Sheet

Packaging Carry on items Emergency Response info Shipping Hazardous Chemicals under OSHA Definition of Commercial Motor Vehicle (CMV) CMV Requirements USDOT Number Exemptions

Questions?

Don’t forget your reference sheet

Bill LeonardHazardous Materials Specialist