hazmat ground shipper certification (dot)

Compliance Reference

Hazmat Ground Shipper

Certification (DOT)

Lion Technology Inc.570 Lafayette RoadSparta, NJ 07871(973) 383-0800http://www.lion.com

Hazmat Ground Shipper Certification (DOT)

© Lion Technology Inc.

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LION CORPORATE POLICIES

Confidentiality

Any non-public information supplied by the client is kept as top confidential until and unless a formal release is obtained.

The nature and scope of our services for any client are considered to be confidential.

Information to be supplied to outside agencies (e.g. reports, requests for exemptions, permits, or registrations) will be, when requested, prepared by LION TECHNOLOGY INC. and then vetted, approved, and submitted by the client and not LION TECHNOLOGY INC. The client assumes full responsibility for the accuracy, completeness, and scope of information supplied in all cases, whether researched, prepared, and/or drafted by LION TECHNOLOGY INC. or not.

In instances where LION TECHNOLOGY INC. may represent a client, either openly or on a nondis-closed (blind) basis, only information approved by the client will be presented, and the client assumes responsibility therefore in all instances and aspects.

In the event of termination of our services per any agreements in effect, such materials or infor-mation as particularly relate to the client will be promptly returned and/or destroyed.

Ethics

Our responsibility is to our clients. Our goal is to assist them in complying with and, where pos-sible, benefiting from the hazardous materials/wastes regulations affecting their business area. We do endeavor to guide implementation of the most practical and inexpensive programs possible to achieve safety and compliance.

Concurrently, we have assumed the profes-sional and social responsibility to meet the objec-tives of protecting human and environmental health, safety, and integrity. Therefore, we do not assist in finding “loopholes” or developing avoid-ance procedures not in the spirit of said laws and responsibilities.

We deal only with subcontractors, suppliers, and professionals as have been found to maintain similar high standards of integrity, capabilities, and ethics. This protects both our clients and our own interests, and we are adamant in this regard.

Copyrights

The GMP (Good Management Practices) System and all related materials, modules, liter-ature, and other elements thereof are the copy-righted property of LION TECHNOLOGY INC. No copies, photographs or recordings, or duplications in any form may be made without specific written authorization from LION TECHNOLOGY INC.

Disclaimer

This workshop has been designed to provide guidelines for compliance with the applicable Acts, Rules, and Regulations thereunder as in effect at the date of publication hereof. Notwithstanding that the workshops are intended to serve such pur-poses, LION TECHNOLOGY INC. and/or any and all agents or affiliates, cannot and shall not be or become liable or responsible in any way, with or without the use of these workshops, in connection with or for any loss, injury, damage, penalty, or vio-lation to, by or in respect of any person or property, however caused. Neither LION TECHNOLOGY INC. nor any of their agents or affiliates, act or pur-port to act as legal counsel, guarantor, warrantor, or insurer with respect to the workshops and/or the contents thereof.

Errors and OmissionsAs stated in the promotional materials, we

here again state our policy on errors and omissions. All conclusions, information, worksheets, or other actions resulting from these meetings should be reviewed with your legal counsel before proceed-ing. Neither LION TECHNOLOGY INC., its Divi-sions, representatives, or personnel assume any responsibility for errors and/or omissions regard-less of cause and by whom.

Your attendance, participation, and/or any actions are to be with this explicit understanding.


Preface

General Awareness

Step #1 ...........................................................................................Classification

Step #2 ...........................................................................Proper Shipping Names

Step #3 ................................................................................................Packaging

Step #4 ..............................................................................Marking and Labeling

Step #5 ...................................................................................... Shipping Papers

Step #6 ............................................................................................... Placarding

Step #7 .............................................................Loading, Moving, and Unloading

Step #8 .................................................................................... Hazmat Incidents

Step #9 ............................................................... Administrative Responsibilities

Step #10 ..................................................................... Keeping Up With Changes

Cargo Security Awareness

Index

© Lion Technology Inc.HMTC CR



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DETAILED TABLE OF CONTENTSCompliance Reference

General Awareness

“Hazmat Employee” Training ............................................................................................1

When Do Hazardous Materials Regulations Apply? ......................................................6

What Do the Hazardous Materials Regulations Regulate? ............................................8

The Hazardous Materials Regulations ............................................................................10

The Structure of the Code of Federal Regulations ..............................................................11

Regulatory Structure and Applicability ..........................................................................13

The “Ten Steps” vs. 49 CFR ..............................................................................................14

DOT “Persons” and Parts .................................................................................................16

Alternative Hazmat Regulations .....................................................................................17

Who’s Responsible for What? ..........................................................................................18

General Responsibilities of “Persons” .......................................................................18

The Ten Steps .................................................................................................................21

DOT Penalties and Enforcement ......................................................................................24

DOT Enforcement Examples ............................................................................................26

Hazard Class Definitions ..................................................................................................28

Acronyms ............................................................................................................................30

Transportation Jargon ........................................................................................................33

Rules of Construction and Units of Measure .................................................................37

Agencies of the DOT ..........................................................................................................39

Step #1—Classification

Step 1—Classification ........................................................................................................41

Definition of a “Hazardous Material” .............................................................................43

Materials Designated as Hazardous Materials in the Hazmat Table .........................45

DOT’s Hazard Classes and Divisions .............................................................................48

Determining Subclassifications ........................................................................................57

Practical Issues in Hazmat Classification .......................................................................58

The Hazard Classification Process ...................................................................................59

Example Mineral Spirits ..............................................................................................61

Example Cleaning and Stripping Agent....................................................................65

Multiple-hazard Materials ................................................................................................70

Preface

Detailed Table of Contents, continued


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Identifying the Primary Hazard.......................................................................................71

Combustible Liquids, the Unnumbered Class ...............................................................75

Hazardous Wastes, Hazardous Substances, Marine Pollutants, and Elevated-temperature Materials .........................................................................76

Class 9 ..................................................................................................................................81

“Overclassifying” a Material as a Hazardous Material ................................................85

Samples and Hazardous Wastes ......................................................................................86

“Forbidden” ........................................................................................................................87

Step #2—Proper Shipping Names

Step 2—Choosing Proper Shipping Names ...................................................................89

Using the “172.101 Table” .................................................................................................90

Column 1 Symbols .............................................................................................................91

Selecting a Proper Shipping Name ..................................................................................92

Modifying Proper Shipping Names ................................................................................96

Naming Mixtures and Solutions ......................................................................................98

“Improper Shipping Names” .........................................................................................100

Step #3—Packaging

Step 3—Packaging ............................................................................................................103

Packaging Definitions ......................................................................................................105

The Packaging Columns .................................................................................................110

Basic Packaging Concerns ............................................................................................... 111

General Packaging Requirements ..................................................................................112

Authorized Packaging .....................................................................................................115

Packaging Identification Codes for Non-bulk UN Specification Packagings .........118

UN Specification Markings for Non-Bulk Packagings ...............................................122

Marking of Non-bulk Packagings ..................................................................................125

Packaging Identification Codes for IBCs ......................................................................126

UN Specification Markings for IBCs .............................................................................128

Marking of Intermediate Bulk Containers ...................................................................129

Additional IBC Markings ................................................................................................130

Determining Authorized Packagings ............................................................................132

Determining Authorized Non-bulk Packaging Example ...........................................133

Determining Authorized Bulk Packaging Example ....................................................137

Determining Authorized Exception Packaging Example ..........................................141




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Limited Quantity and Consumer Commodity Packages ...........................................144

Special Provisions.............................................................................................................147

Reuse of Hazmat Packagings .........................................................................................149

Dealing With “Empties” ..................................................................................................152

A Package Is “DOT-Empty” If... .....................................................................................154

Special Issues in Packaging ............................................................................................155

Step #4—Marking and Labeling

Step 4—Marking and Labeling ......................................................................................159

General Requirements for Markings and Labels .........................................................160

Marking and Labeling Requirements for Fully Regulated Non-bulk Packages .....162

Alternative Marking and Labeling Requirements for Exception Packages.............170

Marking and Labeling Requirements for Salvage Packagings and Overpacks ......174

Marking Identification Numbers on Bulk Packages and Transport Vehicles ..........176

Special Bulk Package and Container Marking and Labeling Requirements ...........179

DOT Labels........................................................................................................................182

Checklist: Fully Regulated Non-bulk Package ............................................................184

Checklist: Limited Quantity Non-bulk Package Shipped by Other Than Air ........186

Checklist: Intermediate Bulk Containers (IBCs) ..........................................................187

Checklist: Cargo Tanks ....................................................................................................189

Checklist: Tank Cars ........................................................................................................190

Checklist: Portable Tanks ................................................................................................191

Checklist: Multi-unit Tank Car Tanks ...........................................................................193

Checklist: Freight Containers .........................................................................................194

Step #5—Shipping Papers

Step 5—Shipping Papers .................................................................................................197

Standard Shipping Paper Descriptions .........................................................................199

Indicating Quantities on Shipping Papers ...................................................................202

Additional Description Requirements ..........................................................................203

Shipper’s Certification .....................................................................................................209

Sample Bill of Lading Explanation ................................................................................211

DOT Emergency Response Information .......................................................................213

The Hazardous Waste Manifest .....................................................................................216

Retention of Shipping Papers .........................................................................................219

Preface



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Step #6—Placarding

Step 6—Placarding ...........................................................................................................221

DOT Placards ....................................................................................................................223

Placarding Requirements ................................................................................................225

Providing and Displaying Placards ...............................................................................228

Placarding Exceptions .....................................................................................................230

Placarding Summary .......................................................................................................231

Step #7—Loading, Moving, and Unloading

Step 7—Loading, Moving, and Unloading ..................................................................233

Carriage by Rail ................................................................................................................235

Loading and Unloading Tank Cars ...............................................................................236

Title 49—Chapter II, Federal Railroad Administration ..............................................238

Carriage by Highway ......................................................................................................239

Loading and Unloading Motor Vehicles .......................................................................240

Segregation and Separation ............................................................................................242

Title 49—Chapter III, Federal Motor Carrier Safety Administration .......................246

Step #8—Hazmat Incidents

Step 8—Dealing With Emergencies ...............................................................................247

DOT Incident Reports ......................................................................................................248

Emergency Response .......................................................................................................251

Step #9—Administrative Responsibilities

Step 9—Administrative Responsibilities ......................................................................257

Materials of Trade Exception ..........................................................................................258

The Special Permit Process .............................................................................................261

Petitions for Rulemaking and Preemption ...................................................................264

Registration of Shippers and Carriers ...........................................................................265

Approvals ..........................................................................................................................268

US DOT Headquarters ....................................................................................................270

US DOT—PHMSA Regional Offices .............................................................................272

Hazardous Materials Transportation ...........................................................................273

Transport Canada .............................................................................................................274




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Step #10—Keeping Up With Changes

Step 10—Keeping Up With Changes .............................................................................273

Hazmat Employee Update and Recurrent Training ...................................................274

The Federal Register ...........................................................................................................275

Important Transitional Dates ..........................................................................................279

Recent Final Rules Published in the Federal Register ...................................................280

Compliance Training Programs .....................................................................................282


Cargo Security Awareness ..............................................................................................287

Keeping Hazardous Materials Secure ...........................................................................289

Hazmat Cargo Security ...................................................................................................293

Index



Certification (DOT)

General Awareness



CONTENTS

“Hazmat Employee” Training ..............................................................................................1

When Do Hazardous Materials Regulations Apply?........................................................6

What Do the Hazardous Materials Regulations Regulate? .............................................8

The Hazardous Materials Regulations ..............................................................................10

The Structure of the Code of Federal Regulations ...............................................................11

Regulatory Structure and Applicability ............................................................................13

The “Ten Steps” vs. 49 CFR ................................................................................................14

DOT “Persons” and Parts ...................................................................................................16

Alternative Hazmat Regulations .......................................................................................17

Who’s Responsible for What? ............................................................................................18

General Responsibilities of “Persons” .......................................................................18

The Ten Steps .................................................................................................................21

DOT Penalties and Enforcement ........................................................................................24

DOT Enforcement Examples ..............................................................................................26

Hazard Class Definitions ....................................................................................................28

Acronyms ..............................................................................................................................30

Transportation Jargon ..........................................................................................................33

Rules of Construction and Units of Measure ...................................................................37

Agencies of the DOT ............................................................................................................39

General Awareness


Notes:

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“HAZMAT EMPLOYEE” TRAINING49 CFR 172, Subpart H

Hazmat Employer’s Duty—Ensure Your Employees’ Training

The DOT explicitly requires “hazmat employers” to ensure that their “hazmat employees” are trained.

“It is the responsibility of each hazmat employer subject to the requirements of this sub-chapter to ensure that each hazmat employee is trained in accordance with the requirements pre-scribed in this subchapter.” [49 CFR 173.1(b)]

Hazmat employer: means

(1) A person who employs or uses at least one hazmat employee on a full-time, part time, or temporary basis; and who:

(i) Transports hazardous materials in commerce;

(ii) Causes hazardous materials to be transported in commerce; or

(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or pack-aging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce;

(2) A person who is self-employed (including an owner-operator of a motor vehi-cle, vessel, or aircraft) transporting materials in commerce; and who:



(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or pack-aging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce; or

(3) A department, agency, or instrumen-tality of the United States Government, or an authority of a State, political subdivision of a State, or an Indian tribe; and who:



(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or pack-aging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce. [49 CFR 171.8]

Note that hazmat employers are not required to perform hazmat employee training; however, the employer is required to ensure that all employees have the training that is required.

Who Must Be Trained?

Anyone who directly affects the safety of transportation of hazardous material must be trained.



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“Hazmat Employee” Training, continued

Hazmat employee: means

(1) A person who is:

(i) Employed on a full-time, part time, or tem-porary basis by a hazmat employer and who in the course of such full time, part time or temporary employment directly affects hazardous materials transportation safety;

(ii) Self-employed (including an owner-op-erator of a motor vehicle, vessel, or aircraft) trans-porting hazardous materials in commerce who in the course of such self-employment directly affects hazardous materials transportation safety;

(iii) A railroad signalman; or

(iv) A railroad maintenance-of-way employee.

(2) This term includes an individual, employed on a full time, part time, or temporary basis by a hazmat employer, or who is self-em-ployed, who during the course of employment:

(i) Loads, unloads, or handles hazardous materials;

(ii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container or packaging component that is represented, marked, certified, or sold as qualified for use in transporting hazardous mate-rial in commerce.

(iii) Prepares hazardous materials for trans-portation;

(iv) Is responsible for safety of transporting hazardous materials;

(v) Operates a vehicle used to transport haz-ardous materials. [49 CFR 171.8]

Hazmat Training Topics [49 CFR 172.704(a)]

ALL hazmat employees must receive three kinds of training:

1. General awareness training

2. Function-specific training

3. Security awareness training

Depending on the hazmat employee’s spe-cific job functions, the employee may also need the following types of training:

1. Safety training

2. Security plan training

General Awareness Training

General awareness training is intended to:

• Provide the “big picture” of the DOT hazardous material regulations in gen-eral, and where the employee “fits in.”

• Provide familiarity with hazard class-es—what hazardous materials and their hazards are.

• Assure that employees are able to rec-ognize and identify hazardous materi-als based on DOT-required communica-tions (labels, package markings, etc.).

General Awareness


Notes:

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Function-specific Training

Function-specific training is intended to:

• Teach all employees the specific hazard-ous material regulations applicable to their specific job functions.

• Teach all employees the specific proce-dures they must follow to be in compli-ance with applicable hazardous materi-als regulations.

Security Awareness Training

Security awareness training is intended to:

• Provide an awareness of security risks and of methods used to enhance security.

• Assure that employees are able to recognize possible security threats and know how they are expected to respond.

Safety Training

Safety training is ONLY required for those hazmat employees who actually handle haz-ardous materials during transportation or who may be exposed to hazardous materials in the event of a transportation-related incident. When required, safety training should include information regarding:

• Proper package handling to pre-vent spills.

• What to do in the event of spills, both non-emergency and emergency procedures.

• How to protect oneself from the hazards of the materials.

Security Plan Training

Security plan training is only required for hazmat employees working at facilities that require hazmat cargo security plans. When required, security plan training should include information regarding:

• The organization’s security objectives.

• Specific security procedures.

• Individual employee’s responsibilities.

• Actions to take in the event of a securi-ty breach.

• The organization’s security structure.

NOTE: Security plan training should be appro-priate for a particular employee’s specific duties under the facility’s hazmat cargo secu-rity plan.

Substituting Other Training

Training given under other train-ing requirements (e.g., OSHA “HazCom,” “HAZWOPER,” or EPA RCRA training) may be used toward satisfying some of the DOT’s training requirements, but it must be docu-mented in accordance with DOT rules. For example, a person who had specific OSHA training would not need safety training under the DOT.



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Timing of Training

Initial Training [49 CFR 172.704(c)(1)]

Initial training must be provided to employees:

• Prior to performing a job function; or

• Within 90 days for new employees working under the direct supervision of someone who is properly trained and knowledgeable.

NOTE: When using the phrase “under the direct supervision,” the DOT means that the supervisor is able to notice and correct any mistakes made by the new employee. Merely reporting to a trained employee is not sufficient.

Recurrent Training [49 CFR 172.704(c)(2)]

All hazmat employees must be “retrained” no more than three years from the anniversary date of initial training. “Recurrent training” includes all five types of training, as applica-ble (i.e., general awareness, function-specific, security awareness, safety, and security plan).

The employer must ensure that employ-ees are tested and that an updated “record of training” is created.

Update Training [49 CFR 172.702(b)]

Employees must receive update train-ing as necessary if their job functions change or if DOT regulations change that affect the

employee’s job. Update training only needs to address the specific issues that have changed for the employee, not all of the DOT’s train-ing topics.

“If a new regulation is adopted, or an exist-ing regulation is changed, that relates to a function performed by a hazmat employee, that hazmat employee must be instructed in those new or revised function specific requirements without regard to the timing of the three year training cycle.” [Preamble, 61 FR 27169, May 30, 1996]

Although it might be considered a good management practice, hazmat employees receiving update training are not required to be tested as part of their training, nor is there any requirement to update training records.

Testing and Recordkeeping [49 CFR 172.702(d) and 172.704(d)]

Each hazmat employee must be tested “by appropriate means” on the training sub-jects covered. Appropriate means may include written or oral tests or simply demonstrating the ability to do assigned tasks.

The hazmat employer must create and retain a “record of training” for each hazmat employee. The record shall include:

• The hazmat employee’s name.

• The most recent training completion date of the hazmat employee’s training.

• A description, copy, or the location of the training materials used to meet the re-quirements in paragraph (a) of §172.704.

General Awareness


Notes:

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• The name and address of the person pro-viding the training.

• Certification by the hazmat employer that the hazmat employee has been trained and tested.

Training records must cover hazmat train-ing given to an employee during the previous three years and must be kept for:

• As long as the employee is employed as a hazmat employee.

• At least 90 days afterwards.

Offeror’s Duty: Instruct Anyone Doing It for You

Finally, 49 CFR 173.1(b) states:

“It is the duty of each person who offers haz-ardous materials for transportation to instruct each of his officers, agents, and employees having any responsibility for preparing hazardous materials for shipment as to applicable regulations in this subchapter.”

If you offer hazardous materials for trans-portation, you must assure that anyone per-forming any regulated function on your behalf is trained to perform that function correctly.



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WHEN DO HAZARDOUS MATERIALS REGULATIONS APPLY?49 CFR 171.1

In order for the DOT Hazardous Materi-als Regulations (HMR) to apply to a shipment, four criteria must ALL be met:

1. Transportation must be occurring.

2. The transportation must involve hazard-ous materials.

3. The act of transportation must be “in commerce.”

4. The mode of transportation must be air-craft, rail, vessel (boat), or motor vehicle.

If transportation occurs, then the DOT regulates both “transportation functions” and “pre-transportation” functions.

“Transportation”

Transportation is defined in the HMR as the movement of property and the loading, unloading, and storage incidental to move-ment. [49 CFR 171.8]

• Movement is defined as “the physical transfer of a hazardous material from one geographic location to another....”

• Loading incidental to movement refers to the loading by carrier personnel or in the presence of carrier personnel of hazmat into a transport vehicle, aircraft, or vessel for the purpose of transporting it.

• Unloading incidental to movement means removing a packaged or containerized

hazmat from a transport vehicle, aircraft, or vessel or the emptying of a hazmat from a bulk packaging:

– After delivery to a consignee and prior to the delivering carrier’s departure from the consignee facility or premises; or

– In the case of a private motor carrier, while the driver of the motor vehicle from which the hazmat is being unload-ed immediately after movement is com-pleted is present during the unloading operation.

• Storage incidental to movement means:

– Storage that takes place after the carri-er has taken possession of the hazmat until the package is physically deliv-ered to the destination indicated on the shipping document; or

– In the case of a private motor carrier, storage that takes place after a motor vehicle driver takes possession of the hazardous material until the driver relinquishes possession of the hazmat at its intended destination and is no longer responsible for performing func-tions subject to the HMR with respect to that package.

The “Cycle of Transportation”

Transportation in commerce begins when a carrier takes physical possession of a hazard-ous material for the purpose of transporting it.

General Awareness


Notes:

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When Do Hazardous Materials Regulations Apply?, continued

Transportation in commerce ends with the delivery of the hazmat to the consignee or destination facility indicated on the shipping documents.

“Hazardous Materials”

The DOT defines “hazardous material” as “a substance or material that the Secretary of Transportation has determined is capa-ble of posing an unreasonable risk to health, safety, and property when transported in commerce, and has designated as hazardous....” [49 CFR 171.8, emphasis added]

The DOT designates hazardous materi-als by defining hazardous properties that are regulated. These properties are categorized into hazard classes and divisions (for example, “explosive” is Class 1, “flammable liquid” is Class 3). Also included in the DOT’s definition of “hazardous material” are:

• Hazardous wastes, as defined by the US EPA.

• Hazardous substances, as defined by the US EPA.

• Marine pollutants.

• Elevated-temperature materials.

• Certain materials specifically named by the DOT as being hazardous materials.

“In Commerce” [49 CFR 171.8]

The DOT defines commerce as “trade or transportation in the jurisdiction of the United States:

• Within a single state,

• Between a place in a state and a place outside of the state,

• That affects trade or transportation be-tween a place in a state and place outside of the state, or

• On a US-registered aircraft.”

Essentially, the DOT has indicated that a material is being transported in commerce if it is being done for any purpose that “furthers a commercial enterprise.”

“By Aircraft, Rail, Vessel, or Motor Vehicle”

These terms may seem obvious; however, a “motor vehicle” is defined in the DOT regu-lations to include:

“a vehicle, machine, tractor, trailer, or semi-trailer, or any combination thereof, propelled or drawn by mechanical power and used upon the highways in the transportation of passengers or property.” [49 CFR 171.8]

Under this definition, a forklift carrying a package of hazardous materials across a public street is regulated as “transportation of hazard-ous materials in commerce by motor vehicle.”



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WHAT DO THE HAZARDOUS MATERIALS REGULATIONS REGULATE?

49 CFR 171.1

Functions Regulated by the HMR [49 CFR 171.1]

The DOT regulates not only transporta-tion functions, but also pre-transportation functions and packaging manufacturing.

Pre-transportation Functions [49 CFR 171.1(b)]

The DOT has defined this term to mean “a function specified in the HMR that is required to assure the safe transportation of a hazmat in commerce.”

Pre-transportation functions include, but are not limited to, the following:

• Determining the hazard class of a hazard-ous material

• Filling a hazardous materials packaging

• Securing a closure on a filled or partially filled hazardous materials package

• Preparing a shipping paper

• Certifying that a hazardous material is in proper condition for transportation in conformance with the requirements of the HMR

• Loading, blocking, and bracing a haz-ardous materials package in a trans-port vehicle

Packaging Manufacturing [49 CFR 171.1(a)]

The requirements of the HMR also apply to each person who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests a packaging or a component of a pack-aging that is represented, marked, certified, or sold as qualified for use in the transportation of hazardous materials in commerce.

Functions NOT Regulated by the HMR [49 CFR 171.1(d)]

The following functions are specifically not regulated under the Hazardous Materials Regulations:

• Storage of hazardous material at an offeror’s facility prior to a carrier taking possession of the hazardous material

• Unloading of a hazardous material from a transport vehicle or a bulk packaging by the consignee after the delivering carrier has departed

• Storage of a hazardous material after its delivery by a carrier to the destination indicated on the shipping document

General Awareness


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What Do the Hazardous Materials Regulations Regulate?, continued

• Rail and motor vehicle movements of hazmat solely within a contiguous facility where public access is denied or restricted

• Transportation on government-owned vehicles by government personnel for governmental purposes

• Transportation by an individual for non-commercial, personal purposes in a private motor vehicle, including a leased or rented motor vehicle

• Any matter subject to regulation by the US Postal Service

Other Regulations

In some cases, functions covered by the HMR may also be subject to other Federal, State, and local regulations.

For example, OSHA, State, and local agen-cies may regulate things such as structure spec-ifications, noise and air quality control, safety management, emergency preparedness, fire ordinances, and zoning codes. The EPA may regulate risk management programs, release reporting requirements, community right-to-know procedures, spill prevention and con-trol, and hazardous waste management, track-ing, and disposal.


© Lion Technology Inc..

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THE HAZARDOUS MATERIALS REGULATIONS

49 CFR = “Transportation”

49 CFR = Title 49 of the Code of Federal Regulations (CFR)

Example:

Title 49 Part 173 Section 2

49 CFR 173.2

Environment = 40 CFR

Labor = 29 CFR

Title 49: TransportationSubtitle B: Other Regulations Relating to

Transportation

Chapter I: Pipeline and Hazardous Materials Safety Administration

Subchapter C: Hazardous Materials Regulations

Parts: 171–180Subparts

SectionsSubsections

ParagraphsSubparagraphs

General Awareness


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THE STRUCTURE OF THE CODE OF FEDERAL REGULATIONS

Titles

The Code of Federal Regulations, or CFR, is organized into many different levels. At the highest level, the CFR is divided into “titles,” which represent broad areas subject to Federal regulation. For example:

• Title 3 contains the Federal regulations that apply to “The President.”

• Title 24 contains the Federal regulations that apply to “Housing and Urban De-velopment.”

• Title 32 contains the Federal regulations that apply to “National Defense.”

• Title 49 contains the Federal regulations that apply to “Transportation.”

In total, there are 50 different titles in the Code of Federal Regulations.

Titles, Chapters, and Parts

Titles in the Code of Federal Regulations are divided up into “chapters.” Each agency is assigned a chapter, or a piece of a chapter, to use to organize the regulations that it creates. For example, the rules for the Pipeline and Hazardous Materials Safety Administration, or PHMSA, are found in Chapter I of the 49th title of the Code of Federal Regulations. Chapters are divided into subchapters.

Chapters are divided into “parts,” which represent specific regulatory areas. For exam-ple, in Chapter I of the 49th title of the Code of Federal Regulations:

• Part 171 contains the applicability of the hazmat regulations, as well as general requirements and important definitions.

• Part 173 contains information about the shipper’s responsibilities, packaging re-quirements, and hazard class definitions.

• Part 177 contains the rules for carri-ers moving hazardous materials on highways.

NOTE: When specifically referencing stan-dards, the chapter is usually eliminated and only the title and part are used, for example:

49 CFR 177

The Hazardous Materials Regulations

The Hazardous Materials Regulations are found in 49 CFR Parts 171 through 180. Collec-tively, these rules are contained in Subchapter C of Chapter I of the 49th title of the CFR.

In many instances, the hazardous materi-als regulations will refer to “this subchapter.” In these cases, the rules are referring to Sub-chapter C, which means that they are referring to ALL of the hazardous materials regulations.



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The Structure of the Code of Federal Regulations, continued

Parts, Subparts, and Sections

Parts in the CFR are divided into subparts, which cover a group of specific standards. For example, in 49 CFR 172:

• Subpart D contains the rules for marking packages of hazardous materials.

• Subpart E contains the rules for labeling packages of hazardous materials.

• Subpart F contains the rules for placard-ing bulk packages and vehicles that con-tain packages of hazardous materials.

Subparts are divided into sections, which represent specific standards. For example, in 49 CFR 172, Subpart D:

• Section 172.301 contains the general marking requirements for non-bulk packagings.

• Section 172.302 contains the gener-al marking requirements for bulk packagings.

• Section 172.313 contains the special mark-ing requirements for packagings contain-ing poisonous hazardous materials.

• Section 172.323 contains the special mark-ing requirements for packagings contain-ing infectious substances.

When writing regulatory references, sec-tions are separated from parts by a period or point. In addition, the subpart is eliminated and only the title, part, and section are used, for example:

49 CFR 172.301

Sections, Subsections, and Paragraphs

Sections are divided into paragraphs, which cover different topics in a standard. Para-graphs are divided into subparagraphs, which cover specific requirements of each topic.

For example, 49 CFR 173.115 is where you would find the definitions for Class 2 and Divi-sions 2.1, 2.2, and 2.3.

• Paragraph (a) has the definition for Divi-sion 2.1, Flammable gas.

• Paragraph (b) has the definition for Divi-sion 2.3, Compressed gas.

• Paragraph (c) has the definition for Divi-sion 2.3, Poison gas.

• Paragraph (c), Subparagraph (1) states that a gas is a poison gas if it is known to be so toxic to humans as to pose a hazard to health during transportation.

• Paragraph (c), Subparagraph (2) states that a gas is a poison gas if it is presumed to be toxic to humans based on the results of animal testing.

When written as part of a regulatory ref-erence, paragraphs and subparagraphs are identified by placing them in parentheses, for example:

49 CFR 173.115(c)(1)

General Awareness


Page 13

REGULATORY STRUCTURE AND APPLICABILITY

49 CFR: Applicability:

106 Rulemaking procedures Applies to DOT rulemaking107 Hazardous materials program procedures

171 General information, regulations, and definitions

Applies to everyone

172 Communications

172.101 Hazardous Materials Table

Appendix A Hazardous substances

Appendix B Marine pollutants

172.102 Special provisions

172.200 Shipping papers

172.300 Marking

172.400 Labeling

172.500 Placarding

172.600 Emergency response information

172.700 Training

172.800 Safety and security plans

173 “Shippers’ rules”

Applies to shippers

173.1–173.40 Packaging, general

173.50–173.145 Hazard class definitions

173.150–end Packaging authorizations and exceptions

174 Rail carriers Applies to carriers and anyone

performing carrier activities

175 Air carriers

176 Vessel carriers

177 Highway carriers

178 Specifications for packagings Applies to packagings

179 Specifications for tank cars Applies to tank cars

180 Qualification and maintenance of packagings Applies to bulk packagings



Page 14

THE “TEN STEPS” VS. 49 CFRRegulatory Finding Aid

“Ten Steps” 49 CFR

1. Classification

– Is it a hazardous material? ............................................................................................................ 171.8 – What is/are the hazard(s) and how severe? .........................................................................Part 173 – Is it a hazardous waste, hazardous substance, elevated-temperature material, or a marine pollutant? ................................................................................................................... 171.8

– How do I classify materials with multiple hazards? .............................................................. 173.2a

2. Proper Shipping Names

– What is the most specific name available for my material? ..........Table 172.101 & 172.101(c)(12) – What modifications may I be required or allowed to make? ...........................................172.101(c) – What is the identification number (UN/NA number)? ...................... Table 172.101 & 172.101(e)

3. Packaging

– What packaging is authorized for my material?i. What type of packaging is allowed? ........................................... Table 172.101, Column 8; 173ii. What standards must it meet? .................................................................................. Parts 178–180

– Does it comply with the “general” packaging requirements? ........................ Part 173, Subpart B – Does it comply with special provisions? ................................... Table 172.101, Column 7; 172.102

4. Marking and Labeling

– What package markings are required? ..............................................................Part 172, Subpart Di. What standards must the markings meet? ..................................................Part 172, Subpart D

– What hazard class labels are required? ..................Table 172.101, Column 6; Part 172, Subpart Ei. What standards must the labels meet? ............................................................................. 172.407

5. Shipping Papers

– Are shipping papers required for this shipment? ............................................Part 172, Subpart C – Does my shipping description contain all required information, in the correct sequence? ....................................................................................... 172.202 and 172.203

– Is a shipper’s certification required, and if so, is it present and signed? ........................... 172.204 – Have I properly provided the required emergency response information? ...........................................................................................................Part 172, Subpart G

General Awareness

The “Ten Steps” vs. 49 CFR, continued


Page 15

“Ten Steps” 49 CFR

6. Placarding

– Are placards required for my shipment? ............................................................Part 172, Subpart F – Are the placards properly displayed? .................................................................Part 172, Subpart F

7. Loading, Moving, and Unloading

– Am I subject to any portion of the carrier rules? ..................................................................... 173.30 – Which loading rules must I follow? ............................................................................. Parts 174–177 – What materials may go together, and how must they be loaded? ........................... Parts 174–177

8. Hazmat Incidents

– What must I do in the event of a transportation incident? ....................................... 171.15; 171.16 – What are my regulatory responsibilities connected to an incident response? ....... Parts 174–177

9. Administrative Responsibilities

– Must my company register? How do we do that? ...........................................Part 107, Subpart G – What regulatory reliefs are available in the DOT regulations? ..........................................Part 173 – How does my company apply for a special permit? ....................................... Part 107, Subpart B

10. Keeping Up With Changes

– Who needs to be trained? .....................................................................................Part 172, Subpart H – Are they all adequately trained? .........................................................................Part 172, Subpart H – What training records must be kept? ................................................................................ 172.704(d) – What rule changes are coming or have recently been issued? ............................... Federal Register



Page 16

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General Awareness


Notes:

Page 17

ALTERNATIVE HAZMAT REGULATIONS

Shipping Under ICAO and IMDG

The US DOT allows the use of the Inter-national Civil Aviation Organization (ICAO) Technical Instructions for domestic shipments of hazardous materials by air, provided that the shipment also complies with the DOT rules at 49 CFR 171.24.

Most air carriers require compliance with the International Air Transport Association (IATA) Dangerous Goods Regulations, which include all of the requirements of the ICAO Technical Instructions. Note that IATA has some requirements that are more restrictive than the ICAO rules.

The US DOT allows the use of the Inter-national Maritime Dangerous Goods (IMDG) Code for domestic shipments of hazardous materials by vessel, provided that the ship-ment also complies with the DOT rules at 49 CFR 171.25.

Import Shipments

Imported shipments of hazardous materi-als must be in full compliance with the DOT regulations before the shipment leaves the point of entry into the United States. Importers must provide shippers and forwarding agents complete information about any applicable US DOT requirements. [49 CFR 171.22(f)]

Canadian Shipments

The US and Canada have a reciprocal agreement for international shipments. Haz-ardous material may be shipped by rail or highway into either country under most of the originating country’s regulations. There are additional requirements provided by each country. [49 CFR 171.12]

Mexican Shipments

Hazardous material shipments to or from Mexico must normally comply with all DOT hazardous material regulations. [49 CFR 171.12(b)] In addition, there are special require-ments for poisonous by inhalation shipments transported by rail or highway.



Notes:

Page 18

WHO’S RESPONSIBLE FOR WHAT?General Responsibilities of “Persons”

Definition of a “Person”

Person: means an individual, corporation, company, association, firm, partnership, society, joint stock company; or a gov-ernment, Indian tribe, or authority of a government or Tribe offering a hazardous material for transportation in commerce or transporting a hazardous material to support a commercial enterprise. This term does not include:

• The United States Postal Service or,

• For purposes of 49 U.S.C. 5123 and 5124, a Department, agency, or instrumentality of the government. [49 CFR 171.8]

Shipper’s/Offeror’s General Responsibility

Person who offers, or offeror: means:

(1) Any person who does either or both of the following:

(i) Performs, or is responsible for per-forming, any pre-transportation function required under this subchapter for trans-portation of the hazardous material in commerce.

(ii) Tenders or makes the hazardous ma-terial available to a carrier for transporta-tion in commerce.

(2) A carrier is not an offeror when it performs a function required by this sub-chapter as a condition of acceptance of a hazardous material for transportation in commerce (e.g., reviewing shipping pa-pers, examining packages to ensure that they are in conformance with this sub-chapter, or preparing shipping documen-tation for its own use) or when it transfers a hazardous material to another carrier for continued transportation in commerce without performing a pre-transportation function. [49 CFR 171.8]

The DOT expressly prohibits anyone from offering hazardous materials for transportation unless the person is registered with the DOT (if required) and the material is in full compli-ance with all DOT rules for:

– Classification,

– Description,

– Packaging,

– Marking,

– Labeling,

– Security, and

– General fitness for transportation.

[49 CFR 171.2 and 173.1]

As a general rule, no matter who prepares a shipment of hazardous materials, it may not be offered for transportation unless it has been prepared in accordance with the Hazardous Materials Regulations.

General Awareness


Notes:

Page 19

Who’s Responsible for What?, continued

However, under 49 CFR 171.2(b), the DOT defines the scope of an offeror’s responsibili-ties and states that an offeror is responsible only for the pre-transportation function he or she performs or is required to perform. The rules at 49 CFR 173.1(b) still hold an offeror responsible for the actions of its officers, employees, and agents, but if an outside orga-nization does a particular job other than as an agent of the shipper, the shipper is no longer responsible for compliance of those functions with the HMR.

Carrier’s General Responsibility

Transport in Commerce

49 CFR 171.2(f) states that no one may transport hazardous materials in commerce unless he or she:

• Registers with the DOT (if required); and

• Handles and transports hazardous mate-rials in accordance with rules for loading, unloading, etc.

Acceptance for Transportation

49 CFR 171.2(d) and (e) also prohibit anyone from accepting a hazardous material for transportation unless the material is in full compliance with all DOT rules.

However, the carriers’ rules do not require carriers to examine each material in detail. In essence, carriers are prohibited from accepting packages the carrier knows or ought to know are in noncompliance.

Security Requirements

Transporters of certain hazardous mate-rials must comply with the following Federal security regulations:

• Rail and motor carriers must comply with TSA requirements for imports of explo-sives from Canada. [49 CFR 171.12]

• Owners, operators, masters, agents, per-sons in charge, and charterers must en-sure that vessel personnel have required licenses. [49 CFR 176.7]

• Motor carriers must comply with appli-cable Federal Motor Carrier Safety regu-lations for CDLs and background checks. [49 CFR 177.804]

Packaging Manufacturer’s General Responsibility

49 CFR 171.2(g) states that anyone who represents, marks, certifies, sells, or offers a pack-aging as meeting DOT requirements must assure that the package is:

– Manufactured,

– Fabricated,

– Marked,

– Maintained,

– Reconditioned,

– Repaired, and

– Retested

in accordance with DOT regulations.



Notes:

Page 20


Also, anyone performing any function in regard to testing or constructing a package to meet a DOT specification, approval, or exemp-tion must follow the specific requirements spelled out by the specification, approval, or exemption. [49 CFR 171.2(g)]

General Prohibitions

Misrepresentation

No person may:

• Represent a package as meeting DOT requirements unless it meets all DOT requirements. [49 CFR 171.2(j)]

• Represent that a hazardous material is present in a packaging, motor vehicle, etc., unless the hazardous material is present. [49 CFR 171.2(k)]

Defacing, Destroying, or Tampering

No person may unlawfully deface, destroy, tamper with, etc., any:

• Hazard communication, marking, label, or placard;

• Package; or

• Transportation vehicle. [49 CFR 171.2(l)]

The DOT takes tampering seriously and considered these to be criminal violations of the rules.

Falsification

No person may falsify a special regulatory relief or falsely offer, certify, etc., a packaging or material under an alleged regulatory relief. [49 CFR 171.2(m)]

General Awareness


Notes:

Page 21

WHO’S RESPONSIBLE FOR WHAT?The Ten Steps

Overview

The question asked most frequently about regulations is: “Who is responsible for compli-ance?” As it pertains to the US DOT Hazard-ous Materials Regulations, this question can have many answers. Generally:

• Responsibility for compliance is deter-mined based on who does what; NOT who owns what.

• More than one person may be held accountable for compliance with the same regulations, based on the actions each performs. In such cases, the DOT may enforce against either or both, at its discretion.

• Compliance responsibility is determined strictly by regulatory standards. This should not be confused with potential liability, which, although influenced by regulatory compliance, can be determined definitively only by a court of law.

Classification

The offeror must properly classify hazard-ous materials. [49 CFR 173.22]

Choosing Shipping Names

Under 49 CFR 173.22, the offeror must properly “describe” hazardous materials. This includes selecting the Proper Shipping Name.

Packaging

Anyone performing a task in completing, assembling, or closing a packaging must per-form that task in accordance with the pack-aging manufacturer’s instructions, which are required to be provided by 49 CFR 178.2. [49 CFR 173.22]

The offeror must ensure hazardous mate-rials are properly packaged. [49 CFR 173.1]

Any person who performs a task in pack-age manufacturing must perform that task cor-rectly. [49 CFR 178.2]

The package manufacturer (the person who certifies a package to meet specifications) is responsible to assure that all applicable spec-ifications are met and to provide notification, with the package, of any additional steps that must be taken (e.g., types of closures) to meet the certified specification. [49 CFR 178.2]



Notes:

Page 22


Communication

Any person who performs a marking or labeling function regulated in Part 172 must comply with applicable Part 172 rules. [49 CFR 172.3]

Marking

The person offering a hazardous material for transportation is responsible for the mark-ing of all packages, freight containers, and transport vehicles. [49 CFR 172.300]

The carrier is responsible only for specific marking tasks assigned to the carrier by the HMR. [49 CFR 172.300 and 172.338]

Labeling

The person offering a hazardous material for transportation is responsible for labeling. [49 CFR 172.400]

Carriers are required to perform cer-tain replacement labeling en route. [49 CFR 174–177]

Placarding

Highway

The person offering a hazardous material for transport by highway is responsible for providing placards for the materials being offered. For bulk packages, the offeror must also affix the placards required. [49 CFR 172.500, 172.506 and 172.514]

The motor carrier is responsible to affix any placards required for all materials present. [49 CFR 172.504 and 172.506]

Rail

The person offering a hazardous material for transport by rail is responsible for affixing placards. [49 CFR 172.508(a)]

The rail carrier is responsible to assure that the placards are affixed. [49 CFR 172.508(b)]

Shipping Papers

The person offering a hazardous material for transportation is responsible for providing correctly prepared shipping papers. [49 CFR 172.200]

The carrier is generally only allowed to accept shipments if they are accompanied by shipping papers. [49 CFR 174.24, 175.30, 176.24, and 177.817]

Emergency Response Information, General

Any person who offers, accepts, trans-fers, stores, or otherwise handles a hazardous material is responsible to assure the presence of required emergency response (ER) informa-tion. [49 CFR 172.600]

During transportation, the carrier is responsible to maintain ER information in the proper location. [49 CFR 172.602]

During storage incidental to transporta-tion, the facility operator is responsible to

General Awareness


Notes:

Page 23


maintain ER information in the proper loca-tion. [49 CFR 172.602]

Emergency Telephone Number

The person offering a hazardous material for transportation is responsible to provide the emergency response telephone number. [49 CFR 172.604]

Loading

Anyone who loads hazardous materials must comply with applicable loading require-ments. [49 CFR 173.30]

NOTE: Loading requirements are found in the carrier regulations:

174 Rules for loading, moving, and unloading trains

175 Rules for loading, moving, and unloading airplanes

176Rules for loading, moving, and unloading vessels (boats and ships)

177 Rules for loading, moving, and unloading motor vehicles

Safety and Security

Shippers and carriers offering or trans-porting certain threshold quantities of hazard-ous materials must develop a security plan. [49 CFR 172, Subpart I]

Emergency Prevention, Response, and Reporting

Carriers are responsible for doing any necessary emergency and incident reporting. [49 CFR 171.15 and 171.16]

Rules for dealing with leaking packages and emergency situations can be found in the carrier rules. [49 CFR 174, 175, 176, and 177]

Training

It is the duty of each hazmat employer to thoroughly instruct all hazmat employees in accordance with DOT requirements. Training may be provided by the employer or by other public or private sources. [49 CFR 172.702]

A hazmat employee may not perform any function subject to DOT requirements unless trained in accordance with DOT requirements for that function. [49 CFR 172.702]



Notes:

Page 24

DOT PENALTIES AND ENFORCEMENT49 CFR 107, Subpart D

Penalty determinations are based on the statutory criteria provided at 49 U.S.C. 5123(a) and on the DOT’s informal civil penalty guide-lines provided at Appendix A to 49 CFR 107, Subpart D.

Civil Penalties [49 CFR 107.329]

Civil penalties are assessed for “knowing” violations of the regulations:

• Maximum penalty is $81,993 per day, per incident.

• Maximum penalty is $191,316 for viola-tions resulting in:

– Death,

– Serious illness,

– Severe injury, or

– Substantial destruction of property.

• Violations related to training have a mini-mum fine of $493 per day, per incident.

Additional Enforcement Authorizations

The updated civil penalties include a pro-vision that authorizes the Secretary of Trans-portation to penalize persons or businesses that “obstruct” hazmat inspections.

The DOT now has the authority to shut down any business that fails to pay its penal-ties (or set up a payment plan) within 90 days.

Criminal Penalties [49 U.S.C. 5124 and 18 U.S.C. 3571]

Criminal penalties are assessed for “know-ing and willful” violations of the regulations, or if a person acts recklessly or with “deliber-ate indifference or conscious disregard to the consequences” of his actions, even if he did not consciously choose to break the law. The Jus-tice Department will prosecute criminal cases.

• Maximum individual penalties are:

– $250,000 per incident.

– Five years in jail; ten years if it involves death or bodily injury.

• Maximum organizational penalty is $500,000 per day, per incident.

Ticket Program [49 CFR 107.310]

To speed up the enforcement process and to reduce both costs and legal burdens to all parties, the DOT developed a pilot ticket pro-gram. This program is analogous to the traffic ticket program.

General Awareness


Notes:

Page 25

DOT Penalties and Enforcement, continued

Key Provisions

• The violation is minor with low safety risk, such as failure to register, operation under an expired exemption, or failure to maintain adequate training records.

• A ticket is sent to the violator. The ticket specifies a fine (substantially lower than the normal fine).

• The violator can either pay the fine within 45 days or contest the case.

• If the fine is paid, there will be no further legal action. The violator will have a first offense record with the DOT.



Notes:

Page 26

DOT ENFORCEMENT EXAMPLES

Packaging Manufacturer Violations

A steel drum manufacturer in Ohio was fined $10,675. The company failed to notify customers, in writing, of all requirements needed to satisfy performance test require-ments not met at the time of transfer and repre-sented, remanufactured, marked, and offered steel drums when the test reports were not cre-ated, prepared, and maintained as required. It represented, marked, certified, sold, and offered 55-gallon steel drums when the pro-duction leakproofness test was not properly conducted, and it failed to provide recurrent training.

Some Omissions

A Texas chemical shipper was fined $15,585 because he offered and transported flammable liquids, n.o.s., 3, in an unauthorized non-UN standard packaging, when specification pack-aging is prescribed; transported hazardous materials, accompanied by shipping papers that failed to (1) indicate the special permit on the shipping papers and (2) indicated a haz-ardous material as a hazardous substance on a shipping paper with the notation “RQ” when it is not a reportable quantity; offered corrosive liquid, n.o.s. in MC 312 and DOT 412 cargo tanks that were overdue the prescribed peri-odic retest; failed to remove bulk containers from the motor vehicle prior to discharging the contents of the containers; and offered hazard-ous materials in a UN standard marked and

certified packaging that had not been closed in accordance with the manufacturer’s closure instructions.

Finding Closure

A Wisconsin packaging manufacturer was fined $13,425. The company represented, marked, and certified packagings when the packagings were certified with an unautho-rized manufacturers mark; failed to properly mark a specification intermediate bulk con-tainer with the required markings to be a min-imum of 0.47 inches; failed to provide general awareness and security awareness training; represented, marked, and certified packagings as a DOT specification package when the pack-agings were not authorized for manufacture after January 1, 2003; represented, marked, and certified UN packagings when the packagings were not subjected to periodic design requal-ification; and offered paint-related materials, 3, in UN-certified 55-gallon open-head steel drums that were not closed in accordance with the manufacturer’s closure notification.

More Information Please

An Oregon grain shipper was fined $16,425 for offering ammonia, anhydrous, 2.2, RQ, in an unauthorized non-UN stan-dard/non-DOT packaging; failing to remove bulk containers from the motor vehicle prior to discharging the contents of the containers; offering ammonia, anhydrous, 2.2, RQ, in a

General Awareness


Notes:

Page 27

DOT Enforcement Examples, continued

non-specification cargo tank, and failing (1) to identify the materials as poisonous by inha-lation and (2) to identify the material by the proper shipping name; failing to conduct a monthly inspection on the discharge system of a cargo tank in liquefied compressed gas service transporting ammonia, anhydrous, 2.2 RQ, Inhalation Hazard; failing to perma-nently mark a delivery hose on a cargo tank in compressed liquefied gas service; and dis-charging ammonia, anhydrous, 2.2 RQ, Inha-lation Hazard from a specification cargo tank that did not have emergency discharge control capability.

Anything Right?

A fertilizer shipper in Illinois was fined $10,357. The company offered and transported ammonium nitrate based fertilizer, 5.1, accom-panied by shipping papers that failed to (1) list the proper UN identification number, (2) include the packing group of the material, and (3) retain copies of hazardous materials ship-ping papers that contained required informa-tion; offered anhydrous ammonia, 2.2, for a non-agricultural purpose, rendering the nurse tanks as unauthorized packaging; failed to mark a nurse tank operating under DOT-SP 13554 with the test dates near the specification plate, the special permit number marking, or on the front head after it has passed testing; failed to complete and submit a DOT Form 5800.1 Hazardous Materials Incident Report within 30 days of a reportable hazardous mate-rials incident; and failed to provide recurrent hazardous materials training and to retain cur-rent records of hazardous materials training.

Security Plan Training and Records

A Texas chemical company was fined $13,040 because it failed to create and main-tain function-specific training records and to provide in-depth security training; filled and offered a cylinder with a compressed gas when the cylinder was overdue for periodic requal-ification; developed a security plan that failed to include a written assessment of transporta-tion security risks; offered hazardous materials accompanied by shipping papers that failed to include the identification number, Proper Shipping Name, hazard class, and packing group of the material; failed to (1) mark pack-ages with the Proper Shipping Name and identification number, (2) mark an overpack with the word “OVERPACK,” and (3) marked a package with ORM-D when the package did not contain an ORM-D material; filled and offered a compressed gas in metal containers (aerosols) without properly performing the hot water bath test to assure that the internal temperature has reached at least 55°C (131°F); and offered sodium hydroxide solution, 8, in UN-certified combination packages that were not closed in accordance with the package manufacturer’s notification.



Page 28

HAZARD CLASS DEFINITIONS

Following are summaries of the US DOT hazard classes and divisions, listed in class order. For the full hazard class definition, refer to the US DOT regulations at 49 CFR Part 173.

Class and Division Name and description of class or division

49 CFR reference for definitions

Packing Group

1.1 Explosives (with a mass explosion hazard)Entire mass explodes simultaneously (e.g., plastic explosives).

173.50 N/A

1.2 Explosives (with a projection hazard)The explosion causes the throwing of a projectile or projectiles (e.g., shrap-nel).

173.50 N/A

1.3 Explosives (with predominately a fire hazard)The explosion initiates combustion.

173.50 N/A

1.4 Explosives (with no significant blast hazard)The explosion is not likely to throw any fragments of appreciable size and the explosion is largely confined to the package.

173.50 N/A

1.5 Very insensitive explosives; blasting agentsIt will explode but requires a strong initiator to cause the explosion. Explo-sion would not likely occur in a transportation-related fire.

173.50 N/A

1.6 Extremely insensitive detonating substancesGenerally articles containing Division 1.5 materials.

173.50 N/A

2.1 Flammable gasIs a gas at 20°C (68°F) and burns readily in air.

173.115 N/A

2.2 Non-flammable compressed gasGas shipped at a pressure at or over 200 kPa (43.8 psia/29 psig) or as a cryogenic liquid that is neither flammable nor poisonous.

173.115 N/A

2.3 Poisonous gasIs a gas at ≤ 20°C (68°F) and has an LC50 ≤ 5,000 mL/m3 (i.e., 0.005% con-centration in air will kill half of the animals in a laboratory test).

173.115 Hazard Zone 173.116

3 Flammable liquidLiquid with a flash point ≤ 60°C (140°F), or < 38°C (100°F) for domestic transportation by rail or highway.Note: Flash point is the temperature at which a liquid gives off enough vapor to ignite and “flash” back to the liquid surface.

173.120 173.121

Combusti-bles

Combustible liquidLiquid with a flash point > 60°C (140°F) and < 93°C (~ 200°F).

173.120 PG III

4.1 Flammable solidWetted explosive; OR substances that are liable to undergo strongly exo-thermic decomposition even without oxygen; OR substances that either ignite through friction (e.g., matches) or burn very fast when ignited; OR substances that are liable without stabilization to undergo strongly exo-thermic reactions forming larger molecules or polymers.

173.124(a) 173.125

General Awareness

Hazard Class Definitions, continued


Page 29

Class and Division Name and description of class or division

49 CFR reference for definitions

Packing Group

4.2 Spontaneously combustible materialSpontaneously ignites within 5 minutes on exposure to air or can either heat to over 200°C (392°F) or spontaneously ignite within 24 hours.

173.124(b) 173.125

4.3 Dangerous when wet materialSpontaneously ignites or emits flammable or toxic gases when contacted with water.

173.124(c) 173.125

5.1 OxidizerCauses or enhances combustion of other materials (e.g., sodium nitrite, oxygen gas, hydrogen peroxide).

173.127(a) 173.127(b)

5.2 Organic peroxideA specific chemical group that is generally reactive.

173.128 PG II 173.129

6.1 Poisonous materialsSolids or liquids that are poisonous by ingestion, inhalation, or skin con-tact.

173.132 Hazard Zone and PG 173.133

6.2 Infectious substance (etiologic agent)Disease-causing organisms, tissue, or body fluid samples for medical diag-nosis, biological products, and medical wastes.

173.134 N/A

7 Radioactive materialAny material containing radionuclides where both the activity concentra-tion and the total activity in the consignment exceed specified values.

173.403 N/A

8 Corrosive materialDissolves steel or aluminum or causes irreversible damage to skin.

173.136 173.137

9 Miscellaneous hazardous material (If no higher hazard)Anesthetic or noxious or similar hazard to crew of an airplane. Material that is shipped hot. US EPA-regulated hazardous waste or hazardous sub-stance, MARPOL marine pollutants, plus other materials specifically listed by the US DOT.

173.140 173.141

None Forbidden materialsElectrical devices likely to create sparks or heat, heavily magnetic materials for air shipment, incompatible materials in the same package, materials that may undergo self-accelerated decomposition, ketone peroxides, etc.

173.21 N/A

None Forbidden explosivesIndividual listed chemicals, listed chemical groups, leaking explosives packages, loaded firearms, etc.

173.54 N/A



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ACRONYMS

AAR: Association of American Railroads

ADR: European Agreement concerning the International Carriage of Dangerous Goods by Road

AEA: Atomic Energy Act

ANPRM: Advance Notice of Proposed Rulemaking

ANSI: American National Standards Institute

APA: American Pyrotechnics Association

ASME: American Society of Mechanical Engineers

ASTM: American Society for Testing and Materials

BOE: Bureau of Explosives

BOM: Bureau of Mines

CAS: Chemical Abstracts Service

CDL: Commercial Driver’s License

CERCLA: Comprehensive Environmental Response, Compensation & Liability Act (otherwise known as Superfund)

CFR: Code of Federal Regulations—the com-pilation of all US Federal regulations published by all agencies of the Execu-tive branch

CGA: Compressed Gas Association

CSC: International Convention for Safe Containers

DOD: US Department of Defense

DOE: US Department of Energy

DOT: US Department of Transportation

EIDS: Extremely Insensitive Detonating Sub-stance (see Division 1.6—49 CFR 173.50(b)(6) and 173.58(c))

EPA: US Environmental Protection Agency

ERG: Emergency Response Guidebook

EX NUMBER: Approval number issued by the US DOT for shipping explosives

FAA: Federal Aviation Administration

FHWA: Federal Highway Administration

FMCSA: Federal Motor Carrier Safety Admin-istration

FR: Federal Register

FRA: Federal Railroad Administration

GMP: Good Management Practice

GPO: US Government Publishing Office

GSA: US General Services Administration

HMIX: Hazardous Materials Information Exchange—sponsored by the US DOT

HMR: Hazardous Materials Regulations

General Awareness


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Acronyms, continued

HMTA: Hazardous Materials Transpor-tation Act

HMTUSA: Hazardous Materials Transporta-tion Uniform Safety Act of 1990

IAEA: International Atomic Energy Agency

IATA: International Air Transport Association

IBC: Intermediate Bulk Container

ICAO: International Civil Aviation Organization

IDLH: Immediately Dangerous to Life or Health

IMDG: International Maritime Dangerous Goods Code

IME: Institute of Makers of Explosives

IMO: International Maritime Organization

ISO: International Organization for Stan-dardization

K or kg: Kilogram

kPa: Kilopascals (Metric unit of pressure)

L: Liter

LC50: Lethal Concentration - 50% (the concen-tration of a substance in air that will kill 50% of a test animal population)

LD50: Lethal Dose - 50% (the dose, expressed as a proportion of body weight, that will kill 50% of a test animal population)

LEL: Lower Explosive Limit

LSA: Low Specific Activities (Radioactives)

LTL: Less Than Truck Load

MAWP: Maximum Allowable Working Pres-sure (for cargo tanks)

mg: Milligram

mg/L: Milligrams per liter (approximately ppm - concentrations in water)

mg/m3: Milligrams per cubic meter (compara-ble to ppm - concentrations in air)

NA: North America

NBS: National Bureau of Standards

NFPA: National Fire Protection Association

NMF: National Motor Freight Standards (of the National Motor Freight Traffic Association)

NMFC: National Motor Freight Classification

N.O.I.: Not Otherwise Indicated

N.O.I.B.N.: Not Otherwise Indicated By Name

N.O.S.: Not Otherwise Specified

NPRM: Notice of Proposed Rulemaking (Regulatory Proposal)

NRC: National Response Center

NRC: Nuclear Regulatory Commission

NRC: Non-Reusable Container

NTIS: National Technical Information Service

OHMS: Office of Hazardous Materials Safety



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Acronyms, continued

OMB: The White House Office of Manage-ment and Budget

OSHA: Occupational Safety and Health Administration

PG: Packing Group

PHMSA: Pipeline and Hazardous Materials Safety Administration

POP: Performance-Oriented Packag-ing (DOT)

ppb: Parts per billion

PPE: Personal Protective Equipment

ppm: Parts per million

psi: Pounds per square inch

psia: Pounds per square inch absolute

psig: Pounds per square inch gauge

PSN: Proper Shipping Name

RCRA: Resource Conservation & Recovery Act

RQ: Reportable Quantity (for hazardous substances)

SCBA: Self-Contained Breathing Apparatus

SCF: Standard Cubic Foot (the quantity of gas that fills a cubic foot volume at 60°F and 14.7 psia)

SCO: Surface-Contaminated Object (Radioactive)

SDS: Safety Data Sheet

SI: International System of Units (the Metric System)

TDG: Canadian Transport of Dangerous Goods Regulations

TECP: Totally Encapsulating Chemical Protec-tive Suit

TI: Transport Index (see 49 CFR 173.403)

TSA: Transportation Safety Act of 1974 (also HMTA)

TSA: Transportation Security Administration

TSDF: RCRA Permitted Hazardous Waste Treatment, Storage, or Disposal Facility

UEL: Upper Explosive Limit

UN: United Nations

USC: United States Code—the compilation of all US Federal laws passed by Congress

USCG: United States Coast Guard

USDC: United States Department of Commerce

General Awareness


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TRANSPORTATION JARGONMore Words You Need to Know

The following words are NOT defined in the US DOT Hazardous Materials Regulations. How-ever, they are used by the DOT and others with the assumption that readers will understand them as general transportation industry jargon and in the same manner as they are understood by the DOT.

Acid/Base: Some Proper Shipping Names include the qualifiers “acid” or “base.” “RSPA believes that [ASTM Methods D-664 and D-2896] would be an acceptable method for determining if a material is an acid or base. However, RSPA is not requir-ing persons to use those methods. For an aqueous solution, the use of pH and litmus paper is an acceptable method for deter-mining if a material is an acid or base. For a non-aqueous solution, shippers must use their knowledge of the constituents of the material and make a determination as to whether a material is an acid or base.” [59 FR 67393, December 29, 1994.]

Car: When used in the HMR, generally refers to rail cars.

Commercial Motor Vehicle: A motor vehicle used in commerce to transport passengers or property if the vehicle:

(a) Has a gross vehicle weight rating of 26,001 or more pounds;(b) Is designed to transport more than 15 passengers, including the driver; or(c) Is of any size and is used in the trans-portation of materials found to be haz-ardous for the purposes of the Hazardous Materials Transportation Act and which require the vehicle to be placarded.

Common Carrier: Is a carrier able to transport materials for any person, without requir-ing detailed contracts to be negotiated. Common carriers operate under generic contract terms or “tariffs.”

NOTE: It is possible to have a written, signed paper (i.e., a “contract”) with a common carrier.

Constructive Placement: Is not used as an explicit term in DOT regulations, but is used in industry parlance to refer to one method of delivering hazardous materials and ending the “cycle of transportation.” The process of constructive placement for cargo tanks (i.e., tank trucks) is described at 49 CFR 177.834(i)(2). It consists of three parts: (1) the carrier has fulfilled its obli-gations in transporting the material (i.e., delivered, obtained any necessary signa-tures of receipt, etc.); (2) the cargo tank has been placed on the consignee’s property; and (3) the motive power (the cab) has been disconnected from the cargo tank and removed from the consignee’s premises.

Contract Carrier: Is a carrier who transports materials only for a limited number of individuals or companies with which they have negotiated explicit contracts.

Cycle of Transportation: Generally refers to the entire process regulated by US DOT Hazardous Materials Regulations, includ-ing preparing a package for transportation (i.e., classification, naming, packaging,



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Transportation Jargon, continued

marking and labeling, preparing ship-ping papers), loading and preparing (e.g., placarding) the transport vehicle, moving the vehicle, storing the material incident to transportation, and unloading the material at the ultimate consignee.

Driver: Any operator and/or on-site man-ager of activities and equipment involved with loading, carrying, transportation, or unloading.

Employee (motor carrier safety): An operator of a commercial motor vehicle (including an independent contractor while in the course of operating a commercial motor vehicle) who is employed by an employer.

Employer (motor carrier safety): Any person (including the United States, a State, Dis-trict of Columbia, or a political subdivision of a State) who owns or leases a commer-cial motor vehicle or assigns employees to operate such a vehicle.

Exception: Means regulatory relief provided automatically by the hazardous materials rules, for example, if a material is pack-aged in small containers, it may gain a limited quantity exception from labeling, placarding, and packaging performance testing.

Executive: The person who must decide on the allocation of money, manpower and materials, policies and procedures, as nec-essary to assure compliance and safety.

Exemption: See “Special Permit.”

Generator: The person whose act or process first makes a hazardous waste subject to the regulations of the US EPA.

Hauler: Generic term for a carrier of hazard-ous waste. A hauler is a “carrier” for DOT purposes and a “transporter” for EPA purposes.

In Transport: Means the period of time beginning with the loading of the trans-port vehicle and ending with the unload-ing of the material or the “constructive placement” of the vehicle at the ultimate consignee. A material is still in transport when it is stored at a “transportation- related facility.”

Lab Pack: Refers to commingled compatible waste materials from the same hazard class/division in combination packag-ing for shipment by rail, motor vehicle, or vessel. When specific hazard classes/divisions of materials are packaged fol-lowing the lab pack exception, they may be eligible for reliefs from certain hazmat regulations.

Load (and Unload): Refers to the activities of placing and securing materials on a transport vehicle and removing them from the vehicle that are subject to regulations under applicable carriers’ rules. For exam-ple, movement of hazardous materials up to the tailgate of a truck is not regulated under 49 CFR Part 177. As soon as the materials are moved onto the tail of the truck, Part 177 requires that the vehicle hand-brake be set, etc. Since substantive carriers’ rules apply, “loading” has begun.

Loader/Unloader: The person who loads or unloads hazardous materials into or from a transport vehicle or vessel and who is required to comply with the applicable loading and unloading (carriers’) require-ments of 49 CFR Parts 174, 175, 176, and 177.

General Awareness


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Motor Carrier: Except as otherwise specifi-cally provided, the term “motor carrier” includes a common carrier by motor vehicle, a contract carrier by motor vehicle, and a private carrier of property by motor vehicle.

Multi-Unit Tank Car Tank: Means a tank car (rail) designed and built such that indi-vidual tanks may be removed from the rail car structure for filling and emptying. Multi-unit tank car tanks must be designed and built in accordance with 49 CFR 179, Subpart E.

Organic/Inorganic: Some Proper Shipping Names include the qualifier “organic” or “inorganic.” “The definition of ‘organic’ is a compound with carbon atoms bonded to other carbon, nitrogen or hydrogen atoms (e.g., amines, acid chlorides, acetic acids, phenols). An ‘inorganic’ is any pure ele-ment or any compound that does not have carbon atoms bonded to other carbon, nitrogen or hydrogen atoms (e.g., sodium hydroxide, sulfuric acid). Shippers must make a determination, based on the con-stituents of their material, if their material is inorganic or organic.” [59 FR 67393, December 29, 1994.]

Pole Trailer: Means a trailer that is pulled by means of a “pole”-style connection to a motor vehicle (like a typical “U-Haul” trailer) as opposed to a fifth wheel or other more secure connection. Hazardous materials may not be transported on pole trailers.

Positive Closure: Means a closure that relies on more than just friction to hold itself closed. Examples of positive closures include threaded caps or bungs, closures held in place by twisted wire and bolt-on

drum head rings. Examples of “friction closures” include corks and snap-on taps.

Private Carrier: Is an individual or company that operates vehicles solely to carry its own materials.

Receiver/Consignee: The person who assures that it is what it should be, when it arrives at the site... and red flags it if it is not. He/she also assures that the substance and package enter the internal system correctly.

Relief: Means any reduced level of regulation, including both “exemptions” and “excep-tions” (listed previously).

Shipper: Means any person who either “prepares” or “offers” a package (which includes a tank truck) containing hazard-ous materials for transportation on public rights-of-way. Preparing a hazardous material for transportation includes clas-sifying, naming, packaging, marking and labeling, preparing shipping papers, and offering or affixing placards depending on the package type.

Special Permit: Previously referred to as an “exemption,” means regulatory relief that is provided by formal written petition to the US DOT. Special permits are assigned “E” or “SP” numbers on approval by the DOT. To make use of a special permit, a person must usually petition and become “party to” it. Special permits also have built-in expiration dates.

State: Meaning must be inferred from the context in which it is used. For example, in discussing Federal preemption of states’ rules, “state” means one of the 50 United States or territories. In discussion of inter-national rules or UN standards, as in the



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UN performance packaging marking rules at 49 CFR 178.503(a)(7), “state” refers to countries (i.e., sovereign states).

Tank Car: Means a rail car with an integral bulk package (i.e., tank), which is designed and built in accordance with DOT rules at 49 CFR 179.

Transportation-related Facility: Means an interim storage facility (e.g., terminal or warehouse) where materials are held tem-porarily, are transferred between vehicles, or are otherwise managed prior to delivery to the consignee. If materials are shipped to a warehouse, the warehouse stores them, and they are later re-shipped to a customer or other facility (e.g., new ship-ping papers are prepared), the warehouse is NOT a “transportation-related facility.”

Transporter: The person who moves wastes from the generator’s property line to the TSDF’s property line and cleans up any spills that may occur in between.

Unintentional Release: When used by the DOT means a release of hazardous mate-rial from the DOT-required package. It does not mean release to the environ-ment. Releases that are contained within a transport vehicle, an overpack, a cargo container, or other device are still uninten-tional releases under the DOT rules. The DOT requires formal reporting, in writ-ing, within 30 days for all unintentional releases.

General Awareness


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RULES OF CONSTRUCTION AND UNITS OF MEASUREHow the DOT Uses Words in the Regulations

Rules of Construction [49 CFR 171.9]

“(a) In this subchapter, unless the context requires otherwise:

(1) Words imparting the singular include the plural;

(2) Words imparting the plural include the singular; and

(3) Words imparting the masculine gender include the feminine;

(b) In this subchapter, the word:

(1) “Shall” is used in an impera-tive sense;

(2) “Must” is used in an impera-tive sense;

(3) “Should” is used in a recommenda-tory sense;

(4) “May” is used in a permissive sense to state authority or permission to do the act described, and the words “no person may ***” or “a person may not ***” means that no person is required, authorized, or permitted to do the act described; and

(5) “Includes” is used as a word of inclusion not limitation.”

[Source Note: At 58 FR 51528, October 1, 1993, revised (b)(4).]

Units of Measure [49 CFR 171.10]

“(a) General. To ensure compatibility with international transportation standards, most units of measure in this subchapter are expressed using the International System of Units (“SI” or metric). Where SI units appear, they are the regulatory standard. U.S. standard or customary units, which appear in parenthe-ses following the SI units, are for information only and are not intended to be the regulatory standard.

Editor’s Note: Although the regula-tory standards are written in metric units, shippers and carriers are not required to use metric units to indicate quantities on shipping papers. As stated at 56 FR 66126, December 20, 1991, “...There is no require-ment in §172.202 that the total quantity of a material be indicated in metric units on shipping papers.”

(b) Abbreviations for SI units of measure generally used throughout this subchapter are as shown in paragraph (c) of this section. Cus-tomary units shown throughout this subchap-ter are generally not abbreviated.

(c) Conversion values.

(1) Conversion values are provided in the following table and are based on values provided in ASTM E 380, “Standard for Metric Practice.”

(2) If an exact conversion is needed, the following conversion table should be used.”



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Rules of Construction and Units of Measure, continued

Table of Conversion Factors for SI Units

Measurement SI to US standard US standard to SI

Activity 1 TBq = 27 Ci 1 Ci=0.037 TBq

Length 1 cm = 0.3937008 in.1 m = 3.280840 ft.

1 in. = 2.540000 cm1 ft. = 0.3048000 m

Thickness 1 mm = 0.03937008 in. 1 in. = 25.40000 mm

Mass (weight) 1 kg = 2.204622 lb. 1 g = 0.03527397 oz.

1 lb. = 0.4535924 kg1 oz. = 28.34952 g

Pressure 1 kPa = 0.1450377 psi1 Bar = 100 kPa=14.504 psi1 kPa = 7.5 mm Hg

1 psi = 6.894757 kPa1 psi = 0.06895 Bar

Radiation 1 Sv/hr. = 100 rem/hr. 1 rem/hr. = 0.01 Sv/hr.

Volume (liquid) 1 L = 0.2641720 gal.1 mL = 0.03381402 oz.1 m3 = 35.31466 ft.3

1 gal. = 3.7854121 L1 oz. = 29.57353 mL1 ft.3 = 0.02831685 m3

Density 1 kg/m3 = 0.06242797 lb./ft.3 1 lb./ft.3 = 16.01846 kg/m3

Force 1 Newton = 0.2248 Pound-force 1 Pound-force=4.483 N

Abbreviations for units of measure are as follows:

Unit of measure and abbreviation:

(SI): millimeter, mm; centimeter, cm; meter, m; gram, g; kilogram, kg; kiloPascal, kPa; liter, L; milliliter, mL; cubic meter, m3; Terabecquerel, TBq; Gigabecquerel, GBq; millisievert, mSv; Newton, N.

(U.S.): Inch, in; foot, ft; ounce, oz; pound, lb; psiq, psi; gallon, gal; cubic feet, ft3; Curie, Ci; millicurie, mCi; millirem, mrem.

[Source Note: At 55 FR 52466, December 21, 1990, added 171.6; and at 56 FR 66159 December 20, 1991, moved 171.6 to 171.10 and revised Table; and at 60 FR 49108, September 21, 1995, revised (c)(2) and the entry for Pressure in the Table; and at 60 FR 50302, September 28, 1995, added Activity and Radiation level and revised note. At 66 FR 33335, June 21, 2001, added entry for “Force” to (c)(2) Table and revised “(SI)” footnote. At 66 FR 45378, August 28, 2001, revised (c)(2) Table. At 68 FR 75740, December 31, 2003, revised (c)(1).]

General Awareness


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AGENCIES OF THE DOT

The DOT is more than just hazmat regula-tions. It is a cabinet-level department that con-sists of many administrations and offices, each with its own responsibilities.

Office of the Secretary of Transportation (OST)

The OST oversees the formulation of national transportation policy, negotiates and implements international transportation agreements, and prepares transportation leg-islation.

Bureau of Transportation Statistics (BTS)

The BTS collects, analyzes, and publishes transportation statistics for all modes.

Federal Aviation Administration (FAA)

The FAA issues regulations and minimum standards covering manufacturing, operat-ing, and maintaining aircraft. It operates the air traffic control system, enforces the hazard-ous materials transportation rules on aircraft, and regulates US commercial air space trans-portation.

Federal Highway Administration (FHWA)

The FHWA provides financial and techni-cal support for constructing, improving, and preserving America’s highway system.

Federal Motor Carrier Safety Administration (FMCSA)

The FMCSA develops safety regulations for commercial motor vehicles (e.g., large trucks and buses) and operating and licensing requirements for drivers of commercial vehi-cles. The administration also researches tech-nologies to enhance truck and bus safety and security and enforces the hazardous materials transportation rules on motor vehicles.

Federal Railroad Administration (FRA)

The FRA develops safety regulations and conducts research and development in sup-port of improved railroad safety and national rail transportation policy.

Federal Transit Administration (FTA)

The FTA provides financial assistance to develop new transit systems and improve, maintain, and operate existing systems (i.e.,



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Agencies of the DOT, continued

buses, subways, light rail, commuter rail, monorail, passenger ferry boats, trolleys, inclined railways, and people movers).

Maritime Administration (MARAD)

MARAD promotes the development and maintenance of a merchant marine sufficient to support the US in time of war. It seeks to ensure adequate shipbuilding and repair service, efficient ports, effective intermodal transportation systems, and reserve shipping capacity in time of national emergency.

National Highway Transportation Safety Administration (NHTSA)

The NHTSA establishes safety perfor-mance standards for motor vehicles and motor vehicle equipment.

Office of the Inspector General (OIG)

The OIG audits and investigates DOT pro-grams to promote efficiency and prevent fraud.

Pipeline and Hazardous Materials Safety Administration (PHMSA)

PHMSA has public responsibilities for safe and secure movement of hazardous materials to industry and consumers by all transporta-tion modes, including the nation’s pipelines.

Research and Innovative Technology Administration (RITA)

RITA is dedicated to innovation and research in transportation technologies and concepts. The establishment of RITA has enabled the Department to more effectively coordinate and manage the Department’s research portfolio and expedite implementa-tion of cross-cutting innovative technologies.

Saint Lawrence Seaway Development Corporation (SLSDC)

The SLSDC is a wholly owned govern-ment corporation created to construct, operate, and maintain the St. Lawrence Seaway from the Port of Montreal to Lake Erie.

Surface Transportation Board (STB)

The STB is an economic regulatory agency charged with resolving railroad rate and ser-vice disputes and reviewing proposed railroad mergers. It has jurisdiction over certain ship-ping rate matters, certain intercity passenger bus company structure, financial, and opera-tional matters, and rates and services of certain pipelines not regulated by the Federal Energy Regulatory Commission.



Certification (DOT)




CONTENTS

Step 1—Classification ..........................................................................................................41

Definition of a “Hazardous Material” ...............................................................................43

Materials Designated as Hazardous Materials in the Hazmat Table ...........................45

DOT’s Hazard Classes and Divisions ...............................................................................48

Determining Subclassifications ..........................................................................................57

Practical Issues in Hazmat Classification .........................................................................58

The Hazard Classification Process .....................................................................................59

Example Mineral Spirits ................................................................................................61

Example Cleaning and Stripping Agent .....................................................................65

Multiple-hazard Materials ..................................................................................................70

Identifying the Primary Hazard ........................................................................................71

Combustible Liquids, the Unnumbered Class .................................................................75

Hazardous Wastes, Hazardous Substances, Marine Pollutants, and Elevated-temperature Materials ...........................................................................76

Class 9 ....................................................................................................................................81

“Overclassifying” a Material as a Hazardous Material ..................................................85

Samples and Hazardous Wastes ........................................................................................86

“Forbidden” ..........................................................................................................................87



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STEP 1—CLASSIFICATIONIs It a Hazardous Material?

Key Regulatory References

49 CFR What’s There?

173 All hazard class/division defi-nitions; criteria for assigning packing groups, hazard zones, and compatibility groups

173.2a Rules for determining the pri-mary hazard of a multiple- hazard material

172, Subpart

H

Rules requiring detailed training for anyone “directly affecting” the safety of hazardous materi-als transportation

What’s It All About?

The first step in the hazmat shipping pro-cess is to classify the material being shipped to determine whether or not it is a hazardous material.

It is the responsibility of the shipper, or offeror, of a material to assure that the material is properly classified. All decisions and require-ments regarding naming, packaging, marking, labeling, etc., are based to a large extent on the actual hazards of the material. Because of this, any mistakes made at this stage will likely carry through and impact most, if not all, of the later steps in the shipping process.

When classifying a hazardous material, the shipper must determine:

• The type of hazard posed by a material (e.g., is it flammable, poisonous, danger-ous when wet, etc.).

– The type of hazard is indicated by its hazard class or division.

• The degree or severity of the hazard posed by a material.

– The degree of hazard is indicated by the “packing group” for most materials, “hazard zone” for poison gases and vapors, compatibility group for explo-sives, and generic types for flammable solids and organic peroxides.

What You Already Need to Know

To classify a hazardous material under DOT regulations, you need to know the phys-ical and chemical properties of your material. Examples of the type of information you may need to know include:

• Physical state (i.e., whether it is a liquid, solid, or gas according to the DOT’s defi-nitions at 49 CFR 171.8).

• Flash point.

• Initial boiling point.

• Acute toxicological effects (i.e., how much it takes to cause an adverse effect).

• Corrosivity (i.e., what it will do to skin tissue or metals).



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Step 1—Classification, continued

• Chemical/constituent makeup.

• Reactivity data (i.e., how it reacts if ex-posed to air or water).

• Radioactivity.

Where Does This Information Come From?

A Safety Data Sheet (SDS) may provide some of this information; however, it is import-ant that you do not rely solely on an SDS to make DOT hazard classifications!

Other sources of information include:

• Chemical text/reference books.

• Analytical data.

• Manufacturer’s technical data.

NOTE: Although an SDS is a valuable source of information, the DOT does not require its use. It is required by OSHA.



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DEFINITION OF A “HAZARDOUS MATERIAL”

The Official Definition

Hazardous material: means a substance or material that the Secretary of Transporta-tion has determined is capable of posing an unreasonable risk to health, safety, and property when transported in commerce, and has designated as hazardous... The term includes hazardous substances, hazardous wastes, marine pollutants, elevated tem-perature materials, materials designated as hazardous in the Hazardous Materials Table (see 49 CFR 172.101), and materials that meet the defining criteria for hazard classes and divisions in part 173 of this subchapter. [49 CFR 171.8, emphasis added]

Three Ways a Material Becomes Designated as Hazardous

There are three basic ways that a substance or a material can be classified as a hazardous material:

1. The DOT specifically classifies it as a haz-ardous material in the Hazmat Table.

2. The material meets one of the DOT’s first eight hazard class definitions.

3. The material meets the DOT’s definition of a Miscellaneous Class 9 material.

Materials Specifically Identified by the DOT as Hazardous Materials [49 CFR 172.101]

Chemicals that are listed by name and identified by a “+” in Column 1 of the 49 CFR 172.101 Hazardous Materials Table are haz-ardous materials regardless of their actual properties. These materials must be shipped under the classification shown in the Hazard-ous Materials Table unless the shipper obtains explicit authorization from the DOT to do otherwise.

Of the over 3,000 Proper Shipping Names listed in the table, only about 50 are designated with the plus mark.

Materials That Meet One or More Definitions of Hazard Classes 1 Through 8 [49 CFR 173, Subparts C, D, and I]

Most substances and materials are regu-lated as hazardous material because they pose specific types of hazards (e.g., flammable liq-uids, poisonous gases, or self-reactive solids) and therefore meet one or more of the DOT’s hazard class definitions found at 49 CFR 173.

The DOT provides technical definitions in 49 CFR 173 for each of its first eight hazard classes that are based on chemical and physical properties (e.g., liquid/solid/gas, flash point, ability to corrode metals, acute toxicity). Clas-



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Definition of a “Hazardous Material”, continued

sification of materials must be determined by the shipper, per material, based on knowledge of the material’s properties or testing data.

Materials That Meet the Definition of Miscellaneous Hazard Class 9 [49 CFR 173.140]

A Class 9 Miscellaneous Hazardous Mate-rial is “a material which presents a hazard during transportation but which does not meet the definition of any other hazard class.”

In other words, if a material poses a “Class 9 hazard” and also meets the definition of any Class 1 through 8 hazardous material, then the material will be classed as Class 1 through 8, NOT Class 9.



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MATERIALS DESIGNATED AS HAZARDOUS MATERIALS IN THE HAZMAT TABLE

“+” Means It’s Hazardous

“Fixes” the Hazard Class and Shipping Name

In general, if your material is identified by name in the 172.101 Table and designated with a plus mark (+) in Column 1, the work of clas-sification has been done for you.

“The plus (+) sign fixes the proper shipping name, hazard class and packing group for that entry without regard to whether the material meets the definition of that class, packing group or any other hazard class definition. When the plus sign is assigned to a proper shipping name in Column (1) of the §172.101 Table, it means that the material is known to pose a risk to humans. When a plus sign is assigned to mixtures or solu-tions containing a material where the hazard to humans is significantly different from that of the pure material or where no hazard to humans is posed, the material may be described using an alternative shipping name that represents the haz-ards posed by the material. An appropriate alter-nate proper shipping name and hazard class may be authorized by the Associate Administrator.”

[See 49 CFR 172.101(b)(1).]

Materials that are named and identified in the Hazardous Materials Table with a plus mark in Column 1 must be shipped with the hazard indicated in the Table.

If you have test data demonstrating that your material actually does not have the indi-cated hazard, you must still ship it as desig-nated. If you think the DOT’s hazard desig-nation is wrong, you may submit your data

to convince the DOT to change the classifica-tion or to get approval to use a different ship-ping name.

Mixtures and Solutions Containing Materials Identified With a “+”

If what you have is a mixture or solution of a material that is identified in the Hazardous Materials Table with a “+” such that the prop-erties and hazards of the mixture or solution are significantly different than those of the material itself, you may classify it in accor-dance with the usual hazmat rules.

What’s the Significance?

The main question with plus-mark desig-nated materials is whether or not your mate-rial is the material the DOT is designating. For example:

• Boron tribromide is designated by a plus mark as Class 8 (corrosive), PG I.

• If you have boron tribromide, you must ship it as Class 8, PG I.

• If you think your particular boron tribro-mide is not corrosive, or is corrosive, but not at the Packing Group I level, the question is then: Is the stuff that you’re shipping the same stuff that the DOT considers to be boron tribromide?



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Materials Designated as Hazardous Materials in the Hazmat Table, continued

Designated Shipping Names

The following are the shipping names identified by the plus mark:

Shipping Name Class PG

Aminophenols (o-; m-; p-) 6.1 III

Aniline 6.1 II

Benzaldehyde 9 III

Boron tribromide 8, 6.1 I

Bromine 8, 6.1 I

Bromine pentafluoride 5.1, 6.1, 8 I

Bromine solutions 8, 6.1 I

Bromine trifluoride 5.1, 6.1, 8 I

Bromoacetone 6.1, 3 II

Chloroacetonitrile 6.1, 3 I

Chlorodinitrobenzenes, liquid

6.1 II

Chlorodinitrobenzenes, solid

6.1 II

Chloronitrobenzenes, liquid

6.1 II

Chloronitrobenzenes, solid

6.1 II

Chloropicrin 6.1 I

Chlorosulfonic acid (with or without sulfur trioxide)

8, 6.1 I

Dichloroanilines, liquid 6.1 II

o-Dichlorobenzene 6.1 III

N, N-Diethylaniline 6.1 III

Epichlorohydrin 6.1, 3 II


Ethyl chlorothioformate 8, 6.1, 3 II

Ethyl isocyanate 6.1, 3 I

Iodine 8, 6.1 III

Isobutyl isocyanate 6.1, 3 I

Isopropyl isocyanate 6.1, 3 I

Magnesium arsenate 6.1 II

Mercuric potassium cyanide

6.1 I

Mercury sulfates 6.1 II

Methacrylonitrile, stabi-lized

6.1, 3 I

Methanola 3, 6.1 II

Methoxymethyl isocya-nate

6.1, 3 I

Motor fuel anti-knock mixture, flammable

6.1, 3 I

Motor fuel anti-knock mixture

6.1 I

Nitric acid, red fuming 8, 5.1, 6.1 I

Nitroanilines (o-; m-; p-;) 6.1 II

Nitrobenzene 6.1 II

Nitrophenols (o-; m-; p-;) 6.1 III

Oxygen generator, chemical, spent

9 III

Pentaborane 4.2, 6.1 I

Phenetidines 6.1 III

Phenol, solid 6.1 II

Phenylenediamines (o-; m-; p-;)

6.1 III



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Materials Designated as Hazardous Materials in the Hazmat Table, continued


Phosphorus oxychloride 6.1, 8 I

Self-defense spray, non-pressurizedb

9 III

Sulfur trioxide, stabilized 8, 6.1 I

Sulfuryl chloride 6.1, 8 I

Tetranitromethane 6.1, 5.1 I

Thiophosgene 6.1 I


Titanium tetrachloride 6.1, 8 I

Toluene diisocyanate 6.1 II

Toluidines, liquid 6.1 II

Trichloroacetyl chloride 8, 6.1 II

a. Only when shipped internationally. An alternative name may be selected when shipping domestically.

b. Only when shipped by air. Must be classed and de-scribed as usual when shipped by other modes.



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DOT’S HAZARD CLASSES AND DIVISIONS

Hazard Classes vs. Divisions

A hazard class is a set of hazards that are represented by a whole number, for example, Class 3 for flammable liquids or Class 8 for corrosive materials.

Some of the DOT’s hazard classes are fur-ther broken up into “divisions,” which are rep-resented by decimal numbers. For example, Class 2, compressed gases, is subdivided into:

• Flammable gases, Division 2.1.

• Non-flammable, non-poisonous gases, Division 2.2.

• Poisonous gases, Division 2.3.

Division 1.1 Explosives [49 CFR 173.50(b)(1)]

Division 1.1 consists of explosives that have a mass explosion hazard. A mass explo-sion would be one that affects almost the entire load instantaneously.

Division 1.1 explosives include things like TNT, gunpowder, or plastic explosives.


Division 1.2 consists of explosives that have a projection hazard but not a mass explo-sion hazard.

Division 1.2 explosives include things such as hand grenades, mines, and cannon shells.



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DOT’s Hazard Classes and Divisions, continued


Division 1.3 consists of explosives that have a fire hazard and either a minor blast hazard or a minor projection hazard or both, but not a mass explosion hazard.

Division 1.3 explosives include things such as rocket motors, special fireworks, and flash powders (such as used at concerts).


Division 1.4 consists of explosives that present a minor explosion hazard. The explo-sive effects are largely confined to the package and no projection of fragments of appreciable size or range would be expected.

Division 1.4 explosives include things such as small arms ammunition and common fireworks, such as sparklers.


Division 1.5 consists of very insensitive explosives. This division is comprised of sub-stances that have a mass explosion hazard but are so insensitive that there is very little prob-ability of initiation or of transition from burn-ing to detonation under normal conditions of transport.

Division 1.5 explosives include things such as construction and demolition explosives.



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Division 1.6 consists of extremely insensi-tive articles that do not have a mass explosive hazard. This division is comprised of articles that contain only extremely insensitive deto-nating substances and that demonstrate a neg-ligible probability of accidental initiation or propagation.

Division 1.6 explosives are usually devices that contain small amounts of 1.5 explosives and are therefore the least dangerous of the Class 1 materials.

Division 2.1, Flammable Gases [49 CFR 173.115(a)]

A flammable gas is any material that is a gas at 68°F or less (at standard atmospheric pressure) and burns readily in air. Common

examples of flammable gases include acety-lene, propane, and many spray paints.

NOTE: If a material is shipped under pressure or chilled to keep it in a liquid state, it is still classified as a gas under DOT rules.

Division 2.2, Non-flammable, Non-poisonous Compressed Gases [49 CFR 173.115(b)]

Division 2.2 gases include any gas that is non-flammable and non-poisonous and is:

• Shipped at a pressure of 200 kPa (29.0 psig/43.8 psia) or more at 68°F.

• A liquefied gas.

• A cryogenic liquid.

Common examples of Division 2.2 gases include helium, nitrous oxide (i.e., “laughing gas”), and liquid nitrogen.



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Division 2.3, Poisonous Gases [49 CFR 173.115(c)]

A poisonous gas is any material that is a gas at 68°F or less (at standard atmospheric pressure) that is either known to be toxic to humans or is presumed to be toxic based on animal testing.

Common examples of Division 2.3 gases include carbon monoxide, chlorine, and sulfur dioxide.

Class 3, Flammable Liquids [49 CFR 173.120]

Flammable liquids are liquids with flash points of 140°F or less. Examples of flammable liquids include gasoline, acetone, ethanol, and many paints and common solvents.

NOTE: The flash point is the temperature at which an ignition source near the liquid could “flash” back and ignite the vapors.

Combustible Liquids [49 CFR 173.120(b)]

A combustible liquid is a liquid that:

• Has a flash point greater than 140°F, but less than 200°F, and

• Does not meet the definition of any other hazard class.

Combustible liquids are sometimes referred to as Class 3 hazardous materials, but strictly speaking, their hazard class is actually “Combustible.”

Common examples of combustible liquids include many fuel oils and some blends of diesel fuel.

NOTE: If a combustible liquid is shipped by ground in a packaging with a maximum capacity of 119 gallons or less, it is usually not subject to any of the hazmat regulations.



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Division 4.1 Flammable Solids [49 CFR 173.124(a)]

Division 4.1 Flammable Solids include four types of materials:

1. Wetted explosives.

2. Self-reactives – materials that can violent-ly decompose even without oxygen, such as certain types of epoxy compounds.

3. Readily combustible solids – materials that ignite by friction, such as matches, or solids that burn fast and hot when ignit-ed, such as small pieces of magnesium metal.

4. Polymerizing substances – materials that without stabilization are liable to undergo strongly exothermic reactions forming larger molecules or polymers.

Division 4.2 Spontaneously Combustible Materials [49 CFR 173.124(b)]

Division 4.2 Spontaneously Combustible Materials include two types of materials:

1. Pyrophoric materials – materials that, even in small quantities, are liable to ig-nite within five minutes after coming into contact with air. Examples include things such as phosphorus metal and certain barium and calcium alloys.

2. Self-heating materials – a solid or liquid that can gradually react with air to self-heat and eventually ignite. Examples include things such as iron metal shav-ings, nitrocellulose-based plastics, and bleached paper towels that are damp with flammable paint or solvent.



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Division 4.3 Dangerous When Wet Materials [49 CFR 173.124(c)]

Division 4.3 Dangerous When Wet Materi-als include two types of materials:

1. Materials that will give off flammable gases or will simply spontaneously ignite when they contact water. For example, sodium metal will undergo a reaction and produce hydrogen gas when it comes into contact with water.

2. Materials that give off toxic gases when they contact water, such as aluminum phosphide, which will produce phos-phine gas when it contacts water.

Division 5.1 Oxidizers [49 CFR 173.127]

Oxidizers are materials that are not neces-sarily combustible themselves, but they may cause or contribute to the combustion of other materials more than air does. Usually, they do this by providing oxygen.

Examples of oxidizers include things such as perchloric acid; hydrogen peroxide; nitrates, which are commonly used in fertilizers; and, of course, oxygen.

Division 5.2 Organic Peroxides [49 CFR 173.128]

Organic peroxides are thermally unsta-ble chemicals that may undergo exothermic self-accelerating decomposition, meaning that they can release large and dangerous amounts



Notes:

Page 54


of heat and energy. Organic peroxides contain both an oxidizer (or oxygen) and an organic fuel in a single chemical.

Examples of organic peroxides include things such as benzoyle peroxide and methyl ethyl ketone peroxide.

Division 6.1 Poisonous Materials [49 CFR 173.132]

Division 6.1 Poisonous Materials include solids and liquids that are either known to be toxic to humans, or they are presumed to be toxic to humans based on the results of animal testing. Classification as a poison can be based on the oral, dermal, or inhalation toxicity of the material.

Examples of poisonous materials include things such as arsenic, chloroform, cyanide solutions, and many pesticides.

Division 6.2 Infectious Substances [49 CFR 173.134]

Division 6.2 Infectious Substances are materials that are known or reasonably expected to contain a pathogen. Examples of pathogens include bacteria, viruses, parasites, and fungi.

Division 6.2 materials include actual microorganisms, toxins that are produced by microorganisms, and medical wastes. Division 6.2 not only includes substances that are dan-gerous to humans, but also includes substances that are considered dangerous to animals only.



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Page 55


Class 7 Radioactive Materials [49 CFR 173.403]

Class 7 Radioactive Materials include everything from low-level radioactive dyes and reagents that are used in laboratories to highly radioactive nuclear fuels.

Class 8 Corrosive Materials [49 CFR 173.136]

A material is considered to be a Class 8 Corrosive Material if it:

1. Causes irreversible damage to intact skin within 14 days following an exposure of four hours or less.

2. Corrodes steel or aluminum at a rate greater than ¼ inch per year.

Examples of corrosive materials include battery acid, acetic acid, or sodium hydroxide solution.

Class 9 Miscellaneous Hazardous Material [49 CFR 173.140]

Class 9 Miscellaneous Hazardous Mate-rials are materials that pose a hazard during transportation and therefore need to be reg-ulated when shipped, but they do NOT meet the definition of any other hazard class.

There are several ways a material could be considered a Class 9 material, including:

• Materials or items designated by the DOT as Class 9 materials on the Hazardous Materials Table, such as lithium batteries.

• Materials normally regulated by oth-er agencies that are regulated by the DOT when shipped, such as asbestos and PCBs.



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DETERMINING SUBCLASSIFICATIONS

In addition to determining the hazard class, many hazardous materials must be fur-ther classified based on the severity of the hazard that they pose as well as other issues. These subclassifications include:

• Packing groups.

• Hazard zones.

• Generic types.

• Compatibility groups.

Packing Groups

The severity of hazard for most hazardous materials is indicated by the packing group (PG). The packing group is represented by a Roman numeral I, II, or III.

• PG I indicates “great” danger.

• PG II indicates “medium” danger.

• PG III indicates “minor” danger.

NOTE: Hazard Classes 2, 7, and Division 6.2 (other than regulated medical wastes) do not have packing groups.

Determining the Packing Group

The rules for assigning a packing group to a material are found within the same regula-tions as the hazard class definitions, either in

the same regulatory section as the applicable hazard class definition, or in the section imme-diately following it.

Other Subclassifications

There are several other subclassifications for hazardous materials that are used either instead of or in addition to the packing group. For example:

• Materials that are poisonous by inhala-tion are assigned “hazard zones.” Hazard Zone A is the most dangerous; Hazard Zone D is the least dangerous. [49 CFR 173.116 and 173.133]

• Generic types A through G are for self-reactive materials (flammable solids) and organic peroxides. Generic type A is the most dangerous; generic type G is the least dangerous. [49 CFR 173.124 and 173.128]

• Explosives are assigned to compatibility groups, which are used to specify the controls for the transportation and related storage of explosives and to prevent an increase in hazards that could result if certain types of explosives were stored or transported together. [49 CFR 173.52]

• There are numerous subclassifications for radioactives. [49 CFR 173, Subpart I]



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PRACTICAL ISSUES IN HAZMAT CLASSIFICATION

Based on Hazards as Offered

In general, the US DOT regulates “hazard-ous materials” on the basis of the hazard actu-ally posed by the material at the point that it is offered for transportation. It is the shipper’s responsibility to identify these hazards.

Not Based Solely on Constituents

Hazards of individual constituents in a mixture may help determine the hazard posed by the mixture, but it is the mixture that must, ultimately, be classified and named, based on its properties “as shipped.”

Testing Not Required

It is not necessary to quantify or measure every property of a material or identify 100% of the constituent makeup in order to classify it under the DOT rules. You must determine whether the properties of the material cause it to meet or not meet hazard class definitions.

Most of the hazard class definitions pro-vide specific thresholds that may be measured. To determine whether a material meets one of these hazard class definitions, all you need to know is whether the material is above or below the threshold—the actual number may not be significant.

In many cases, these determinations can be made based on “human experience,” with-out actual laboratory analysis. For example:

• If you know that a material has a flash point below 60°C (140°F), it is a DOT flammable liquid (Class 3). You don’t need to determine the actual flash point. Do you know the actual flash point of gasoline? Probably not. But do you at least know that it’s less than 140°F?

• A material that destroys skin tissue if in contact with the skin for three minutes or less is classified as a Packing Group I corrosive material (Class 8). Do you know how long your caustic cleaning solution actually takes to destroy skin? Maybe not. But do you at least know that it would definitely take longer than three minutes of contact to destroy the skin? If so, you know it’s not PG I.



Page 58

THE HAZARD CLASSIFICATION PROCESS

Determine the Type of Hazard and Any Applicable Subclassifications

Step 1: Collect Data

The first step is to gather the information you know about the material, including:

• What is the physical state of the material? Liquid? Solid? Gas? See the definitions of these terms in 49 CFR 171.8.

• What are its chemical/physical/toxico-logical properties?

• What are the ingredients?

Step 2: Consider Options

Based on your knowledge of the material being shipped, it is usually possible to elim-inate most of the hazard classes and identify some that the material might possibly have. For example:

• If it’s liquid, it can’t be Class 2, since Class 2 is gases.

• If it’s solid, it can’t be Class 3, since Class 3 is flammable liquid.

Then consider its other properties. Might it be flammable? Might it destroy skin or cor-rode steel? Might it be fatal in small doses if inhaled, swallowed, or absorbed through skin?

You may find it helpful to look through the hazard class table at 49 CFR 173.2 to iden-tify hazard classes you think the material might have.

§173.2 Hazardous materials classes and index to hazard class definitions.

Class No. Division No. (if any) Name of class or division 49 CFR reference

for definitions

None Forbidden materials 173.21

None Forbidden explosives 173.54

1 1.1 Explosives (with a mass explosion hazard) 173.50

1 1.2 Explosives (with a projection hazard) 173.50

1 1.3 Explosives (with predominately a fire hazard) 173.50

1 1.4 Explosives (with no significant blast hazard) 173.50

1 1.5 Very insensitive explosives; blasting agents 173.50

1 1.6 Extremely insensitive detonating substances 173.50

2 2.1 Flammable gas 173.115

2 2.2 Non-flammable compressed gas 173.115

2 2.3 Poisonous gas 173.115

3 Flammable and combustible liquid 173.120



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The Hazard Classification Process, continued

Class No. Division No. (if any) Name of class or division 49 CFR reference

for definitions

4 4.1 Flammable solid 173.124

4 4.2 Spontaneously combustible material 173.124

4 4.3 Dangerous when wet material 173.124

5 5.1 Oxidizer 173.127

5 5.2 Organic peroxide 173.128

6 6.1 Poisonous materials 173.132

6 6.2 Infectious substance (etiologic agent) 173.134

7 Radioactive material 173.403

8 Corrosive material 173.136

9 Miscellaneous hazardous material 173.140

Step 3: Confirm or Deny Hazard Classes and Applicable Subclassifications

Once you know which hazards are possi-ble, the last step in the process is to go to the appropriate regulatory reference for each “sus-pect” hazard class to see how that hazard class is defined, and then determine if your material actually has that hazard. You will also need to identify which subclassifications, if any, apply to the material.

It is possible to meet more than one hazard class definition. In order to correctly classify a material for transportation, you must deter-mine all of the hazards actually posed by the material.

Additional Classifications Are Possible

In addition to determining if the mate-rial meets any of the DOT’s hazard class defi-nitions, shippers must also determine if the material meets the definition of a hazardous waste, hazardous substance, marine pollutant, or elevated-temperature material.



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THE HAZARD CLASSIFICATION PROCESS: EXAMPLE MINERAL SPIRITS


The mineral spirits display the following physical and chemical properties:

• Liquid

• Flash point: 99°F

• Boiling point: 350°F

• Eye and skin irritant

NOTE: Assume that the material poses no other relevant properties to the hazmat classi-fication process.


Class 1

We have no information that indicates the mineral spirits could explode. In addition, gen-eral knowledge of mineral spirits would indi-cate they are not the kind of thing that would be explosive. Therefore, we can eliminate this possibility.

Class 2

The mineral spirits are a liquid, not a gas, so they cannot be a Class 2 Compressed Gas.

Class 3

The flash point data indicates that the min-eral spirits are likely going to be a flammable liquid, so we will want to look at the definition for Class 3 Flammable Liquids.

Divisions 4.1, 4.2, and 4.3

Division 4.1 is Flammable Solids, so liquid mineral spirits can’t be Division 4.1 There is nothing in the data indicating that the mineral spirits could be spontaneously combustible or that they would be dangerous if they came into contact with water, so they won’t be Divi-sion 4.2 or 4.3 materials either.

Divisions 5.1 and 5.2

Divisions 5.1 and 5.2 are the Oxidizing Materials and the Organic Peroxides, respec-tively. Since there is nothing in the data regard-ing the mineral spirits being an oxidizer or an organic peroxide, we will assume that they won’t meet either of these definitions.

Divisions 6.1 and 6.2 and Class 7

Division 6.1 is Poisonous Materials. Gener-ally, when something is poisonous to humans you’re going to see strong warnings about its toxic nature, or there will be LD50 or LC50 data for the material. There is none of that here, so we will assume for this example that the min-eral spirits aren’t going to be a Division 6.1.



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The Hazard Classification Process: Example Mineral Spirits, continued

Division 6.2 is for Infectious Substances, and mineral spirits are obviously not going to be infectious substances.

Class 7 is for Radioactive Materials, and there is nothing in the data indicating that the mineral spirits would be radioactive.

Class 8

Class 8 is for Corrosive Materials. It might be tempting to think of Class 8 as a possible hazard class for the mineral spirits, based on the information that they can cause eye and skin irritation. However, DOT Class 8 corrosives do not include materials that simply cause rashes, itchiness, hives, or allergic reactions.

To be a Class 8, a material needs to either cause irreversible damage to human skin or have a severe corrosion rate on steel or alumi-num. Since there is nothing in the information provided to indicate that the mineral spirits do either of these things, they will not meet the definition of a Class 8.

Class 9

The last hazard class is Class 9, the Mis-cellaneous hazards. There are actually several special issues that must be considered when determining whether or not a material meets the definition of a Class 9. We will cover those issues later in this section. For now, just know that the material would not meet the definition of a Class 9 hazardous material.

Step 3: Confirm or Deny Hazard Classes

So after we’ve considered all the hazard classes, we’re left with one possibility: Class 3 Flammable Liquids. The next step would be to look up the definition of a flammable liquid in the DOT’s hazmat regulations.

The definition of flammable liquids is found at 49 CFR 173.120.

Determining If the Material Is a Flammable Liquid

Definition of a Flammable Liquid [49 CFR 173.120]

The definition of a flammable liquid begins with the statement that a flammable liquid is “…a liquid having a flash point of not more than 60°C, or 140°F.”

NOTE: “Not more than” is another way of saying “less than or equal to,” so a flammable liquid is a liquid with a flash point less than or equal to 60°C, or 140°F.

The mineral spirits have a flash point of 99°F, which is below the cutoff of 140°F, so they are a flammable liquid.

Exceptions to the Definition of Flammable Liquid

There is actually more to the definition of a flammable liquid than simply being a liquid with a flash point less than or equal to 140°F. At 49 CFR 173.120(a)(1) through (a)(5), we’ll find several exceptions to the definition.



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The first exception applies to materials that are in a liquid state because they have been pressurized. A common example of this is propane, which is actually classified as a Division 2.1 Flammable Gas, even though it is shipped in a pressurized liquid form. There is also a specific exception for liquids that ignite but do not sustain combustion.

Most of the listed exceptions are fairly rare, but if you are responsible for classifying flammable liquids with unusual properties, then you should take some time to become familiar with the entire definition.

Determining the Material’s Packing Group

In addition to knowing the hazard class of the material, we also need to determine the degree of hazard, which for flammable liquids is represented by its packing group. As is usu-ally the case for most hazard classes, the pack-ing group definitions for flammable liquids are in the section immediately following the section containing the hazard class definition. Since the definition for flammable liquids is at 49 CFR 173.120, the packing group definitions for flammable liquids are at 49 CFR 173.121.

In general, as long as you’re not dealing with viscous liquids, which are subject to some special rules that can be found at the end of 49 CFR 173.121, determining the packing group for a flammable liquid is fairly easy if you use the table provided at the beginning of the section. The table is included for you here.

Packing Group

Flash Point (closed cup)

Initial Boiling Point

I ≤ 35°C (95°F)

II < 23°C (73°F) > 35°C (95°F)

III ≥ 23°C, ≤ 60°C (≥ 73°F, ≤ 140°F) > 35°C (95°F)

Understanding the Table

The first column identifies the three differ-ent packing groups. The second column pro-vides flash point cutoff values for each packing group, and the third column provides boiling point cutoff values for the different groups.

Packing Group I

The determination of whether or not a flammable liquid is a Packing Group I material is based SOLELY on its initial boiling point. In order for a flammable liquid to be a Packing Group I material, it must have a boiling point less than or equal to 35°C, or 95°F.

The mineral spirits have a boiling point of 350°F. Since this is above 95°F, the mineral spirits cannot be a Packing Group I flamma-ble liquid.

Packing Group II

Both Packing Groups II and III have boil-ing points over 95°F, so the criteria for distin-guishing between the two of them is based on the flash point of the material.



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For a flammable liquid to be a Packing Group II material, it would have to have a boil-ing point over 95°F, and a flash point less than 23°C, or 73°F.

The mineral spirits have a flash point of 99°F. Since this is above 73°F, the mineral spirits cannot be a Packing Group II flamma-ble liquid.

Packing Group III

Since the flash point of the mineral spirits is above 73°F (but less than 140°F), the mineral spirits will be a Packing Group III flamma-ble liquid.



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THE HAZARD CLASSIFICATION PROCESS: EXAMPLE CLEANING AND STRIPPING AGENT


The cleaning and stripping agent dis-plays the following physical and chemical properties:

• Liquid

• Flash point: N/A

• Boiling point: N/A

• Oral toxicity LD50: 45 mg/kg

• Dermal toxicity LD50: 681 mg/kg

• Irreversible damage to skin occurs:

– After an exposure time of 45 minutes

– Within an observation period of 2 days

NOTE: Assume that the material poses no other relevant properties to the hazmat classi-fication process.


Classes 1, 2, and 3

We have no information that indicates the cleaning and stripping agent could explode, so it won’t be a Class 1 Explosive. It’s a liquid, so it can’t be a Class 2 Compressed Gas. And it has no measurable flash point, so it won’t be a Class 3 Flammable Liquid.

Classes 4 and 5

There is nothing in the data to indicate that the cleaning agent poses any sort of fire or oxidizing hazard, so it won’t meet any of the definitions of Class 4 or Class 5 hazardous materials.

Divisions 6.1

The oral and dermal LD50 data indicate that the cleaning agent might be a Division 6.1 Poi-sonous Material. We’ll come back to this one.

Division 6.2 and Class 7

The cleaning agent isn’t going to meet the definition of either an infectious substance or a radioactive material.

Class 8

The skin damage data indicates that the cleaning agent may be a Class 8 Corro-sive Material. We’ll look at this one in more detail later.

Class 9

The last hazard class is Class 9, the Mis-cellaneous hazards. Since we will cover this hazard class later in this section, just know that the material would not meet the definition of a Class 9 hazardous material.



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The Hazard Classification Process: Example Cleaning and Stripping Agent, continued

Step 3: Confirm or Deny Hazard Classes

After we’ve considered all the hazard classes, we’re left with two possibilities: Divi-sion 6.1 Poisonous Materials and Class 8 Cor-rosive Materials. The next step would be to look up these definitions in the DOT’s hazmat regulations.

The definition of poisonous materials is found at 49 CFR 173.132, and the definition of corrosive materials is at 49 CFR 173.136.

Determining If the Material Is a Poisonous Material

Definition of a Poisonous Material [49 CFR 173.132]

According to the DOT’s definition, a poi-sonous material includes materials other than gases that are either:

• Known to be so toxic to humans that they pose a hazard to health during transpor-tation; or

• Presumed to be toxic to humans based on data from animal testing, meaning LD50 or LC50 results.

Since we don’t have historical knowledge of our cleaner to tell us that it is poisonous to humans, we’ll instead rely on the LD50 data.

There are three separate test criteria that can be used to determine whether or not a solid or liquid meets the definition of a Divi-sion 6.1 Poisonous Material:

1. Oral toxicity, which refers to ingesting the material.

2. Dermal toxicity, which refers to materials that are absorbed through the skin.

3. Inhalation toxicity, which refers to inhal-ing dusts, vapors, and mists.

Oral and Dermal Toxicity Thresholds

According to the DOT’s definition of poi-sonous materials, a material will be a poison-ous material based on its oral toxicity if it has an oral toxicity LD50 of not more than 300 mg/kg, or in other words, an oral toxicity LD50 that is less than or equal to 300 mg/kg.

A material will be a poisonous material based on its dermal toxicity if it has a dermal toxicity LD50 of not more than 1,000 mg/kg (i.e., less than or equal to 1,000 mg/kg).

The cleaner has an oral LD50 of 45 mg/kg, which is below the cutoff of 300 mg/kg for an oral toxicity poison, so it meets the defini-tion of a poisonous material based on its oral toxicity.

It also has a dermal LD50 of 681 mg/kg, which is below the cutoff of 1,000 mg/kg for a dermal toxicity poison, so it also meets the definition of a poisonous material based on its dermal toxicity.

Packing Groups for Division 6.1

Before we move on to figuring out whether the material meets the criteria for Class 8, we need to assign the material a packing group for Division 6.1. The packing group definitions for Division 6.1 are in the section immediately fol-



Notes:

Page 66


lowing the section containing the hazard class definition, so we’ll find them at 49 CFR 173.133. To determine the packing group for most poi-

sons, you can use the table provided at the beginning of §173.133, which is shown below.

Packing Group

Oral Toxicity LD50 (mg/kg)

Dermal Toxicity LD50 (mg/kg)

Inhalation toxicity by dusts and mists LC50

(mg/L)

I ≤ 5.0 ≤ 50 ≤ 0.2

II > 5.0, ≤ 50 > 50, ≤ 200 > 0.2, ≤ 2.0

III > 50, ≤ 300 > 200, ≤ 1,000 > 2.0, ≤ 4.0

Understanding the Table

The first column identifies the three differ-ent packing groups. The next three columns provide the cutoff ranges for oral, dermal, and inhalation toxicity.

Packing Group I

In order for a material to be a Packing Group I material based on oral toxicity, it must have an oral toxicity LD50 less than or equal to 5 mg/kg. To be a Packing Group I based on dermal toxicity, it must have a dermal toxicity LD50 less than or equal to 50 mg/kg.

The cleaning agent has an oral toxicity of 45 mg/kg and a dermal toxicity of 681 mg/kg. Since it’s over the limit in both catego-ries, it cannot be a Packing Group I Poisonous Material.

Packing Groups II and III

In order for a material to be a Packing Group II material based on oral toxicity, it must have an oral toxicity LD50 greater than 5 mg/kg but less than or equal to 50 mg/kg. To be a Packing Group II based on dermal toxicity, it must have a dermal toxicity LD50 greater than 50 mg/kg but less than or equal to 200 mg/kg.

Since the cleaning agent has an oral toxic-ity of 45 mg/kg, it would meet the definition of a Packing Group II, oral toxicity poisonous material.

At 681 mg/kg, the dermal toxicity is greater than 200 mg/kg and less than 1,000 mg/kg, so the cleaning agent would also meet the defi-nition of a Packing Group III, dermal toxicity poisonous material.

NOTE: Since the material meets the defini-tion of both a Packing Group II and III poison, we will assign it the more stringent hazard, making it a Division 6.1, Packing Group II, Poisonous Material.



Notes:

Page 67


Determining If the Material Is a Corrosive Material

Definition of a Corrosive Material [49 CFR 173.136]

The DOT defines a corrosive material as a solid or liquid that either:

• Causes “irreversible damage to human skin at the site of contact within a speci-fied period of time”; or

• Has a severe corrosion rate on either steel or aluminum.

The “specified period of time” for skin damage and the “corrosion rate” for steel and aluminum are not actually identified in the hazard class definition for Class 8. Instead, you must look at the packing group definitions for Class 8 materials to find these thresholds. This information is found at 49 CFR 173.137.

Packing Groups for Class 8

When assigning a packing group to a Class 8 Corrosive Material on the basis of skin damage data, there are two issues that must be addressed: exposure time and observa-tion time.

The exposure time refers to how long the material must be in contact with a person’s skin before irreversible damage to the skin occurs. The observation time refers to the length of time it takes for skin damage to appear after the chemical is washed off the skin.

Packing Group I

Packing Group I includes materials that cause irreversible damage skin within an observation period of up to 60 minutes, after an exposure time of 3 minutes or less.

This means that the material would only need to be on the skin for 3 minutes or less to cause irreversible damage, and the damage would appear within an hour after exposure.

Packing Group II

Packing Group II includes materials that cause irreversible damage to skin within an observation period of up to 14 days, after an exposure time of more than 3 minutes, but less than or equal to 60 minutes.

This means the material would need to be on the skin for more than 3 minutes but no more than an hour to cause irreversible damage, and the damage would appear within 14 days after exposure.

Packing Group III

Packing Group III includes materials that cause irreversible damage to skin within an observation period of up to 14 days, after an exposure time of more than 60 minutes but less than or equal to 4 hours.

Packing Group III also includes materials that corrode steel or aluminum surfaces at a rate greater than 6.25 mm (0.25 in.) a year.



Notes:

Page 68


Assignment of a Class 8 Packing Group to the Cleaner/Stripping Agent

According to the data, irreversible damage to skin would occur if the cleaning and strip-ping agent was in contact with skin for 45 min-utes, and the damage would appear within two days of the exposure. This would meet the criteria for a Class 8, Packing Group II Corro-sive Material.

Final Classification

The material is a Division 6.1, Packing Group II material and a Class 8, Packing Group II material.



Notes:

Page 69

MULTIPLE-HAZARD MATERIALS49 CFR 173.2a

Many Materials Pose More Than One DOT Hazard

It is common for a single hazardous mate-rial to meet the definition of more than one DOT-defined hazard class or division. For example, a flammable liquid may also be poi-sonous or corrosive.

The shipper must identify all hazards posed by a material in order to determine the proper hazard classification. One of those haz-ards will be the “primary” hazard class or divi-sion. All other hazards are considered “subsid-iary hazards.”

Identifying the Primary Hazard Class

The DOT defines “hazard class” as:

“[T]he category of hazard assigned to a hazardous material under the definitional cri-teria of part 173 of this subchapter and the pro-visions of the §172.101 Table. A material may meet the defining criteria for more than one hazard class but is assigned to only one hazard class.” [49 CFR 171.8, emphasis added]

Although all hazards must be known, only one is identified as the primary hazard, also called the “hazard class.”

Subsidiary Hazards Are Significant to Some Compliance Steps

Naming

All hazards, primary and subsidiary, must be considered in selecting the Proper Ship-ping Name.

Marking

Some subsidiary hazards (e.g., poisons) may require additional package markings.

Labeling

Most subsidiary hazards require package labeling in addition to the primary hazard label.

Shipping Papers

The primary and subsidiary hazard classes are noted in the basic description of a material on shipping papers.

Placarding

Placards indicating subsidiary hazards are generally not required.



Notes:

Page 70

IDENTIFYING THE PRIMARY HAZARD49 CFR 173.2a

A Three-step Process

The rules at 49 CFR 173.2a lay out a three-step process for determining the primary and subsidiary hazards for a material.

1. Check the materials listed at 49 CFR 173.2a.

2. Check the 172.101 Table (or Hazmat Table).

3. Use the Hierarchy of Hazard Classes.

Step 1 – Check the Materials Listed at 49 CFR 173.2a(c)

The first thing you need to do when trying to determine which hazard is primary and which hazards are subsidiary for a particular material is to check the hazards listed in para-graph (c) at 49 CFR 173.2a. If you find one of the hazards of your material there, then that hazard is the primary hazard for your material.

Step 2 – Check the 172.101 Table

If none of the material’s hazards are listed at 49 CFR 173.2a(c), then the next step would be to see if the material is listed by name in the 172.101 Table.

For some materials, determining their pri-mary hazard is as simple as looking them up in the 172.101 Table to see which hazard the DOT has identified as the primary hazard for the material. For example, hydrofluoric acid is

both corrosive and poisonous. If you look up this material in the DOT’s Hazmat Table, you will see that hydrofluoric acid is listed in the Table with Class 8 as the primary hazard. So if you’re shipping hydrofluoric acid, you have to ship it with Class 8 as the primary hazard.

Step 3 – Use the Hierarchy of Hazard Classes

In most cases, you will need to use the DOT’s hierarchy of hazard classes at 49 CFR 173.2a(a)(1)–(10) to figure out the primary hazard for your material. Essentially, materi-als that are found closer to the top of the list “outrank” those closer to the bottom, so you simply go down the list, and as soon as you find one of the hazard classes for your mate-rial, you have your primary hazard.

For example, let’s say that you had a mate-rial that was both a Division 2.1, Flammable Gas and a Division 2.3, Poisonous Gas. You would start at the top of the list and the first thing you would see would be Class 7 Radio-active Materials, and right after that would be Division 2.3, Poisonous Gas. Therefore, Divi-sion 2.3 would be the primary hazard for the material.

Towards the end of the list, the entry at 49 CFR 173.2a(a)(8) actually identifies several different hazard classes and divisions. If you make it that far and your material poses two or more of the hazards listed there, then you are directed to use the Precedence of Hazard Table to determine the primary hazard for the material.


Identifying the Primary Hazard, continued


Page 71

Is the material explosive?

Is the material an organic peroxide?

Does the material meet the definition of “wetted explosive”? [Ref. 49 CFR 173.124(a)(1)]

Is the material limited quantity radioactive?

Is the material an infectious substance?

Is the material specifically listed on the 172.101 Table?

Is the material Class/Division:7 – Radioactive?2.3 – Poison gas?2.1 – Flammable gas?2.2 – Nonflammable gas?6.1 – Poison, PG I, poison inhalation hazard?4.2 – Pyrophoric materials only?4.1. – Self-reactive materials only?

Is the material a “combustible liquid”?

Is the material a Class 9 “miscellaneous hazardous material”?

§173.2a(c)

Is the material Class/Division:3 – Flammable liquid? 4.3 – Dangerous when wet?8 – Corrosive? 5.1 – Oxidizer?4.1 – Flammable solid? 6.1 – Poison?4.2 – Spontaneously combustible?

§173.2a(a)

§173.2a(a)(1)–(7)

§173.2a(a)(8)

§173.2a(a)(9)–(10)

No

No

No

No

No

No

No

No

No

The primary hazard is determined according to the “Precedence of

Hazard” table at 49 CFR 173.2a(b).

The primary hazard class is combustible liquid.

The primary hazard class is Class 9.

The hazard class is assigned in descending order of priority, as listed.

The hazard class indicated in Column (3) of the 172.101 Table is the primary hazard.

The primary hazard class is determined in accordance with 49 CFR 173.423.

The primary hazard class is Division 4.1 (flammable solid).

The primary hazard class is Division 6.2 (infectious

substance).

The primary hazard class is Division 5.2 (organic peroxide).

The primary hazard class is Class 1 (explosives).

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes



Notes:

Page 72

Identifying the Primary Hazard, continued

Using the Precedence of Hazard Table

The DOT’s Precedence of Hazard Table is used for most materials classified as Classes 3 and 8 and Divisions 4.1, 4.2, 4.3, 5.1, and 6.1. To use the Precedence of Hazard Table at 49 CFR 173.2a(b):

1. Find the lower-numbered hazard on the left side of the Table.

2. Find the higher-numbered hazard along the top of the Table.

3. Look to see where the relevant row and column intersect.

Determining the Packing Group

The class or division shown at the inter-section of the relevant row and column is the primary hazard. When it comes to assigning a packing group, the most stringent packing group assigned to a hazard of the material takes precedence over other packing groups. For example, a material meeting Class 3, PG II and Division 6.1, PG I (oral toxicity) is classi-fied as Class 3, PG I.

Using the Precedence of Hazard Table – Example Cleaning and Stripping Agent

A liquid cleaning and stripping agent is determined to pose the following hazards:

• Division 6.1, Packing Group II, oral toxicity

• Class 8, Packing Group II

According to the Precedence of Hazard Table, the primary hazard would be Class 8, making Division 6.1 the subsidiary hazard.



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Notes:

Page 74

COMBUSTIBLE LIQUIDS, THE UNNUMBERED CLASS49 CFR 173.120(b) and 173.150(f)

Definition of a Combustible Liquid [49 CFR 173.120(b)(1)]

A “combustible liquid” is defined as any liquid that:

1. Does NOT meet the definition of any oth-er hazard class, and

2. Has a flash point > 140°F and < 200°F.

Shipping Combustible Liquids [49 CFR 173.150(f)]

A combustible liquid shipped in a non-bulk packaging (≤ 119 gallons) is excluded from regulation as a hazardous material, unless it is also a hazardous substance, hazardous waste, or marine pollutant.

A combustible liquid shipped in a bulk packaging (> 119 gallons) does not require specification packaging and is not subject to the attendance requirements for loading/unloading operations specified at 49 CFR 177.834(i).

Combustible liquids in a bulk packaging, or combustible liquids that are also a hazard-ous substance, hazardous waste, or marine pollutant, are still subject to:

• Package markings [49 CFR 172, Subpart D].

• Shipping papers [49 CFR 172, Subpart C].

• Emergency response information [49 CFR 172, Subpart G].

• Placards [49 CFR 172, Subpart F].

• Incident reporting [49 CFR 171, Subpart B].

• Employee training [49 CFR 172, Subpart H].

• General packaging standards [49 CFR 173, Subpart B].

• Other miscellaneous provisions relat-ing to packaging exceptions and mod-al issues.

Reclassifying Flammable Liquids [49 CFR 173.120(b)(2)]

Some flammable liquids (Class 3) may be reclassed as combustible liquids provided that the material:

1. Does NOT meet the definition of any oth-er hazard class;

2. Has a flash point ≥ 100°F; and

3. Will be shipped by highway or rail (ex-cept where impracticable).

NOTE: Elevated-temperature materials that meet the definition of a Hazard Class 3 material that are being intentionally heated and offered for transport at or above their flash points may not be reclassed as combustible liquids.



Notes:

Page 75

HAZARDOUS WASTES, HAZARDOUS SUBSTANCES, MARINE POLLUTANTS, AND ELEVATED-TEMPERATURE MATERIALS

Additional Classifications

In addition to determining the hazard class of your material, you also will need to know whether the material meets four other related classifications:

1. Hazardous waste

2. Hazardous substance

3. Marine pollutant

4. Elevated-temperature material

Materials meeting any of these definitions will be subject to additional communication requirements for package markings and ship-ping papers, and may be subject to additional requirements when shipped (or be ineligible for reliefs available to other materials).

Hazardous Waste

For the purposes of the hazardous mate-rials regulations (HMR), the DOT defines the term “hazardous waste” as:

“[A]ny material that is subject to the Hazard-ous Waste Manifest Requirements of the U.S. Envi-ronmental Protection Agency specified in 40 CFR part 262.” [49 CFR 171.8]

Simply put, if the US EPA identifies and regulates something as hazardous waste and requires it to be shipped using a Uniform Haz-

ardous Waste Manifest, the DOT considers the material to be “hazardous waste” for the pur-poses of the HMR.

What Is NOT Hazardous Waste?

The DOT only regulates materials as haz-ardous waste if they are required to be shipped on a manifest under FEDERAL EPA hazardous waste regulations. Hazardous wastes that are NOT required to be shipped on a manifest under FEDERAL EPA hazardous waste regu-lations would include:

• Universal hazardous wastes.

• Hazardous waste generated at a very small quantity generator’s (VSQG) facility.

• Hazardous waste samples.

• State hazardous wastes.

Requirements for Shipping Hazardous Waste

Generally, hazardous waste is shipped in the same way as any other hazardous mate-rial. However, there are a few things that must be done differently. These additional require-ments include:

• Adding the word “waste” to the Proper Shipping Name. [49 CFR 172.101(c)(9)]

• Using a Hazardous Waste Manifest (EPA Form 8700-22 and 8700-22A) as the ship-ping paper.



Notes:

Page 76

Hazardous Wastes, Hazardous Substances, Marine Pollutants, and Elevated-temperature Materials, continued

• Adding additional information to the package markings. [40 CFR 262.32]

What About Waste Codes or Characteristics?

EPA regulations identify hazardous wastes by assigning “waste codes.” For exam-ple, spent xylene solvent is assigned the waste codes D001 and F003.

Many wastes are identified as hazardous due to their “characteristics.” The EPA defines hazardous waste characteristics in 40 CFR 261, Subpart C. The characteristics are “ignitabil-ity,” “corrosivity,” “reactivity,” and “toxicity.” Wastes hazardous due to characteristics are assigned D-numbered waste codes. For exam-ple, “ignitable” wastes are assigned the waste code D001.

EPA-assigned waste codes and character-istics are independent from how the material is classified under DOT regulations. For trans-portation purposes, hazardous wastes must be classified according to the DOT’s hazard classes, just like anything else.

Hazardous Substance

For the purposes of the HMR, the DOT defines the term “hazardous substance” as a material that:

1. Is listed in Appendix A to 49 CFR 172.101, and

2. Equals or exceeds the reportable quantity (RQ) found in Appendix A for the materi-al in a single package, and

3. Equals or exceeds particular concentra-tions in mixtures. [49 CFR 171.8]

Listed in Appendix A to 49 CFR 172.101

The DOT’s list of hazardous substances is a copy of the list created by EPA in 40 CFR 302. The DOT does not decide which chemicals are on the list nor what their respective reportable quantities (RQs) will be; this is done by the EPA. If a substance is not listed in Appendix A, then it cannot be a “hazardous substance.”

Must Equal or Exceed the RQ in a Single Package

Merely being listed in Appendix A does not make something a hazardous substance. The material must be present, in one package, in a quantity that equals or exceeds the report-able quantity given in Appendix A for that material.

It is possible to have several packages in a shipment which add up to the RQ. However, if no one package contains an RQ, the material is not a hazardous substance for the purposes of hazmat shipping under DOT.



Notes:

Page 77


NOTE: It is important to keep in mind that when the DOT says “package,” the Agency means the complete required setup, or every-thing that is required to ship a particular haz-ardous material. So a single 55-gallon steel drum would be considered a package, because it could be shipped by itself, but small glass bottles could not be shipped on their own, so they wouldn’t be considered a package. Instead, all of the bottles placed inside a fiber-board box would be the package.

Exclusion for Low Concentrations

If a substance is in a mixture or solution, it may be excluded from the definition of “haz-ardous substance” based on the concentration. To determine whether or not a mixture con-taining a hazardous substance gets this relief, use the following table:

RQ Pounds (Kilograms)

Concentration by Weight

Percent PPM

5,000 (2,270) 10 100,000

1,000 (454) 2 20,000

100 (45.4) 0.2 2,000

10 (4.54) 0.02 200

1 (0.454) 0.002 20

Identify the RQ of your substance in the left-hand column. Then look to the right to find the minimum concentration for the mate-rial to meet the definition of hazardous sub-stance. If the material is present in the mixture in less than this minimum concentration, it is excluded from the definition of a hazardous substance.

NOTE: The DOT provides this exclusion for low concentrations because if the substance was present below its threshold concentration, more than 50,000 lbs. of the mixture would need to be spilled to have a reportable release of the substance.

Examples of Hazardous Substances

Toluene weighs approximately 7.3 lbs./gal. and has an RQ of 1,000 lbs.

• A 55-gallon drum of toluene is not a “haz-ardous substance,” since the drum would only weigh about 400 lbs.

• A shipment of 50 drums of toluene would weigh approximately 20,000 lbs. Howev-er, even if all of these drums were loaded into the back of the same truck, the tolu-ene would not be considered a hazardous substance because the RQ of 1,000 lbs. is not exceeded in a single package.

• Toluene filling a 250-gallon IBC would weigh approximately 1,800 lbs. Therefore, in this package, the toluene would be a hazardous substance.

Benzene weighs approximately 7.3 lbs./gal. and has an RQ of 10 lbs.

• A “half-gallon” bottle of benzene would contain approximately 3.7 lbs. of benzene. A fiberboard box containing four half-gal-lon glass bottles would contain approx-imately 15 lbs. of benzene. The benzene in this package would be a hazardous substance, since the single package is the assembled box, not the individual bottles.



Notes:

Page 78


Shipping Requirements for Hazardous Substances

Generally, you ship hazardous substances the same way you ship any other hazardous material. However, there are a few things that must be done differently. These additional requirements include:

• Additional descriptions on shipping pa-pers. [49 CFR 172.203(c)]

• Additional marking requirements for non-bulk packagings. [49 CFR 172.324]

Marine Pollutant

For the purposes of the hazardous mate-rials regulations, the DOT defines a “marine pollutant” as a material that:

1. Is listed in Appendix B to 49 CFR 172.101; and

2. If in a solution or mixture, is present in a concentration that equals or exceeds:

– One percent by weight of the solution or mixture for materials that are iden-tified as “severe marine pollutants” by the letters “PP” in the “S.M.P.” Column in Appendix B. [49 CFR 171.8]

– Ten percent by weight of the solution or mixture for all other marine pollutants listed in Appendix B.

NOTE: Marine pollutants are only regulated when they are shipped by vessel or when they are shipped in bulk packagings (i.e., greater than 450 L or 400 kg maximum capacity) by all modes.

Shipping Requirements for Marine Pollutants

Generally, you ship marine pollutants the same way you ship any other hazardous mate-rial. However, there are a few things that must be done differently. These additional require-ments include:

• Additional descriptions on shipping pa-pers. [49 CFR 172.203(l)]

• Additional marking requirements for non-bulk packages. [49 CFR 172.322]



Notes:

Page 79


Exception for Small Packages [49 CFR 171.4(c)]

Marine pollutants that are packaged in single or combination packagings containing a maximum net quantity (per single or inner packaging) of 5 L or less for liquids or 5 kg or less for solids are not subject to any other requirements of the hazardous materials reg-ulations, provided the packagings meet the general requirements at 49 CFR 173.24 and 173.24a. This exception does not apply to marine pollutants that are a hazardous waste or a hazardous substance. If a marine pollutant also meets the criteria for inclusion in another hazard class, then all provisions of the hazard-ous materials regulations relevant to any addi-tional hazards still apply.

Elevated-temperature Material

For the purposes of the hazardous materi-als regulations, the DOT defines an “elevated temperature material” as a material which, when offered for transport in bulk packaging (i.e., greater than 450 L or 400 kg maximum capacity):

1. Is in a liquid phase and at a temperature at or above 100°C (212°F); or

2. Is in a liquid phase with a flash point at or above 38°C (100°F) that is intentionally heated and offered for transportation or transported at or above its flash point; or

3. Is in a solid phase and at a temperature at or above 240°C (464°F). [49 CFR 171.8]

Shipping Requirements for Elevated-temperature Materials

Generally, you ship elevated-temperature materials the same way you ship any other hazardous material. However, there are a few things that must be done differently. These additional requirements include:

• Additional descriptions on shipping pa-pers. [49 CFR 172.203(n)]

• Additional marking requirements for packages. [49 CFR 172.325]



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CLASS 9“Miscellaneous Hazardous Material”

Miscellaneous Hazard Class 9 [49 CFR 173.140]

Class 9 is one of the DOT’s hazard classes and is defined at 49 CFR 173.140. The core part of the Class 9 definition is that the mate-rial being shipped is “a material which pres-ents a hazard during transportation but which does not meet the definition of any other hazard class.”

The important thing to remember is that if a material poses a “Class 9 hazard” and also meets the definition of a Hazard Class 1–8 material, then the material will be classed as a Hazard Class 1–8.

Six Ways to Be Class 9

Although Class 9 is called “miscellaneous hazardous materials,” it’s NOT just a “catch all.” There are six specific ways that a material may end up being classed as Class 9:

1. Hazardous waste


3. Marine pollutant


5. Materials specifically designated by DOT

6. Airplane hazard

Hazardous Wastes and Substances, Marine Pollutants, and Elevated-temperature Materials

The definition of Class 9 also includes:

“Any material that meets the definition in §171.8 of this subchapter for an elevated tempera-ture material, a hazardous substance, a hazardous waste, or a marine pollutant.” [49 CFR 173.140(b)]

If a material meets the definition of an elevated-temperature material, a hazardous substance, a hazardous waste, or a marine pol-lutant and it does NOT meet any of the defini-tions of Hazard Classes 1 through 8, it will be assigned to Class 9.

Materials Specifically Designated by the DOT as Class 9

Some materials are simply designated as Class 9 by the DOT in the 49 CFR 172.101 Table. There are two broad categories of mate-rials that are designated by DOT as Class 9 materials:

1. Materials that pose hazards only under certain conditions or that pose “non-DOT” hazards

2. Materials that pose hazards but the haz-ards are reduced



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Class 9, continued

Materials That Pose Hazards Only Under Certain Conditions or Pose “Non-DOT” Hazards

In some cases, the DOT has determined that a material may pose a particular hazard, but only under certain circumstances. These will usually be regulated when transported by a particular mode. For example, dry ice is designated as Class 9 when transported by air or vessel.

In other cases, the DOT has been asked to regulate the material when it is shipped because some other agency considers the material to pose a hazard. For example, the US EPA is concerned with asbestos because of the long-term hazards that it poses to human health and the environment. Asbestos would not meet any of the DOT’s Class 1–8 hazards, so when the DOT regulates the transport of asbestos for the EPA, asbestos is assigned to Class 9.

Shipping names in these categories include:

Proper Shipping Name Column 1 Symbols

Asbestos D

Asbestos, amphibole G, I

Asbestos, chrysotile I

Batteries, nickel-metal hydride W

Benzaldehyde +

Carbon dioxide, solid or Dry ice A, W

Castor beans or Castor meal or Castor pomace or Castor flake

A, W

Cotton D, W


Fish meal, stabilized or Fish scrap, stabilized

A, W

Oxygen generator, chemical, spent

+

Plastic molding compound in dough, sheet or extruded rope form evolving flammable vapor

Polychlorinated biphenyls, liquid

Polychlorinated biphenyls, solid

Polyhalogenated biphe-nyls, liquid or Halogenated monomethyldiphenyl-meth-anes, liquid or Polyhalogenated terphenyls, liquid

Polyhalogenated biphe-nyls, solid or Halogenated monomethyldiphenyl-meth-anes, solid or Polyhalogenated terphenyls, solid

Polymeric beads, expandable, evolving flammable vapor

Zinc dithionite or Zinc hydro-sulfite



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Class 9, continued

Materials That Pose Hazards, but the Hazards Are Reduced

Under certain circumstances, a material may meet the definition of a “higher” hazard class, but the hazard is reduced when pack-aged as specified. For example, certain types of automobile airbag inflators contain explo-sives. However, when packaged in an inflator module in a specific way, the DOT allows them to be classed as Class 9.

Shipping names in this category include:


Aluminum, molten D

Ammonium nitrate based fertilizers

A, W

Battery-powered vehicle or Battery-powered equipment

Capacitor, asymmetric

Capacitor

Chemical kits

Dangerous Goods in Machin-ery or Dangerous Goods in Apparatus

Engines, internal combustion, or Machinery, internal combus-tion

First aid kits

Life-saving appliances, not self-inflating containing dan-gerous goods as equipment


Life-saving appliances, self-in-flating

Lithium ion batteries including lithium ion polymer batteries

Lithium ion batteries contained in equipment including lithium ion polymer batteries

Lithium ion batteries packed with equipment including lith-ium ion polymer batteries

Lithium metal batteries includ-ing lithium alloy batteries

Lithium metal batteries con-tained in equipment including lithium alloy batteries

Lithium metal batteries packed with equipment including lith-ium alloy batteries

Safety devices

Self-defense spray, non-pres-surized

+, A, D

Sulfur D

Sulfur, molten D

Vehicle, flammable gas pow-ered or Vehicle, fuel cell, flam-mable gas powered

Vehicle, flammable liquid powered or Vehicle, fuel cell, flammable liquid powered



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Class 9, continued

The Airplane Hazards

The definition of Class 9 includes:

“Any material which has an anesthetic, nox-ious 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.” [49 CFR 173.140(a)]

These materials are usually designated with an “A” in Column 1 of the 172.101 Table, indicating they are regulated when trans-ported by air.

Shipping names in this category include:


Acetaldehyde ammonia A

Aviation regulated liquid, n.o.s. A, G

Aviation regulated solid, n.o.s. A, G

Carbon dioxide, solid or Dry ice

A, W

Castor beans or Castor meal or Castor pomace or Castor flake

A, W

Dibromodifluoromethane, R12B2

A

Self-defense spray, non- pressurized

+, A, D



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“OVERCLASSIFYING” A MATERIAL AS A HAZARDOUS MATERIAL

Because classification can at times be a dif-ficult process, one reaction to the challenge of classification is to want to call a material haz-ardous “just to be safe.”

It is NOT safe or legal to “over-classify” a material (i.e., to assign hazards that are not, in fact, exhibited by the material). Overclassifica-tion can have several undesirable effects.

Improper Emergency Response

Responders to a transportation incident may take excessive or improper precautions if materials have been overclassified and identi-fied as posing hazards that they do not actually pose. For example, if responders see hazard communication labels and markings, they will be more cautious and careful in approaching an incident scene. As a result, they may unnec-essarily:

• Keep medical teams away from in-jured people while they wait for extra equipment.

• Shut down roads.

• Call in hazmat teams or fire departments.

• Evacuate the surrounding area.

Reduced Effectiveness of Markings and Labels for Handlers

Employees and others may learn to disre-gard markings and labels if they see them on things that are not hazardous. Then when they are properly used, employees won’t know if the material really is hazardous or if someone put the label on it just to be “safe.”

Illegal to Overclassify

According to the DOT’s hazardous materi-als regulations, it is in fact illegal to use DOT hazard markings, labels, placards, and UN identification numbers or in any other way represent that a hazardous materials is con-tained in a package when the material shipped is not, in fact, hazardous. [See, among others, 49 CFR 171.2(f), 172.202(e), 172.303, and 172.401.]



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SAMPLES AND HAZARDOUS WASTES49 CFR 172.101(c)(11)

There are two exceptions to the “over-classification” principle for:

1. Samples that need to be tested to deter-mine their hazards.

2. Hazardous wastes for which the shipper is not sure of the actual DOT hazards.

If a sample of material is being shipped for testing to determine its hazards, or if a shipper needs to ship hazardous waste and is uncertain as to its actual hazards, it is legal to assign a “tentative” hazard class, Proper Shipping Name, and packing group based on the shipper’s knowledge of the material. However, there are limitations and conditions on using this option, including limits on the overall package size for samples, and restric-tions of the types of hazard classes that can use this option.

For example, the following materials CANNOT be shipped under the “sample” relief:

• Materials designated as “forbidden” in Column 3 of the §172.101 Table

• Forbidden explosives per 49 CFR 173.54

• Electrical devices likely to cause sparks or heat

• Highly magnetic material shipped by air

• Certain self-reactives and organic peroxides



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“FORBIDDEN”What You May Not Ship!

What Does “Forbidden” Mean?

One category of hazardous materials is “forbidden.” These are materials that the DOT has determined to be too dangerous to be safely transported. Materials that are “forbid-den” may not legally be offered for transportation or transported.

Key Regulations


173.21 Criteria for “forbidden” materi-als

173.24 General rules for all packages, including prohibition on packag-ing incompatible materials in the same outer packaging

173.54 Definition of “forbidden explo-sives”

How Do I Know What’s Forbidden?

There are two primary ways that a material may be designated by the DOT as “Forbidden:”

1. If the chemical is named in Column 2 of the 172.101 Table, with the word “Forbid-den” in Column 3 of the table, then it is forbidden from ALL modes of transport.

2. 49 CFR 173.21 and 49 CFR 173.54 iden-tify certain materials that are forbidden, including:

• Shipments of new explosives not ap-proved by the DOT;

• Electrical devices likely to create sparks or heat (e.g., lead acid batteries);

• Materials likely to violently polymerize or decompose at certain temperatures, creating heat or dangerous gas;

• Certain organic peroxides;

• Certain self-reactive materials;

• Cigarette lighters; and

• Strong magnets if shipped by air.

If It’s Forbidden, How Do I Ship It?

Usually forbidden materials may be trans-ported if specific conditions are met. The con-ditions that must be met vary depending on the particular material. For example:

• New explosives are not forbidden if the packaging and classification are approved by an authorized explosives approv-al agency.



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“Forbidden”, continued

• Lead-acid batteries are not forbidden if specific packaging requirements are met so that they cannot cause sparks or heat.

• Thermally/chemically unstable mate-rials may not be forbidden if they are stabilized or inhibited to prevent dan-gerous polymerization or evolution of heat or gas.

• Cigarette lighters are not forbidden if the design type is submitted to the Bureau of Explosives and approved by the DOT.

• Strong magnets are not forbidden if they are not shipped by air.

• Incompatible materials may be packaged and shipped separately.



Certification (DOT)




CONTENTS

Step 2—Choosing Proper Shipping Names .....................................................................89

Using the “172.101 Table” ...................................................................................................90

Column 1 Symbols ...............................................................................................................91

Selecting a Proper Shipping Name ....................................................................................92

Modifying Proper Shipping Names ..................................................................................96

Naming Mixtures and Solutions ........................................................................................98

“Improper Shipping Names” ...........................................................................................100



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STEP 2—CHOOSING PROPER SHIPPING NAMESWhat Is the Best Proper Shipping Name?



172.101 DOT’s “Hazardous Materials Table” or “HM Table”

172.101(c) Rules for selecting and using Proper Shipping Names

172, Sub-part H

Rules requiring detailed train-ing for anyone “directly affect-ing” the safety of hazardous materials transportation


The second step in the hazmat shipping process is to choose the Proper Shipping Name for the material. In doing this, the ship-per must find the shipping name entry on the DOT’s Hazardous Materials Table that is the best one for the material being shipped. Among other things, the shipping name entry on the Hazardous Materials Table that the shipper chooses for the material determines:

• The types of packagings that are autho-rized to use to ship the material.

• The minimum hazard labeling for the package.

• The actions that responders will take in the event of a spill or other emergency.

If the shipper selects an incorrect or inap-propriate Proper Shipping Name, it is possible (or even likely) that the material will not be packaged correctly and/or that the response actions indicated will be inappropriate for the material.


To ensure that you select the correct entry from the 172.101 Table, you must know:

• All the hazards the material has, and the severity of each.

• Which hazard is “primary,” if the material has multiple hazards.

• The physical state of the material (you must already know this for clas-sification—it may also be important for naming).

• What the material is (i.e., is it a sin-gle chemical? What is the chemical? Is it a product formulation? What is it used for?).

• If the material meets the definition of “hazardous waste” under 49 CFR 171.8.



Page 90

USING THE “172.101 TABLE”

(1) SYMBOLSSix possible symbols: +, A, D, G, I, and W. Explanations of symbols provided at 49 CFR 172.101(b).

(2) PROPER SHIPPING NAME (PSN)Alphabetical listing of PSNs. Must use Roman print name; italics are supplemen-tary and not required as part of the PSN.

(3) HAZARD CLASS OR DIVISIONThe primary hazard class associated with a particular Proper Shipping Name.

(4) ID NUMBERS The identification number assigned to each PSN. “UN” (United Nations) num-bers are appropriate for international or domestic transport. “NA” (North Ameri-ca) numbers are only appropriate for do-mestic transport within the United States.

(5) PACKING GROUPThe packing group for a material which represents the degree of hazard. If more than one is listed, the shipper must deter-mine the correct packing group.

(6) LABELINGMinimum labeling requirements for hazmat packages.

(7) SPECIAL PROVISIONSCodes that identify packaging limitations, restrictions, and added requirements. See 49 CFR 172.102 for details.

(8A) EXCEPTIONSIdentifies the section in 49 CFR 173 to find requirements for “exception pack-aging” (e.g., limited quantity packaging requirements).

(8B–8C) NON-BULK AND BULK PACKAGINGSIdentifies the section in 49 CFR 173 to find requirements for “fully regulated” packagings.

(9) AIR AND RAILQuantity limits per package for passenger air and rail and cargo air.

(10) STOWAGE ON VESSELRestrictions for stowing packages on vessels.



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COLUMN 1 SYMBOLSWhat Do They Mean?

Six symbols may appear in Column 1: +, A, W, D, I, and G. The regulations explaining the meaning and use of these symbols are found in 49 CFR 172.101(b).

Break the Naming Rules

In general, when selecting Proper Ship-ping Names, you are required to choose the most accurate and specific name available to you. However, three of the symbols found in Column 1 of the 172.101 Table actually allow you to “break” these rules.

“+”

“Fixes” the hazard class and packing group for the named material—it must be shipped using that entry on the table, even if your material doesn’t actually have the hazard given. See discussion related to the plus mark “(+)” in Step 1.

“I”

Identifies “optional” names that are rec-ognized in both international and domestic transportation. If a material is being shipped internationally, and that is the “most specific” name, then it must be used. If material is being shipped domestically, another name may be used, even if the “I” name is the “most specific” for your material.

“D”

Identifies “optional” names that may not be recognized internationally. Another name may be used for either domestic or interna-tional transportation, even if the “D” name is the “most specific” for your material.

Regulation Varies

“A”

Means that the material is only regulated as hazardous material if it is offered for trans-portation or transported by air, unless it’s a “hazardous substance” or “hazardous waste,” in which case it’s regulated in all modes.

“W”

Means that the material is only regulated as hazardous material if it is offered for trans-portation or transported by water, unless it’s a “hazardous substance” or “hazardous waste,” in which case it’s regulated in all modes.

Generic Names

“G”

Means that the name is considered to be a “generic” shipping name and will require additional description on shipping papers and non-bulk package markings, per 49 CFR 172.203(k) and 172.301(b).



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SELECTING A PROPER SHIPPING NAMEThe 172.101 Table

The DOT’s “Hazardous Materials Table,” (“HM Table,” “Hazmat Table,” or “172.101 Table”) is found at 49 CFR 172.101. The 172.101 Table is the centerpiece of the Hazardous Materials Regulations and is used for select-ing Proper Shipping Names and identifying authorized packaging, special provisions, and labeling requirements.

There are over 3,000 entries on the 172.101 Table, and the shipper is responsible for select-ing the most appropriate entry for the hazard-ous material being offered.

How to Read the Table

Regulations explaining the various col-umns of the 172.101 Table are found at 49 CFR 172.101, immediately in front of the table itself.

There are also specific rules regarding selection, use, and modifications of Proper Shipping Names found at 49 CFR 172.101(c).

The Three Rules for Selecting a Proper Shipping Name

There are three basic rules for selecting a Proper Shipping Name:

1. Select the name from Column 2 of the 172.101 Table.

• Use names in Roman type (not italics), and

• Use exactly as shown (no modifications except as explicitly allowed).

2. Be accurate (hazards associated with the name chosen must match the hazards of the material).

3. Be specific. There is a preferred order of specificity when selecting a PSN.

Rule #1: Select the Name from Column 2 of the 172.101 Table

Roman vs. Italic Type

The first rule in selecting Proper Ship-ping Names is that the shipper must select the name from Column 2 of the 172.101 Table. The shipper must select and use names that are in “Roman type,” meaning that they are not writ-ten in italics.

For example, if you were shipping “ether” and looked that name up in the 172.101 Table, you would see that it is in italics, so you could not use that name to describe the shipment. Instead, the Table tells you to “see Diethyl ether,” a name that is in Roman type.

Roman vs. Roman Type

Sometimes, a name that appears in Roman type on the 172.101 Table is followed by the word “see” or “or” and then another Proper Shipping Name that is also in Roman type. In these cases, either name may be used, since both are in Roman type.



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Selecting a Proper Shipping Name, continued

For example, when you look up “Ethyl ether” in the 172.101 Table, the name is in Roman type, but it also says to “see Diethyl ether.” Since both names are in Roman type, both names are acceptable as Proper Ship-ping Names.

Similarly, the name “Carbon dioxide, solid” is followed by the words “or Dry ice,” indicating that either name would be accept-able to use.

Additional Italic Words

In some cases, a Proper Shipping Name consists of words in Roman type that are fol-lowed by words in italics. In these cases, the words in italics are optional extra words that can be used if the shipper wants to use them, but they are not a required part of the Proper Shipping Name.

For example, if you were shipping adhe-sives and looked your material up in the 172.101 Table, you would find the entry “Adhesives, containing a flammable liquid.” When describing the material on shipping papers and package markings, you could use either “Adhesives” or “Adhesives containing a flammable liquid” as the Proper Shipping Name.

Alterations Are Generally Prohibited

You may not make alterations, additions, or deletions to a Proper Shipping Name except as explicitly allowed by 49 CFR 172.101(c). For example, if you are using the Proper Ship-ping Name “Batteries, wet, filled with acid,” you may not abbreviate it as “Batteries, acid” and you may not extend it to “Batteries, from Fred’s Oldsmobile, wet, filled with acid, but not holding a charge.”

NOTE: People sometimes make the mistake of using a chemical name they have found in Appendix A of 49 CFR 172.101, or they find a name in other publications, such as inter-national rules or emergency response guide-lines. Remember, if a name does not appear in Column 2 of the 172.101 Table, or if it only appears in italics, then you may not use that name as a Proper Shipping Name!

Rule #2: Be Accurate

The shipper must pick a name that describes what the material actually is. This means that the name that is selected for the material must match (as applicable):

• The description of the material (e.g., pes-ticide, paint, alcohol, acetone, or corro-sive liquid).

• The hazard class.

• The packing group.

• The hazard zone.

• Any subsidiary hazard(s).

For example, the shipping name “Paint” appears in five separate entries on the 172.101 Table—three entries for Class 3, Packing Groups I, II, and III, and two entries for Class 8, Packing Groups II and III. If a shipper wanted to ship paint that was not flammable or corro-sive but was instead poisonous (Division 6.1), then the shipper would not be allowed to call the material paint when it was shipped and would need to choose a different shipping name from the 172.101 Table that accurately described the material.



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Rule #3: Be Specific

In many cases, there may be more than one “accurate” name for a particular material. The DOT, however, also requires the shipper to choose the most specific name available on the 172.101 Table. The DOT’s order of specific-ity is as follows:

1. If shipping an individual chemical, look for the technical name (e.g., “Kerosene,” “Xylenes,” or “Ethanol”).

2. If the technical name is not listed, or if shipping a mixture of similar chemicals, look for the chemical group or family name (e.g., “Alcohols, n.o.s.,” or “Esters, n.o.s.”).

3. If the material can’t be described as above, look for a specific end use name that describes what the stuff is or does (e.g., “Adhesives,” “Fuel oil,” or “Paint”).

4. If the material can’t be described by a specific end use name, then look for a generic end use name (e.g., “Medicine, solid, toxic, n.o.s.,” “Pesticides, liquid, toxic, flammable, n.o.s.,” or “Refrigerant gases, n.o.s.”).

5. If there is no better name, then the hazard class name should be used (e.g., “Flam-mable liquid, n.o.s.” or “Corrosive liq-uids, toxic, n.o.s.”).

If the Proper Shipping Name selected for a material is a generic end use name or a hazard class name, this name will be considered a “generic” name for DOT shipping purposes. In most cases, generic shipping names must be supplemented with the technical names of the chemicals causing the hazards of the material when they are used on package markings and shipping papers.

NOTE: The abbreviation “n.o.s.” stands for “not otherwise specified.” Typically, Proper Shipping Names that end in “n.o.s.” are generic names, however, this is not always the case under DOT’s hazardous materials regu-lations (e.g., “Alcohols, n.o.s.” is not a generic name). You should always verify whether or not a particular Proper Shipping Name is considered to be a generic name by checking Column 1 of the 172.101 Table to see if there is a “G” in the column for that entry.

Other Factors to Consider

UN Identification Number

When you pick the shipping name, you’ll also be getting the UN identification number from Column 4 of the 172.101 Table. This ID number provides a cross-reference to specific instructions on what to do in response to spills or fires involving the material. These instruc-tions are all found in the DOT’s “Emergency Response Guidebook,” or “ERG book.”

When you’re choosing a name, take a look at what emergency response actions the UN ID number sends you to in the Emergency Response Guidebook. Are the response actions it describes appropriate for your specific mate-rial? If not, then you might consider finding a better name for your material, which references the correct emergency response measures.

Packaging Authorization

References to authorized packaging per shipping name are given in Column 8 of the 172.101 Table. In some cases, reading the spe-cific packaging authorization will shed addi-tional light on what type of material the entry



Notes:

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in the table was meant for. Depending on the packaging authorization, it may become apparent that the packaging described is not appropriate for your material. This may be an indication that a particular 172.101 Table entry isn’t the best one. Conversely, the description found in the packaging authorization may confirm your decision to use that Proper Ship-ping Name.

Special Provisions

Codes referring to applicable special pro-visions are found in Column 7 of the 172.101 Table. To locate special provisions, identify any code numbers in Column 7, and then look them up in 49 CFR 172.102.

In some cases, special provisions may affect how a material is classified, named, described, or packaged. As with UN identifi-cation numbers, emergency response proce-dures, and packaging authorizations, special provisions may confirm that the 172.101 Table entry is appropriate for your material, or may indicate that it’s not.

Proper Shipping Names for Special Class 9 Materials

If you are shipping a material that meets the definition of a hazardous waste, hazardous substance, marine pollutant, or elevated tem-perature material AND this material has been assigned to Class 9, then there are a few special Proper Shipping Names available for use.

1. Hazardous waste

– Hazardous waste, liquid, n.o.s.

– Hazardous waste, solid, n.o.s.


– Environmentally hazardous substance, liquid, n.o.s.

– Environmentally hazardous substance, solid, n.o.s.

– Other regulated substances, liquid, n.o.s.

– Other regulated substances, solid, n.o.s.

NOTE: The Proper Shipping Name “Other reg-ulated substances” CANNOT be used for haz-ardous substances if the material also meets the definition of a hazardous waste.

3. Marine pollutant

– Environmentally hazardous substance, liquid, n.o.s.

– Environmentally hazardous substance, solid, n.o.s.


– Elevated temperature liquid, n.o.s.

– Elevated temperature solid, n.o.s.



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MODIFYING PROPER SHIPPING NAMES49 CFR 172.101(c)

Changes You May Make

The following modifications are allowed to be made to Proper Shipping Names:

• Upper- or lowercase letters are equally acceptable.

• Singular or plural are equally acceptable (e.g., “flammable liquid, n.o.s.” is inter-changeable with “flammable liquids, n.o.s.”).

• Words may be spelled in the same man-ner as they appear in the ICAO Technical Instructions or the IMDG Code—HOW-EVER “inflammable” may not be used in place of “flammable.”

• Punctuation is optional (“n.o.s.” or “nos”).

• Sequence of qualifying words is option-al —except for “hazardous waste liquid or solid, n.o.s.” For example, “copper based pesticides, liquid, toxic” may be written as “copper based pesticides, tox-ic, liquid.”

NOTE: The sequence shown in the 172.101 Table is preferred.

• “N.o.i.” (not otherwise indicated) or “n.o.i.b.n.” (not otherwise indicated by name) are interchangeable with “n.o.s.”

• When concentration ranges are included as part of a Proper Shipping Name, the actual concentration may be used in place of the range.

• Use of the prefix “mono” is optional in any shipping name, when appropriate.

• The word “liquid” or “solid” may be added to a Proper Shipping Name when a hazardous material specifically listed by name could be either a liquid or a solid.

• “Poison,” “poisonous,” and “toxic” are interchangeable for domestic US shipments.

NOTE: International regulations require “toxic.”

Changes You Must Make

The following modifications must be made (when appropriate) to Proper Ship-ping Names:

• “Hazardous wastes” as defined in 49 CFR 171.8 must have the word “waste” added in front of the name (e.g., “waste ace-tone,” “waste flammable liquids n.o.s.” etc.), unless the word “waste” is already a part of the name (e.g., “hazardous waste, liquid, n.o.s.”). [49 CFR 172.101(c)(9)]



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Modifying Proper Shipping Names, continued

• “Samples” being sent for analysis for which the hazard class is uncertain and must be determined by testing must have the word “Sample” as part of the Proper Shipping Name (or the word “Sample” must appear in association with the basic description on the shipping paper) unless the word “sample” is already a part of the Proper Shipping Name (e.g., “gas sam-ple, non-pressurized, flammable, n.o.s.”). [49 CFR 172.101(c)(11)]

• “Mixtures” or “solutions” as defined in 49 CFR 171.8 must have the word “mix-ture” or “solution” added, if the condi-tions in 49 CFR 172.101(c)(10) are met.



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NAMING MIXTURES AND SOLUTIONS49 CFR 172.101(c)(10)

Definitions [49 CFR 171.8]

Mixture: means a material composed of more than one chemical compound or element.

Solution: means any homogeneous liquid mixture of two or more chemical com-pounds or elements that will not undergo any segregation under conditions normal to transportation.

Single Hazardous Material With Nonhazardous Material(s)

With limited exceptions, a mixture or a solution comprised of a single hazardous material and one or more materials that do not contribute to its hazard(s) must be described using the Proper Shipping Name of the haz-ardous material, followed by the qualifying word “mixture” or “solution” as appropriate.

NOTE: There are actually multiple entries on the 172.101 Table that can be used to describe a mixture or solution made up of a single haz-ardous material and nonhazardous materi-als (e.g., sodium hydroxide solution; calcium hypochlorite mixture, dry). Therefore, it is possible that the mixture or solution you want to ship may be specifically identified on the Table, in which case, it would be the most spe-cific, accurate name for the material and would need to be used for the shipment.

Exceptions

A mixture or solution should NOT be described by adding the word “mixture” or “solution” to the Proper Shipping Name of the hazardous material IF:

• The packaging specified in Column 8 of the 172.101 Table is inappropriate for the physical state of the material;

• The hazard class, packing group, or sub-sidiary hazard class(es) of the mixture or solution differ from that specified in the 172.101 Table for the hazardous mate-rial entry;

• The measures to take in case of an emer-gency would be significantly different for the mixture or solution than what would otherwise be specified;

• The material is identified by a special pro-vision in Column 7 of the 172.101 Table as being poisonous by inhalation, but the mixture or solution is either no longer poisonous by inhalation or it falls within a different hazard zone than that specified in the special provision;

• The shipping description indicates that the Proper Shipping Name ONLY applies to the pure or technically pure grade of the chemical; or

• The material could be appropriately described by a name that indicates its intended application (“end use”).



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Naming Mixtures and Solutions, continued

Example 1

A solution contains 75% acetone and a (nonhazardous) solvent that does not contrib-ute to the hazards.

• The solution is determined to be a Haz-ard Class 3, Packing Group II. This is the same as pure acetone.

• Since neither hazard class nor packing group has changed, it would be named “Acetone solution.”

Example 2

A solution contains 75% acetone and a (nonhazardous) solvent that does not contrib-ute to the hazards.

• The solution is determined to be a Hazard Class 3, Packing Group III. This differs from pure acetone.

• Since the packing group has changed, it could NOT be named “Acetone solution.”

– Find another name from the 172.101 Table for the material, based on the ma-terial’s properties and intended use.

Two or More Hazardous Materials

A mixture or solution comprised of two or more hazardous materials must be described using the Proper Shipping Name from the 172.101 Table that most appropriately describes the material (i.e., it must accurately describe the material, and it must be the most specific name available).

• If the name of the mixture or solution is specifically named in the 172.101 Table, then that name must be assigned to the material (e.g., “hydrofluoric acid and sul-furic acid mixtures” or “sodium methyl-ate solutions in alcohol”).

• If a technical or chemical group or family name is not available, then the most accu-rate and specific end use name or hazard class name must be assigned to the mate-rial (e.g., “pesticides, liquid, toxic, n.o.s.” or “flammable liquids, n.o.s.”).



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“IMPROPER SHIPPING NAMES”Avoiding Common Mistakes and Pitfalls

Following is a list of tips for avoiding some of the more common mistakes made in identifying and naming hazardous materials for shipment.

Use the Right Rules

1. Names for US surface shipments must be taken from the table at 49 CFR 172.101.

In most instances, ICAO (IATA) rules may be used for shipment by air [49 CFR 171.24], the IMDG Code may be used if all or part of the transportation is by vessel [49 CFR 171.25], and Canadian TDG rules may be used for shipments originating in Canada. [49 CFR 171.12]

Secondary publications such as the Emergency Response Guidebook should NEVER be used for selecting proper shipping descriptions. Such publications may contain a mixture of international and intranational descriptions and may be considerably out of date.

Match Hazard Class

2. Never ship a hazardous material using a name that is not listed with the hazard class actually exhibited by the material shipped (see 49 CFR 173.2a for multiple hazard materials). The only materials for which you need not determine the actual hazard prior to selecting a proper ship-ping description are materials listed in 49 CFR 172.101 with a “+” in Column 1. [49 CFR 172.101(b)(1)] This notation fixes the Proper Shipping Name and hazard class, regardless of the hazard presented.

Also, specific materials listed as “Class 9,” and which present no higher hazard, are always Class 9. [49 CFR 173.140]

NOTE: The DOT stated clearly in the Federal Register that “The HMT [172.101 Hazardous Materials Table] is not a list of chemicals; rather it is a list of proper shipping names. The offeror must determine the appropri-ate proper shipping name for a material by using a set of guidelines, one of which is knowledge of the material’s hazard class or classes.” [57 FR 52931, November 5, 1992]

Mixtures

3. Never identify a mixture of two or more hazardous materials by the name of one of them, whether or not the word “mix-ture” or “solution” is added. The Proper Shipping Name must always identify all hazardous constituents. Often, a generic or “n.o.s.” Proper Shipping Name must be used for such mixtures. The words “mixture” and “solution” are used to identify mixtures of a hazardous material with other nonhazardous materials. [49 CFR 172.101(c)(10)]

NOTE: “Solution” identifies any homoge-neous liquid mixture that will not separate during transportation. “Mixture” means any other mixture. [49 CFR 171.8]



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“Improper Shipping Names”, continued

“Waste” Means...

4. The words “ hazardous waste,” or just “waste,” in a DOT Proper Shipping Name indicate that the US EPA under RCRA requires the material to be shipped on a hazardous waste manifest. Wastes that are not required to be shipped on a hazardous waste manifest by RCRA rules (State-regulated “hazardous waste,” waste samples shipped for analysis, asbestos waste, PCB waste, etc.) may not be called “waste.” [49 CFR 172.101(c)(9)] NOTE ESPECIALLY: Even though PCBs must be shipped using a manifest, this is required under TSCA, not RCRA. There-fore, PCBs should not be shipped using the word “waste.”

Re-shipments

5. It may never be assumed that a material may be shipped out under the same de-scription by which it was received. Many situations may make that description incorrect. For example:

– The original shipment may have been made under a special permit to which you must become a party.

– Changes in packaging or quantity per package may alter the requirements or exclusions applicable to the material.

– The material may have somehow been changed (by contamination, deterio-ration, etc.) and no longer exhibits the same hazard or no longer meets the original description.

– The material may now be a “waste” as regulatorily defined and be subject to additional requirements.

– The original shipping description may simply have been incorrect.

Being “Safe”

6. Never assume that a material poses the worst possible hazard and ship it under a “protective” Proper Shipping Name. This is a bad practice for several reasons:

– It is bad public relations to tell all who observe (e.g., neighbors, agencies, employees) that you are shipping large quantities of extraordinarily hazardous materials when you are, in fact, not.

– It may be dangerous. Emergency re-sponders to an incident involving such shipments may take unnecessary or incorrect precautions, exacerbating the incident.

– Last, but not least, it is illegal to ship nonhazardous materials under a DOT hazard class (e.g., 49 CFR 172.202(e)) or to ship hazardous materials under a different hazard than that actually presented. [49 CFR 172.101(c)(12)]

“RQ” Shipments

7. “Hazardous substances” in packages less than their reportable quantity (RQ) are not hazardous substances by US DOT defini-tion. [49 CFR 171.8] If they do not exhibit any other DOT hazard, they are not DOT hazardous materials and may not be shipped as such. If they do exhibit anoth-er DOT hazard, they should be shipped under that hazard but do not require “RQ” communications.



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“Improper Shipping Names”, continued

Naming Nonhazardous Material

8. Do not name a nonhazardous material a DOT hazardous material “just in case.” Materials that do not meet the definition of a DOT hazardous material should not be identified on a shipping paper, marked, labeled, or placarded as a DOT hazardous material.

Confusion may occur when shipping State-specific wastes or certain chemical prod-ucts that do not meet the definition of a US DOT hazardous material. Typically, the best way to deal with such situations is to use the best generic description possible without making it look like a US DOT description. Some possi-ble descriptions for a State-regulated material such as waste oil might be:

– Used crankcase oil,

– Dirty oil,

– Oil waste from truck garage, or even

– State-regulated waste.

A nonhazardous chemical product might be described by what it actually is. For example:

– Fragrance oil,

– Flavoring extract,

– Glue, or

– Wax.



Certification (DOT)

Step #3—Packaging



CONTENTS

Step 3—Packaging .............................................................................................................103

Packaging Definitions ........................................................................................................105

The Packaging Columns ...................................................................................................110

Basic Packaging Concerns ................................................................................................ 111

General Packaging Requirements ....................................................................................112

Authorized Packaging .......................................................................................................115

Packaging Identification Codes for Non-bulk UN Specification Packagings ...........118

UN Specification Markings for Non-Bulk Packagings .................................................122

Marking of Non-bulk Packagings ...................................................................................125

Packaging Identification Codes for IBCs ........................................................................126

UN Specification Markings for IBCs ...............................................................................128

Marking of Intermediate Bulk Containers .....................................................................129

Additional IBC Markings ..................................................................................................130

Determining Authorized Packagings ..............................................................................132

Determining Authorized Non-bulk Packaging Example .............................................133

Determining Authorized Bulk Packaging Example ......................................................137

Determining Authorized Exception Packaging Example ............................................141

Limited Quantity and Consumer Commodity Packages .............................................144

Special Provisions ..............................................................................................................147

Reuse of Hazmat Packagings ...........................................................................................149

Dealing With “Empties” ....................................................................................................152

A Package Is “DOT-Empty” If... .......................................................................................154

Special Issues in Packaging ..............................................................................................155

Step #3—Packaging


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STEP 3—PACKAGINGWhat Can We Ship It In?



172.101, Column 7

Special provision codes

172.101, Column 8

DOT’s packaging authoriza-tions

172.101, Column 9

Quantity limitations

172.101(h) Rules for Column 7

172.101(i) Rules for Column 8

172.102 Special provisions—meanings and requirements of codes found in Column 7

173, Sub-part B

General requirements for all packages and packagings

173, Sub-parts C

through I

Packaging authorizations and exceptions for hazardous mate-rials

178 Packaging specifications and standards for non-bulk and intermediate bulk packagings (IBCs), cylinders, portable tanks and cargo tanks

179 Specifications for tank cars (rail tankers)

180 Continuing qualifications and maintenance of IBCs, cargo tanks, tank cars, portable tanks, and cylinders


172, Sub-part H

Rules requiring detailed train-ing for anyone “directly affect-ing” the safety of hazardous materials transportation


The third step in the hazmat shipping process is to properly package the hazardous material for shipment. As part of this step, the shipper must determine:

• The type of packaging that is permitted to be used.

• The standards or specifications the pack-aging has to meet.

• The rules for filling and closing the packaging.

• The rules for placing different kinds of hazardous materials into the same packaging.

• Any special rules that apply to the packaging.

The whole point of packaging is to make sure that the hazardous materials stay inside their packagings under “conditions normally incident to transportation.” These conditions include things like changes in temperature or elevation, rough handling, and vibration caused by rough roads or curves.



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Step 3—Packaging, continued

Three Requirements for Packaging

In selecting and preparing packaging, you need to be sure that the packaging:

1. Meets all the general requirements that apply to the package.

2. Is authorized.

3. Meets any special provisions that may apply.


To ensure the selection of the correct pack-aging for your material and its proper use, you must know:

• The hazard(s) of your material (Step 1).

• The correct Proper Shipping Name from the 172.101 Table (Step 2).

• Compatibility issues for your material (e.g., will it corrode steel or aluminum; will it permeate, soften, or weaken certain types of plastic?).

• The physical properties of the material.

• The kind of packaging you would like to use.

Step #3—Packaging


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PACKAGING DEFINITIONS49 CFR 171.8

The following key terms are important in selecting the right packaging for shipping hazardous materials. The definitions of these terms are found at 49 CFR 171.8.

General Definitions

Packaging: A receptacle and any other com-ponents needed for the receptacle to perform its containment function while meeting required DOT specifications. (For example, a UN-type steel drum, a UN fiberboard box with glass bottles and sty-rofoam cushioning, or a DOT specification cargo tank).

Package: The assembled packaging plus its contents.

Non-bulk packaging: A packaging which has:

• A maximum capacity of 450 L (119 gal-lons) or less as a receptacle for a liquid;

• A maximum net mass of 400 kg (882 pounds) or less and a maximum capacity of 450 L (119 gallons) or less as a receptacle for a solid;

• A water capacity of 454 kg (1,000 pounds) or less as a receptacle for a gas as defined in 49 CFR 173.115 of this subchapter; or

• Regardless of the definition of bulk packaging, a maximum net mass of 400 kg (882 pounds) or less for a bag or

a box conforming to the applicable re-quirements for specification packagings, including the maximum net mass limita-tions, provided in 49 CFR 178, Subpart L.

NOTE: Examples of non-bulk packagings include drums, pails, jerricans, and boxes.

Bulk packaging: A packaging, other than a vessel or a barge, including a transport vehicle or freight container, in which hazardous materials are loaded with no intermediate form of containment. A Large Packaging in which hazardous materials are loaded with an intermediate form of containment, such as one or more articles or inner packagings, is also a bulk packag-ing. Additionally, a bulk packaging has:

• A maximum capacity greater than 450 L (119 gallons) as a receptacle for a liquid;

• A maximum net mass greater than 400 kg (882 pounds) and a maximum capacity greater than 450 L (119 gallons) as a recep-tacle for a solid; or

• A water capacity greater than 454 kg (1,000 pounds) as a receptacle for a gas as defined at 49 CFR 173.115 of this subchapter.

NOTE: Examples of bulk packagings include intermediate bulk containers (IBCs), cargo tank trucks, rail tank cars, and portable tanks.


Packaging Definitions, continued


Page 106

Types of Packagings

Combination packaging: Consists of one or more inner packagings secured in a non-bulk outer packaging. It does not include composite packaging.

For example:

Single packaging: Non-bulk packaging other than a combination packaging. (Single packaging includes composite packaging.)

Composite packaging: Consists of an outer packaging and an inner receptacle, so con-structed that the inner receptacle and the outer packaging form an integral packag-ing. Once assembled it remains thereafter an integrated single unit; it is filled, stored, shipped, and emptied as such.

NOTE: Composite packagings can be non-bulk or bulk packagings.

Specific Devices

Drum: A flat-ended or convex-ended cylindri-cal packaging made of metal, fiberboard, plastic, plywood, or other suitable mate-rials. This definition also includes pack-agings of other shapes made of metal or plastic (e.g., round taper-necked packag-ings or pail-shaped packagings) but does not include cylinders, jerricans, wooden barrels, or bulk packagings.

Step #3—Packaging


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Jerrican: A metal or plastic packaging of rectangular or polygonal cross-section.

Intermediate bulk container (IBC): A rigid or flexible portable packaging, other than a cylinder or portable tank, that is designed for mechanical handling. IBCs are limited to a maximum capacity of 3,000 liters (~793 gallons).

Cargo tank: A bulk packaging that is a tank intended primarily for the carriage of liquids or gases and... is permanently attached to or forms a part of a motor vehicle, or is not permanently attached to a motor vehicle but which, by reason of its size, construction, or attachment to a motor vehicle, is loaded or unloaded

without being removed from the motor vehicle, and is not fabricated under a specification for cylinders, intermediate bulk containers, multi-unit tank car tanks, portable tanks, or tank cars.

Portable tank: A bulk packaging... designed primarily to be loaded onto, or on, or temporarily attached to a transport vehicle or ship and equipped with skids, mount-ings, or accessories to facilitate handling of the tank by mechanical means. It does not include a cargo tank, tank car, multi-unit tank car tank, or trailer carrying 3AX, 3AAX, or 3T cylinders.



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Intermodal portable tank or IM portable tank: A specific class of portable tanks designed primarily for international intermodal use.

Rail car: A car designed to carry freight or non-passenger personnel by rail and includes a box car, flat car, gondola car, hopper car, tank car, and occupied caboose.

Large packaging: A packaging that—

(1) Consists of an outer packaging that contains articles or inner packagings;

(2) Is designated for mechanical handling;

(3) Exceeds 400 kg net mass or 450 L (118.9 gallons) capacity;

(4) Has a volume of not more than 3 m3

(see 49 CFR 178.801(i)); and

(5) Conforms to the requirements for the construction, testing, and marking of Large Packagings as specified in 49 CFR 178, Subparts P and Q.

Freight container: A reusable container having a volume of 64 cubic feet or more, designed and constructed to permit being lifted with its contents intact and intended primarily for containment of packages (in unit form) during transportation.

Step #3—Packaging


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Special Packaging Issues

Overpack: An enclosure that is used by a single consignor to provide protection or convenience in handling of a package or to consolidate two or more packages. It does not include a transport vehicle, freight container, or aircraft unit load device. Examples of overpacks are one or more packages:

• Placed or stacked onto a load board such as a pallet and secured by strapping, shrink-wrapping, stretch-wrapping, or other suitable means.

• Placed in a protective packaging, such as a box or crate.

Salvage packaging: A special packaging conforming to 49 CFR 173.3 into which damaged, defective, leaking, or non- conforming hazardous materials packages, or hazardous materials that have spilled or leaked are placed for purposes of transport for recovery or disposal.



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THE PACKAGING COLUMNSThe 172.101 Table

Column 7—Special Provisions

Specifies additional conditions and restric-tions or provides additional options and relief.

• Always check Column 7 for applicable special provisions!

• To find out what the codes require, go to 49 CFR 172.102.

Column 8—Authorizations

• Identifies authorized packaging: bulk, non-bulk, and “exception” packaging.

• To find out what type of packaging is authorized and what standards it must meet, go to the section number within Part 173 indicated in Column 8 (49 CFR 173.***). For example, if it says “150,” go to 49 CFR 173.150; if it says “202,” go to 49 CFR 173.202.

Column 9—Air/Rail Quantity Limitations

• Specifies the quantity limits per package.

• Doesn’t apply if going by highway or vessel.

Step #3—Packaging


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BASIC PACKAGING CONCERNS

When selecting and preparing packages of hazardous materials for shipment, the shipper must make certain that:

• The packaging meets all of the general packaging requirements.

• Only authorized packagings are used.

• All applicable special provisions are met.

General Packaging Requirements [49 CFR 173, Subpart B]

The offeror of hazardous materials must ensure that the packaging and completed package comply with the “general require-ments” that apply to all packages of hazardous materials. These rules apply regardless of any other provision of packaging regulations.

For the most part, the general packaging requirements are concerned with making cer-tain that hazardous material stays inside the package during the cycle of transportation.

Authorized Packaging

All packagings used to ship hazardous materials must be authorized for that material.

Packaging authorizations are found at 49 CFR 173. To find the specific section in Part 173 for packaging a particular hazard-ous material, look in Columns 8A–8C of the 172.101 Table.

Packagings are not authorized unless they meet applicable standards or specifications. The manufacturing, testing, and maintenance requirements for most packagings are found at 49 CFR 178, 179, and 180.

Special Provisions

Column 7 of the 172.101 Table contains codes referring to special provisions found at 49 CFR 172.102.

For some materials, a special provision might impose conditions or restrictions on the packaging. In other cases, a special provision may provide additional packaging options.

In addition to packaging requirements, special provisions may relate to definitions, classification, marking, labeling, mode of transportation prohibitions, or they may even provide relief from some of the rules.

NOTE: Always check applicable special provi-sions as early as possible in the preparation of your hazmat for transportation.



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GENERAL PACKAGING REQUIREMENTS49 CFR 173, Subpart B

The shipper must always make sure that the packaging complies with the general pack-aging requirements at 49 CFR 173, Subpart B. These requirements apply in addition to any required specifications for the authorized packaging.

General Performance Standards [49 CFR 173.24(b)]

Every package used to ship hazardous materials must be designed, constructed, main-tained, filled, and closed so that, under “condi-tions normally incident to transportation:”

• There will be no releases of hazmat to the environment.

• The effectiveness of the package will not be substantially reduced (e.g., impact re-sistance, strength, and packaging compat-ibility will be maintained).

• There will be no mixture of gases that could, through an increase of heat or pressure, reduce the effectiveness of the packaging.

• No hazmat will be present on the outside of the package during transport.

Essentially, the hazardous materials need to stay inside the package during shipment.

Compatibility [49 CFR 173.24(e)]

When filling packagings with hazardous materials, the shipper must make certain that:

• The packaging (including any absor-bent or intermediate packagings that are used) is compatible with the hazardous material.

• Different materials placed within the same outer packaging are compatible with one another.

NOTE: Even if a packaging is explicitly “autho-rized” by DOT regulations for use in shipping a particular hazardous material, it is still the responsibility of the shipper to ensure that the hazmat is actually compatible with the pack-aging that is being used to ship it.

“Meltable” Solids

If a “solid” hazardous material could potentially melt at temperatures likely to be experienced during transport, the packaging used for its shipment must be capable of con-taining the hazmat in its liquid form.

Step #3—Packaging


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General Packaging Requirements, continued

Assembling and Closing Packages [49 CFR 173.22(a)(4) and 173.24(f)]

Packagings used to ship hazardous mate-rials must be closed so that, under conditions normally incident to transportation, there will be no release to the environment. Closures must be leakproof and should be secured against loosening during transport (when shipping by air, stoppers, corks, and similar “friction closures” must be held in place by positive means).

UN specification packagings MUST be assembled and closed securely according to all the manufacturer’s instructions. If the package is not assembled and closed exactly the way the manufacturer says to and the package fails during transport, then the shipper will be the person held at fault.

If the manufacturer’s packaging assem-bly instructions are not printed or embossed on the packaging itself, the shipper must keep a copy of those instructions in their files and have them available for inspection.

Venting Packages [49 CFR 173.24(g)]

Venting of hazmat packagings in order to reduce internal pressure is only allowed if all of the following conditions are met:

• The material is NOT being shipped by air (certain exceptions for cryogenic liquids and dry ice).

• The gases are NOT poisonous, likely to create a flammable mixture with air, or be

an asphyxiant under normal conditions of transport.

• The packaging is designed to prevent an unintentional release of hazmat from the packaging.

• If the hazmat is being shipped in a bulk packaging OTHER THAN an IBC, the packaging is specifically authorized to be vented.

• If the hazmat is being shipped in an IBC, the IBC has passed specific tests designed to ensure that there will be no release of a hazardous material from the packaging as a result of venting the material.

Filling Requirements [49 CFR 173.24(h), 173.24a(d) and 173.24b(a), and 173.35(d)]

Shippers must follow two basic rules when filling packagings with hazardous materials:

1. Packagings should never be filled beyond their rated capacities even if more materi-al could fit into them.

2. When filling packagings and receptacles with liquids, sufficient “ullage” (space) must be left to allow for expansion of the hazardous materials during transport so that neither leakage nor permanent distortion of the packaging or receptacle will occur. Shippers must adhere to the following rules:

– When filling a non-bulk packaging, leave enough room for expansion so that it won’t be full at 55°C (131°F).



Notes:

Page 114

General Packaging Requirements, continued

– When filling IBCs, leave enough ullage to ensure that the IBC will not be filled to more than 98% of its water capacity at 122°F.

– When filling most bulk packagings, there must be 1–5% free space at tem-peratures between 105°F and 115°F, depending on what is being shipped and whether the package is insulated.

NOTE: Hazardous materials may NOT be loaded into the dome of a tank car. If the dome of the tank car does not provide sufficient ullage, vacant space must be left in the shell to provide the required outage.

Additional General Requirements for Combination Packagings [49 CFR 173.24a(a) and (c)]

In addition to the general requirements that apply to all packagings, there are several important requirements that apply specifically to non-bulk packagings that must also be fol-lowed, including:

• When shipping liquids in combination packagings, the inner packagings must be packed in the outer packaging with their closures upright.

• Outer packaging should not create fric-tion during transport that could gener-ate sufficient heat to dangerously alter the chemical stability of the contents of the package.

• Inner packagings must be packed, se-cured, and cushioned to prevent breakage or leakage.

• Cushioning material used for inner packagings must not be capable of re-acting dangerously with the contents of the inner packagings or having its pro-tective properties weakened in the event of leakage.

• Nails, staples, etc. should not protrude into the interior of outer packagings in a way that could damage inner packagings or receptacles.

• Non-bulk packages must be capable of withstanding a vibration test procedure without rupture or leakage.

• When shipping corrosives with other haz-ardous materials, the inner packagings with corrosives must be overpacked in a second inner packaging before they are added to the outer packaging.

• With limited exceptions, Division 6.2 infectious substances cannot be placed in a combination packaging with other hazardous materials.

Additional General Requirements for IBCs [49 CFR 173.24b(e)]

No packages or freight may be placed on an IBC that was not designed and tested to be stacked upon. If using IBCs that have been designed and tested to be stacked upon, then the weight placed on the IBC may not exceed the maximum allowable stacking weight that is marked on the IBC.

Step #3—Packaging


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AUTHORIZED PACKAGINGPackaging Specifications and Standards

Most types of “fully regulated” non-bulk and bulk packagings must meet specifications and standards identified at 49 CFR 178 or 179.

• In general, “exception” packaging (identi-fied by Column 8A of the 172.101 Table) is not required to meet DOT specifications.

• In some cases, for low-hazard materials, the DOT authorizes “non-specification” non-bulk or bulk packaging.

Any packaging meeting a DOT standard identified at 49 CFR 178 or 179 is considered to be a “specification” packaging. However, there are essentially two different types of specifica-tions packagings:

1. Manufacturing specification packaging

2. Performance-oriented packagings.

“Manufacturing Specification” Packaging

Certain types of packagings must be built to meet specific design and construc-tion requirements. Packagings that must meet manufacturing specifications include:

• Cylinders for compressed gases.

• Cargo tanks.

• Tank cars.

• Portable tanks.

A manufacturing specification might include specific instructions for:

• Material of construction.

• Thickness of material of construction.

• Design and construction of seams (i.e., weld types and strengths).

• Size, design, and type of closures.

• Maximum capacity.

“Performance-oriented” Packaging

Many types of packaging must meet min-imum design and construction requirements, and then must be tested by the manufacturer to demonstrate that the package design type is capable of withstanding specific conditions. Performance-oriented packagings can be man-ufactured to various strengths. The level of testing a packaging must be capable of passing depends largely on the type and degree of haz-ards of the material that will be shipped in it.

Packagings that must meet performance-oriented standards include:

• Drums (including pails and cans).

• Barrels.

• Boxes.



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Page 116

Authorized Packaging, continued

• Jerricans.

• Bags.

• Intermediate bulk containers (IBCs).

Typical tests that performance-oriented packaging must pass include:

• Drop test.

• Stacking test.

• Hydrostatic pressure test.

• Leakproofness test.

• Vibration standard.

Manufacturer’s Notification [49 CFR 178.2(c)]

Packaging manufacturers must provide written notification to purchasers of their pack-agings. This information must:

• Identify all requirements not met at the time of transfer (i.e., what portions of the specification or standard the packag-ing does not meet as given to the pur-chaser); and

• Provide closure instructions that must be followed to meet the manufacturer’s performance certification (i.e., what the purchaser has to do to complete the package properly so that it will meet the applicable specification or standard when it is filled and shipped).

Certification Markings

A manufacturer of specification packaging must mark each packaging with the appropri-ate certification marking. The marking is the certification that all requirements of the appli-cable packaging specification (i.e., manufac-turing specification or performance-oriented standard) have been met.

Markings for Manufacturing Specification Packagings

For manufacturing specification packag-ing, the certification marking identifies the type of packaging and the specification that the package was manufactured to. The mark-ing may provide other information such as packaging limitations, capacity, and re-inspec-tion and re-certification dates.

NOTE: On bulk packagings such as cargo tanks and rail cars, the manufacturer’s certifi-cation must be on a specification plate.

Markings for Performance-oriented Packagings

For performance-oriented packaging, the certification marking is the “UN specification marking.” The marking identifies the package design type and the level of testing the packag-ing has passed.

NOTE: Packagings with these markings are commonly referred to as “UN specification packagings.”

Step #3—Packaging


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Authorized Packaging, continued

Shipper’s Responsibilities for Specification Packagings [49 CFR 173.22]

The DOT’s hazmat regulations state that shippers are allowed to accept the manufac-turer’s specification markings as proof that the packaging meets all applicable standards.

Shippers are under no obligation to “retest” packagings to confirm that they are in fact capable of passing the tests performed by the manufacturer.

However, when preparing hazmat pack-ages, shippers are still required to:

• Meet all of DOT’s general packaging requirements.

• Follow the manufacturer’s written in-structions to assemble, fill, and close packages.

• Maintain copies of packaging assembly instructions and make them available for inspection (if the instructions are not printed on the packagings themselves).

NOTE: Failure to follow the packaging man-ufacturer’s assembly instructions means that the shipper does not have the same type of packaging that the manufacturer tested and certified, and the packaging certification is no longer valid. If the packaging fails as a result, it will be the fault of the shipper, not the man-ufacturer.



Page 118

PACKAGING IDENTIFICATION CODES FOR NON-BULK UN SPECIFICATION PACKAGINGS

The UN specification marking begins with the letters “UN” in a circle, followed by a packaging identification code that identifies the packaging type, material of construction, and category.

Packaging Type Is Indicated by the First Number in the Code (e.g., “1A2”) [49 CFR 178.502(a)(1)]

First Number in the UN Marking

Type of Packaging

1 Drum

2 Wooden Barrel

3 Jerrican

4 Box

5 Bag

6 Composite Packaging

7 Pressure Receptacle

Material of Construction Is Indicated by a Letter (e.g., “1A2”) [49 CFR 178.502(a)(2)]

Letter Material of Construction

A Steel

B Aluminum

C Natural Wood

D Plywood

F Reconstituted Wood

G Fiberboard

H Plastic

L Textile

M Multi-wall Paper

N Metal Other Than Steel or Aluminum

P Glass, Porcelain, or Stoneware

Step #3—Packaging


Notes:

Page 119

Packaging Identification Codes for Non-bulk UN Specification Packagings, continued

Packaging Category Is Indicated by the Second Number in the Code (e.g., “1A2”) [49 CFR 178.504–178.521]

Packaging Type Number Category

Plastic, steel, aluminum, and other metal drums and jerricans

1 Non-removable head (i.e., closed head) drum or jerrican

2 Removable head (i.e., open head) drum or jerrican

Wooden barrels 1 Bung type wooden barrel

2 Slack type wooden barrel (removable head)

Natural wood boxes 1 Ordinary box

2 Box with sift-proof walls

Plastic boxes 1 Expanded plastic box

2 Solid plastic box

Woven plastic, textile, and plastic film bags

1 Unlined or non-coated woven plastic or textile bag

2 Sift-proof woven plastic or textile bag

3 Water-resistant woven plastic or textile bag

4 Plastic film bags

Paper bags 1 Multi-wall paper bag

2 Multi-wall water-resistant paper bag

NOTE: The codes in the above table do NOT apply to composite packagings.

Examples of Identification Codes for Packagings OTHER THAN Composite Packagings

• 4G = box constructed of fiberboard

• 1A1 = steel drum with a non-re-movable head

• 3H2 = plastic jerrican with a re-movable head

• 4C2 = natural wood box with sift-proof walls

• 5M2 = multi-wall water-resistant paper bag



Notes:

Page 120


Identification Codes for Composite Packagings [49 CFR 178.522 and 178.523]

Because they are composed of two differ-ent materials, two letters are used to identify the materials of construction for composite packagings. The first letter indicates the mate-rials of construction of the inner packaging, while the second applies to the outer packag-ing, for example:

• 6HA = plastic receptacle (H) inside a steel (A) outer packaging

• 6PG = glass, porcelain or stoneware re-ceptacle (P) inside a fiberboard (G) outer packaging

NOTE: The number “6” indicates that the type of packaging is a composite packaging.

Composite packagings do not have “cate-gories” in the same manner as other non-bulk packagings. Instead, the second number in the code indicates the type of outer packaging. It is important to note, however, that the number does NOT correlate to the numbers that are used to indicate packaging types, as identi-fied at 49 CFR 178.502 (e.g., where 1 = drum, 2 = wooden barrel, etc.). Instead, the mean-ings of the numbers are explained at 49 CFR 178.522 and 178.523, and are listed in the fol-lowing table.

Step #3—Packaging


Notes:

Page 121


Code Category

6HA1 Plastic receptacle within a protective steel drum

6HA2 Plastic receptacle within a protective steel crate or box

6HB1 Plastic receptacle within a protective aluminum drum

6HB2 Plastic receptacle within a protective aluminum crate or box

6HC Plastic receptacle within a protective wooden box

6HD1 Plastic receptacle within a protective plywood drum

6HD2 Plastic receptacle within a protective plywood box

6HG1 Plastic receptacle within a protective fiber drum

6HG2 Plastic receptacle within a protective fiberboard box

6HH1 Plastic receptacle within a protective plastic drum

6HH2 Plastic receptacle within a protective plastic box

6PA1 Glass, porcelain or stoneware receptacles within a protective steel drum

6PA2 Glass, porcelain or stoneware receptacles within a protective steel crate or box

6PB1 Glass, porcelain or stoneware receptacles within a protective aluminum drum

6PB2 Glass, porcelain or stoneware receptacles within a protective aluminum crate or box

6PC Glass, porcelain or stoneware receptacles within a protective wooden box

6PD1 Glass, porcelain or stoneware receptacles within a protective plywood drum

6PD2 Glass, porcelain or stoneware receptacles within a protective wickerwork hamper

6PG1 Glass, porcelain or stoneware receptacles within a protective fiber drum

6PG2 Glass, porcelain or stoneware receptacles within a protective fiberboard box

6PH1 Glass, porcelain or stoneware receptacles within a protective expanded plastic packaging

6PH2 Glass, porcelain or stoneware receptacles within a protective solid plastic packaging



Notes:

Page 122

UN SPECIFICATION MARKINGS FOR NON-BULK PACKAGINGS49 CFR 178, Subpart L

Specification Packaging Markings

All UN specification packaging must be manufactured to general standards and then performance-tested for the kinds of articles or substances they are intended to contain. The packaging is then marked to indicate the stan-dard to which it was manufactured and tested.

The requirements for marking UN specifi-cation packagings can be found in 49 CFR 178, Subpart L. The marking is intended to be of assistance to packaging manufacturers, recon-ditioners, packaging users, carriers, and regu-latory authorities.

4G/Y25/S/19/USA/VL8241A1/Y1.4/150/19/USA/VL824/1.0mm/208

Format of UN Specification Markings [49 CFR 178.503(a)(1)–(11)]

The UN specification marking must include the following elements in the follow-ing order:

1. The letters “UN” shown inside of a circle that serves as the certification that the packaging was built and tested to meet specific, international standards for ship-ping specific materials.

2. An alphanumeric packaging identifica-tion code that indicates:

• The type of packaging (e.g., “1” for drum, “4” for box)

• The material of construction (e.g., “A” for steel, “G” for fiberboard)

• The category of packaging, when ap-propriate (e.g., “1A1” for closed head steel drum vs “1A2” for open head steel drum)

3. A letter designating the packing group(s) for which the packaging was built and tested:

• “X” for Packing Groups I, II, and III.

• “Y” for Packing Groups II and III.

• “Z” for Packing Group III only.

4. A number that indicates either the mass or the specific gravity the packaging de-sign type has been built and tested for.

• For packagings intended to contain sol-ids or inner packagings, the maximum gross mass (in kg) the packaging has been tested for must be shown.

Step #3—Packaging


Notes:

Page 123

UN Specification Markings for Non-Bulk Packagings, continued

• For packagings intended to contain liquids without inner packagings, the specific gravity must be shown. If the packaging has not been tested for specific gravities greater than 1.2, the number may be omitted.

5. The letter “S” or a number indicating the results of a hydrostatic pressure test.

• For packagings intended to contain solid materials or inner packagings, an “S” must be shown.

• For single and composite packagings intended to contain liquids, the hydro-static test pressure the packaging was tested to withstand, in kPa, round-ed down to the nearest 10 kPa must be shown.

6. The last two digits of the year during which the packaging was manufactured. “1H” and “3H” (plastic) packagings must also be marked with the month of manufacture in any appropriate manner, including away from the remainder of the markings.

7. The state (country) authorizing allocation of the mark.

8. The name and address or symbol of the manufacturer or the approval agency certifying compliance with subpart L and subpart M of this part.

NOTE: Symbols, if used, must be registered with the Associate Administrator.

9. The minimum thickness of the packaging, in millimeters, must be marked on drums and jerricans intended for reuse or recon-ditioning as follows:

• Metal drums and jerricans must be marked with the nominal thickness of the metal used in the body.

• Plastic drums or jerricans must be marked with the minimum thickness of the packaging material.

NOTE: The unit of measure is not required to be marked on the packaging.

10. The rated capacity of the packaging, in liters, MAY be marked on the packaging.

Standards for the UN Specification Marking [49 CFR 178.503(a)]

UN specification markings must be dura-ble, legible, and placed in a location and of such a size relative to the packaging as to be readily visible. The marking may be applied in a single line or in multiple lines as long as the correct sequence is used. Slash marks should be used to separate the information.

Requirements for Permanent Markings

Every reusable packaging liable to undergo a reconditioning process that could obliter-ate UN specification markings must bear the marks in a permanent form (e.g. embossed) able to withstand the reconditioning process.

NOTE: The “country mark” and “manufac-turer information” are NOT required to be per-manently embossed on the packaging.



Notes:

Page 124

UN Specification Markings for Non-Bulk Packagings, continued

Special Requirements for Metal Drums [49 CFR 178.503(a)(10)]

Metal drums with capacities greater than 100 L (~26.4 gal.) must be permanently embossed with the required marks on the bottom of the drum.

NOTE: The markings on the top head or side of metal drums do not need to be permanent, and do not need to include the “thickness mark.”

Additional UN Specification Marks

Reconditioner’s Marks [49 CFR 178.503(c)]

If a packaging is reconditioned, it must be marked by the reconditioner near the required manufacturer’s marks with the following additional information:

1. The name of the country in which the reconditioning was performed.

2. The name and address or symbol of the reconditioner.


3. The last two digits of the year during which the packaging was reconditioned.

4. The letter “R.”

5. If the packaging passed a leakproofness test, the letter “L.”

Other Marks [49 CFR 173.3(c), 178.503(f), 178.601(g) and (h)]

The letters “T,” “V,” “U,” or “W” may follow the packaging identification code.

• “T” indicates a salvage packaging.

A “T” drum is a salvage drum that has had a UN solids test performed with water as the test medium instead of a solid material. When performing the “T” test, the drum is not vented after the drop portion of the test, since a salvage drum is intended to be a secondary container not a primary one. [49 CFR 173.3(c)]

• “V” indicates variation packaging.

Variation packagings are outer packag-ings that are allowed to be used to ship hazardous materials WITHOUT testing them with the specific inner packagings used for the shipment, provided that cer-tain criteria are met. [49 CFR 178.601(g)]

• “U” indicates variation packaging specifi-cally intended for use with infectious sub-stances. [49 CFR 178.503(f) and 178.609]

• “W” indicates the packaging is an equiva-lent packaging.

Equivalent packagings are packagings that have different specifications from those identified in 49 CFR 178.504 – 178.523, or that have been tested using methods, or test intervals other than those specified in 49 CFR 178, Subpart M but have been approved by the Associate Ad-ministrator for use in shipping hazardous materials. [49 CFR 178.601(h)]

Step #3—Packaging


Page 125

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Notes:

Page 126

PACKAGING IDENTIFICATION CODES FOR IBCS49 CFR 178.702–178.710

Packaging Type Is Indicated by the First Two Numbers in the Code:

Type For solids, discharged: For liquids

By gravity Under pressure of more than 10 kPa (1.45 psig)

Rigid 11 21 31

Flexible 13

Material of Construction Is Indicated by a Letter:

A Steel G FiberboardB Aluminum H PlasticC Natural wood L TextileD Plywood M Multiwall paperF Reconstituted wood N Metal other than steel or aluminum

NOTE: For composite IBCs, two capital letters are used in sequence following the number indicating design type. The first letter indicates the material of construction of the inner receptacle. The second letter indicates the material of construction of the outer IBC.

Examples:

• 11A = Rigid steel IBC for solids dis-charged by gravity.

• 11G = Rigid fiberboard IBC for solids discharged by gravity.

• 13L3 = Flexible textile IBC with a liner for solids discharged by gravity.

• 21B = Rigid aluminum IBC for solids dis-charged under pressure.

• 21HZ2 = Composite IBCs with a flexible plastic inner receptacle for solids dis-charged under pressure.

• 31B = Rigid aluminum IBC for liquids.

Step #3—Packaging

Packaging Identification Codes for IBCs, continued


Page 127

Packaging Category Is Indicated by a Number After the Letter (When Applicable)

Code Category

11H1 Fitted with structural equipment designed to withstand the whole load when IBCs are stacked, for solids which are loaded or discharged by gravity

11H2 Freestanding, for solids which are loaded or discharged by gravity21H1 Fitted with structural equipment designed to withstand the whole load when

IBCs are stacked, for solids which are loaded or discharged under pressure21H2 Freestanding, for solids which are loaded or discharged under pressure31H1 Fitted with structural equipment designed to withstand the whole load when

IBCs are stacked, for liquids.31H2 Freestanding, for liquids

11HZ1 Composite IBCs with a rigid plastic inner receptacle for solids loaded or dis-charged by gravity

11HZ2 Composite IBCs with a flexible plastic inner receptacle for solids loaded or dis-charged by gravity

21HZ1 Composite IBCs with a rigid plastic inner receptacle for solids loaded or dis-charged under pressure

21HZ2 Composite IBCs with a flexible plastic inner receptacle for solids loaded or dis-charged under pressure

31HZ1 Composite IBCs with a rigid plastic inner receptacle for liquids31HZ2 Composite IBCs with a flexible plastic inner receptacle for liquids13H1 Woven plastic without coating or liner13H2 Woven plastic, coated13H3 Woven plastic with liner13H4 Woven plastic, coated and with liner13H5 Plastic film13L1 Textile without coating or liner13L2 Textile, coated13L3 Textile with liner13L4 Textile, coated and with liner13M1 Paper, multiwall13M2 Paper, multiwall, water resistant

NOTE: The “Z” in the code for composite IBCs must be replaced by a capital letter that indicates the material used for the outer packaging (e.g., 21HA1 = composite IBC with a rigid plastic inner recep-tacle and a steel outer packaging, used for solids discharged under pressure).



Notes:

Page 128

UN SPECIFICATION MARKINGS FOR IBCS49 CFR 178.703

Each IBC manufactured and intended for use to transport dangerous goods must be durably and legibly marked with letters, num-bers, and symbols that are at least 12 mm high. The various elements must be displayed in the sequence shown below.

1. The “UN” symbol, signifying that the IBC has been tested to meet specific design elements.

2. An alphanumeric packaging identifica-tion code.

NOTE: The letter “W” must follow the pack-aging identification code when the IBC dif-fers from the requirements in 49 CFR 178, Subpart N.

3. A letter designating the packing group(s) for which the packaging was tested:

– “X” for Packing Groups I, II, and III

– “Y” for Packing Groups II and III

– “Z” for Packing Group III only.

4. The month and the last two digits of the year during which the IBC was manufac-tured.

5. The state (country) authorizing the mark.

6. The name and address or symbol of the manufacturer or the approval agency certifying compliance with subpart L and subpart M of this part.


7. The stacking test load in kg.

8. The maximum permissible gross mass in kg.

Step #3—Packaging


Page 129

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Notes:

Page 130

ADDITIONAL IBC MARKINGS49 CFR 178.703(b)

In addition to the UN specification mark-ing, several additional markings may also be required on an IBC based on the specific type of IBC. These markings must appear near the UN specification marking in any place that is readily accessible for inspection. When units of measure are required, the metric unit indi-cated must also appear.

Rigid Plastic and Composite IBCs

Rigid plastic and composite IBCs must be marked with the following information:

• Rated capacity in liters of water at 20°C.

• Tare mass in kilograms.

• Gauge test pressure in kPa.

• The date (month and year) of the last leakproofness test, if applicable.

• The date (month and year) of the last inspection.

NOTE: Markings may be preceded by the nar-rative description of the marking (e.g., “Tare Mass: * * *” where the “* * *” are replaced with the tare mass in kilograms of the IBC).

Metal IBCs

Metal IBCs must be marked with the fol-lowing information:

• Rated capacity in liters of water at 20° C.

• Tare mass in kilograms.

• The date (month and year) of the last leakproofness test, if applicable.

• The date (month and year) of the last inspection.

• The maximum loading/discharge pres-sure in kPa, if applicable.

• Body material and minimum thick-ness in mm.

• Serial number assigned by the man-ufacturer.

NOTE: Markings may be preceded by the nar-rative description of the marking.

Fiberboard and Wooden IBCs

Fiberboard and wooden IBCs must show their tare mass in kilograms.

Step #3—Packaging


Notes:

Page 131

Additional IBC Markings, continued

Composite IBCs

Inner Receptacles

The inner receptacles of composite IBCs must be marked with the following informa-tion:

• The code number designating the IBC design type.

• The name and address or symbol of man-ufacturer.

• The date of manufacture (month and year).

• The country authorizing the mark.

Detachable parts:

When a composite IBC is designed in such a way that the outer casing is intended to be dismantled for transport when empty, each of the parts intended to be detached when so dis-mantled must be marked with:

• The name and address or symbol of man-ufacturer.

• The date of manufacture (month and year).

Flexible IBCs

Flexible IBCs must be marked with a pic-togram displaying recommended lifting meth-ods.

All IBCs

The symbol applicable to an IBC designed for stacking or not designed for stacking, as appropriate, must be marked on all IBCs man-ufactured, repaired, or remanufactured after January 1, 2011.



Notes:

Page 132

DETERMINING AUTHORIZED PACKAGINGSIntroduction

All packagings used to ship hazardous materials must be authorized for the specific material they contain. Authorized packaging does not necessarily mean that the packaging must meet certain performance standards or be tested in particular ways. It simply means that it must be the kind of packaging that the DOT has said can be used to ship a specific hazardous material.

Packaging authorizations are found at 49 CFR 173 of the DOT regulations. Column 8 of the 172.101 Table provides regulatory refer-ences that identify where to find authorized packagings in Part 173. Column 8 is divided into three subcolumns:

1. Column 8A lists the packaging references for “exception” packagings (i.e., pack-agings that receive some relief from the usual hazmat shipping requirements).

2. Column 8B lists the packaging references for fully-regulated non-bulk packagings (e.g., drums, jerricans, and boxes).

3. Column 8C lists the packaging referenc-es for bulk packagings (e.g., cargo tank trucks, rail cars, and IBCs).

Three Steps for Determining Authorized Packaging

To find the specific instructions for pack-aging a particular hazardous material, the shipper must:

1. Look up the Proper Shipping Name of the material in the 172.101 Table to find the applicable packaging reference or section in 49 CFR 173;

2. Go to the section in 49 CFR 173 identified in Column 8 of the 172.101 Table;

3. Choose a type of packaging from the choices available in the packaging section that meets required specifications.

Step #3—Packaging


Notes:

Page 133

DETERMINING AUTHORIZED NON-BULK PACKAGING EXAMPLEColumn 8B of the 172.101 Table

Column 8B of the 172.101 Table lists “authorized packaging” for shipping fully regulated non-bulk packages of hazardous materials under each Proper Shipping Name.

Material Information – Example

• Proper Shipping Name: Acetal

• Hazard Class: 3, Packing Group II

Finding the Authorized Packaging Reference

Since we are shipping the material in fully regulated non-bulk packagings, we would need to look in Column 8B of the 172.101 Table to find the packaging reference.

According to Column 8B, the requirements for packaging acetal in fully regulated non-bulk packagings are found at 49 CFR 173.202.

Packaging Authorization: 49 CFR 173.202

Section 173.202 is divided into three paragraphs:

1. Paragraph (a) identifies general condi-tions that must be met to use the packag-ing authorization.

2. Paragraph (b) identifies the authorized combination packagings that can be used to ship hazmat under the section.

3. Paragraph (c) identifies the authorized single packagings (including compos-ite packagings) that can be used to ship hazmat under this section.



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Determining Authorized Non-bulk Packaging Example, continued

Reading a Packaging Authorization: 49 CFR 173.202(a)

Only Use If Directed to Section

Paragraph (a) begins with, “When sec-tion 172.101 of this subchapter specifies that a liquid hazardous material be packaged under this section…”

In plain language, this means that in order to use this packaging authorization, you must have been sent to this section by Column 8 of the 172.101 Table. You aren’t allowed to simply go to the packaging authorizations and search through them until you find one you would like to use.

Meet General Packaging Requirements

The next sentence reads, “Each packag-ing must conform to the general packaging requirements of Subpart B of Part 173...”

This serves as a reminder that no matter what packagings you choose to use, it will still need to meet the general packaging require-ments that all hazmat packagings must meet.

Use UN Specification Packagings

Paragraph (a) then says that packagings must conform “to the requirements of Part 178 of this subchapter at the Packing Group I or II performance level.” The rules at 49 CFR 178 are where you will find performance tests required for performance-oriented packagings. Ship-pers therefore must use packagings that have met the testing standards of 49 CFR 178 or, in other words, use UN specification packagings.

And whatever packaging is chosen, it must have been tested to meet either Packaging Group I or II levels.

Meet Special Provisions

Paragraph (a) ends by stating that packag-ings must conform “to the particular require-ments of the special provisions of column 7 of the 172.101 Table.” This is a reminder that all packagings must meet their applicable special provisions.

Reading a Packaging Authorization: 49 CFR 173.202(b)

Paragraph (b) identifies the authorized combination packagings that can be used to ship hazardous materials under the section. The regulations in paragraph (b) list:

• Authorized outer packagings, and

• Authorized inner packagings

An alphanumeric code appears after each of the authorized outer packagings listed (e.g., steel drum 1A1, fiberboard box 4G), indicat-ing that a UN specification packaging must be used for the shipment.

When the DOT lists authorized combina-tion packagings, only the outer packaging is identified with a UN specification marking. However, regardless of the fact that inner packagings are not actually marked with a UN certification, the entire packaging assembly, both outer and inner components, must be certified by the manufacturer.

This means that shippers must use the type of inner packagings that were tested with

Step #3—Packaging


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the outer packaging and, more specifically, are specified by the manufacturer in the assembly instructions.

Reading a Packaging Authorization: 49 CFR 173.202(c)

The regulations in paragraph (c) list the authorized single packagings that can be used to ship the material. At the end of the list are the composite packagings that can be used, since composite packaging is technically con-sidered a subset of single packaging under DOT rules.

An alphanumeric code appears after each of the authorized single or composite packag-ings listed (e.g., steel drum 1A1, plastic jerri-can 3H1), indicating that a UN specification packaging must be used for the shipment.

Determining Authorized Packaging for Acetal: Example 1, Glass Bottles in a Fiberboard Box

1. A packaging consisting of acetal in glass bottles in a fiberboard box would be a combination packaging, so we would need to look in paragraph (b) of 49 CFR 173.202.

2. Looking at the list of outer packagings, we see “Fiberboard box: 4G,” indicating that we can use a fiberboard box for the shipment.

3. Next, we look at the list of inner packag-ings, where we see that glass receptacles are one of the available options, so we’ll be able to use this packaging.

Determining Authorized Packaging for Acetal: Example 2, Steel Drums

1. A packaging consisting of acetal in metal drums would be a single packaging, so we would need to look in paragraph (c) of 49 CFR 173.202.

2. Looking at the list of packagings, we see “Steel drum: 1A1 or 1A2,” indicating that we’ll be able to use this packaging.

Determining Authorized Packaging for Acetal: Example 3, Plastic Box (No Inner Receptacles)

1. A packaging consisting of acetal in a plastic box without any inner recepta-cles would be a single packaging, so we would need to look in paragraph (c) of 49 CFR 173.202.

2. Looking at the list of packagings, we do not see any types of plastic boxes listed by themselves (i.e., without any sort of inner receptacle), which means that we CAN-NOT use this packaging to ship acetal.



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Key Points to Remember

• “Non-bulk packaging” is defined at 49 CFR 171.8 and includes packag-ings with:

– A maximum capacity of 450 L (119 gal.) for liquids.

– A maximum net mass of 400 kg (882 lbs.) for solids.

– A maximum water capacity of 454 kg (1,000 lbs.) for gases.

• Authorized non-bulk packaging must:

– Meet general requirements of 49 CFR 173, Subpart B.

– Meet any DOT performance-oriented packaging standards and tests or speci-fications in 49 CFR 178.

– Meet any special provisions identified in Column 7 of the 172.101 Table.

• “Performance-oriented packagings” (i.e., UN specification packagings) must be marked by the manufacturer with a certification marking (i.e., the UN specifi-cation marking).

• Some non-bulk packaging authorizations will allow the use of packagings that are NOT tested UN specification packagings (and therefore would not need to be iden-tified with a UN specification marking).

Step #3—Packaging


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DETERMINING AUTHORIZED BULK PACKAGING EXAMPLEColumn 8C of the 172.101 Table

Column 8C of the 172.101 Table lists “authorized packaging” for shipping bulk packages of haz-ardous materials under each Proper Shipping Name.





Since we are shipping the material in a bulk packaging, we would need to look in Column 8C of the 172.101 Table to find the packaging reference.

According to Column 8C, the require-ments for packaging acetal in bulk packagings are found at 49 CFR 173.242.

Packaging Authorization 49 CFR 173.242

Section 173.242 is divided into five paragraphs:

1. Paragraph (a) identifies the authorized rail cars that can be used to ship hazard-ous materials under the section.

2. Paragraph (b) identifies the authorized cargo tanks that can be used to ship haz-ardous materials under the section.

3. Paragraph (c) identifies the authorized portable tanks that can be used to ship hazardous materials under the section.

4. Paragraph (d) identifies the authorized IBCs that can be used to ship hazardous materials under the section.



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Determining Authorized Bulk Packaging Example, continued

5. Paragraph (e) identifies the authorized Large Packagings that can be used to ship hazardous materials under the section.

Preceding these paragraphs is introduc-tory text that states:

• To use the packaging authorization, the shipper must have been sent to the sec-tion by Column 8 of the 172.101 Table.

• Only packagings listed in this section may be used to ship hazardous materials subject to this section.

• Packagings used must meet the require-ments of 49 CFR 173, Subparts A and B (general packaging requirements).

• Shipments must meet applicable special provisions, as identified in Column 7 of the 172.101 Table.


The regulations in paragraph (a) list the authorized rail cars that can be used to ship the material (e.g., Class DOT 103, DOT 104, and 106), along with a few requirements for those rail cars.


The regulations in paragraph (b) list the authorized cargo tanks that can be used to ship the material (e.g., Specification MC 300, MC 301, and DOT 406), along with a few require-ments for those cargo tanks.

Reading a Packaging Authorization: 49 CFR 173.242(c)

The regulations in paragraph (c) list the authorized portable tanks that can be used to ship the material (e.g., DOT Specification 51 and 56 and Specification IM 101), along with a few requirements for those portable tanks.

Certain UN portable tanks are also autho-rized in paragraph (c), provided a “T” code appears in Column 7 of the 172.101 Table for the material being shipped. Once you have that special provision code, you can determine the requirements the portable tank must meet by looking up the code at 49 CFR 172.102.

Reading a Packaging Authorization: 49 CFR 173.242(d)

The regulations in paragraph (d) largely direct shippers to refer to Column 7 of the 172.101 Table to determine the IBC packaging code. Once the shipper has that special provi-sion code, they can determine what IBC can be used by looking up the code at 49 CFR 172.102.

The remainder of the paragraph states that the packing group must be tested to per-formance levels appropriate for the material being shipped. Paragraph (d) also identifies materials that cannot be shipped in IBCs under the section.

Step #3—Packaging


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Reading a Packaging Authorization: 49 CFR 173.242(e)

The regulations in paragraph (e) largely direct shippers to refer to Column 7 of the 172.101 Table to determine the IBC packaging code. Once the shipper has that special pro-vision code, they can determine what Large Packaging can be used by looking up the code at 49 CFR 172.102.

The remainder of the paragraph states that the packing group must be tested to per-formance levels appropriate for the material being shipped. Paragraph (e) also identifies materials that cannot be shipped in Large Packagings under the section.

Determining Authorized Packaging for Acetal: Example 1, Rail Car

1. Since the material is being shipped in a rail car, we would look for authorized packaging in 49 CFR 173.242(a).

2. Looking at the list of options, we see that we could use any of the following for the shipment: Class DOT 103, 104, 105, 109, 111, 112, 114, 115, 117, or 120 tank car tanks; Class 106 or 110 multi-unit tank car tanks and AAR Class 206W tank car tanks.

Determining Authorized Packaging for Acetal: Example 2, Plastic IBC

1. Since the material is being shipped in an IBC, we would look for authorized pack-aging in 49 CFR 173.242(d).

2. The rules in paragraph (d) state that we need to use an IBC type that is authorized according to the IBC packaging code specified for our hazardous material in Column 7 of the §172.101 Table.

3. Looking at Column 7, we see one IBC code: IB2.

4. If we look at the heading of Column 7, we see the regulatory reference §172.102.

5. If we look up the IB2 code in 49 CFR 172.102, it identifies metal, rigid plastic, and composite IBCs that could be used.

6. Since we want to use a plastic IBC, our options are to use either a 31H1 or 31H2.

NOTE: 31H1 = a rigid plastic IBC fitted with structural equipment designed to withstand the whole load when IBCs are stacked. 31H2 = a rigid plastic IBC that is freestanding. Both are designed for liquids.



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Key Points to Remember

• Authorized bulk packaging must:

– Meet general requirements under 49 CFR 173, Subpart B.

– Meet any special provisions identified in Column 7 of the 172.101 Table.

• IBCs must meet “performance-oriented” test standards and must be marked by the manufacturer with the UN specifica-tion marking.

• Bulk packagings other than IBCs must meet detailed construction standards. [49 CFR 178–179]

• “Non-specification” bulk packagings may be authorized for certain low-hazard materials.

• Most types of bulk packaging must be pe-riodically inspected, tested, and re-qual-ified under various DOT regulations, including 49 CFR 173, Subpart B, and 49 CFR 179–180.

Step #3—Packaging


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DETERMINING AUTHORIZED EXCEPTION PACKAGING EXAMPLEColumn 8A of the 172.101 Table

Column 8A of the 172.101 Table lists “authorized exception packaging” for shipping non-bulk packages of hazardous materials under each Proper Shipping Name.

What Is “Exception Packaging”?

Exception packaging provides relief from the more stringent packaging requirements that must normally be followed. The most common type of exception packagings are limited quantities, but there are others (e.g., excepted small quantities).





Since we are shipping the material in exception packaging, we would need to look in Column 8A of the 172.101 Table to find the packaging reference.

According to Column 8A, the require-ments for packaging acetal in exception pack-agings are found at 49 CFR 173.150.



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Determining Authorized Exception Packaging Example, continued

Packaging Authorization: 49 CFR 173.150

Section 173.150 is divided into nine paragraphs:

• Paragraph (a) identifies “general” condi-tions that must be met to use the packag-ing authorization.

• Paragraph (b) identifies the authorized combination packagings that can be used to ship hazardous materials as limited quantities under the section.

• Paragraph (c) identifies the requirements to ship hazardous materials as consumer commodities.

NOTE: The consumer commodity exception was “phased out” of DOT’s hazardous materials regulations on December 31, 2020 and can no longer be used.

• Paragraphs (d) and (e) identify special requirements for shipping alcoholic bev-erages and aqueous solutions of alcohol.

• Paragraph (f) identifies special require-ments for shipping combustible liquids.

• Paragraph (g) identifies special require-ments for shipping retail products that contain ethyl alcohol (or ethanol).

• Paragraph (h) identifies special re-quirements for shipping diesel fuel and gasoline.

• Paragraph (i) identifies special require-ments for shipping flammable liquids under the “reverse logistics” exclusion.


The regulations in paragraph (a) simply state that to use this particular packaging authorization, the shipper must have been sent to the section by Column 8 of the 172.101 Table.


The regulations in paragraph (b) identify:

• The conditions that must be met in or-der to ship a material as a limited quan-tity (e.g., must limit package size to a total gross weight of 30 kg (66 lbs.)).

• The reliefs from the hazardous mate-rials regulations that limited quantity shipments receive (e.g., not required to use UN specification packagings).

Determining Authorized Packaging for Acetal: Example Limited Quantity Package

1. Since the material is being shipped as a limited quantity, we look up authorized packaging in 173.150(b).

2. According to the rules at 49 CFR 173.150(b), we would need to:

• Use combination packaging.

• Meet the general packaging require-ments in 49 CFR 173, Subpart B.

Step #3—Packaging


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Determining Authorized Exception Packaging Example, continued

• Limit the package to a maximum gross mass of 30 kg (66 lbs.).

• Limit the inner packagings to a maxi-mum size of 1 L (0.3 gal.) since acetal is a Packing Group II material.

• Place inner packagings in a “strong outer packaging.”

3. According to the rules at 49 CFR 173.150(b), we would NOT need to:

• Label the package (assuming it is not going by air).

• Use UN specification packagings.

• Prepare shipping papers for the shipment.

• Use placards with the shipment.

NOTE: Shipping papers are required for lim-ited quantity shipments if the material being shipped is a hazardous substance, hazardous waste, or marine pollutant, or if the material is being shipped by air or vessel. Acetal appears neither on the list of hazardous substances nor the list of marine pollutants, so a limited quan-tity shipment of acetal would only require shipping papers if the acetal had been deter-mined to be a hazardous waste, or if the ship-ment was going by air or vessel.



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LIMITED QUANTITY PACKAGES49 CFR 173.150–173.156

In most cases, when you are shipping hazardous materials, you will be required to use things such as UN specification packag-ing that has been tested by the manufacturer to certain standards, markings to identify the specific contents of the package, and labels to identify the specific hazards posed by the contents of the package. In addition, you are usually required to create and use shipping papers that contain information describing the shipment and to put placards on the vehicle containing the hazardous materials to make everyone aware of the hazards that are being moved down the road.

Reliefs for Limited Quantity Shipments

Compared to other types of hazmat shipments, limited quantity shipments pose reduced hazards, since they consist of small quantities of hazardous materials. Because of this, they are usually excluded from the fol-lowing hazmat shipping requirements:

• Use of UN specification packaging.

• Use of hazmat labels (unless the package will be shipped by air).

• Use of shipping papers (unless the pack-age will be shipped by air or vessel or the hazardous material inside the pack-age meets the definition of a hazardous waste, hazardous substance, or a marine pollutant).

• Placarding transport vehicles and freight containers containing hazmat packages.

NOTE: Limited quantity packages are given relief from the standard marking requirements for hazmat packages, but they are still subject to certain marking requirements.

Additional Reliefs for Certain Limited Quantity Shipments

There are additional reliefs for “unitized” limited quantity shipments at 49 CFR 173.156 that offer relief from package weight limits, markings, and outer packaging requirements when certain conditions are met.

Requirements for Limited Quantity Shipments

The rules for shipping hazardous mate-rials under the limited quantity exceptions found in 49 CFR 173.150 through 173.155 all have essentially the same requirements and reliefs. In order to ship a hazardous material as a limited quantity, the following conditions must ALL be met:

Step #3—Packaging


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Limited Quantity Packages, continued

• The material must be authorized by the DOT to be shipped as a limited quantity (per Column 8 of the 172.101 Table).

• The shipment must meet all the general packaging requirements (e.g., compatibil-ity and filling limits).

• The material must be packaged as a com-bination package.

• The inner packagings must be placed in a “strong outer packaging.”

• The inner packagings must be limited in size. The maximum size varies based on the hazard class and packing group of the material, but in no case are more than 5 L (1.3 gal.) or 5 kg (11 lbs.) permitted. For example, when shipping:

– Flammable liquids in Packing Group I, inner packagings may not exceed a net capacity of 0.5 L (0.1 gallon) each. In addition, inner packagings must be packed in a strong outer packaging.

– Flammable liquids in Packing Group II, inner packagings may not exceed a net capacity of 1.0 L (0.3 gallons) each, and must be packed in a strong outer packaging.

– Flammable liquids in Packing Group III and combustible liquids, inner pack-agings may not exceed a net capacity of 5.0 L (1.3 gallons) each, packed in a strong outer packaging.

• The gross weight of the completed pack-age cannot exceed 30 kg (66 lbs.).

Determining Limited Quantity Inner Packaging Size Limits for Ground Shipments

Inner packaging size limits for ground shipments are specified in the packaging sec-tion for the material, and are based on the hazard class and packing group of the material being shipped. These limits are summarized in the table below.

Hazard Class Packing Group (or Other) Inner Packaging Size Limit (Net Capacity) Reference

2.1 N/A 1.0 L 49 CFR 173.306

2.2 N/A 1.0 L 49 CFR 173.306

3 I 0.5 L 49 CFR 173.150

3 II 1.0 L*** 49 CFR 173.150

3 III 5.0 L 49 CFR 173.150

4.1 II 1.0 kg 49 CFR 173.151

4.1 III 5.0 kg 49 CFR 173.151

4.3 II 0.5 kg 49 CFR 173.151



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Limited Quantity Packages, continued

Hazard Class Packing Group (or Other) Inner Packaging Size Limit (Net Capacity) Reference

4.3 III 1.0 kg 49 CFR 173.151

5.1 II 1.0 L or 1.0 kg 49 CFR 173.152

5.1 III 5.0 L or 5.0 kg 49 CFR 173.152

5.2* Type B or C 25 mL or 100 g 49 CFR 173.152

5.2* Type D, E, or F 125 mL or 0.5 kg 49 CFR 173.152

6.1** II 100 mL or 0.5 kg 49 CFR 173.153

6.1 III 5.0 L or 5.0 kg 49 CFR 173.153

8 II 1.0 L or 1.0 kg 49 CFR 173.154

8 III 5.0 L or 5.0 kg 49 CFR 173.154

9 II 1.0 L or 1.0 kg 49 CFR 173.155

9 III 5.0 L or 5.0 kg 49 CFR 173.155

* Only for organic peroxides that do not require temperature control during transportation.** Inner packagings containing a liquid poisonous material which is also a drug or medicine in Packing Group II may be

increased to a maximum net capacity of 250 mL.*** When the material is properly described by the following Proper Shipping Names, the maximum net capacity may

be increased to 5 L: “Adhesives,” “Alcoholic Beverages,” Coating Solution,” “Extracts, Aromatic, Liquid,” “Extracts, Flavoring Liquid,” “Paint,” “Paint Related Material,” “Perfumery products,” “Printing Ink,” “Resin Solution,” “Rubber Solution,” “Tars, Liquid,” and Wood Preservatives.”

Step #3—Packaging


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SPECIAL PROVISIONS49 CFR 172.102

Column 7 of the 172.101 Table lists “special provisions” for shipping hazardous materials under each Proper Shipping Name.

Purpose

Special provisions are provided to account for the unique hazards of different hazardous materials. A special provision may be:

• An additional requirement.

• A relief from regulation.

• A restriction in the type of package or packaging material that may be used.

• A reminder of special requirements that may apply to the material.

Determining Applicable Special Provisions

Column 7 of the 172.101 Table identi-fies special provision codes for a particular Proper Shipping Name entry. These codes are explained at 49 CFR 172.102.

Special provision codes consist of:

• A number only, or

• One or two letters, followed by a number.

The meaning of the codes is as follows:



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Special Provisions, continued

If the special provision starts with... ...Then the special provision applies to...

Just a number (e.g., 11) Multimodal shipments. May apply to both bulk and non-bulk packagings.

A Air shipments only.

B Bulk shipments only (except IBCs and portable tanks).

IB Specific intermediate bulk packagings (IBCs).

IP IBCs only.

N Non-bulk packagings only.

R Rail shipments only.

T Portable tanks only.

TP Portable tanks only.

W Water shipments only.

Examples:

Proper Shipping Name Special Provision Number: Significance:

Bisulfate, aqueous solution

N34—Applies to all non-bulk packagings regardless of mode of transportation.

Aluminum construction materials are not authorized for any part of a packaging that is normally in contact with the hazardous material.

Sodium hydroxide solution

B2—Applies to all bulk pack-agings regardless of mode of transportation.

Prohibits the use of MC 300, MC 301, MC 302, MC 303, MC 305, and MC 306 and DOT 406 specification cargo tanks.

Wood preserva-tives, liquid

149—Applies to non-bulk and bulk packagings trans-ported by all modes of trans-portation.

When transported as a limited quantity, the maximum capacity for inner packagings may be increased to 5 L.

Corrosive liquids, n.o.s.

A7—Applies to all packag-ings being transported by air only.

Steel packagings must be corrosion-resistant or have protection against corrosion.

Step #3—Packaging


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REUSE OF HAZMAT PACKAGINGS49 CFR 173.28

Packagings that have been used to ship hazardous materials and then emptied may be reused to ship other hazardous materials, under certain conditions.

Reuse in General [49 CFR 173.28(a)]

Any packaging used more than once must still be in good enough condition to be able to meet all the requirements it had to meet when it was a new packaging, including all of the general packaging requirements. Among oth-er things, this would mean that the packaging would need to:

• Be authorized for the material that will be shipped in it.

• Meet all applicable standards and speci-fications.

• Be compatible with the material that will be placed inside of it.

• Be designed, constructed, maintained, filled, and closed so that, under condi-tions normally incident to transportation, there will be no release of hazardous material.

Before reusing any packaging, it must be inspected to ensure that there are no:

• Incompatible residues remaining in the packaging.

• Ruptures and/or other damages that could reduce the structural integrity of the packaging (e.g., corrosion, dents, cracks, or cuts).

NOTE: If you suspect that a package has been weakened, it probably has. It may be best to send it for reconditioning or discard it and use a different packaging instead.

Requirements for Reusing Non-bulk Packagings [49 CFR 173.28(b)]

Non-bulk packagings that will be used more than once to ship hazardous materials must meet several conditions/restrictions:

• If the packaging shows any “evidence of a reduction in integrity,” then it must be reconditioned in accordance with 49 CFR 173.28(c) before reuse.

• With limited exceptions, if the packag-ing is a single or composite packaging intended to contain liquids, then it must be leakproofness tested and specially marked to indicate that it successfully passed the test.



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Reuse of Hazmat Packagings, continued

• Metal and plastic drums and jerricans may only be reused to ship hazardous materials if they have been permanently marked with the nominal/minimum wall thickness and they meet specific thickness requirements.

• Packagings made out of paper (other than fiberboard), plastic film, or textiles may NOT be reused to ship hazardous materials.

NOTE: Additional special requirements for reusing cylinders to ship toxic materials are found at 49 CFR 173.40.

Reusing Non-bulk Packagings for Shipping Hazardous Waste [49 CFR 173.12(c)]

An alternate standard allows shippers to follow less stringent rules when reusing non-bulk packagings to ship hazardous wastes. This standard allows reuse of authorized packagings without leakproofness testing as required by 49 CFR 173.28, as long as FIVE conditions are met:

1. The packaging must be acceptable for shipping the hazmat as if it were new (i.e., it is authorized by the DOT, it meets the DOT’s general packaging require-ments, etc.).

2. The package must be transported by highway.

3. The packaging must be filled and sealed and then held for at least 24 hours before it is shipped, and it must be visually in-spected for leaks just prior to shipping.

4. Only the shipper and the consignee can handle the package (unless using a pri-vate or contract carrier).

5. This relief can only be used once per packaging (afterwards will have to com-ply with the full requirements for reuse to use it again for hazmat shipments).

Reconditioning [49 CFR 173.28(c)]

In some cases, it may be determined that a non-bulk packaging must be reconditioned before it can be used again. The process of reconditioning includes:

• Removal of all former contents, external coatings, labels, and cleaning to the origi-nal material of construction;

• Inspection after cleaning and rejecting packagings with visible damage, such as tears, cracks, metal fatigue, damaged threads or closures, or other signifi-cant defects;

• Restoration of metal drums to their orig-inal shape and contour with any chimes straightened and sealed;

• Replacement of all non-integral gaskets and closure devices with new or refur-bished parts;

• Ensuring that the packagings are restored to a condition that conforms in all re-spects to prescribed requirements.

Step #3—Packaging


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Reuse of Hazmat Packagings, continued

Marking Reconditioned Packagings

Anyone who reconditions a performance-oriented packaging must mark the reconditioned packaging appropriately. This marking may be different from the one applied by the original manufacturer. However, it may not identify a greater performance capability than that for which the original design was tested. For example, a drum originally marked “1A1/Y1.8” cannot be marked by a reconditioner as “1A1/X2.0.” It could, however, be marked as a “1A1/Z1.2” drum.

Using and Reusing Bulk Packaging

The rules for using/reusing bulk packag-ings and cylinders are dependent on the type of packaging being used (e.g., IBCs, tank cars, or cargo tanks). The following table identifies applicable rules for using various types of bulk packagings:

Type of Packaging 49 CFR

Tank cars 173.31

Portable tanks other than IM portable tanks

173.32

Cargo tanks 173.33

IBCs 173.35

Poisons in cylinders 173.40

Qualification and mainte-nance of IBCs

180, Subpart D

Qualification and mainte-nance of cargo tanks

180, Subpart E

Qualification and mainte-nance of tank cars

180, Subpart F

Qualification and mainte-nance of portable tanks

180, Subpart G



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DEALING WITH “EMPTIES”49 CFR 173.29

Packagings Containing Only Residues Are Regulated as If “Full”

In general, packagings containing resi-dues of hazardous materials are regulated in the same way as when they contained greater quantities of hazardous materials.

Once a packaging has been rendered “empty,” however, it is no longer subject to the provisions of 49 CFR Parts 171 through 180. In order to be considered empty and exempt from the hazardous materials regulations, a packag-ing must essentially meet two conditions:

1. The packaging must be “empty.”

2. All hazmat markings, labels, and placards must be removed.

Step 1: Empty the Packaging [49 CFR 173.29(b)]

In order for a packaging to be considered “empty” under DOT hazmat regulations, the packaging must:

• Be unused.

• Be sufficiently cleaned of residue and purged of vapors to remove any poten-tial hazard.

• Be refilled with a material that is not hazardous to the extent that any residue remaining in the packaging no longer poses a hazard.

• Contain only the residue of a Division 2.2 non-flammable gas (other than ammonia, anhydrous) with no subsidiary hazards, at an absolute pressure less than 200 kPa (29 psig) at 20°C (68°F).

NOTE: Any material that remains in the pack-aging cannot meet the definition of a hazard-ous substance, hazardous waste, or marine pollutant.

Step 2: Remove All Hazmat Markings, Labels, and Placards

In order for an “empty” packaging to be exempt from regulation, all hazardous mate-rial shipping names and UN identification number markings, hazardous materials labels and placards, and any other markings that indicate that the packaging once contained hazardous materials (such as “RQ” or “INHA-LATION HAZARD”) must be removed from the packaging.

Per 49 CFR 172.401(d), it is not necessary to remove the hazardous materials markings, labels, and placards from the empty packaging if the packaging:

• Will be transported in a transport vehicle or freight container,

Step #3—Packaging


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Dealing With “Empties”, continued

• Is not visible during transportation, and

• Is loaded by the shipper and unloaded by the shipper or consignee.

Elevated-temperature Materials [49 CFR 173.29(g)]

A package that contains the residue of an elevated-temperature material may remain marked in the same manner as when it con-tained a greater quantity of the material, even though it no longer meets the definition of an elevated-temperature material.

Hazardous Substances [49 CFR 173.29(h)]

A package that contains the residue of a Class 9 hazardous substance listed in the 172.101 Table, Appendix A, Table I (that does not meet the definition of a hazardous waste or marine pollutant) may remain marked, labeled, and placarded in the same manner as when it contained a greater quantity of the material, even though it no longer meets the definition of a hazardous substance.

Shipping Exceptions for Packagings Containing Residues [49 CFR 173.29(c)]

A non-bulk packaging that contains only the residue of a material listed in Table 2 of 49 CFR 172.504 (i.e., the “placarding rules”):

• Does not need to be included when determining the applicability of the placarding requirements of 49 CFR 172, Subpart F; and

• Does not require a shipping paper when collected and transported by a contract or private carrier for reconditioning, reman-ufacture, or reuse.

Table 2

Category of mate-

rial (hazard class or

division number and

additional descrip-

tion, as appropriate)

Placard name Placard

design

section

reference

(§)

1.4 EXPLOSIVES 1.4 172.523

1.5 EXPLOSIVES 1.5 172.524

1.6 EXPLOSIVES 1.6 172.525

2.1 FLAMMABLE GAS 172.532

2.2 NON-FLAMMABLE GAS 172.528

3 FLAMMABLE 172.542

Combustible liquid COMBUSTIBLE 172.544

4.1 FLAMMABLE SOLID 172.546

4.2 SPONTANEOUSLY

COMBUSTIBLE

172.547

5.1 OXIDIZER 172.550

5.2 (Other than organic

peroxide, Type B,

liquid or solid, tem-

perature controlled).

ORGANIC PEROXIDE 172.552

6.1 (other than material

poisonous by inhala-

tion)

POISON 172.554

6.2 (None)

8 CORROSIVE 172.558

9 CLASS 9

[see §172.504(f)(9)]

172.560



Page 154

A PACKAGE IS “DOT-EMPTY” IF...49 CFR 173.29

All hazardous materials identifications (markings,

labels, etc.) have been removed, obliterated, or

securely covered in transportation.

The package is not visible during transportation.

The package is loaded by the shipper and unloaded by the consignee.

The material remaining in the package does not meet the definition of “Hazardous Waste” or “Marine Pollutant.”

No hazardous substance remains in an amount equal to or in excess of its RQ per package.

AND

OR AND

AND

AND

The package never contained

a hazardous material.

The package has been cleaned of

residue and purged of vapor such that

it no longer poses a DOT hazard.

The package has been refilled with a non-hazardous

material such that it no longer poses

a DOT hazard.

The package contains only the residue of

a Class 2.2, non-flammable gas, with

absolute pressure < 200 kPa at 20°C

OR OR OR

Step #3—Packaging


Notes:

Page 155

SPECIAL ISSUES IN PACKAGING

Overpacks [49 CFR 171.8 and 173.25(a)]

An overpack is a device used by a single consignor that consists of one or more com-pleted packages that are consolidated by plac-ing them inside an enclosure for the sake of convenience or additional protection. Exam-ples of overpacks include packages that have been strapped or stretch-wrapped to a pallet, and packages that have been placed into a large box or crate.

NOTE: Transport vehicles, freight containers, or aircraft unit load devices are not overpacks. Motor carrier consolidation bins are similar to, but not quite the same as, overpacks.

Packages Inside Overpacks Must be “Complete”

Overpacks are NOT considered to be DOT authorized packagings, and are not required by DOT regulations for shipment. All pack-ages inside of an overpack must be authorized, “completed” packages that are capable of being shipped on their own without the over-pack. In other words, a damaged package that would otherwise be prohibited from trans-port cannot simply be placed in an overpack and shipped. If it would not be acceptable for transport without the overpack, the overpack will not “fix the problem” and make it accept-able for shipment.

NOTE: If an overpack obscures required DOT markings and labels, the overpack will typi-

cally need to be marked and labeled itself to display those communications.

Restrictions

There are a couple of restrictions on what materials may be placed in overpacks:

• Packages containing Class 8 (corrosive) materials in Packing Group I may not be overpacked with other materials; and

• Packages containing Division 5.1 (oxidiz-ing) materials in Packing Group I may not be overpacked with any other materials.

Relief for Poisons

Division 6.1 poisonous materials that are overpacked according to 49 CFR 177.841(e) or are overpacked in a UN 1A2, 1B2, or 1N2 drum that has been tested and marked for PG II or higher may be transported in the same motor vehicle as foodstuffs.

Samples for Analysis [49 CFR 172.101(c)(11)]

Shippers are allowed to use their knowl-edge of a material to assign tentative hazard classes and Proper Shipping Names to samples that must be tested to determine their hazards.

When shipping the sample for testing, the following packaging requirements apply:



Notes:

Page 156

Special Issues in Packaging, continued

• The sample must be shipped in combina-tion packaging;

• The packaging must meet the require-ments of the subchapter (49 CFR 171–180) applicable to the packing group assigned to the sample;

• The finished package cannot exceed a net mass of 2.5 kg (5.5 lbs.); and

• “G” (generic) Proper Shipping Names do not need to include technical names. [49 CFR 172.101(c)(11)(iv)(B)]

Excepted Small Quantities [49 CFR 173.4(a)]

Most medium hazard materials may be shipped in small quantities without meeting the requirements of the subchapter (49 CFR 171–180). In order to receive this relief, the fol-lowing conditions must be met:

• Maximum quantity of material per inner receptacle is generally limited to 1 ounce or less.

• With limited exceptions, each inner receptacle:

– Cannot be liquid-full at 55°C (131°F).

– Must be constructed of plastic having a minimum thickness of no less than 0.2 mm (0.008 in.) or be made of earth-enware, glass, or metal.

• Each inner receptacle with a removable closure must have its closure held se-curely in place with wire, tape, or other positive means.

• Unless equivalent cushioning and ab-sorbent material surrounds the inside packaging, each inner receptacle must be securely packed in an inside packaging with cushioning and absorbent mate-rial that:

– Will not react chemically with the mate-rial, and

– Is capable of absorbing the entire con-tents (if a liquid) of the receptacle.

• The inside packaging must be securely packed in a strong outer packaging.

• The completed package must be capable of passing a drop test from a height of 1.8 m (5.9 ft.).

• The completed package cannot exceed 29 kg (64 lbs.).

• The package cannot be opened or altered while it is in commerce.

In addition, several specific packaging “standards” must be met, including require-ments for:

• Minimum wall thicknesses for inner receptacles,

• Cushioning material,

• Drop tests, and

• Stack tests.

Step #3—Packaging


Notes:

Page 157


Lab Packs [49 CFR 173.12(b), (d), and (f)]

A lab pack is a combination packaging used to ship commingled waste materials by rail, motor vehicle, or vessel. Lab packs are excepted from the usual packaging instruc-tions, the rules for overpacks, and most segre-gation requirements.

Only hazardous materials in Class or Divi-sion 3, 4.1, 4.2, 4.3, 5.1, 5.2, 6.1, 8, or 9 may be shipped in lab packs.

When two or more chemically compati-ble waste materials in the same hazard class are packaged in the same outer packaging, a generic shipping name may be used.

Inner packagings must be either:

• Glass with a capacity no larger than 4 L (1 gallon), or

• Metal or plastic with a capacity of no larger than 20 L (5.3 gallons).

When shipping liquids, there must be enough absorbent to absorb the total liquid contents.

Outer packagings must be PG III UN rated drums, PG II fiberboard boxes with inner liners, or PG II fiberboard or composite IBCs with inner liners. Certain high-hazard materi-als require stronger outer packagings.

The gross weight of each package may not exceed 205 kg (452 lbs.).

The following materials may NOT be shipped in lab packs:

• A material poisonous by inhalation

• A Division 6.1, PG I material

• Chloric acid

• Fuming sulfuric acid

• Class 1 explosives

• Class 2 gases

• Division 6.2 infectious material

• Division 7 radioactive material

Super-Packaging [49 CFR 173.13]

The “super-packaging” exception permits small quantities (generally 1 liter or less) of most medium hazard materials to be shipped without labels or placards. To do this, the haz-ardous materials:

• Must be transported by motor vehicle, rail car, or aircraft (additional require-ments apply when transporting by air-craft); and

• Require extensive packaging (multiple layers); and

• Must be hermetically sealed.



Notes:

Page 158


Salvage Drums [49 CFR 173.3(c)]

Packages of hazardous materials that are damaged, defective, or leaking; packages found to be not conforming to the require-ments of this subchapter after having been placed in transportation; and, hazardous mate-rials that have spilled or leaked may be placed and transported in salvage drums, provided the following conditions are met:

• The drums must be shipped for repackag-ing or disposal.

• The drums must be metal or plastic re-movable head salvage drums (UN 1A2, 1B2, 1N2 or 1H2) that have been tested and marked for Packing Group III or higher (alternatively, a salvage packaging marked “T” in accordance with applica-ble provisions in the UN recommenda-tions may be used).

• The drums must be compatible with the ladings.

• The drums must have sufficient cushion-ing and absorbent material to prevent excess shifting of the damaged packaging and to eliminate any free liquids (when necessary).

– All cushioning must be compatible with the hazardous material.

• The drum must be properly marked with the name and address of the consignee, the Proper Shipping Name of the material inside, labeled with appropriate hazard labels, and include the word “SALVAGE” in lettering at least 12 mm (0.5 in.) high.



Certification (DOT)




CONTENTS

Step 4—Marking and Labeling ........................................................................................159

General Requirements for Markings and Labels ...........................................................160

Marking and Labeling Requirements for Fully Regulated Non-bulk Packages .......162

Alternative Marking and Labeling Requirements for Exception Packages ..............170

Marking and Labeling Requirements for Salvage Packagings and Overpacks ........174

Marking Identification Numbers on Bulk Packages and Transport Vehicles............176

Special Bulk Package and Container Marking and Labeling Requirements .............179

DOT Labels .........................................................................................................................182

Checklist: Fully Regulated Non-bulk Package ..............................................................184

Checklist: Limited Quantity Non-bulk Package Shipped by Other Than Air ..........186

Checklist: Intermediate Bulk Containers (IBCs) ............................................................187

Checklist: Cargo Tanks ......................................................................................................189

Checklist: Tank Cars ..........................................................................................................190

Checklist: Portable Tanks ..................................................................................................191

Checklist: Multi-unit Tank Car Tanks .............................................................................193

Checklist: Freight Containers ...........................................................................................194



Notes:

Page 159

STEP 4—MARKING AND LABELINGHow Do We Let People Know What’s in the Package?



Table 172.101,

Column 6

Codes for required labels per Proper Shipping Name

172, Subpart D

Rules for marking packages, overpacks, transport vehicles, and freight containers

172, Subpart E

Rules for labeling packages, overpacks, and freight con-tainers


The fourth step in the hazmat shipping process is to properly mark and label the pack-age of hazardous material. As part of this step, the shipper must determine:

• The marking requirements that apply to each package.

• The marking requirements that apply to the transport vehicle or freight container containing the packages.

• The standards that the markings must meet.

• The labels that are required for each package.

• The requirements for displaying the labels.

What You Need to Know

To properly mark and label packages, you must know things such as:

• The material’s primary and subsidiary hazards.

• The material’s Proper Shipping Name.

• Whether the material meets the DOT’s definition of:

– Hazardous waste,

– Hazardous substance,

– Marine pollutant, or

– Elevated-temperature material.

• The type of packaging being used to ship the material.

• Whether the material is being shipped under a special permit.

• Whether the material is being shipped under a limited quantity exception.



Notes:

Page 160

GENERAL REQUIREMENTS FOR MARKINGS AND LABELS

Markings vs. Labels

Although markings and labels are both types of DOT communications and the terms are sometimes used interchangeably, they are NOT actually the same things. There are very specific rules for what you have to mark on your hazmat packages and how you mark them and other rules for what labels you put on the package and how you do that.

In general, markings are normally used on both bulk and non-bulk packagings. Markings:

• Identify what the material in the package actually is.

• Provide emergency response information.

• Identify the shipper’s or the consignee’s name and address.

• Identify special handling precautions.

Labels are typically only used on non-bulk packages of hazardous materials (whereas bulk packages are usually placarded instead). Labels:

• Identify the hazards of the material (e.g., flammable liquid or corrosive material).

• Identify special handling precautions.

General Requirements for Markings [49 CFR 172.304]

Regardless of what you’re marking, at a minimum, all markings required by 49 CFR 172, Subpart D must be:

• Durable, in English, and printed on or affixed to the surface of a package or on a label, tag, or sign.

• Displayed on a background of sharply contrasting color.

• Unobstructed by labels or attachments.

• Located away from any other marking (such as advertising) that could substan-tially reduce their effectiveness.

In most cases, markings are only required to be placed on one side of the package.

Specifications for Non-bulk Markings

There is no standardized form for how most markings are placed on a non-bulk pack-age. You could use a preprinted sticker, print the information on a tag, or just write the infor-mation directly on the package itself with a permanent marker.



Notes:

Page 161

General Requirements for Markings and Labels, continued

Minimum Marking Size for Non-bulk Packages [49 CFR 172.301(a)(1)]

When marking the UN identification number on a package or overpack, the mark-ings must be:

• At least 12 mm high (0.5 in. high) for packages greater than 30 L or 30 kg in size.

• At least 6 mm high (0.25 in. high) for packages > 5 L or 5 kg, but less ≤ 30 L or 30 kg in size.

• An appropriate height for packages 5 L or 5 kg or less in size.

NOTE: Although there are no specific require-ments for the size of other non-bulk package/overpack markings, it is recommended that they meet the above size requirements as well.

General Requirements for Labels [49 CFR 172.404 and 172.406]

Labels must be printed on or affixed to a surface (other than the bottom) of the pack-age. If you have more than one hazardous material packed together in the same outer packaging (e.g., a flammable liquid and a cor-rosive liquid, each in their own can, together in a box), then you must use the hazard class labels for all the hazards in the package. The specific label codes are listed in Column 6 of the 172.101 Table.

In addition, labels must be:

• Located on the same surface of the package and near the Proper Shipping Name marking (when package dimen-sions allow).

• Printed on or affixed to a background of contrasting color or have a dotted- or solid-line outer border.

• Unobscured and clearly visible.

If the material being shipped poses more than one hazard, both the primary and the subsidiary hazard labels must be displayed. These labels must be placed within 150 mm (6 inches) of each other.

In most cases, labels are only required to be placed on one side of the package.

NOTE: Duplicate labeling for the same hazard generally is not required.

Specifications for Labels [49 CFR 172.407]

Labels, unlike most markings, must meet very specific, detailed DOT standards for dura-bility, size, shape, colors, symbols, and text.

NOTE: DOT regulations do not require text that lists the hazard class name on the labels although it is allowed. The one exception to this is for Class 7 Radioactives. In this case, the label must include the word “Radioactive.”



Notes:

Page 162

MARKING AND LABELING REQUIREMENTS FOR FULLY REGULATED NON-BULK PACKAGES

Fully Regulated Packages – Standard Markings and Labels [49 CFR 172.301(a) and (d) and 172.400(a) and 172.402]

With limited exceptions, fully regulated non-bulk packages must be marked and labeled with ALL of the following information:

• Proper Shipping Name.

• UN or NA identification number.

• The name and address of the shipper OR the receiver.

• All applicable primary and subsidiary hazard class labels.



Notes:

Page 163

Marking and Labeling Requirements for Fully Regulated Non-bulk Packages, continued

Fully Regulated Packages – Additional Markings and Labels

Certain kinds of shipments of fully regulated packages will require special markings and/or labels in addition to the standard markings and labels required on all fully regulated packages.

Combination Packages Containing Liquids [49 CFR 172.312]

With limited exceptions, combination packages containing liquids must be marked with orienta-tion arrows. The arrows must be:

• Placed on two opposing sides.

• Either red or black.

• Underlined.

The arrows may be outlined with a box, but this is optional.

NOTE: The orientation arrows are NOT required to be placed on the same side as other required markings and labels.



Notes:

Page 164


“Generic” Proper Shipping Names [49 CFR 172.301(b)]

When shipping hazardous materials described by “generic” Proper Shipping Names, the techni-cal name(s) of the hazardous material(s) must be marked on the package:

• Names must be added in parentheses in association with the Proper Shipping Name.

• If the material is a mixture, then at least the two components that most predominantly contrib-ute to the hazard(s) must be included.



Notes:

Page 165


Hazardous Wastes [40 CFR 262.32]

When shipping hazardous wastes, the US EPA requires the following information to be marked on non-bulk packages:

• The generator’s name and address.

• The generator’s EPA identification number.

• The manifest tracking number.

• The hazardous waste codes.

• The statement: “HAZARDOUS WASTE - Federal Law Prohibits Improper Disposal. If found, contact the nearest police or public safety authority or the US Environmental Protec-tion Agency.”



Notes:

Page 166


Hazardous Substances [49 CFR 172.324]

When shipping hazardous substances:

• The letters “RQ” must be added to the package marking in association with the Proper Ship-ping Name.

• If the technical name of the hazardous substance is not identified by the Proper Shipping Name:

– The technical name must be added in parentheses in association with the Proper Shipping Name.

– At least the two hazardous substances with the lowest reportable quantities must be indi-cated, if the material contains two or more hazardous substances.

NOTE: F-, K-, or D-numbered waste codes may be used as technical names when shipping hazardous waste if no better choice is available.



Notes:

Page 167


Marine Pollutants [49 CFR 172.322]

When shipping non-bulk packages of marine pollutants by vessel, the package must be marked with:

• The “Dead Tree and Fish” (i.e., MARINE POLLUTANT) mark (near the hazard label).

• The technical name of the marine pollutant in association with the Proper Shipping Name (if not indicated by the Proper Shipping Name). If the material contains more than one marine pollutant, then at least the two components that most predominantly contribute to the marine pollutant designation must be included.

The mark must measure four inches on each side unless the package is too small for that size of a mark.

NOTE: Marine pollutants that are packaged in single or combination packages containing a maxi-mum net quantity (per single package or inner packaging) of 5 L (1.3 gal.) or less for liquids or having a net mass of 5 kg (11 lbs.) or less for solids are not required to be marked with the marine pollut-ant mark.



Notes:

Page 168


Special Permits [49 CFR 172.301(c)]

If a material is being shipped under a special permit, then the package must be plainly and dura-bly marked “DOT–SP,” followed by the special permit number assigned to the shipment.

.

Cargo Aircraft Only Label [49 CFR 172.101(j) and 172.402(c)]

The “Cargo Aircraft Only” label is required on packages and overpacks containing hazardous materials that are only permitted for carriage on cargo aircraft. When required, the “CARGO AIR-CRAFT ONLY” label must be placed on the same surface of the package as the hazard labels.

NOTE: The “CARGO AIRCRAFT ONLY” label CANNOT be used on a package that is within the quantity limits for transportation on passenger aircraft and has been prepared according to the pack-aging instructions for passenger aircraft, even if that package is being transported on cargo aircraft or transported together with other packages marked “CARGO AIRCRAFT ONLY.”



Notes:

Page 169


Division 4.1 Self-Reactive Substances and Division 5.2 Organic Peroxides [49 CFR 172.317]

ALL packages transported by AIRCRAFT containing self-reactive substances of Division 4.1 or organic peroxides of Division 5.2 must be marked with the “KEEP AWAY FROM HEAT” marking.

Poisons [49 CFR 172.313]

Materials that are poisonous by inhala-tion must be marked with the words “Inha-lation Hazard” in association with required labels and the Proper Shipping Name. (If these words appear on the label, it is not required to mark them.)

Plastic outer single or composite packag-ing must be permanently embossed with the word “POISON” within 6 inches of the closure in letters at least 0.25 inches high.

Packages containing Packing Group III poisons may be marked with the words “PG III” next to the POISON label.

Explosives [49 CFR 172.320]

With limited exceptions, packages contain-ing explosives must be marked with the “EX– number” for each substance, article, or device that they contain. In some cases, the package may instead be marked with a national stock number issued by the Department of Defense or other identifying information, such as a product code.

When more than five different Class 1 materials are packed in the same package, the package may be marked with only five of the EX–numbers, national stock numbers, product codes, or a combination thereof.

Additional Subsidiary Hazard Labeling [49 CFR 172.402 and 173.225]

In addition to the subsidiary hazard labels indicated for each material in Column 6 of the 172.101 Table, the following materials are sub-ject to additional subsidiary hazard labeling requirements:

• Explosives (Class 1) that also meet the definition for Division 6.1, PG I or II ma-terials or Class 7 materials.

• Oxidizing and Poison Gases (Divisions 2.2 and 2.3).

• Organic peroxides as indicated by special provisions in Column 7 of the 172.101 Table for certain Proper Shipping Names and the “Notes” Column of the Organic Peroxide Table.



Notes:

Page 170

ALTERNATIVE MARKING AND LABELING REQUIREMENTS FOR EXCEPTION PACKAGES

The following packages are NOT subject to the standard marking requirements; rather, they have their own set of marking requirements.

Limited Quantities [49 CFR 172.312 and 172.315]

Limited quantity packages must be marked with:

• A white square-on-point “limited quantity” marking.

• Orientation arrows (when applicable).

The marking must have minimum dimensions of 100 mm on each side, unless the packaging size requires a reduced size marking, in which case, the dimensions must be no less than 50 mm on each side.



Notes:

Page 171

Alternative Marking and Labeling Requirements for Exception Packages, continued

Hazardous Substances and Hazardous Wastes [49 CFR 172.315(a)]

If a limited quantity shipment meets the definition of a hazardous substance or hazardous waste, then it is subject to all of the standard marking requirements for those materials (e.g., inclusion of the letters “RQ” and technical names when needed for a hazardous substance, or inclusion of the gener-ator's EPA ID number and the hazardous waste statement for a hazardous waste).

The "Air" Limited Quantity Marking [49 CFR 172.315(b)]

If the package has been prepared in accordance with the requirements for air shipments (i.e., it meets the quantity limits and additional packaging provisions for air), then the “air eligible limited quantity mark” may be used in place of the ground/vessel version. In addition, all the standard marks and labels required under the IATA rules must be applied.



Notes:

Page 172


Small Quantities for Highway and Rail [49 CFR 173.4]

When shipping a package prepared as a “small quantity” by highway or rail, the pack-age must ONLY be marked with the statement: “This package conforms to 49 CFR 173.4 for domestic highway or rail transport only.”

Excepted Quantities for Highway and Rail [49 CFR 173.4a]

When shipping a package prepared as an excepted small quantity, the package must ONLY be marked with the “excepted quan-tity” marking.

• The "*" must be replaced with the hazard class or division of the materials.

• The "**" must be replaced with the name of the shipper or consignee if this in-formation is not found elsewhere on the package.

• The marking must have minimum dimen-sions of 100 mm by 100 mm.



Notes:

Page 173


Super Packaging [49 CFR 173.13]

A package shipped under the rules for “super packagings” must be marked with:

• The Proper Shipping Name.

• The UN identification number.

• The shipper or the receiver’s name and address.

• Orientation arrows (when applicable).

• The statement: “This package conforms to 49 CFR 173.13.”

NOTE: Hazard labels are not required; how-ever, the “CARGO AIRCRAFT ONLY” label must be used if applicable.

"Empty" Radioactive Packagings [49 CFR 172.450 and 173.428]

Provided they meet certain conditions, packages that previously contained radioac-tive materials but have been "emptied of con-tents as far as practicable" must be marked and labeled with:

• The UN Identification number

• The "Empty" label

NOTE: Any hazmat labels previously applied must be removed, obliterated, or covered by the "Empty" label.



Notes:

Page 174

MARKING AND LABELING REQUIREMENTS FOR SALVAGE PACKAGINGS AND OVERPACKS

Salvage Packagings [49 CFR 173.3]

Salvage drums and large salvage packag-ings must be marked and labeled with:

• The Proper Shipping Name of the hazmat it contains.

• The consignee’s name and address.

• The word “SALVAGE” in letters at least 12 mm (0.5 in.) high.

• All applicable hazard class labels.

NOTE: Marking/labeling requirements differ for other types of salvage packaging (e.g., sal-vage cylinders.)



Notes:

Page 175

Marking and Labeling Requirements for Salvage Packagings and Overpacks, continued

Overpacks [49 CFR 173.25]

If the required marks and labels on the packages inside the overpack—including the orientation arrows—are not visible, they must be repeated on the outside of the overpack. Orientation arrows should be marked on two opposing sides.

NOTE: The UN specification marking indicated on the packages inside the overpack must NOT be repeated on the outside of the overpack.

When UN specification packagings are required, the overpack must be marked with the word “OVERPACK” unless the UN specification markings on the packages inside the overpack remain visible.

Overpacks containing limited quantity or excepted quantity packages must be marked with the limited quantity or excepted quantity marking, respectively.



Notes:

Page 176

MARKING IDENTIFICATION NUMBERS ON BULK PACKAGES AND TRANSPORT VEHICLES

Bulk Packages

Unless specifically excepted, ALL bulk packages must be marked with the four-digit UN or NA identification number of the mate-rial that they contain as follows:

Bulk Packaging Number of UN ID# Markings

Portable tank (49 CFR 172.326)

On two oppos-ing sides

Cargo tank (49 CFR 172.302 and 172.328):

• Capacity ≥ 3,785 L (1,000 gal.)

On each side and each end

• Capacity < 3,785 L (1,000 gal.)


Cylinders permanently installed on a tube trailer (49 CFR 172.302)


Tank cars (49 CFR 172.330)


Multi-unit tank car tanks (49 CFR 172.330)


Other bulk packagings, including IBCs (49 CFR 172.302 and 172.331):

• Capacity ≥ 3,785 L (1,000 gal.)


• Capacity < 3,785 L (1,000 gal.)


Transport Vehicles and Freight Containers

Containing Bulk Packages [49 CFR 172.331]

If a bulk package is loaded into a vehicle or freight container and the UN identification number markings on the bulk packages are not visible, then the vehicle or freight container must be marked with the UN ID number on all four sides.

Containing Non-bulk Packages [49 CFR 172.301(a)(3)]

Transport vehicles and freight containers containing non-bulk packages must be marked on all four sides with the UN ID number for the material inside if ALL of the following con-ditions are met:

1. The non-bulk packages are required to be marked with the UN ID number (i.e., the packages are not excepted from the UN ID number marking requirement).

2. Each package is marked with the same Proper Shipping Name and UN ID num-ber.

3. The aggregate gross weight of the hazard-ous material is 4,000 kg (8,820 lbs.) or more.

4. All of the material is loaded at one load-ing facility.



Notes:

Page 177

Marking Identification Numbers on Bulk Packages and Transport Vehicles, continued

5. The vehicle or freight container contains no other material of any kind.

Displaying ID Numbers on Bulk Packages, Transport Vehicles, and Freight Containers [49 CFR 172.332 and 172.336]

When required to be marked on a bulk package, transport vehicle, or freight con-tainer, the UN ID number must be displayed one of three ways:

1. On an “orange panel”

2. On a placard (not allowed on a RADIO-ACTIVE, EXPLOSIVES, DANGEROUS or subsidiary hazard placards)

3. On a plain “white square-on-point”

The Orange Panel

If the package is required to be placarded under 49 CFR 172.504 and the UN ID number will be displayed on the orange panel, then the panel must be displayed “in close proximity to” the placard. [49 CFR 172.334(f)]

The orange panel must be 160 mm (6.3 inches) high by 400 mm (15.7 inches) wide with a 15 mm (0.6 inches) black outer border. The identification number shall be displayed in 100 mm (3.9 inches) black Helvetica Medium numerals.

Identification Numbers on Placards

When shown on a placard, the UN identi-fication number must be displayed across the center area of the placard in 88 mm (3.5 inches) black Alpine Gothic or Alternate Gothic No. 3 numerals on a white background 100 mm (3.9 inches) high and approximately 215 mm (8.5 inches) wide.

NOTE: In this case, the marking is not the plac-ard—it is being displayed on the placard.



Notes:

Page 178

Marking Identification Numbers on Bulk Packages and Transport Vehicles, continued

Identification Numbers on White Square-on-points

A white square-on-point has the same dimensions as a placard; however, it is consid-ered to be a marking, not a placard.

The UN identification number must be displayed across the center area of the square-on-point in 88 mm (3.5 inches) black Alpine Gothic or Alternate Gothic No. 3 numerals on a white background 100 mm (3.9 inches) high and approximately 215 mm (8.5 inches) wide.



Notes:

Page 179

SPECIAL BULK PACKAGE AND CONTAINER MARKING AND LABELING REQUIREMENTS

IN ADDITION to marking the UN ID number on the bulk package, many shipments of hazardous materials require additional information to be marked on a bulk package, transport vehicle, or freight container. These additional requirements are determined by the type of packaging that is being used and/or the type of material that is being shipped.

Minimum Size Requirements [49 CFR 172.302(b)]

Except where otherwise specified (e.g., for identification numbers) markings on bulk packagings must meet the following mini-mum size requirements:

• A width of at least 6.0 mm (0.24 inch) and a height of at least 100 mm (3.9 inches) for rail cars

• A width of at least 4.0 mm (0.16 inch) and a height of at least 25 mm (one inch) for portable tanks with capacities of less than 3,785 L (1,000 gallons) and IBCs

• A width of at least 6.0 mm (0.24 inch) and a height of at least 50 mm (2.0 inches) for cargo tanks and other bulk packagings

Special Requirements Based on Type of Packaging

Marking and Labeling Portable Tanks [49 CFR 172.326, 172.336(d), and 172.400(a)]

Portable tanks used to ship hazardous materials must be marked with:

• The Proper Shipping Name of the materi-al on two opposing sides.

• The name of the owner of the por-table tank.

Portable tanks having a capacity of less than 3,785 L (1,000 gallons) may be labeled on two sides instead of placarded.

If a portable tank is labeled instead of plac-arded, the UN ID number marking may be dis-played on the package in the same manner as required for non-bulk packagings (i.e., includ-ing the letters “UN” (or “NA”) and not need-ing to be on a placard, white square-on-point, or orange panel).

Marking Cargo Tanks Containing Class 2 Gases [49 CFR 172.328]

A cargo tank used to transport Class 2 material (gases) must be marked on all four sides with the Proper Shipping Name or an appropriate common name (e.g., “refrigerant gas”) for the material that it contains.



Notes:

Page 180

Special Bulk Package and Container Marking and Labeling Requirements, continued

Marking Tank Cars and Multi-Unit Tank Cars [49 CFR 172.330]

Tank cars carrying certain shipments of hazardous materials specified at 49 CFR 172.330(a)(1)(ii) (e.g., ammonia anhydrous, liquefied, hydrofluoric acid, solution, and all Division 2.1 and Division 2.3 materials) must be marked on each side with key words of the Proper Shipping Name specified for the material in the 49 CFR 172.101 Table or with a common name authorized for the material in the hazmat regulations.

All multi-unit tank car tanks must be marked with the Proper Shipping Name spec-ified for the material in the 172.101 Table or with a common name authorized for the mate-rial in the hazmat regulations.

Marking and Labeling IBCs [49 CFR 172.336(d) and 172.400(a)]

An IBC with a volumetric capacity of less than 18 m3 (640 cubic feet) may be labeled on two sides instead of placarded.

If an IBC is labeled instead of placarded, the UN ID number marking may be displayed on the package in the same manner as required for non-bulk packagings (i.e., including the letters “UN” (or “NA”) and not needing to be on a placard, white square-on-point, or orange panel).

Special Requirements Based on Type of Material

Poisonous by Inhalation Materials [49 CFR 172.313]

Materials that are poisonous by inhalation must be marked with the words "Inhalation Hazard" in association with required placards/labels and the Proper Shipping Name UNLESS these words appear as part of the placard or label. The marking must be on two opposing sides of the package.

NOTE: In certain circumstances, such as when the material being transported is assigned to Hazard Zone A or B, transport vehicles and freight containers containing material poison-ous by inhalation in non-bulk packages must be marked on all four sides with the UN iden-tification number of the material.

Marine Pollutants [49 CFR 172.322]

Bulk packages must be marked as follows:

• Small “Dead Tree and Fish” mark on two opposing sides if capacity < 3,785 L (1,000 gallons); or

• Large “Dead Tree and Fish” mark on all four sides if capacity ≥ 3,785 L.



Notes:

Page 181

Special Bulk Package and Container Marking and Labeling Requirements, continued

Freight containers and transport vehicles containing packages subject to the marine pollutant marking requirements must be marked with the marine pollutant mark on all four sides.

The marine pollutant mark must measure at least:

• Four inches on each side for bulk pack-ages with capacities of less than 3,785 L (1,000 gallons).

• Ten inches on each side for bulk packages with capacities greater than or equal to 3,785 L (1,000 gallons).

NOTE: The marine pollutant mark is not required if the package is labeled or placarded AND the package is NOT shipped by vessel.

Infectious Substances [49 CFR 172.323]

Bulk packages containing regulated medi-cal waste must be marked with:

• The BIOHAZARD marking on two opposing sides, if the capacity < 3,785 L (1,000 gallons); and

• The BIOHAZARD marking on all four sides, if the capacity ≥ 3,785 L.

Transport vehicles and freight containers containing packages marked with the BIO-HAZARD marking must be marked with the BIOHAZARD marking on four sides.

The biohazard marking must measure at least six inches on each side.

Elevated-temperature Materials [49 CFR 172.325]

Bulk packages containing elevated-tem-perature materials must be marked on two opposing sides with either:

• The “HOT” marking; or

• The words “MOLTEN ALUMINUM" or “MOLTEN SULFUR,” as applicable.

Unodorized Liquefied Petroleum Gas (LPG) [49 CFR 172.326(d), 172.328(e), and 172.330(c)]

Unodorized liquefied petroleum gas cannot be offered for transport in a portable tank, cargo tank, tank car, or multi-unit tank car tank unless it is legibly marked "NON–ODORIZED" or "NOT ODORIZED" on two opposing sides near the marked Proper Ship-ping Name or near the placards.



Page 182

DOT LABELS49 CFR 172,Subpart E


DOT Labels, continued


Page 183

For exact wording, see 49 CFR 172.407–172.450.



Page 184

CHECKLIST: FULLY REGULATED NON-BULK PACKAGE

Required Marks

Proper Shipping Name [49 CFR 172.301(a)]

UN or NA ID number [49 CFR 172.301(a)]

Shipper or receiver’s name and address Few exceptions [49 CFR 172.301(d)]

Required Labels

Primary AND subsidiary hazard labels for all hazards present Few exceptions [49 CFR 172.400 and

172.400a] Precaution or handling labels, as

required [49 CFR 172.402] Cargo Aircraft Only label Radioactive label Explosives label Oxidizing Gas label Poison Gas label

Special Marking Situations

Technical name(s) [49 CFR 172.301(b)], as required for: Generic Proper Shipping Names Marine pollutants Hazardous substances

Orientation arrows for liquids in combi-nation packaging [49 CFR 172.312]

RQ mark, as required if shipping a haz-ardous substance [49 CFR 172.324]

Hazardous Waste markings, as required [40 CFR 262.32]

Marine Pollutant mark, if required [49 CFR 172.322]

DOT-SP#### or DOT-E#### as required, if package is being shipped under a spe-cial permit [49 CFR 172.301(c)]

Appropriate Poison mark(s), as required when shipping Class 6.1 and/or Divi-sion 2.3 [49 CFR 172.313]

KEEP AWAY FROM HEAT mark, as required when shipping Class 4.1 or Class 5.2 by air [49 CFR 172.317]

EX number mark(s), as required when shipping Class 1 explosives [49 CFR 172.320]


Checklist: Fully Regulated Non-bulk Package, continued


Page 185

Special Marking Situations— applies to vehicles or freight containers

If ≥ 4,000 kg (8,820 lbs.) aggregate gross weight of a single hazardous material are loaded at the same location and no other hazmat is on the vehicle or in the container, THEN the UN ID or NA number must be marked: On each side and each end. [49 CFR

172.301(a)(3)] See exceptions. [49 CFR

172.301(a)(3)(v)] If ≥ 2,205 lbs. aggregate gross weight of

a Poison Inhalation Hazard (PIH) are loaded at one facility, THEN the UN ID or NA number must be marked: On each side and each end. [49 CFR

172.313(c)]



Page 186

CHECKLIST: LIMITED QUANTITY NON-BULK PACKAGE SHIPPED BY OTHER THAN AIR

Required Marks [49 CFR 172.315(a)]

Limited quantity marking

Required Labels

Excluded from hazard labeling require-ments [49 CFR 173.150 to 173.155 and 173.306]

Special Marking Situations

The letters “RQ” if the quantity in the package equals or exceeds its RQ value Mark the Proper Shipping Name and

technical names of the hazardous substances if they are not identified by the PSN [49 CFR 172.324]

Mark the UN identification number and shipper or receiver's name and address [49 CFR 172.301 and 172.324]

All required hazardous waste markings if hazardous waste [49 CFR 172.301 and 40 CFR 262.32(b)]

Package orientation marking (i.e., “up arrows”) for liquids in combination packaging [49 CFR 172.312] See exceptions [49 CFR 172.312(c)]



Page 187

CHECKLIST: INTERMEDIATE BULK CONTAINERS (IBCS)

Description/Criteria [49 CFR 171.8 and 178, Subpart N]

It’s portable. It’s rigid or flexible. It is designed for mechanical handling. It is NOT a cylinder or portable tank. It has a capacity between 450 and 3,000 L

(approximately 119 to 793 gal.).

Required Marks

UN identification number On two opposing sides

[49 CFR 172.302(a)] By use of any of the following means

[49 CFR 172.331]: Orange panels Placards White square-on-point

configuration

Required Labels vs. Placarding [49 CFR 172.400(a)(2) and 172.514(c)]

— Shipper’s choice

Labeling

One label is required if IBC has a volume < 1.8 m3 (64 ft.3).

Two labels are required on opposing sides if IBC has a volume ≥ 1.8 m3 (64 ft.3). [49 CFR 172.406(e)]

NOTE: The Proper Shipping Name and UN ID number may be marked on the IBC (optional). [49 CFR 172.336(d)]

Placarding

Affix placards on two opposite sides. [49 CFR 172.514(c)]


Checklist: Intermediate Bulk Containers (IBCs), continued


Page 188

Special Marking Situations— applies to IBCs loaded inside a transport vehicle or freight container where the UN ID number on bulk packaging is not visible

UN identification number (on vehicle/ container) On each side and each end

[49 CFR 172.331(c)] By use of any of the following means

[49 CFR 172.332]: Orange panels Placards White square-on-point

configuration



Page 189

CHECKLIST: CARGO TANKS

Description/Criteria [49 CFR 171.8]

It’s a bulk packaging. It’s intended primarily for liquids or

gases. It’s permanently attached to or part of a

motor vehicle. It’s NOT a cylinder, portable tank, or

tank car.

Required Marks

UN identification number [49 CFR 172.302 and 172.332] By means of an orange panel or

placard On each side and each end if capacity

is ≥ 1,000 gallons On two opposing sides if capacity is

< 1,000 gallons

Required Labels

Not applicable [49 CFR 172.514]

Special Marking Situations [49 CFR 172.328] — applies to gases (Class 2) and specific liquids

Proper Shipping Name OR authorized common name (e.g., “Refrigerant Gas”) On each side and each end In letters at least 50 mm high

Placarding

Subject to rules at 49 CFR 172, Subpart F



Page 190

CHECKLIST: TANK CARS

Description/Criteria [49 CFR 179.1(a)]

It is a bulk packaging. It is designed to be mounted on or form

a part of a rail car.

Required Marks

UN identification number [49 CFR 172.332]: On an orange panel or placard On each side and each end In numbers at least 100 mm high

Required Labels [49 CFR 172.400]

Not applicable

EXCEPTION: Some multi-unit tank car tanks may require labels; see separate checklist.

Special Marking Situations— applies to materials listed at 49 CFR 172.330(a)(1)(ii)

Proper Shipping Name or authorized common name [49 CFR 172.330] On each side

Placarding [49 CFR 172.508 and 172.510]

Subject to rules at 49 CFR 172, Subpart F



Page 191

CHECKLIST: PORTABLE TANKS


It is a bulk packaging. It is designed to be loaded onto transport

vehicles or ships. It is equipped with skids, mountings,

etc., for handling. It is NOT a cargo tank, cylinder, multi-unit

tank car tank, or IBC.

Required Marks— applies to portable tanks transported “as is”

Proper Shipping Name (PSN) on two opposing sides, with lettering meeting the following dimensions [49 CFR 172.302 and 172.326]: At least 2 in. high and 6.0 mm (0.24

in.) wide if tank capacity is ≥ 3,785 L (1,000 gal.)

At least 1 in. high and 4.0 mm (0.16 in.) wide if tank capacity is < 3,785 L (1,000 gal.)

Name of owner or lessee (sized as for the PSN) [49 CFR 172.326]

UN ID number [49 CFR 172.326] On orange panel, placard or white

square-on-point [49 CFR 172.332] Placed on each side and each end, if

capacity is ≥ 3,785 L (1,000 gal.) [49 CFR 172.302]

Placed on two opposing sides if capacity is < 3,785 L (1,000 gal.) [49 CFR 172.302]

Required Labels [49 CFR 172.400(a)(3)]— applies to tanks less than 3,785 L capacity

Hazard class label(s) On at least two sides OR two ends of

tanks

EXCEPTION: If the tank is placarded, no labels are required.


Checklist: Portable Tanks, continued


Page 192

Special Marking Situations [49 CFR 172.326(c)(1)]— applies to portable tanks loaded inside a transport vehicle/freight container where the tank markings are not visible

UN identification number On each side and each end of vehicle/

freight container By any of the following means: Orange panels Placards White square-on-point

configuration [49 CFR 172.336(b)]

Placarding [49 CFR 172.514]— applies to tanks ≥ 3,785 L capacity

Use appropriate placards. [49 CFR 172, Subpart F]



Page 193

CHECKLIST: MULTI-UNIT TANK CAR TANKS

Description/Criteria [49 CFR 179, Subpart E]

It is designed to be removed from the rail car for filling and emptying.

Required Marks— applies to portable tanks transported “as is”

Proper Shipping Name (PSN) or autho-rized common name [49 CFR 172.330]: On two opposing sides With lettering meeting the following

dimensions: At least 50 mm (2 in.) high

UN identification number [49 CFR 172.330]: On each side and each end in num-

bers at least 50 mm high; or By means of an orange panel, plac-

ard, or white square-on-point. [49 CFR 172.302 and 172.332]

Required Labels [49 CFR 172.406(e)(3)]

Hazard class label(s) On each end

EXCEPTION: If the tank is placarded, no

labels are required.

Special Marking Situations [49 CFR 172.330(b)]— applies to motor vehicles or rail cars used to transport a multi-unit tank car tank

UN identification number (on vehicle/rail car) On each side and each end By any of the following means: Orange panels Placards White square-on-point

configuration [49 CFR 172.332]



Page 194

CHECKLIST: FREIGHT CONTAINERS


It is reusable. It has a volume greater than or equal to

1.8 cubic meters (64 ft.3). It is intended for containment of packages. It is designed and constructed to be

lifted.

Required Marks

UN identification number marked on each side and each end when freight container: Contains bulk packaging (e.g.,

portable tanks, IBCs) for which UN ID numbers are not visible. [49 CFR 172.326(c)(1), 172.328(a)(3), and 172.331(c)]

Holds 4,000 kg (8,820 lbs.) or more aggregate gross weight of a single hazardous material (and no other material) loaded at one facility. [49 CFR 172.301(a)(3)]

Holds 1,000 kg (2,205 lbs.) or more aggregate gross weight of a poisonous inhalation hazard material in non-bulk packages loaded at one facility. [49 CFR 172.313(c)]

UN identification numbers may be dis-played by any of the following means [49 CFR 172.332 and 172.336]: Orange panels Placards White square-on-point

NOTE: A UN identification number may be displayed on a freight container if it is the cor-rect number for all hazardous materials of the same class inside. [49 CFR 172.334]


Checklist: Freight Containers, continued


Page 195

Required Labels [49 CFR 172.400(a)(5) and 172.512]— applies to freight containers less than 18 m3 in capacity containing a package for which labeling is required

Appropriate labels on at least two sides OR two ends of freight container on or near the closure

EXCEPTION: If the container is placarded, no labels are required.

Special Marking Situations— applies to limited quantity shipments by vessel when freight container contains only packages of hazardous materials in limited quantities

Limited quantity marking On each side and each end With dimensions of at least 250 mm

on each side [49 CFR 172.315(a)(2)]

Placarding [49 CFR 172, Subpart F]— applies to freight containers with a capacity of 18 m3 or more

Use appropriate placards



Certification (DOT)




CONTENTS

Step 5—Shipping Papers ...................................................................................................197

Standard Shipping Paper Descriptions ...........................................................................199

Indicating Quantities on Shipping Papers .....................................................................202

Additional Description Requirements ............................................................................203

Shipper’s Certification .......................................................................................................209

Sample Bill of Lading Explanation ..................................................................................211

DOT Emergency Response Information .........................................................................213

The Hazardous Waste Manifest .......................................................................................216

Retention of Shipping Papers ...........................................................................................219



Notes:

Page 197

STEP 5—SHIPPING PAPERSWhat Information Do We Need to Provide?



172, Sub-part C Rules for shipping papers

172, Sub-part G

Rules for providing emergency response information


The fifth step in the hazmat shipping pro-cess is to create shipping papers to identify and accompany the shipment. Unless a spe-cific exception applies, the shipping papers must include:

• A basic description for the material and any necessary additional descriptions.

• The total quantity of the material be-ing shipped.

• The number and type of packages.

• A shipper’s certification.

• The date of acceptance by the ini-tial carrier.

• An emergency response phone number.

If the shipping paper consists of more than one page, then:

• The pages must be consecutively numbered.

• The first page must have a notation indi-cating the total number of pages.

Emergency Response Information

In addition to the information that is required on a shipping paper, specific emer-gency response information must typically accompany the shipment. This information must be included either on or with the ship-ping papers.

No Standardized Form

The DOT does not have a standardized shipping paper form. A shipping paper may be:

• A bill of lading.

• A hazardous waste manifest.

• A shipping order.

• An invoice.

• A Shipper’s Declaration for Dangerous Goods for air transport.

• Any other form or document, provided it contains the information required by DOT regulations for shipping papers.



Notes:

Page 198

Step 5—Shipping Papers, continued


To properly complete shipping papers, you must know:

• The material’s hazard(s) and Proper Ship-ping Name.

• The total quantity of material being shipped.

• The number and type of packages that will be used for each material be-ing shipped.

• Whether the material meets the DOT’s definition of:

– Hazardous waste,

– Hazardous substance,

– Marine pollutant, or

– Elevated-temperature material.

• Whether the material is being shipped by air.

• Whether the material is being shipped under a special permit.

• Whether the material is being shipped under a “limited quantity” exception.

• The correct procedures and precautions to take in responding to various types of hazmat emergencies.



Notes:

Page 199

STANDARD SHIPPING PAPER DESCRIPTIONS

Entries on Shipping Papers [49 CFR 172.201]

Descriptions of hazardous material entered on shipping papers must:

• Be printed legibly in English.

• Not contain any abbreviations or sym-bols, except as specifically allowed.

• Be distinguished from descriptions of non-hazardous materials by be-ing entered:

– First, or

– In a different color (or highlighted on photocopies), or

– With an “X” or “RQ” (if appropriate) in an “HM” column.

Additional information about the material must be:

• Consistent with the required information.

• Placed after the basic description of the material, unless otherwise permitted.

Basic Description [49 CFR 172.202(a)]

The basic description of a hazardous material on a shipping paper must contain ALL of the following elements in the order shown below:

1. The UN/NA identification number, as shown in Column 4 of the 172.101 Table.

2. The Proper Shipping Name, from Col-umn 2 of the 172.101 Table.

3. The primary hazard class followed by any subsidiary hazard classes (in pa-rentheses), as shown in Columns 3 and 6 respectively of the 172.101 Table.

4. The packing group, as shown in Column 5 of the 172.101 Table, in Roman numerals (not required for articles, gases, explosives, or-ganic peroxides, and self-reactive substances).

Examples

UN 1790; Hydrofluoric acid; 8(6.1); II

UN 1090, Acetone, 3, PG II



Notes:

Page 200

Standard Shipping Paper Descriptions, continued

Required Modifications to the Basic Description – Technical Names [49 CFR 172.202(d)]

In several situations, the DOT requires that the technical names of the constituents making up the hazardous material be added to the basic description. Whenever technical names are required, they must be entered in parentheses and placed either:

• After the Proper Shipping Name, or

• After the basic description.

Optional Modifications to the Basic Description [49 CFR 172.202(a)(3), (a)(4) and 172.202(d)]

The following modifications may be made to the basic description:

• The letters “PG” may be included preced-ing the packing group.

• When technical names are used, appro-priate modifiers such as “contains” or “containing” and/or the percentage of the constituent may also be used.

• Qualifying words such as “mixture” or “solution” may be used.

• The word “Class” or “Division” may be included preceding the primary and/or subsidiary hazards.

• Hazard class names may be added to the basic description either after the numer-ical hazard class indication in the basic description, or after the basic descrip-tion itself.

• The hazard class does not need to be included when shipping materials under the Proper Shipping Name “Combustible liquid, n.o.s.”



Notes:

Page 201

Standard Shipping Paper Descriptions, continued

Examples of Basic Descriptions (Including Optional Modifications)

US DOT Description

UN 3066/Paint related material/8/II

UN1090 - ACETONE - 3 - PG II

UN1790; HYDROFLUORIC ACID; 8(6.1); PG II

UN 1790; Hydrofluoric acid; Class 8 (Division 6.1); II

UN1203, GASOLINE, CLASS 3, PG II

UN1203, Gasoline, 3, Flammable liquid, PG II

UN 1203, Gasoline, 3, II, Flammable liquid

NA 1993 — DIESEL FUEL — 3 —III

UN 1950 / Aerosols / 2.2

UN 1950 / Aerosols, non-flammable, (each not exceeding 1 L capacity) / 2.2

UN 3171 — Battery-powered equipment — 9

NA 1993; Combustible Liquid, n.o.s. (Isophorone); Combustible Liquid; PG III

NA 1993; Combustible Liquid, n.o.s. (Isophorone); PG III

UN1993; Flammable Liquids, n.o.s. (15% xylene and 15% heptane); 3; PG II

UN1993; Flammable Liquids, n.o.s.; 3; PG II (containing xylene and heptane)

UN1993; Flammable Liquids, n.o.s.; 3; PG II (XYLENE, HEPTANE)

NOTE: The various elements of the basic description may be separated by spaces, commas, semico-lons, or any other appropriate form of punctuation.



Notes:

Page 202

INDICATING QUANTITIES ON SHIPPING PAPERS

Indicating Total Quantity [49 CFR 172.202(a) and (c)]

The total quantity of hazardous mate-rial covered by the basic description must be entered on the shipping paper. When indicat-ing quantities:

• Any units appropriate to the material may be used to indicate quantity (e.g., kilograms, pounds, or liters) and these units must be shown.

• Either the gross mass/volume or the net mass/volume may be shown.

NOTE: When shipping explosives, the quan-tity must be the net explosive mass

• The amount may be entered before and/or after the basic description.

• Abbreviations may be used to express units of measure.

Excepted from Total Quantity Indication [49 CFR 172.202(a)(5)]

The following shipments are not required to indicate the exact total quantity of material being shipped:

• Cylinders and bulk packages, provided a general indication of total quantity is shown (e.g., “10 cylinders,” or “1 car-go tank”).

• Packages containing only residue.

In addition, for hazardous materials shipped in salvage packagings, an estimate of the total quantity is considered acceptable.

Indicating Number and Type of Packages [49 CFR 172.202(a)(7)]

The number and type of packages must be indicated for each shipping description on the shipping papers. This information may be sup-plemented with the UN specification packaging code (e.g., “4A” for a fiberboard box), but UN specification packaging codes cannot be used by themselves to describe packaging types. Abbreviations may be used to identify types of packaging.

Examples

12 steel drums or 12 steel drums (1A1)

15 fiberboard boxes or 15 4G fiberboard boxes

5 cylinders or 5 cyl.

5 plastic IBCs or 5 plastic 31H1 IBCs

1 tank truck or 1 TT



Notes:

Page 203

ADDITIONAL DESCRIPTION REQUIREMENTS49 CFR 1 172.203

Generic (“G”) Shipping Names [49 CFR 172.203(k)]

If the Proper Shipping Name is a “generic” name, as identified by the letter “G” in Column 1 of the 172.101 Table, then the technical name of the hazardous material must be added in parentheses. If the material is a mixture, then at least the two components that most predominantly contribute to the hazard(s) must be included. Exceptions are allowed for:

• Lab packs [49 CFR 173.12(d)],

• Class 9 hazardous wastes, and

• “Best guesses” made under 49 CFR 172.101(c)(11).

US DOT Description

UN 1993; Flammable Liquids, n.o.s. (ethanol and toluene); 3; PG II

UN 3143; Dyes, solid, toxic, n.o.s. (methyl orange); 6.1; III

NA 1760, COMPOUNDS, CLEANING LIQUID (20% calcium oxide, 25% sodium hydroxide), Class 8, PG III

UN 2924/Flammable liquids, corrosive, n.o.s./3(8)/II (contains ethanol and ammonia)



Notes:

Page 204

Additional Description Requirements, continued

Hazardous Substances [49 CFR 172.203(c)]

When a hazardous substance is present in a package in an amount equal to or exceeding its reportable quantity (RQ):

• The letters “RQ” must be added before or after the basic description or in an “HM” column if the shipping paper has such a column; and

• The technical name of the hazardous substance must be added to the basic description if the hazardous substance is not identified by the Proper Shipping Name. If the material contains two or more hazardous substances, at least the two with the lowest reportable quantities must be indicated. The EPA F-, K-, or D-numbered hazardous waste code(s) may be used, where appropriate.

US DOT Description

RQ UN 1114, BENZENE, 3, PG II

UN 1114, BENZENE, 3, PG II RQ

RQ UN 1263; Paint Related Material; 3; II (Xylene)

UN 1263; Paint Related Material (Xylene); 3; II RQ

RQ UN 1263; Paint Related Material (xylene and ethylbenzene); 3; II

RQ UN 1993/Flammable liquids, n.o.s./3/II (contains ethyl ether and toluene)

HM US DOT Description

RQ

UN 1114, BENZENE, 3, PG II



Notes:

Page 205


Marine Pollutants [49 CFR 172.203(l)]

When a marine pollutant is present in an amount equal to or in excess of its threshold concentra-tion, add:

• The words “Marine Pollutant” in association with the basic description, and

• The technical name of the marine pollutant to the basic description if the marine pollutant is not identified by the Proper Shipping Name.

NOTE: Except when all or part of transportation is by vessel, marine pollutants in non-bulk packag-ings are not required to include the words “MARINE POLLUTANT” on shipping papers. [Refer to 49 CFR 171.4.]

US DOT Description

UN 1092, Acrolein, stabilized, 6.1(3), PG I Marine Pollutant

UN 1866, Resin solution, 3, III (Dipentene) MARINE POLLUTANT

Special Permits [49 CFR 172.203(a)]

If a shipment is shipped under a special permit, the shipping paper must bear the notation “DOT–SP” (or “DOT-E” where appropriate) followed by the special permit number that has been assigned. The notation must be located so that it is clearly associated with the description to which the special permit applies.

US DOT Description

UN 1830/Sulfuric acid/8/II DOT-SP 9999



Notes:

Page 206


Empties Containing Residues [49 CFR 172.203(e)]

The words “RESIDUE: Last Contained” may be added before or after the basic description of any “empty” package, and must be added either before or after the basic description, or immediately pre-ceding the Proper Shipping Name, for “empty” tank cars containing residues.

US DOT Description

RESIDUE: Last Contained, UN 1090, Acetone, Class 3, PG II

Limited Quantities [49 CFR 172.203(b)]

Shipping papers are not required for limited quantity packages, unless the shipment is a haz-ardous waste, a hazardous substance, a marine pollutant, or an air or vessel shipment. If a limited quantity package is subject to the shipping paperwork requirements, the words “Limited Quantity” or “Ltd. Qty.” must follow the basic description.

HM US DOT Description

RQ

RQ

UN 1114, BENZENE, 3, PG II Limited Quantity

UN 1114, BENZENE, 3, PG II LTD QTY



Notes:

Page 207


Poisonous Materials [49 CFR 172.203(m)]

If the material is poisonous by inhalation, then add the words “Poison-Inhalation Hazard” or “Toxic-Inhalation Hazard” and the hazard zone after the basic description.

US DOT Description

UN 1744, Bromine Solutions 8(6.1), PG I Poison-Inhalation Hazard Zone A

Radioactives [49 CFR 172.203(d)]

The shipping description for a Class 7 radioactive material must include:

• The names of listed radionuclides.

• A description of the chemical and physi-cal form of the material.

• The activity contained in each package of the shipment in terms of the appropriate SI units (Becquerels (Bq), Terabecquerels (TBq), etc.). The activity may also be stat-ed in appropriate customary units (Curies (Ci), milliCuries (mCi), etc.) in parenthe-ses following the SI units.

• The category of the radioactive label (e.g., Radioactive White—1, or Radioactive Yellow—3).

• The transport index for Radioactive II or III.

Cargo Aircraft Only [49 CFR 172.203(f)]

A statement indicating that the shipment is within the limitations prescribed for either passenger and cargo aircraft or cargo aircraft only must be entered on the shipping paper.

Rail Shipment [49 CFR 172.203(g)]

There are special requirements for ship-ping papers for transportation by rail. For instance, a shipping paper prepared by a rail carrier for a rail car, freight container, transport vehicle, or portable tank that contains hazard-ous materials must include the reporting mark and number when displayed on the rail car, freight container, transport vehicle, or porta-ble tank.



Notes:

Page 208


The shipping paper for each DOT-113 tank car containing a Division 2.1 material must contain an appropriate notation, such as “DOT 113”, and the statement “Do not hump or cut off car while in motion.”

When transporting elevated-temperature materials under the exception permitted in §173.247(h)(3), the shipping paper must con-tain as appropriate notation, such as “Maxi-mum operating speed 15 mph.”

Cargo Tanks With Certain Gases [49 CFR 172.203(h)]

Additional information is required for transportation of anhydrous ammonia and liq-uefied petroleum gas by highway in specifica-tion MC 330 or MC 331 cargo tanks.

Shipping by Water [49 CFR 172.203(i)]

Shipping papers for water shipments must include:

• The shipper’s name.

• The minimum flash point if 60°C or below.

• Segregation groups (for materials as-signed “n.o.s.” shipping names that are not included in IMDG segrega-tion groups).

Elevated-temperature Materials [49 CFR 172.203(n)]

The description of an elevated-tempera-ture material must include the word “HOT” immediately before the Proper Shipping Name UNLESS the elevated-temperature material is indicated by the Proper Shipping Name (e.g., when the words “Molten” or “Elevated tem-perature” are part of the PSN).

Organic Peroxides and Self-Reactives [49 CFR 172.203(o)]

Self-reactive materials (Division 4.1) and organic peroxides (Division 5.2) require addi-tional safety and approval information.



Notes:

Page 209

SHIPPER’S CERTIFICATION49 CFR 172.204

Certification Required

Every shipping paper for hazardous mate-rials must bear a required certification state-ment, unless excepted.

Option 1:

“This is to certify that the above-named mate-rials are properly classified, described, packaged, marked and labeled, and are in proper condition for transportation according to the applicable reg-ulations of the Department of Transportation.” [49 CFR 172.204(a)(1)]

Option 2:

“I hereby declare that the contents of this con-signment are fully and accurately described above by the proper shipping name, and are classified, packaged, marked and labeled/placarded, and are in all respects in proper condition for transport accord-ing to applicable international and national gov-ernmental regulations.” [49 CFR 172.204(a)(2)]

Option 3 (for shipments by air):

“I hereby certify that the contents of this consignment are fully and accurately described above by proper shipping name and are clas-sified, packaged, marked and labeled, and in proper condition for carriage by air according to applicable national governmental regulations.” [49 CFR 172.204(c)(1)]

NOTE: The statement, “I declare that all of the applicable air transport requirements have been met,” must be added to the certification if the mode of transport is by air. The word “below” may be substituted for the word “above,” as appropriate.

What Are You Certifying?

By signing a hazardous materials ship-per’s certification, you are certifying that:

• The shipment is properly described and packaged, and the hazards are identified and communicated correctly according to the regulations; and

• All applicable regulatory requirements have been met. A “good faith” effort is NOT enough.

Signatures

The shipper’s certification statement must be signed by an individual representative of the shipper. The signature may be applied manually or mechanically, except in the case of a hazardous waste manifest, for which the signature must be handwritten.

NOTE: Under the EPA’s new “e-Manifest” system, manifests may be sighed electroni-cally. Anyone who needs to sign the manifest, will need to go through a validation process in order to provide e-signatures. The validation



Notes:

Page 210

Shipper’s Certification, continued

process is fairly easy and the system will walk users through it when they register. Accounts are per individual and cannot be shared. Each person who will potentially be expected to sign a manifest will need to go to RCRAInfo and be validated individually.

Exceptions

Except for hazardous wastes, no certifica-tion is required for:

• Hazardous materials offered for transport by motor vehicle and transported:

– By cargo tank supplied by the carrier, or

– By the shipper as a private carrier (un-less the material is to be transferred to another carrier); or

• An empty, but not cleaned, tank car being returned.



Page 211

SAMPLE BILL OF LADING EXPLANATION

All required shipping descriptions must be legibly printed (not written cursive) in English. [49 CFR 172.201(a)(2)]

“HM” Column must precede the “basic description”; one of three options to dif-ferentiate hazardous materials from others. [49 CFR 172.201(a)(1)]

“Empty” packages. [49 CFR 172.203(e)]

Number and type of package may be entered before or after the “basic description.” [49 CFR 172.202(c)(1)]

The words “Poison-In-halation Hazard” or “Toxic-Inhala-tion Hazard” and the hazard zone are required for inhalation hazards. [49 CFR 172.203(m)]

One of two “certifi-cation” options. May be signed by hand, by typewriter, or mechani-cally. [49 CFR 172.204]

Additional certifica-tion statement for air shipments. [49 CFR 172.204(c)(3)]

BILL OF LADING

Shipwell Trucking Corp. (For Common Carriage)

From: ABC Industrial Supply Inc.2500 Industrial ParkwayAnytown, USA 00000

To: Superior Manufacturing1 Commercial BoulevardCorpville, USA 99999

In case of emergency, call:(999) 555-1212

No. & Type of Packages HM Description of ArticlesQty. per Package

Total Qty.

5 Drums X UN 1993; Flammable liquids, n.o.s. (Toluene, Heptane); 3; PG II

310 lbs. 1,550 lbs.

10 Drums X Residue, last contained UN 1206; Heptane; 3; PG II

N/A N/A

10 Drums Hydraulic Oil 360 lbs. 3,600 lbs.

1 Drum X UN 1593; Dichloromethane; 6.1; PG III

610 lbs. 610 lbs.

10 Drums X UN 1823; Sodium hydroxide, solid; 8; PG II

650 lbs. 6,500 lbs.

6 Crates Machine bearings 80 lbs. 480 lbs.

2 Drums RQ UN 1098; Allyl Alcohol; 6.1(3); PG I; Poison-Inhala-tion Hazard; Zone B

350 lbs. 700 lbs.

Shipper’s Certification:

I hereby declare that the contents of this consignment are fully and accurately described above by the Proper Shipping Name, and are classified, packaged, marked, and labeled/placarded, and are in all respects in proper condition for transport according to applicable international and national governmental regulations.

Placards to be offered:

Corrosive

Poison-Inhalation Hazard

Dangerous

Shipping Manager:

_________________________________________________

Date of Acceptance by Carrier:

_____________________


Sample Bill of Lading Explanation, continued


Page 212

BILL OF LADING Emergency response telephone number provided by shipper. [49 CFR 172.201(d) and 172.604]

Total quantity must be indicated before, after, or both before and after the basic descrip-tion. Any units may be used (i.e., metric is not required). [49 CFR 172.202(a)(5) and 172.202(c)(1)]

Generic “n.o.s.” names or names used for mix-ture; requires names of “at least two constit-uents most predomi-nantly contributing to the hazard.” [49 CFR 172.203(k)]

“Basic description” required for all hazard-ous materials includes the UN or NA ID number, Proper Ship-ping Name, hazard class, and packing group, in that order. [49 CFR 172.202(a)(1)–(4)]

The letters “RQ” and the technical name are required for hazardous substances. [49 CFR 172.203(c)]

Suggest documenting placards offered. For required placards, see 49 CFR 172.504.

Shipwell Trucking Corp. (For Common Carriage)

From: ABC Industrial Supply Inc.2500 Industrial ParkwayAnytown, USA 00000

To: Superior Manufacturing1 Commercial BoulevardCorpville, USA 99999

In case of emergency, call:(999) 555-1212

No. & Type of Packages HM Description of ArticlesQty. per Package

Total Qty.

5 Drums X UN 1993; Flammable liquids, n.o.s. (Toluene, Heptane); 3; PG II

310 lbs. 1,550 lbs.

10 Drums X Residue, last contained UN 1206; Heptane; 3; PG II

N/A N/A

10 Drums Hydraulic Oil 360 lbs. 3,600 lbs.

1 Drum X UN 1593; Dichloromethane; 6.1; PG III

610 lbs. 610 lbs.

10 Drums X UN 1823; Sodium hydroxide, solid; 8; PG II

650 lbs. 6,500 lbs.

6 Crates Machine bearings 80 lbs. 480 lbs.

2 Drums RQ UN 1098; Allyl Alcohol; 6.1(3); PG I; Poison-Inhala-tion Hazard; Zone B

350 lbs. 700 lbs.

Shipper’s Certification:

I hereby declare that the contents of this consignment are fully and accurately described above by the Proper Shipping Name, and are classified, packaged, marked, and labeled/placarded, and are in all respects in proper condition for transport according to applicable interna-tional and national governmental regulations.

Placards to be offered:

Corrosive

Poison-Inhalation Hazard

Dangerous

Shipping Manager:

_________________________________________________

Date of Acceptance by Carrier:

_____________________



Notes:

Page 213

DOT EMERGENCY RESPONSE INFORMATION49 CFR 172, Subpart G

Emergency response information must be provided by the shipper in written form and maintained by the carrier throughout trans-portation. The information must be provided either on or with the shipping papers. In addi-tion, shipping papers must show an emergency response telephone number, provided by the shipper, for use in the event of an emergency.

NOTE: Almost any time hazardous materials are offered for transportation, transported, received, stored incidental to transportation, or otherwise handled during transportation, this information must be IMMEDIATELY available for use, and must be immediately available to government representatives responding to or investigating an incident.

Exceptions to the Emergency Response Information Requirements [49 CFR 172.600(d)]

Shipments Excluded from ALL of 49 CFR 172, Subpart G

The emergency response information and telephone number requirements of 49 CFR 172, Subpart G do not apply to any shipment that is not required to have shipping papers. Mate-rials excepted from shipping paper require-ments include:

• Limited quantities (49 CFR 171.8 and 173.150–155);

• Excepted small quantities (49 CFR 173.4);

• Materials of Trade (49 CFR 173.6);

• Wet batteries packaged under 49 CFR 173.159(d) or (e);

• Devices containing mercury packaged under 49 CFR 173.164(b) or (c);

• Engines, vehicles, or equipment contain-ing fuels or batteries, packaged under 49 CFR 173.220 and transported by rail or highway only;

• Carbon dioxide, solid (dry ice) packaged under 49 CFR 173.217.

Shipments Excluded from Emergency Response Telephone Number Requirement

Shipping papers are not required to include an emergency response telephone number for materials properly shipped under the ship-ping names listed at 49 CFR 172.604(d)(2).

Emergency Response Information Content [49 CFR 172.602(a)]

Emergency response information is intended to help emergency responders miti-gate emergencies involving hazardous mate-rials that occur during transport. It is distinct from and IN ADDITION TO material descrip-tions on shipping papers.



Notes:

Page 214

DOT Emergency Response Information, continued

Emergency response information must include, at a minimum:

• The basic description and technical name of each hazardous material;

• Immediate hazards to health;

• Risks of fire or explosion;

• Immediate precautions to be taken in the event of an accident or incident;

• Immediate methods for handling fires;

• Initial methods for handling spills or leaks in the absence of fire; and

• Preliminary first-aid measures.

Providing Emergency Response Information [49 CFR 172.602(b)]

Emergency response information must be printed legibly in English and must be avail-able for use away from the package. There are three options for presenting or providing the required information:

1. On the shipping paper itself;

2. In a document other than the shipping paper, that includes the basic description and technical name of the material (if re-quired by 49 CFR 172.202 and 172.203(k)), and the emergency response information. This might be a Safety Data Sheet or other document (e.g., photocopy the appro-priate page from the DOT’s Emergency Response Guidebook (ERG), add the basic description and technical name, and attach the page to the shipping paper); or

3. In a separate document that cross-refer-ences the basic description of the haz-ardous material on the shipping paper, such as the DOT’s Emergency Response Guidebook.

Can I Just Make Sure the Driver Has the ERG Book?

According to the DOT:

“A shipper might take any of several steps to ensure that the carrier has emergency response information on the vehicle. These steps could include requiring the driver to sign an acknowledg-ment form either separate from or included on the shipping paper, a visual inspection to determine the presence of appropriate guidance material on the vehicle, or a contractual agreement between the shipper and the carrier to maintain emergency response information on the vehicle during trans-portation of the hazardous material. However, if the driver of a vehicle does not have the required emergency response information, the shipper must ensure that a copy of the ERG or equivalent docu-ment accompanies the shipment when it is offered for transportation.” [55 FR 872, January 10, 1990.]

The Emergency Response Telephone Number [49 CFR 172.604(a)]

Anyone who offers hazardous materials for transportation is responsible for providing the emergency response telephone number. The phone number is required so that emer-gency responders can get more specific infor-mation about hazardous materials during transportation incidents.



Notes:

Page 215

DOT Emergency Response Information, continued

Requirements for the Phone Number

There are three basic requirements for the emergency response phone number:

1. It must be entered on the shipping paper. The number must appear:

• Immediately following the description of the material—this option allows the shipper to provide separate numbers for each material if they need to,

• In a single “clearly visible location” on the shipping paper if the same tele-phone number applies to all the haz-ardous materials on the shipping paper (for example: “IN CASE OF EMER-GENCY CONTACT:”), or

• In Block #3 on the Uniform Hazardous Waste Manifest.

2. It must be monitored at all times the haz-ardous material is in transportation (24 hours/day, if necessary).

3. It must be the number of a person who is knowledgeable of the hazards and char-acteristics of the hazardous material being shipped and who has comprehensive emergency response and incident mitiga-tion information for the material.

The number may be answered by:

– The person offering the hazmat for shipment (i.e., the shipper or offeror), or

– An organization or person who accepts responsibility for providing the infor-mation required (e.g., a commercial service).

Regardless of who actually answers the phone and provides the information, the offeror must ensure that the person answering the phone number has received current infor-mation on the material before it is offered for transportation. [49 CFR 172.604]

Shipper’s Name Required for Telephone Number [49 CFR 172.604(b)]

If the shipper’s name is not otherwise read-ily available and clearly visible somewhere on the shipping papers, then either:

• The shipper’s name must be entered be-fore, after, above, or below the emergency response phone number; or

• The shipper’s contract number must be entered with a third-party provider’s phone number.

Example: A freight forwarder receives a shipment and then reships it on a new ship-ping paper using the emergency response tele-phone number from the previous documenta-tion. The original shipper’s name or contract number would need to be added to the new shipping paper, near the telephone number.



Notes:

Page 216

THE HAZARDOUS WASTE MANIFESTA Special Shipping Paper

Required by Both EPA and DOT

The EPA specifically requires generators offering hazardous waste for off-site transpor-tation to prepare and use a Uniform Hazard-ous Waste Manifest to accompany the ship-ment. [40 CFR 262.20]

The DOT allows the Uniform Hazardous Waste Manifest to be used as a shipping paper for hazmat shipments. Therefore, generators do not need to prepare separate documents for their hazardous waste shipments.

NOTE: Because the manifest is serving as the DOT shipping paper for the shipment, it is subject to all of the DOT’s rules for completing shipping papers. In addition, anyone who pre-pares, completes, or signs a hazardous waste manifest must have training as required by the DOT’s hazmat employee training standard under 49 CFR 172, Subpart H.

The New Electronic Manifest System

On June 30, 2018, the use of an electronic manifest (or “e-Manifest”) to track shipments of hazardous waste was authorized. The infor-mation required on paper and e-Manifests is exactly the same, but there are differences in how copies of the manifest are signed, distrib-uted, and maintained by generators, trans-porters, and designated facilities. The use of an electronic manifest is currently voluntary for generators, so paper copies may continue to be used until they are eventually phased out on June 30, 2023.

Accessing Paper vs. e-Manifests

Paper copies of the manifest may only be printed by EPA-approved vendors. The EPA requires all e-Manifests to be submitted to “RCRAInfo,” an online portal that is also used for biennial reports and site notifications in some states.

Completing a Hazardous Waste Manifest

The manifest is composed of 20 different “items” that identify general administrative information about the shipment, the types and amounts of hazardous waste being shipped, and address the chain-of-custody for the ship-ment. When describing the hazardous waste in the shipment:

• Item 9b must be prepared in accordance with the US DOT regulations for material descriptions (i.e. the basic description and any additional required descriptions).

• Items 10 and 12 must be completed using the specific abbreviations for containers and units of measure provided by the EPA in the manifest instructions.

• Item 13 may include up to six hazardous waste codes.



Notes:

Page 217

The Hazardous Waste Manifest, continued

Paper Manifests

When using paper copies of the manifest, the generator, transporter, and the designated facility receiving the hazardous waste must all sign and date the manifest (by hand), and a copy of the manifest bearing all required sig-natures must be returned to the generator. If the generator does not receive the confirmation copy, he or she must follow up with specific investigations and reports. [40 CFR 262.42]

e-Manifests

Individuals MUST go through a valida-tion in order to provide e-signatures on an e-Manifest. Accounts are per individual and CANNOT be shared. The receiving facility will input the information from the e-Manifest into RCRAInfo, and the generator can access the information afterwards through the system.

Container Codes for the Hazardous Waste Manifest

Item #10 (Containers: Number and Type)

Table I—Types of Containers

BA = Burlap, cloth, paper, or plastic bags.

CF = Fiber or plastic boxes, cartons, cases.

CM = Metal boxes, cartons, cases (including roll-offs).

CW = Wooden boxes, cartons, cases.

CY = Cylinders.

DF = Fiberboard or plastic drums, barrels, kegs.

Table I—Types of Containers

DM = Metal drums, barrels, kegs.

DT = Dump truck.

DW = Wooden drums, barrels, kegs.

HG = Hopper or gondola cars.

TC = Tank cars.

TP = Portable tanks.

TT = Cargo tanks (tank trucks).

Unit Codes for the Hazardous Waste Manifest

Item #12 (Units: Weight/Volume)

Table II—Units of Measure

G = Gallons (liquids only)

K = Kilograms

L = Liters (liquids only)

M = Metric Tons (1000 kilograms)

N = Cubic Meters

P = Pounds

T = Tons (2000 pounds)

Y = Cubic Yards

Note: Tons, Metric Tons, Cubic Meters, and Cubic Yards should only be reported in connection with very large bulk shipments, such as rail cars, tank trucks, or barges.


The Hazardous Waste Manifest, continued


Page 218

Please print or type. Form Approved. OMB No. 2050-0039UNIFORM HAZARDOUS

WASTE MANIFEST1. Generator ID

Number2. Page 1 of 3. Emergency Response Phone 4. Manifest Tracking Number

5. Generator's Name and Mailing Address Generator's Site Address (if different than mailing address)

Generator's Phone:6. Transporter 1 Company Name U.S. EPA ID Number

7. Transporter 2 Company Name U.S. EPA ID Number

8. Designated Facility Name and Site Address U.S. EPA ID Number

Facility's Phone:

9a. HM

9b. U.S. DOT Description (including Proper Shipping Name, Hazard Class, ID Number,and Packing Group (if any))

1.

2.

3.

4.

10. ContainersNo. Type

11. TotalQuantity 12. Unit 13. Waste Codes

Wt./Vol.

14. Special Handling Instructions and Additional Information

15. GENERATOR’S/OFFEROR’S CERTIFICATION: I hereby declare that the contents of this consignment are fully and accurately described above by the proper shipping name, and are classified, packaged,marked and labeled/placarded, and are in all respects in proper condition for transport according to applicable international and national governmental regulations. If export shipment and I am the PrimaryExporter, I certify that the contents of this consignment conform to the terms of the attached EPAAcknowledgment of Consent.I certify that the waste minimization statement identified in 40 CFR 262.27(a) (if I am a large quantity generator) or (b) (if I am a small quantity generator) is true.

Generator's/Offeror's Printed/Typed Name Signature Month Day Year

16. International ShipmentsImport to U.S. Export from U.S. Port of entry/exit:

Transporter signature (for exports only): Date leaving U.S.:17. Transporter Acknowledgment of Receipt of MaterialsTransporter 1 Printed/Typed Name Signature Month Day Year

Transporter 2 Printed/Typed Name Signature Month Day Year

18. Discrepancy

18a. Discrepancy Indication Space Quantity Type Residue Partial Rejection Full Rejection

18b. Alternate Facility (or Generator)Manifest Reference Number:

U.S. EPA ID Number

Facility's Phone:18c. Signature of Alternate Facility (or Generator) Month Day Year

. .911 Hazardous Waste Report Management Method Codes (i.e., codes for hazardous waste treatment, disposal, and recycling systems)1. 2. 3. 4.

20. Designated Facility Owner or Operator: Certification of receipt of hazardous materials covered by the manifest except as noted in Item 18aPrinted/Typed Name Signature Month Day Year

EPA Form 8700-22 (Rev. 12-17) Previous editions are obsolete. DESIGNATED FACILITY TO EPA's e-MANIFEST SYSTEM

DESI

GNAT

EDFA

CILI

TYTR

ANSP

ORTE

RIN

T'LGE

NERA

TOR



Notes:

Page 219

RETENTION OF SHIPPING PAPERS

All hazardous material shipping papers must include the date of acceptance by the ini-tial carrier.

NOTE: For rail, vessel, or air shipments, the date on the shipment waybill, airbill, or bill of lading may be used in place of the date of acceptance by the initial carrier.

Retention Times for Shipping Papers OTHER THAN Hazardous Waste Manifests

Requirements for Shippers [49 CFR 172.201(e)]

Shippers must keep a paper or electronic copy of all hazardous materials shipping papers for two years from the date the ship-ment was accepted for transportation by the initial carrier.

Requirements for Carriers [49 CFR 174.24, 175.33, 176.24, and 177.817]

Carriers must keep a copy of the shipping paper for one year from the date it was pro-vided to them.

Retention Times for Hazardous Waste Manifests

Requirements for Shippers [49 CFR 172.201(e)]

The DOT requires that shippers keep copies of hazardous waste shipping papers for at least three years from the date the waste was accepted by the initial carrier.

Requirements for Carriers [49 CFR 174.24, 175.33, 176.24, and 177.817]

Carriers must keep a copy of the hazard-ous waste manifest for at least three years from the date the waste was accepted by the initial carrier.

NOTE: The US EPA also requires generators and transporters to keep copies of the haz-ardous waste manifest for at least three years from the date the waste was accepted by the initial carrier and also requires the receiving treatment, storage, or disposal facility (TSDF) to keep a copy of the manifest for three years. [40 CFR 262.40, 263.22, and 264.71]



Notes:

Page 220

Retention of Shipping Papers, continued

Recordkeeping [49 CFR 174.24(b), 175.33, 176.24(b), and 177.817(f)]

Records must be made available for inspection by DOT representatives, at the prin-cipal place of business of the shipper or carrier.

Special Situations

The DOT provides some reliefs and clari-fication for four “special situations” for when people have convinced the DOT that the reten-tion rules do not work:

1. Companies that provide shipping papers for shippers take on the responsibility of shipping paper retention.

2. If a shipping paper is used in addition to a hazardous waste manifest, a copy of that shipping paper must be retained for three years after the material is accepted by the initial carrier.

3. Companies using a “permanent” ship-ping paper with the same shipping name and identification number for the mate-rials they offer may keep a single copy of the shipping paper (instead of a copy for each shipment) as long as a running record is kept for each shipment made.

4. Shipping papers for rail shipments are allowed to use the date on the shipment’s waybill or bill of lading, since the date of acceptance may be different from the date the carrier was notified the shipment was ready.



Certification (DOT)




CONTENTS

Step 6—Placarding .............................................................................................................221

DOT Placards ......................................................................................................................223

Placarding Requirements ..................................................................................................225

Providing and Displaying Placards .................................................................................228

Placarding Exceptions .......................................................................................................230

Placarding Summary .........................................................................................................231



Notes:

Page 221

STEP 6—PLACARDING49 CFR 172, Subpart F



172, Sub-part F

Rules for placarding packages, transport vehicles, and freight containers

172, Sub-part H

Rules requiring detailed training for anyone “directly affecting” safety of hazardous materials transportation


The shipper of a material (the person “offering”) must ensure that the material is properly “described” [see 49 CFR 173.22]. This includes ensuring that the proper placards are provided and/or affixed, as required.

The sixth step in the hazmat shipping pro-cess is to identify bulk packages (e.g., cargo tank, tank car, and portable tank), transport vehicles, and freight containers that contain hazardous materials through the use of plac-ards. In order to do this, the shipper must determine:

• Whether or not placards are required for the package or shipment of packages.

• Which placards are required.

• How the placards must be displayed.


To properly placard, you must know:

• The primary hazard (and in some cases, the subsidiary hazards) of all materials in each package.

• The total quantity of each hazard class/division offered.

• The packaging type (i.e., bulk vs. non-bulk).

Labels vs. Placards

Labels and placards are both forms of communication and serve similar purposes in describing the dangers of hazardous mate-rials. There are, however, key differences between them.

Labels

Labels are diamond-shaped (“square-on-point”) devices typically used to identify hazards on non-bulk packages, although they may be placed on certain small bulk packages as well. In most cases, shippers are required to:

• Label both the primary and subsidi-ary hazards posed by the materials in the package.

• Place hazard labels on one side of the package.



Notes:

Page 222

Step 6—Placarding, continued

Placards

Placards are diamond-shaped (“square-on-point”) devices typically used to identify hazards on bulk packages (e.g., cargo tank, tank car, portable tank) and vehicles and freight containers containing bulk and non-bulk packages of hazardous materials. Ship-pers are required to:

• Placard for the primary hazard only (in most cases).

• Place placards on either two or four sides of the package (depending on the size of the package).

Placard Specifications [49 CFR 172.519–172.560]

As with labels, the DOT provides detailed specifications for size, shape, color, and dura-bility of placards.

NOTE: DOT placards and labels must meet separate standards



Page 223

DOT PLACARDS


DOT Placards, continued


Page 224

For exact wording, see 49 CFR 172.519–172.560.



Notes:

Page 225

PLACARDING REQUIREMENTS

Placarding Requirements for Bulk Packages and Vehicles Containing Bulk Packages [49 CFR 172.504(a)]

Unless specifically excepted, you must:

• Placard bulk packages containing ANY amount of hazardous materials.

• Placard transport vehicles and freight containers containing any bulk pack-ages that are required to be labeled or placarded.

The specific hazard class placards for the materials must be used. In most cases, only the placard representing the primary hazard of the material must be used.

Placarding Requirements for Vehicles Containing Non-bulk Packages of Table 1 Materials [49 CFR 172.504(a)]

Unless specifically excepted, you must offer placards for vehicles and freight contain-ers carrying non-bulk packages that contain ANY amount of the hazardous materials iden-tified in Table 1.

The specific hazard class placards for the materials must be used. In most cases, only the placard representing the primary hazard of the material is required.

Table 1

Category of material (hazard class or division number and additional description, as appro-

priate)

Placard name

Placard design section

reference (§)

1.1 EXPLOSIVES 1.1 172.522

1.2 EXPLOSIVES 1.2 172.522

1.3 EXPLOSIVES 1.3 172.522

2.3 POISON GAS 172.540

4.3 DANGEROUS WHEN WET

172.548

5.2 (Organic peroxide, Type B, liquid or solid, temperature controlled)

ORGANIC PEROXIDE

172.552

6.1 (material poisonous by inhalation (see §171.8 of this subchapter))

POISON INHALA-TION HAZARD

172.555

7 (Radioactive Yellow III label only)

RADIOACTIVE1 172.556

1 RADIOACTIVE placards are also required for all shipments of unpackaged LSA-I material or SCO-I; all shipments required by §§173.427, 173.441, and 173.457 to be operated under exclusive use; and all closed vehicles used in accordance with §173.443(d).

Placarding Requirements for Vehicles Containing Non-bulk Packages of Table 2 Materials [49 CFR 172.504(b) and (c)]

Unless specifically excepted, you must offer placards for vehicles and freight contain-ers carrying non-bulk packages that contain an aggregate gross weight of 454 kg (1,001 lbs.) or more of the hazardous materials identified in Table 2.


Placarding Requirements, continued


Page 226

• If only one Table 2 material is present in the vehicle, then the specific placard for that material must be used (i.e., Class 3 Flammable, Class 8 Corrosive, etc.).

• If two or more Table 2 materials are pres-ent in the vehicle that pose different haz-ards, then EITHER the specific placards for the materials present OR the “DAN-GEROUS” placard may be used.

• If 1,000 kg (2,205 lbs.) or more aggregate gross weight of a single hazard class is loaded at a single facility, then the specif-ic placard for that material must be used (i.e., you cannot use the DANGEROUS placard to cover that particular material; however, it can still be used to cover the other hazardous materials in the vehicle).

NOTE: In most cases, only the placard repre-senting the primary hazard of the material is required when placarding for specific hazards.

Determining the Aggregate Gross Weight

When determining whether the aggregate gross weight trigger of 454 kg (1,001 lbs.) has been met, the shipper must consider the total weight of ALL Table 2 materials in non-bulk packages (including miscellaneous Class 9 materials) PLUS the weight of their packag-ings. Packages containing only “residues” are excluded from the aggregate gross weight determination. In addition, the weight of over-packs and pallets, skids, etc. are not required to be counted, since these are not considered to be part of the required packaging for materials.

NOTE: The weight of Table 1 materials and the weight of hazardous materials in bulk pack-ages are not included in this calculation, since the placarding requirements for these types of materials are separate from the requirements for non-bulk packages of Table 2 materials.

Table 2

Category of material (hazard class or

division number and additional description, as appropriate)

Placard name

Placard design section

reference (§)

1.4 EXPLOSIVES 1.4 172.523

1.5 EXPLOSIVES 1.5 172.524

1.6 EXPLOSIVES 1.6 172.525


2.2 NON-FLAMMABLE GAS

172.528

3 FLAMMABLE 172.542



4.2 SPONTANEOUSLY COMBUSTIBLE

172.547


5.2 (Other than organic peroxide, Type B, liquid or solid, temperature controlled)


6.1 (other than material poisonous by inhalation)

POISON 172.554

6.2 (None)

8 CORROSIVE 172.558

9 CLASS 9(see §172.504(f)(9))

172.560



Notes:

Page 227

Placarding Requirements, continued

Placard for ALL Table 2 Materials in the Shipment

Once the 454 kg (1,001 lbs.) trigger has been met, the primary hazards of all of the Table 2 materials in non-bulk packages must be iden-tified through the use of placards, regardless as to how much of the individual material is actually present. For example:

• A shipment consists of 800 lbs. of Class 3 and 800 lbs. of Class 8 materials. The shipment would require either:

– Class 3 and Class 8 placards, or

– The DANGEROUS placard.

• A shipment consists of 200 lbs. of Class 3, 3,800 lbs. of Class 8, and 200 lbs. of Divi-sion 2.2 materials. The shipment would require either:

– Class 3 and Class 8 and Division 2.2 placards, or

– Class 8 placards and the DANGEROUS placard.

The DANGEROUS Placard [49 CFR 172.504(b)]

The DANGEROUS placard is intended to be used on vehicles with mixed loads of Table 2 materials in non-bulk packages. The DAN-GEROUS placard may NOT be used:

• For Table 1 materials,

• For bulk packages,

• When there is only a single hazard class of a Table 2 material present in the vehicle, or

• For shipments of 2,205 lbs. or more of a single hazard class loaded at one pick-up point.

Placards for Subsidiary Hazards [49 CFR 172.505]

Generally, placards are required based only on the primary hazard of the material being shipped. However, placards must be displayed for any amount of materials with these subsidiary hazards:

• A Division 6.1 Poisonous by Inhala-tion (PIH)

• A Division 4.3 Dangerous When Wet

In addition, each transport vehicle, por-table tank or freight container that contains 454 kg (1,001 pounds) or more gross weight of uranium hexafluoride must be placarded with subsidiary Class 8 Corrosive and Division 6.1 Poison placards in addition to the primary Class 7 Radioactive placard.

Shipments Excluded from Placarding Requirements

Shipments consisting solely of exception packagings, such as limited quantities and excepted quantities, are typically excluded from 49 CFR 172, Subpart F placarding requirements.



Notes:

Page 228

PROVIDING AND DISPLAYING PLACARDS

Shipper Responsibilities for Offering Placards [49 CFR 172.506]

In general, shippers must provide the plac-ards required based on the materials that they are offering, unless the transport vehicle is already placarded as required for the material.

In some cases, a shipper may offer less than 1,001 lbs. of Table 2 hazardous materi-als, but because the transport vehicle arrived at the facility already containing Table 2 haz-ardous materials shipped by someone else, the amount of Table 2 hazmat now on the truck would exceed the 1,001-pound threshold.

In these situations, the shipper is still not required to offer placards since their shipment didn’t exceed the threshold amount. However, because the truck now contains an amount of Table 2 materials in non-bulk packages in excess of the 1,001 lbs. threshold, it would be the carrier’s responsibility to recognize this fact and placard the vehicle appropriately.

Affixing Placards on Bulk Packages and Transport Vehicles

In general, shippers must provide plac-ards and carriers are required to affix placards to bulk packages and vehicles. However, there are some subtleties to these rules.

• Shippers must affix the applicable plac-ards for rail shipments. [49 CFR 172.508]

• Motor carriers must affix the applicable placards based on the contents of the vehicle for non-bulk shipments by motor vehicle. [49 CFR 172.506(a)]

• For cargo tanks (tank trucks), the person responsible for affixing placards depends on whether or not the loading of the bulk packaging is done in the presence of the carrier, for example:

– A shipper fills up his own cargo tank and then has a carrier come pick up the tank. In this case, the shipper must affix placards to the cargo tank.

– A carrier brings an empty truck to a shipper. The shipper attaches a hose to the truck and fills it with hazardous material, and then the carrier drives his truck away. In this case, the shipper must provide placards and the carri-er must affix the placards to the bulk package. [49 CFR 172.514]

Displaying Placards [49 CFR 172.516]

There are specific requirements for the placement of placards on bulk packages, trans-port vehicles, and freight containers. Each placard must:

• Be clearly visible from each side it faces, except from the direction of another package, vehicle, or container to which it is coupled.



Notes:

Page 229

Providing and Displaying Placards, continued

• Be securely attached or placed in a holder.

• Be kept clear of obstructions such as lad-ders, pipes, doors, and tarpaulins.

• As far as practicable, be located so that dirt or water isn’t directed onto it.

• Display words and lettering horizontally.

• Be located away from other markings that could reduce its effectiveness.

• Be placed on a background of contrast-ing color or have a dotted or solid outer border that contrasts with the back-ground color.

Number of Placards Required [49 CFR 172.504(a) and 172.514]

Placards must typically be displayed on all four sides of a package, vehicle, or freight container. The following bulk packages, how-ever, are only required to be placarded on two opposing sides:

• A portable tank with a capacity of less than 3,785 L (1,000 gallons)

• A DOT 106 or 110 multi-unit tank car tank

• A bulk packaging other than a portable tank, cargo tank, or tank car (e.g., a bulk bag or box) with a volumetric capacity of less than 18 cubic meters (640 cubic feet);

• IBCs

• Large packagings

Allowable and Prohibited Placarding [49 CFR 172.502]

Placards may be displayed for a hazard-ous material, including for subsidiary hazards, even when not required, as long as the plac-ard represents the actual hazard of a material being transported and the placarding con-forms to the regulations.

Placards are forbidden on packages and transport vehicles unless they are being used to transport a hazardous material and the placard represents the hazard of the mate-rial. Extraneous information (such as “Drive Safely”) is forbidden in placard holders.



Notes:

Page 230

PLACARDING EXCEPTIONS49 CFR 172.504(f)

The following exceptions apply to the rules for placarding packages, vehicles, and freight containers:

1. When more than one division placard is required for Class 1 materials on a trans-port vehicle, rail car, freight container, or unit load device, only the placard repre-senting the lowest division number must be displayed.

2. A FLAMMABLE placard may be used in place of a COMBUSTIBLE placard on:

– A cargo tank or portable tank.

– A compartmented tank car that con-tains both flammable and combustible liquids.

3. A NON-FLAMMABLE GAS placard is not required on a transport vehicle that contains non-flammable gas if the trans-port vehicle also contains flammable gas or oxygen and it is placarded with FLAM-MABLE GAS or OXYGEN placards.

4. OXIDIZER placards are not required for Division 5.1 materials on freight contain-ers, unit load devices, transport vehicles, or rail cars that also contain Division 1.1 or 1.2 materials and that are placarded with EXPLOSIVES 1.1 or 1.2 placards.

5. For transportation by motor vehicle or rail car only, an OXIDIZER placard is not required for Division 5.1 materials on a transport vehicle, rail car, or freight container that also contains Division 1.5 explosives and is placarded with EXPLO-SIVES 1.5 placards.

6. An EXPLOSIVES 1.4 placard is not re-quired for those Division 1.4 Compatibil-ity Group S (1.4S) materials that are not required to be labeled 1.4S.

7. For domestic transportation of “oxygen, compressed” or “oxygen, refrigerated liquid”, the OXYGEN placard described at 49 CFR 172.530 may be used in place of a NON-FLAMMABLE GAS placard.

8. For domestic transportation, a POISON INHALATION HAZARD placard is not required on a transport vehicle or freight container that is already placarded with the POISON GAS placard.

9. For Division 6.1, PG III materials, a POI-SON placard may be modified to display the text “PG III” below the mid line of the placard.

10. For domestic transportation, a POISON placard is not required on a transport vehicle or freight container required to display a POISON INHALATION HAZ-ARD or POISON GAS placard.

11. A non-bulk packaging that contains only the residue of a Table 2 material does not require placarding.

12. A Class 9 placard is not required for do-mestic transportation.

NOTE: These exceptions are from placarding requirements only. A bulk packaging or a vehi-cle containing bulk packages that is excepted from placarding requirements must still be marked with the appropriate UN identification number as required in 49 CFR 172, Subpart D.



Notes:

Page 231

PLACARDING SUMMARY

What? When? Which?Bulk Packages and

Vehicles Containing Placarded Bulk Packages

Any amount Specific hazard class

Vehicles Transporting Non-bulk – Table 1

Any amount Specific hazard class

Vehicles Transporting Non-bulk – Table 2

≥ 454 kg (1,001 lbs.) aggre-gate gross weight

Single hazard class: Specific hazard class Two or more hazard classes: Specific hazard class OR “DANGEROUS”

≥ 1,000 kg (2,205 lbs.) single hazard class, single facility

Specific hazard class

Table 1

Category of material (hazard class or division number and additional description, as appropriate)

Placard namePlacard design section

reference (§)

1.1 EXPLOSIVES 1.1 172.522

1.2 EXPLOSIVES 1.2 172.522

1.3 EXPLOSIVES 1.3 172.522

2.3 POISON GAS 172.540

4.3 DANGEROUS WHEN WET 172.548

5.2 (Organic peroxide, Type B, liquid or solid, temperature controlled)


6.1 (material poisonous by inhalation (see §171.8 of this subchapter))

POISON INHALATION HAZARD 172.555

7 (Radioactive Yellow III label only) RADIOACTIVE 172.556



Notes:

Page 232

Placarding Summary, continued

Table 2

Category of material (hazard class or division number and additional

description, as appropriate)Placard name

Placard design section reference (§)

1.4 EXPLOSIVES 1.4 172.523

1.5 EXPLOSIVES 1.5 172.524

1.6 EXPLOSIVES 1.6 172.525


2.2 NON-FLAMMABLE GAS 172.528

3 FLAMMABLE 172.542



4.2 SPONTANEOUSLY COMBUSTIBLE 172.547


5.2 (Other than organic peroxide, Type B, liquid or solid, temperature controlled)


6.1 (other than material poisonous by inhalation)

POISON 172.554

6.2 (None)

8 CORROSIVE 172.558

9 CLASS 9(see §172.504(f)(9))

172.560



Certification (DOT)




CONTENTS

Step 7—Loading, Moving, and Unloading ....................................................................233

Carriage by Rail ..................................................................................................................235

Loading and Unloading Tank Cars .................................................................................236

Title 49—Chapter II, Federal Railroad Administration ................................................238

Carriage by Highway ........................................................................................................239

Loading and Unloading Motor Vehicles .........................................................................240

Segregation and Separation ..............................................................................................242

Title 49—Chapter III, Federal Motor Carrier Safety Administration .........................246



Notes:

Page 233

STEP 7—LOADING, MOVING, AND UNLOADINGHow Do We Get the Stuff Where It’s Going?



174 Rules for loading, moving, and unloading trains

175 Rules for loading, moving, and unloading airplanes

176 Rules for loading, moving, and unloading vessels (boats and ships)

177 Rules for loading, moving, and unloading motor vehicles

172, Subpart H

Rules requiring detailed training for anyone “directly affecting” safety of hazardous materials transportation


Anyone who performs the task of loading or unloading hazardous materials into or from a transport vehicle, rail car, airplane, vessel, etc., must comply with the applicable carrier regulations (see 49 CFR 173.30). The specific provisions that apply are determined by the function you perform and the mode of trans-portation (rail, air, vessel, or highway by motor vehicle).

You must determine:

• General handling and loading require-ments and any special handling or loading precautions that apply to the material.

• Which materials may not be trans-ported on the same vehicle, rail car, or freight container.

• Which materials must be separated within a vehicle, rail car, or freight container.

• Requirements for securing packages against movement and damage.

• Requirements for safe operation and transportation, per mode of trans-portation.

Additionally, the person transporting the material must know what to do with packages that are found damaged or leaking, and what to do in an emergency.


To properly load and transport hazardous materials, you must know:

• Everything from Steps 1, 2, 3, 4, 5, and 6 (classification, naming, packaging, marking and labeling, shipping papers, and placarding).



Notes:

Page 234

Step 7—Loading, Moving, and Unloading, continued

• The primary hazard of all materials on the transport vehicle, rail car, or freight container.

• The labels displayed on all non-bulk packages being loaded.

• Any other regulations that may apply to the transportation of the hazardous mate-rial you are shipping.

Modal Regulations Apply IN ADDITION to Hazmat Regulations

In most cases, there are at least two sets of regulations applicable to each mode of transportation: the carrier regulations and the modal regulations.

The carrier regulations in 49 CFR 174 through 177 are part of the Hazardous Mate-rials Regulations and are published by the Pipeline and Hazardous Materials Safety Administration (PHMSA). These rules iden-tify the different requirements for transporting hazardous materials by rail, air, vessel, and highway.

The “modal” regulations are NOT spe-cific to hazardous materials transportation. Instead, these rules identify the requirements for operating “vehicles” safely, whether carry-ing hazardous materials or not.

Modal Regulations

14 CFR 1–199

Federal Aviation Administra-tion—Aviation Safety

49 CFR 200–299

Federal Railroad Administra-tion Regulations—Railroad Safety

49 CFR 350–399

Federal Motor Carrier Safety Regulations—Motor Carrier Safety

49 CFR 400–499 and Title 46 (all)

US Coast Guard and Federal Maritime Commission

Special Transportation Situations That Are NOT Subject to the Hazmat Regulations

There are two special situations where the transportation of hazardous materials in com-merce is NOT regulated by the DOT’s hazard-ous materials regulations. These two situa-tions are:

• Pipelines. The rules for using pipelines to transport hazardous materials are found at 49 CFR 190–199.

• Bulk by vessel. The rules for using a bulk vessel to transport hazardous materials (e.g., an oil tanker or barge) are found at Title 33 of the Code of Federal Regula-tions, Chapter 1, particularly Subchap-ters O and P.



Notes:

Page 235

CARRIAGE BY RAIL49 CFR Part 174

49 CFR 174 regulates the loading, moving, and unloading of hazardous materials by rail.

• Rail carriers are subject to these rules in their entirety.

• Shippers of hazardous materials by rail must properly prepare rail cars for trans-port under Part 174.

• Receivers of hazardous materials by rail must unload the rail cars in compliance with these rules and must properly pre-pare the “empty” car for return.

General Rules

49 CFR 174, Subparts A–C contain general requirements for rail transportation of hazard-ous materials. Topics covered include:

• Loading and securing packages. [49 CFR 174.55]

• Segregation of hazardous materials (i.e., which classes of hazardous materials may be loaded, transported by rail, or stored together during transportation). [49 CFR 174.81]

• Assignment of responsibilities for mark-ing and placarding rail cars. [49 CFR 174.59]

• Procedures for opening and securing manhole covers, outlet valve caps, valves, etc., on tank cars. [49 CFR 174.67]

• Attending tank cars during the entire pe-riod of transloading and whenever the car is connected to the transloading device. [49 CFR 174.67]

• Inspection of each rail car containing hazardous materials whenever hazardous materials are accepted. [49 CFR 174.9]

Handling of Rail Cars

49 CFR 174, Subpart D regulates the han-dling of placarded rail cars by rail carriers.

Hazard Class Rules

49 CFR 174, Subparts E–K regulate specific classes of hazardous materials shipped by rail, as follows:

Hazard Class 49 CFR 174, Subpart

Class 1 (Explosives) E

Class 2 (Gases) F

Class 3 (Flammable Liquids) G

Division 6.1 (Poisons) J

Class 7 (Radioactives) K



Notes:

Page 236

LOADING AND UNLOADING TANK CARS49 CFR 173.31 and 174.67

Examination Before Shipping [49 CFR 173.31(d)]

Tank cars must be given an external inspection before they can be used to transport a hazardous material (including the residue of a hazardous material). At a minimum, this inspection must include checking:

• The tank shell and heads for abrasion, corrosion, cracks, dents, defects in welds, etc. (unless insulation or a thermal protec-tion system precludes an inspection).

• The piping, valves, fittings, and gaskets for corrosion, damage, etc.

• For missing or loose nuts, bolts, or other similar elements.

• All closures and determining that all closures and fastenings are secure and properly tightened (“tool-tight”).

• Protective housings for proper securement.

• Pressure relief devices for corrosion or damage that could affect the intended operation of the device.

• Each tell-tale indicator after filling and prior to transportation to ensure the in-tegrity of the rupture disc.

• The external thermal protection system, tank-head puncture resistance system, coupler vertical restraint system, and bottom discontinuity protection.

• All required markings for legibility.

• The periodic inspection date markings to ensure compliance with inspection and test requirements.

Closures on Tank Cars

Closures on tank cars must be designed and closed so that under conditions nor-mally incident to transportation, there will be no identifiable release of hazardous mate-rials to the environment. Closures should be “tool-tight.”

NOTE: 49 CFR 174.9 requires that carriers inspect each rail car containing hazardous materials at ground level for required mark-ings, labels, placards, securement of closures, and leakage.

Protection Against Movement or Coupling [49 CFR 173.31(g)]

Tank cars must be protected against move-ment or coupling when placed for loading or unloading and also before any closure is unsecured.

Securing Access

Prior to unloading hazardous materials from tank cars, unloaders must secure access to tracks to prevent entry by other rail equip-ment. This may be accomplished by using



Notes:

Page 237

Loading and Unloading Tank Cars, continued

equipment such as derails, lined and blocked switches, portable bumper blocks, or any other equipment that would provide an equivalent level of security.

Caution Signs

Caution signs must be placed between the rails to warn persons approaching the cars from the open end of a siding. Signs must be left up until all closures are secured and the cars are ready for transportation.

Caution signs must be:

• Durable.

• Blue.

• Rectangular in shape.

• At least 30.48 cm high by 38.10 cm wide (12 inches by 15 inches) with the word “STOP” in white letters at least 10.16 cm (4 inches) high.

Additional words such as “Tank Car Con-nected” or “Crew at Work” may also appear in white letters under the word “STOP.”

Preventing Movement

In order to prevent movement of a tank car during loading or unloading, the loader/unloader must:

• Set a “sufficient number” of handbrakes.

• Block at least one wheel against move-ment in both directions.

If multiple tank cars are coupled together, enough handbrakes should be set and wheels blocked to prevent movement in both directions.

Transloading Tank Cars [49 CFR 174.67(h)–(l)]

With limited exceptions, during the entire process of transloading and anytime the tank car has transloading equipment attached, the facility operator must ensure that the tank car is:

• Attended by a designated hazmat em-ployee who is physically present and has an unobstructed view of the unloading operation; or

• Monitored by a signaling system (meeting specific requirements) that is observed by a designated hazmat employee located ei-ther in the immediate area of the tank car or at a remote location within the facility.

NOTE: Unloading connections must be securely attached to unloading pipes on the dome or to bottom discharge outlets prior to any discharge valves being opened.

As soon as a tank car is unloaded:

• All valves must be made tight by the use of a bar, wrench, or other suit-able tool.

• The unloading connections must be removed.

• All other closures must be made tight.



Page 238

Code of Federal RegulationsTitle 49—Transportation

Chapter II—Federal Railroad Administration

Table of Contents

Part

200 Informal rules of practice for passenger service

201 [Reserved]

207 Railroad police officers

209 Railroad safety enforcement procedures

210 Railroad noise emission compliance regulations

211 Rules of practice

212 State safety participation regulations

213 Track safety standards

214 Railroad workplace safety

215 Railroad freight car safety standards

216 Special notice and emergency order procedures: Railroad track, locomotive and equipment

217 Railroad operating rules

218 Railroad operating practices

219 Control of alcohol and drug use

220 Railroad communications

221 Rear end marking device—passenger, commuter and freight trains

222 Use of locomotive horns at public highway-rail grade crossings

223 Safety glazing standards—locomotives, passenger cars and cabooses

224 Reflectorization of rail freight rolling stock

225 Railroad accidents/incidents: Reports classification, and investigations

227 Occupational noise exposure

228 Hours of service of railroad employees; recordkeep-ing and reporting; sleeping quarters

229 Railroad locomotive safety standards

230 Steam locomotive inspection and maintenance standards

231 Railroad safety appliance standards

232 Brake system safety standards for freight and other non-passenger trains and equipment; end-of-train devices

233 Signal systems reporting requirements

234 Grade crossing safety, including signal systems, state action plans, and emergency notification systems

235 Instructions governing applications for approval of a discontinuance or material modification of a signal system or relief from the requirements of part 236

236 Rules, standards, and instructions governing the installation, inspection, maintenance, and repair of signal and train control systems, devices, and appliances

237 Bridge safety standards

238 Passenger equipment safety standards

239 Passenger train emergency preparedness

240 Qualification and certification of locomotive engineers

241 United States locational requirement for dispatch-ing of United States rail operations

242 Qualification and certification of conductors

243 Training, qualification, and oversight for safety- related railroad employees

244 Regulations on safety integration plans governing railroad consolidations, mergers, and acquisitions of control

245 [Reserved]

250 Guarantee of certificates of trustees of railroads in reorganization

256 Financial assistance for railroad passenger terminals

260 Regulations governing loans and loan guarantees under the railroad rehabilitation and improvement financing program

261 Credit assistance for surface transportation projects

262 Implementation of program for capital grants for rail line relocation and improvement projects

264 Environmental impact and related procedures

266 Assistance to States for local rail service under sec-tion 5 of the Department of Transportation Act

268 Magnetic levitation transportation technology deployment program

269 Competitive passenger rail service pilot program

270 System safety program

272 Critical incident stress plans

273–299 [Reserved]



Notes:

Page 239

CARRIAGE BY HIGHWAY49 CFR Part 177

The rules at 49 CFR Part 177 regulate the transportation of hazardous materials in a motor vehicle by highway, including loading, unloading, and storage incidental to trans-portation.

General Rules

The rules at 49 CFR 177, Subpart A con-tain general requirements for accepting and transporting hazardous materials by highway. These rules include general responsibilities [49 CFR 177.800], training of drivers and others [49 CFR 177.800(c) and 177.816], maintenance of shipping papers [49 CFR 177.817], and more.

Loading and Unloading

Subpart B of Part 177 regulates the load-ing and unloading of hazardous materials on motor vehicles. General rules are at 49 CFR 177.834. Specific regulations per hazard class follow at:

49 CFR Section Hazard Class

177.835 Class 1 (Explosives)

177.837 Class 3 (Flammable Liquids)

177.838 Class 4 (Flammable solid) materials, Class 5 (Oxidizing) materials, and Division 4.2 (Self-heating and pyrophoric liquid) materials

49 CFR Section Hazard Class

177.839 Class 8 (Corrosives)

177.840 Class 2 (Gases)

177.841 Division 6.1 and 2.3 (Poisonous) materials

177.842 Class 7 (Radioactives)

Segregation of Hazards

Subpart C of Part 177 regulates the seg-regation of hazardous materials (i.e., which classes of hazardous materials may be loaded, transported by highway, or stored together during transportation).

Accidents and Incidents

Subpart D of Part 177 requires carriers to take specific actions in response to disabled vehicles, broken or leaking packages, or other incidents.

Hazardous Materials on Passenger Buses, etc.

Subpart E of Part 177 limits the quantities and types of hazardous materials that can be transported on vehicles that are also for hire to carry passengers (buses, taxi cabs, etc.).



Notes:

Page 240

LOADING AND UNLOADING MOTOR VEHICLESGeneral Requirements

The rules for loading motor vehicles include both general and hazard class-specific requirements. All rules applicable to any mate-rial shipped must be complied with. Some of the specific requirements and issues for load-ing and unloading motor vehicles are summa-rized below.

Securing of Packages [49 CFR 177.834(a)]

Packages containing hazardous mate-rials must be secured against movement during transportation. Packages with valves or other fittings must be loaded in a manner to minimize the possibility of damage during transport.

Orientation of Packages [49 CFR 177.834(b)]

Packages of hazardous materials that are required to be marked with the orientation markings (“up” arrows) at 49 CFR 172.312 must be loaded into the transport vehicle with the arrows pointed upwards and must remain in that position during transport.

Prohibition Against Smoking and Fires [49 CFR 177.834(c) and (d)]

Employees must not smoke on or around any vehicle while loading the following types of hazardous materials:

• Class 1 (explosive)

• Class 3 (flammable liquids)

• Class 4 (flammable solids)

• Class 5 (oxidizing)

• Division 2.1 (flammable gas)

In addition, care must be taken to keep fire away from the vehicles during the loading and unloading process, including fires from lighted cigars, pipes, or cigarettes.

Setting the Handbrake vs. Chocking Wheels [49 CFR 177.834(e)]

The US DOT explicitly requires that a vehi-cle’s handbrake must be set during loading and unloading, and all other “reasonable pre-cautions” must be taken to prevent movement of the vehicle. In addition, OSHA rules often require that wheels be chocked (e.g., 29 CFR 1910.178(k)).



Notes:

Page 241

Loading and Unloading Motor Vehicles, continued

Use of Tools [49 CFR 177.834(f)]

Do not use tools in a manner that could damage the closure of the package or compro-mise the package’s integrity in any way.

Loading and Unloading Cargo Tanks [49 CFR 177.834(i)]

The DOT has detailed requirements for the attendance of cargo tanks (i.e., tank trucks) during loading and unloading. In general, such tanks must be attended by a “qualified” individual.

Tanks are considered to be attended during the loading or unloading process if:

• The qualified person is alert, is within 25 feet of the cargo tank, and has an un-obstructed view of the tank to the maxi-mum extent practicable;

• The qualified person observes all loading or unloading operations by means of vid-eo cameras or other systems (e.g., sensors, alarms, etc.) from a remote location (and several conditions are met); or

• The hoses used in the loading or un-loading operations are equipped with cable-connected wedges, plungers, or flapper valves located at each end of the hose, that are able to stop the flow of product from both the source and the receiving tank within one second without human intervention in the event of a hose rupture, disconnection, or separation

– In addition, the hoses must be inspect-ed prior to each use, and the qualified person must physically inspect the loading or unloading operations at least once every 60 minutes.

Definition of a Qualified Person [49 CFR 177.834(i)(4)]

A qualified individual is one who:

• Has been made aware of the nature of the materials being loaded or unloaded.

• Has been instructed in emergency procedures.

• Is authorized to move the cargo tank in case of emergency and has the means to do so.

NOTE: Qualified persons who only moni-tor the loading or unloading process through video monitors or similar methods, or those who are only required to inspect hoses prior to use are NOT required to be authorized to move the cargo tank.

Carriers With Valid Safety Permits [49 CFR 173.22(b)]

When carrying certain high-hazard mate-rials (explosives, radioactives, etc.), shippers can only use carriers who have a “valid safety permit” from the Federal Motor Carrier Safety Administration (FMCSA).



Notes:

Page 242

SEGREGATION AND SEPARATIONUsing the Table in 49 CFR 177, Subpart C

Applicability [49 CFR 177.848(a)]

Because certain types of hazardous mate-rials could pose the potential for dangerous interactions with one another, the DOT has created rules regarding the storage, loading, and transportation of different classes with one another. These segregation and separation rules generally must be followed for hazard-ous materials transported in:

1. Packages requiring labels or placards (therefore, these rules do NOT include most limited quantity packages).

2. Multi-compartmented cargo tanks.

3. Portable tanks loaded in a transport vehi-cle or freight container.

Segregation vs. Separation

Segregation

Because of their hazards, some hazardous materials may not be loaded, transported, or stored together in the same transport vehicle. These materials must be “segregated” from one another into different vehicles.

Separation

Some hazardous materials pose the poten-tial to react badly with other hazardous mate-

rials, but they can still be loaded onto the same vehicle as long as they are “separated” from one another to ensure that they won’t mix if the packages leak. Per DOT rules, separation must be accomplished “by some means of physical separation, such as non-permeable barriers, non-reactive freight, or non-combustible and non-reactive absorbent” (i.e., the “separation” cannot just be physical distance).

Using the Segregation Table [49 CFR 177.848(d) and (e)]

To determine whether or not two different hazard classes can be stored or transported together under the DOT’s hazardous materi-als regulations, it is necessary to use the Seg-regation Table for Hazardous Materials that appears at 49 CFR 177, Subpart C.

To use the table, simply find each of the hazard classes in question, one along the top and the other along the side, and look to see what appears in the box where the two inter-sect. The symbol, or lack of a symbol, that appears in the box where the two hazards intersect identifies any restrictions that apply for how the materials can be loaded.

NOTE: The absence of a hazard class on the table means there are no restrictions for that class.



Notes:

Page 243

Segregation and Separation, continued

The Letter “X”

When an “X” is in the intersecting box for two hazard classes, these materials may not be loaded, stored, or transported together on the same vehicle (i.e., they must be segregated from one another).

The Letter “O”

When an “O” is in the intersecting box for two hazard classes, the materials may be loaded, stored, or transported together on the same vehicle, provided that steps are taken to ensure that comingling of the materials would not occur in the event of leakage during the course of normal transportation (i.e., they must be separated from one another).

NOTE: Regardless of the method of separa-tion used, Class 8 corrosive liquids generally may not be loaded above or adjacent to Class 4 (flammable) or Class 5 (oxidizing) materials.

A Blank Space

If there is no symbol in the intersecting box for the two hazard classes, then no restrictions apply to storing, loading, or transporting the two materials together.

The Symbol “*”

When an “*” appears in the intersecting box for two hazard classes, it indicates that the segregation among these different Class 1 explosives is governed by the Compatibility Table at 49 CFR 177.848(f).

Additional Restrictions

Cyanides and Cyanide Mixtures [49 CFR 177.848(c)]

Generally, cyanides and cyanide mixtures or solutions may not be stored, loaded, or transported with acids.

However, waste cyanides and cyanide mixtures can be transported with ALL acids under certain conditions. See 49 CFR 173.12(e) for specifics.

Division 4.2 and Class 8 Liquids [49 CFR 177.848(c)]

Generally, Class 8 liquids may not be stored, loaded, or transported with Division 4.2 spontaneously combustible materials.

Poison Inhalation Hazards [49 CFR 177.848(c)]

Division 6.1, Packing Group I, Hazard Zone A materials may not be stored, loaded, or transported with Class 3 or Class 8 liquids or Class 4 or Class 5 materials.

The “A” in the “Notes” Column [49 CFR 177.848(e)(5)]

The “A” in the notes column (Column 2) indicates that ammonium nitrate (UN 1942) and ammonium nitrate fertilizer may be loaded or stored with Division 1.1 or Division 1.5 explosive materials despite the fact that there is an “X” is in the intersecting box for these materials.



Notes:

Page 244


Subsidiary Hazards [49 CFR 177.848(e)(6)]

If Column 6 of the 172.101 Table requires a material to have a subsidiary hazard label, then the separation and segregation rules must be applied using the subsidiary hazard if it is more restrictive than the results of comparing primary hazards. However, hazardous mate-rials within the same class may be stored or transported together without regard to their subsidiary hazards provided they are not capable of:

• Reacting dangerously;

• Causing combustible or dangerous heat;

• Causing the evolution of flammable, poi-sonous, or asphyxiant gases; or

• Causing the formation of corrosive or unstable materials.




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Page 246

Code of Federal RegulationsTitle 49—Transportation

Chapter III—Federal Motor Carrier Safety Administration

Table of Contents

Subchapter A—General Regulations

Part

300 [Reserved]

301 [Reserved]

302 [Reserved]

303 Civil rights

325 Compliance with interstate motor carrier noise emission standards

Subchapter B—Federal Motor Carrier Safety Regulations

Part

350 Motor carrier safety assistance program and high-priority program

355 Compatibility of state laws and regulations affecting interstate motor carrier operations

356 Motor carrier routing regulations

360 Fees for motor carrier registration and insurance

365 Rules governing applications for operating authority

366 Designation of process agent

367 Standards for registration with states

368 Application for a certificate of registration to operate in municipalities in the United States, on the United States-Mexico international border, or within the commercial zones of such municipalities

369 Reports of motor carriers

370 Principles and practices for the investigation and voluntary disposition of loss and damage claims and processing salvage

371 Brokers of property

372 Exemptions, commercial zones, and terminal areas

373 Receipts and bills

374 Passenger carrier regulations

375 Transportation of household goods in interstate commerce; consumer protection regulations

376 Lease and interchange of vehicles

377 Payment of transportation charges

378 Procedures governing the processing, investigation, and disposition of overcharge, duplicate payment, or overcollection claims

379 Preservation of records

380 Special training requirements

381 Waivers, exemptions, and pilot programs

382 Controlled substances and alcohol use and testing

383 Commercial driver’s license standards; require-ments and penalties

384 State compliance with commercial driver’s license program

385 Safety fitness procedures

386 Rules of practice for FMCSA proceedings

387 Minimum levels of financial responsibility for motor carriers

388 Cooperative agreements with states

389 Rulemaking procedures—federal motor carrier safety regulations

390 Federal motor carrier safety regulations; general

391 Qualifications of drivers and longer combination vehicle (LCV) driver instructors

392 Driving of commercial motor vehicles

393 Parts and accessories necessary for safe operation

394 [Reserved]

395 Hours of service of drivers

396 Inspection, repair, and maintenance

397 Transportation of hazardous materials; driving and parking rules

398 Transportation of migrant workers

399 Employee safety and health standards



Certification (DOT)




CONTENTS

Step 8—Dealing With Emergencies .................................................................................247

DOT Incident Reports .......................................................................................................248

Emergency Response .........................................................................................................251



Notes:

Page 247

STEP 8—DEALING WITH EMERGENCIESWhat Do We Need to Do If the Stuff Gets Out?


CFR What’s There?

49 CFR 171.15

Rules for immediate telephone notification for certain incidents

49 CFR 171.16

Rules for written reporting of certain incidents

49 CFR 130

Rules for oil spill prevention and response plans

49 CFR 174–177

Carriers’ mode-specific rules for responding to emergencies

40 CFR 110

The EPA regulations for report-ing discharges of oil into “navi-gable water”

40 CFR 302

The EPA regulations for report-ing releases of “hazardous sub-stances” into the environment

40 CFR 355

The EPA regulations for report-ing releases of “extremely haz-ardous substances” into the environment

What’s it All About?

In the event of a transportation-related incident involving hazardous materials, a variety of regulations may apply pertaining to incident reporting and emergency response.

Incident and Emergency Reporting

Depending on the nature of the situation, incident reporting may include:

• Immediate notification to the National Response Center (NRC).

• Written reporting to the US DOT.

Depending on what exactly happened, incidents may also have to be reported to:

• Local authorities.

• State authorities.

• The US EPA.

Emergency Response

Emergency response actions may include taking steps to:

• Protect the general public.

• Control and clean up releases.

• Prevent or extinguish fires.



Notes:

Page 248

DOT INCIDENT REPORTS49 CFR 171.15 and 171.16

Any person in physical possession of a hazardous material is required to report inci-dents occurring during the cycle of transporta-tion (which includes loading, moving, unload-ing, and temporary storage) to the DOT. The form of the notification depends on the sever-ity of the incident.

NOTE: If a hazmat incident occurs during the cycle of transportation, the person in posses-sion at the time of the incident will most likely be the carrier, but it is possible that it could be either the shipper or consignee. Regardless of who has possession, the shipper will most likely want to know what their carrier tells the Federal government about their hazmat packages. In addition, shippers may want to have an agreement with their carriers whereby the carrier must notify them if and when they need to report a hazmat incident involving the shipper’s hazardous materials.

DOT “Serious Incidents” [49 CFR 171.15]

The DOT requires notice, either by phone or online, for any incident where, as a direct result of hazardous materials:

1. A person is killed.

2. A person requires hospitalization.

3. The general public is evacuated for an hour or more.

4. A major transportation artery or facility is shut down for an hour or more.

5. The operational flight pattern of an air-craft is altered.

6. The incident involves radioactive materi-als or etiologic agents.

7. More than 450 L of a liquid marine pollut-ant or more than 400 kg of a solid marine pollutant are released.

8. Any incident during transportation by aircraft involving a fire, violent rupture, explosion or dangerous evolution of heat that occurs as a direct result of a battery or battery-powered device.

9. Any other situation that, in the judgment of the person in possession of the hazard-ous materials, warrants a report to the NRC (e.g., danger to life continues to be present at an incident).

Reporting Serious Incidents

Notifications of serious incidents must be made as soon as practical but no later than 12 hours after the incident to the National Response Center, either by telephone or online. The telephone number is 800-424-8802. The web address is http://www.nrc.uscg.mil.

Each report must include:

• The name of the reporter (the in-dividual);



Notes:

Page 249

DOT Incident Reports, continued

• The name and address of the carrier (the company);

• A phone number where the reporter can be contacted;

• The date, time, and location of the incident;

• The extent of any injuries;

• The classification, name, and quantity of the hazardous material involved; and

• The nature of the incident.

DOT “Incidents” [49 CFR 171.16]

The DOT requires a formal written report when any of the following occurs:

1. Any incident reported by telephone per 49 CFR 171.15.

2. Any incident where hazardous materials are unintentionally released from their packages.

3. A specification cargo tank with a capac-ity of 1,000 gallons or greater containing any hazardous material suffers structural damage to the lading retention system or damage that requires repairs to a system intended to protect the lading retention system (even if no release occurs).

4. Any undeclared shipment of hazardous material.

5. Any incident involving a fire, violent rup-ture, explosion, or dangerous evolution of heat that occurs as a direct result of a battery or battery-powered device.

Reporting Incidents [49 CFR 171.16(b)]

With certain exceptions, written reports of DOT incidents must be filed within 30 days of the incident using DOT Form F 5800.1, “Haz-ardous Materials Incident Report.”

The written report must be sent to:

Information Systems ManagerPHH-60Pipeline and Hazardous Materials Safety AdministrationDepartment of Transportation, East Building 1200 New Jersey Ave, SEWashington, DC 20590-0001

The report may alternatively be submitted electronically to http://www.phmsa.dot.gov.

Availability of Written Reports [49 CFR 171.16(b)(3)]

The person reporting must retain a writ-ten or electronic copy of the incident report for at least two years. If the written or electronic Hazardous Materials Incident Report is main-tained at other than the reporting person’s principal place of business, the report must be made available at the reporting person’s principal place of business within 24 hours of a request for the report by an authorized rep-resentative or special agent of the Department of Transportation.



Notes:

Page 250

DOT Incident Reports, continued

Updating the Written Report [49 CFR 171.16(c)]

Written reports must be updated within one year of the incident date whenever:

• A death occurs.

• The original material or package informa-tion was misidentified.

• The damage, loss, or related costs that were not previously known are made known.

• The amount of damage, loss, or related costs changes by $25,000 or more, or 10% of the total (whichever is greater).

Additional Reporting

For incidents involving aircraft, the report must also be sent to the FAA Civil Aviation Security Office nearest to the location of the incident.

There are additional reporting require-ments if the hazardous material released is a hazardous waste [40 CFR 263] or a hazardous substance [40 CFR 302].

Exceptions to Reporting [49 CFR 171.16(d)]

There are exceptions to the incident report-ing requirements for spills of minimal amounts of hazardous materials. These include normal releases from vents, pumps, compressors, etc.; packages shipped as limited quantities; and additional small packages that meet certain size and capacity limits.



Notes:

Page 251

EMERGENCY RESPONSE

Carrier Requirements

A carrier who transports hazardous mate-rials must instruct the driver of the motor vehi-cle to contact the carrier in the event of an inci-dent. There are additional emergency response information requirements for a transport vehi-cle separated from its motor power. [See 49 CFR 172.606.]

In addition, each of the US DOT carrier rules includes requirements for carriers to take certain immediate actions in response to any incident involving hazardous materials during the cycle of transportation. For example:

By Highway:

• If any hazardous materials incident oc-curs during highway transportation, the carrier must comply with 49 CFR 177.854.

• 49 CFR 177.823(c) places explicit lim-itations on the movement of leaking cargo tanks.

By Rail:

• 49 CFR 174.50 gives general requirements for response to leaking packages in rail transportation.

• 49 CFR 174.750 requires specific respons-es to any leaking package of radioactives during rail transportation.

All of these requirements apply equally to shippers who are loading or unloading haz-ardous materials, as specified at 49 CFR 173.30.

Oil Spill Prevention and Response Plans [49 CFR 130]

The DOT requires persons transporting large quantities of oil by motor vehicles or rolling stock to have a written response plan for dealing with any discharges that may occur during transportation. The plan must be implemented if, during transportation, a dis-charge of oil occurs:

• Into or on the navigable waters of the United States.

• On the adjoining shorelines to the naviga-ble waters.

• That may affect natural resources be-longing to, appertaining to, or under the exclusive management authority of the United States.

Emergency Response Information

It is the responsibility of a hazardous mate-rials shipper to make available emergency response guidance information to the carrier. It is the responsibility of carriers to maintain this information throughout the cycle of trans-portation. [49 CFR 172, Subpart G]



Notes:

Page 252

Emergency Response, continued

Protecting Your Liabilities

It is often advisable to go beyond the regulatory requirements for hazmat incident response, to protect yourself and your com-pany against liability. Any company that ships or transports significant quantities of hazard-ous materials should have a plan specifying exactly what emergency or incident response the company will and will not perform and/or oversee.

Contract Terms

Terms of contract between shippers, car-riers, and consignees often will include provi-sions assigning:

• Responsibilities: Who is responsible for what actions under what conditions?

• Liabilities: Who has to pay for what types of damages?

Remember that contract terms may be found either in specific individual contracts or in common carrier tariffs.

Apportionment of responsibility or liabil-ity is generally a matter for legal interpretation and legal dispute. These are not specified in the DOT regulations.

Additional Reporting

A number of US DOT, EPA, and states’ regulations require reporting of hazardous materials incidents. Reporting thresholds and requirements vary. Most telephone reporting is made to the National Response Center (NRC)

at 800-424-8802 or 202-267-2675. Some more important Federal incident reporting require-ments during transportation follow.

DOT Oil Discharges [49 CFR 130]

Anyone required to have an Oil Spill Pre-vention and Response Plan must, as part of the plan, immediately report certain kinds of discharges of oil during transportation to the NRC and other appropriate Federal officials.

EPA “Hazardous Substance” Releases [40 CFR 302]

Under Superfund (CERCLA), the EPA requires an immediate telephone report to the NRC for any release to the environment of any hazardous substance in an amount equal to or exceeding its reportable quantity (RQ) within a 24-hour period. Common carriers may rely on “RQ” communications (shipping paper infor-mation and package markings) alone to make the judgment as to whether an RQ has been released.

EPA “SARA” Releases [40 CFR 355]

Under the Superfund Amendments and Reauthorization Act of 1986 (SARA), the EPA also requires immediate reporting of any RQ release of hazardous or extremely hazard-ous substances to both State and local author-ities unless the release poses a hazard only to people within the boundaries of the facility. SARA releases during transportation may be reported by calling 911 or, in the absence of 911, the operator.



Notes:

Page 253

Emergency Response, continued

EPA Oil Spills [40 CFR 110]

Under the Clean Water Act (CWA), the EPA has, since 1976, required reporting to the NRC of any release of “harmful quantities” of oil into or upon the “navigable waters” of the United States. A “harmful quantity” discharge is one that causes a “film or sheen upon or dis-coloration of the surface of the water.”



Certification (DOT)




CONTENTS

Step 9—Administrative Responsibilities ........................................................................257

Materials of Trade Exception ............................................................................................258

The Special Permit Process ...............................................................................................261

Petitions for Rulemaking and Preemption .....................................................................264

Registration of Shippers and Carriers .............................................................................265

Approvals ............................................................................................................................268

US DOT Headquarters ......................................................................................................270

US DOT—PHMSA Regional Offices ...............................................................................272

Hazardous Materials Transportation .............................................................................273

Transport Canada ...............................................................................................................274



Notes:

Page 255

STEP 9—ADMINISTRATIVE RESPONSIBILITIESWhat Options Are Available and What Else Might Be Required?



106 Rulemaking procedures

107, Sub-part B

Rules for special permits

107, Sub-part C

Petitions for preemption

107, Sub-part G

Registration of shippers and carriers

107, Sub-part H

Applications for approvals

What’s it All About?

Administrative issues in hazardous mate-rials transportation include:

• Ways to get regulatory relief, including:

– Exceptions.

– Special permits.

– Petitions for rulemaking.

– Petitions for preemptions.

• Additional administrative requirements, including:

– The requirement to register as a shipper or carrier.

– The requirement to obtain an approval for certain materials.

• Key regulatory contacts, including:

– US DOT headquarters.

– PHMSA regional offices.

– State enforcement contacts.



Notes:

Page 256

MATERIALS OF TRADE EXCEPTION49 CFR 171.8 and 173.6

Transporting Materials of Trade [49 CFR 173.6]

Hazardous materials meeting the “materi-als of trade” definition are not subject to the majority of hazardous materials regulations, provided they are transported under all the conditions specified at 49 CFR 173.6.

Definition of a Material of Trade [49 CFR 171.8]

A “material of trade” is defined as a haz-ardous material that is transported in a motor vehicle for the sole purpose of:

• Protecting the health and safety of the op-erator or passengers (e.g., insect repellent, fire extinguisher); or

• Supporting the operation or maintenance of the motor vehicle (e.g., engine starting fluid, spare battery, extra gasoline); or

• Directly supporting a principal business that is not transportation (e.g., lawn care, pest control, plumbing, painting, etc.), when carried by a PRIVATE carrier.

Packaging Requirements for Materials of Trade [49 CFR 173.6(b)]

Packagings used to transport materials of trade must meet numerous requirements in order to be eligible for the materials of trade exclusion. The requirements include:

• Packagings must be leak tight or sift proof.

• Packagings must be securely closed, secured against shifting, and protected against damage.

• The manufacturer’s original packaging or packagings of equal or greater strength must be used.

• DOT- or OSHA-approved metal or plas-tic packagings must be used to transport gasoline.

• Cylinders containing Division 2.1 or 2.2 materials must conform to the hazardous materials regulations, except that outer packagings are not required.

NOTE: Outer packagings are not required for cans and bottles containing any kinds of mate-rials of trade provided that they are secured against shifting.



Notes:

Page 257

Materials of Trade Exception, continued

Hazard Communication for Materials of Trade [49 CFR 173.6(c)]

All packagings containing materials of trade must be marked with the following information:

• The common name or the Proper Ship-ping Name of the material

• The letters “RQ” if the packaging con-tains a reportable quantity of a hazard-ous substance

In addition:

• DOT specification cylinders must be marked with all the information re-quired under the hazardous materi-als regulations and also have hazard class labels.

• Tanks containing diluted mixtures of Class 9 must be marked on two op-posing sides with the UN identifica-tion number.

Finally, the driver must be informed about the requirements of this section (49 CFR 173.6) and the presence of the hazardous material on the vehicle.

Shipping Reliefs for Materials of Trade

Shipments of materials of trade are not required to have any of the following:

• Shipping papers

• Emergency response information

• Placards

• Labels (except cylinders)

In addition, employees transporting mate-rials of trade are not required to have formal training (other than making them aware of the requirements of this section), nor are there any requirements to create and keep DOT hazmat training records for employees who only handle materials of trade.

Quantity Limits for Materials of Trade [49 CFR 173.6(a)(1)–(4)]

In order to be eligible for the materials of trade exception, the hazardous materials must be transported below certain quantity limits. These limits vary for the various hazard classes, divisions, and packing groups.



Notes:

Page 258

Materials of Trade Exception, continued

Quantity Limits for Classes 3, 8, 9, and Divisions 4.1, 5.1, 5.2, and 6.1

The maximum individual package sizes for materials in Classes 3, 8, and 9 and Divi-sions 4.1, 5.1, 5.2, and 6.1 are:

• 0.5 kg (1 pound), or 0.5 L (1 pint) for Packing Group I materials.

• 30 kg (66 pounds) or 30 L (8 gallons) for Packing Group II or Packing Group III materials.

• 1,500 L (400 gallons) for a diluted mixture (≤ 2% concentration) of a Class 9 material.

Quantity Limits for Divisions 2.1 and 2.2

A Division 2.1 or 2.2 hazardous mate-rial must typically be packaged in a cylinder with a maximum gross weight of 100 kg (220 pounds) in order to be eligible for the material of trade exception.

Quantity Limit for Division 4.3, Packing Groups II and III

For materials in Division 4.3, Packing Groups II and III, the gross capacity per pack-age may not exceed 30 mL (1 ounce).

Quantity Limits for the Vehicle

With limited exceptions, the aggregate gross weight of all materials of trade on a vehi-cle cannot exceed 200 kg (440 pounds).

Prohibited from Transport as a Material of Trade [49 CFR 173.6(a)]

The following materials cannot be trans-ported under the provisions of the materials of trade exception:

• Class 1

• Division 2.3

• Division 4.2

• Division 4.3, Packing Group I

• Division 6.2, Category A

• Class 7

• Self-reactive materials (49 CFR 173.124)

• Poisonous by inhalation materials (49 CFR 173.133)

• Hazardous wastes



Notes:

Page 259

THE SPECIAL PERMIT PROCESS

A special permit is a document issued by PHMSA allowing a person to perform a func-tion that is not otherwise permitted by the haz-ardous materials regulations.

The special permit program exists to allow shippers, carriers, packaging manufacturers, and others to apply their creativity to develop new or alternate methods of shipping hazard-ous materials safely, without being bound by the letter of the regulations or the slow pace of the rulemaking process.

Special permit requirements are found at 49 CFR 107, Subpart B. In these rules, the DOT specifies how to file for a special permit and what type of information must be included.

PHMSA has developed an online Special Permit and Approval Application Process that can be accessed at http://www.phmsa .dot.gov/hazmat/regs/sp-a. Using the online application process provides faster process-ing time; access 24 hours a day, 7 days a week; immediate confirmation and tracking number; the ability to attach supporting documents; and ease of submitting multiple applications.

NOTE: Only the person who applied for the permit, and people who applied to also use the permit after it was issued and have been granted permission by the DOT, may use it.

Applying for a Special Permit [49 CFR 107.105]

When applying for a special permit, you must submit your application:

• In English.

• In duplicate.

• At least 120 days before the requested effective date.

While PHMSA strongly encourages all applicants to use its online approval process, you can still e-mail, fax, or mail your appli-cation to:

E-mail: [email protected]

Fax: (202) 366-3753 or (202) 366-3308

Associate Administrator for Hazardous Materials Safety (Attn: General Approvals and Permits, PHH-31) Pipeline and Hazardous Materials Safety AdministrationUS Department of TransportationEast Building1200 New Jersey Ave. SEWashington, DC 20590-0001



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The Special Permit Process, continued

Specific Data Required

Your application must state:

• Your name and address, e-mail address-es, and telephone numbers. Companies must include point of contact, such as the CEO, and the Dun and Bradstreet ID number. For a manufacturing special permit, i.e., one related to packaging manufacture, the name and street ad-dress of each facility where manufactur-ing under the special permit will occur must be stated.

• A citation of the specific regulation from which you are seeking relief.

• A detailed description of the special permit proposal, including, as appro-priate, written descriptions, flow charts, plans, and other supporting documents.

• The proposed duration or schedule of events for which the special permit is sought.

• A statement outlining your basis for seeking relief from compliance with the specified regulations.

• The identification and description of the hazardous materials planned for transportation under the exemption.

• A description of each packaging, in-cluding specification or special permit number, as applicable, to be used in conjunction with the requested spe-cial permit.

• For alternative packagings, documenta-tion of quality assurance controls, pack-

age design, manufacture, performance, test criteria, in-service performance, and service-life limitations.

• An explanation of how the special per-mit will achieve a level of safety at least equal to that required by the regulation, or, if a required safety level does not exist, that the exemption is consistent with the public interest.

• All relevant shipping and incident experience.

• A statement identifying any increased risk to safety or property that may result if the special permit is granted, and a description of the measures to be taken to address that risk.

• A certification that you are in compli-ance with transportation security laws and regulations.

• DOT shipper/carrier registration num-ber, if applicable.

• Applicable modes of transportation.

• Quantity and number of shipments.

• Whether you will act as a shipper and/or a carrier.

Becoming Party to a Special Permit [49 CFR 107.107]

It is possible to apply to become a “party to” an existing special permit. Among other things, this would require you to:



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The Special Permit Process, continued

• Submit an application in duplicate to the same address as for requesting a special permit.

• Identify by number the special permit application or special permit to which you want to become a party.

• State why party status to the special permit is needed and submit a certifica-tion of understanding of the provisions of the special permit to which you are requesting party status.

Processing and Evaluating a Special Permit Application [49 CFR 107.113]

Once the DOT receives an application for a special permit, it is reviewed to determine if it is complete and conforms to the requirements of 49 CFR 107, Subpart B. You will be notified within 30 days if your application is complete (15 days for special permit renewals).

After an application is determined to be complete, it is docketed and a notice of the application is published in the Federal Regis-ter and made available for public comment. All comments received during the comment period are considered before final action is taken on the application.

Applicant fitness will be part of the approval process.

Renewing Special Permits [49 CFR 107.109]

Special permits are granted for up to two years. After this time, applications must be submitted to renew them or to renew their party status to them. To do this, you must:

• Submit an application in duplicate to the same address as for requesting a spe-cial permit.

• Identify by number the special permit for which you request renewal.

• Include either a certification that the orig-inal application remains accurate or that it has been updated to remain accurate.

• Include a statement describing all rele-vant shipping and incident experience of which you are aware in connection with the special permit since it was issued or since its most recent renewal.

• Include a certification that you are in compliance with transportation security laws and regulations.

• State why party status to the special per-mit is needed and submit a certification of understanding of the provisions of the special permit to which you are request-ing party status.

Finding Existing Special Permits

If you would like to find a list of all cur-rent special permits, as well as those that are currently pending, the DOT maintains lists of these on its website.



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PETITIONS FOR RULEMAKING AND PREEMPTION

Petitions for Rulemaking

Any person may petition the DOT to add, remove, or alter the actual regulations. The DOT must consider all petitions submitted and may establish, amend, or repeal a rule based on public comment.

Petitioning the DOT is fairly straight-forward. However, the DOT will only act in favor of a particular petition if it finds that the petition contains adequate justification for a rulemaking change.

The DOT rulemaking procedures are located at 49 CFR 106. The requirements for submitting petitions for rulemaking are pro-vided at 49 CFR 106.95 and 106.100.

Petition for Preemption

If a State or local regulation conflicts with or imposes a requirement that is different from Federal DOT hazardous materials regulations, anyone affected by the State or local rule may petition the DOT for a determination that the rule is preempted by Federal law. Preemption renders the State or local rule unenforceable. Procedures for petitioning for preemption are found in 49 CFR 107, Subpart C.

For example, some states’ regulations require extra markings on motor vehicles or permitting requirements. Motor carriers oper-ating in those states have asked the DOT to “preempt” or overrule the State requirement.

Submissions for preemption are published in the Federal Register for public comment. If the DOT determines the State or local rule is preempted, the Agency will issue a “preemp-tion determination” in the Federal Register, with an explanation of what specific rules are preempted and why.

Once a State or local regulation has been preempted, it may no longer be enforced.



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REGISTRATION OF SHIPPERS AND CARRIERS49 CFR Part 107, Subpart G

HMTUSA Registration Requirements

The DOT’s registration and fee assessment system for shippers and carriers of hazardous materials is required by law 49 U.S.C. 5108.

Who Must Register?

Registration is required for any person who offers for transportation or transports in foreign, interstate, or intrastate commerce any of the following:

• Any highway route-controlled quantity of a Class 7 (radioactive) material, as defined in 49 CFR 173.403;

• More than 25 kg (55 lbs.) of a Division 1.1, 1.2, or 1.3 (explosive) material [49 CFR 173.50] in a motor vehicle, rail car, or freight container;

• More than 1 L (1.06 qt.) per package of a material extremely toxic by inhalation (Division 2.3, Hazard Zone A or Division 6.1, Packing Group I, Hazard Zone A) [49 CFR 173.116 and 173.133];

• A hazardous material in a bulk packaging, container, or tank having a capacity equal to or greater than 13,248 L (3,500 gal.) or more than 13.24 cubic meters (468 ft.3);

• A shipment in other than a bulk packag-ing of 2,268 kg (5,000 lbs.) gross weight or more of a class of a hazardous material(s) for which placarding of a vehicle, rail car, or freight container is required; or

• A quantity of hazardous materials that requires placarding.

A separate registration statement and fee must be submitted for each corporate entity and for each self-employed individual, with a few exceptions.

Exceptions

• Foreign carriers and foreign entities ship-ping into the United States only.

• Government agencies and their employ-ees. [49 CFR 107.606]

• Farmers, as defined in 49 CFR 171.8, whose actions are in direct support of their farming operations, are not subject to the regulation in 49 CFR 107.601(a)(6) that requires registration for transporting any hazardous material requiring plac-arding. [49 CFR 107.601(b)]

Fees [49 CFR 107.612]

The registration fee varies from year to year and depends on whether a company qualifies as a small business or a not-for-profit organization. For the registration period 2018–



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Registration of Shippers and Carriers, continued

2019 and subsequent years, the fee for a small business and a not-for-profit organization is $250. For others, it is $2,575. In addition, busi-nesses and organizations must pay a process-ing fee of $25.

Registration Form [49 CFR 107.608 and 107.616]

Each registrant must complete the DOT registration form for shippers and carriers (Form F 5800.2).

Online Registration

To register online, go to

https://www.phmsa.dot.gov/ registration/online-registration

and click on the Hazardous Materials Reg-istration Service link. This will open a new window in which you can start the registration process.

Payment must be made by credit/debit card or electronic check. You will be able to print your registration certificate as soon as your payment is verified. At that point, you will also receive an e-mail with a PDF of your certificate.

You can register for any of the allowed reg-istration periods; amend your current registra-tion, e.g., if your company’s name or address changes; and look up a company’s registration history.

Registration by Mail

To register by mail, you need to fill out the registration form and submit it together with your payment by check or credit card.

Use the Postal Service and mail your appli-cation to:

US Department of Transportation Hazardous Materials Registration PO Box 530273 Atlanta, GA 30353-0273

Upon receipt of the completed form and full payment, the DOT will mail your certifi-cate to the address you provide on your appli-cation. Allow four weeks for the certificate to be mailed.

Deadlines [49 CFR 107.608]

Any person required to register must submit a complete and accurate registration statement (Form F 5800.2) with payment by June 30 or before engaging in any of the activities requiring registration, whichever is later.

NOTE: A single statement (plus appropriate fees) may be filed to cover one, two, or three registration years. All locations and vehicles operated by a person are covered by that per-son’s registration.



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Registration of Shippers and Carriers, continued

Proof of Registration [49 CFR 107.620]

Each person subject to the registration requirement must keep the following informa-tion on file for three years at the principal place of business:

• Current Certificate of Registration

• Copy of the registration statement (DOT Form F 5800.2)

In addition, each motor carrier subject to the registration requirement must carry a copy of the current Certificate of Registration issued by the DOT or another document bearing the registration number identified as the ”US DOT Hazmat Reg. No.” on board all vehicles used to transport hazardous materials.

Each person who transports hazardous materials by vessel must do the same.



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APPROVALSWhat Are They?

Approval: means a written authorization, including a competent authority approval, issued by the Associate Administrator’s designee, or as otherwise prescribed in the HMR, to perform a function for which prior authorization by the Associate Administrator is required under [49 CFR 171–180]. [49 CFR 171.8]

Allows You to Do Something Requiring an Approval

An approval is a written document given by the DOT to the person asking for it, giving them permission to do a particular activity.

There are several activities within the hazardous materials regulations (HMR) that require the person performing that activity to first obtain approval from the DOT.

The rules for applying for an approval are found in 49 CFR 107, Subpart H.

From PHMSA’s Website

The following was taken from the US DOT’s Pipeline and Hazardous Materials Safety Administration Website at http://www .phmsa.dot.gov and was written by the former Associate Administrator for Hazardous Mate-rials Safety, Mr. Alan Roberts.

What Are Approvals?

In several dozen sections of the Hazard-ous Materials Regulations (HMR), you will see references such as, “...approved by the Associate Administrator for Hazardous Mate-rials Safety” to indicate a written approval is required to perform a particular function.

An approval addresses an activity that is provided for by a regulation, but not in sufficient detail to ensure compliance with the intent of the regulation. Put simply, the approvals process has been used for more than 90 years as a means for affirmation of compli-ance with the intent of a regulation—often by inclusion of details regarding the conditions an applicant has provided to meet that intent.

For example, the packagings for ciga-rette lighters must be approved. The intent is to examine the packaging to determine that forces that may be experienced during han-dling will not depress (open) their valves causing release of flammable gas. Once the examination is completed, a description of the packaging in sufficient detail to affirm it meets the intent of the rule is included in a request for an approval.

Another example is explosives. There are test and examination (including chemical con-tent) requirements for explosives that require the involvement of qualified experts. Upon completion of examination and tests, a report is submitted with a recommended classifica-tion. After review by our hazmat staff, either



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Approvals, continued

an approval is issued describing the explosive substance or device, a request for additional supporting information is made, or a denial is forwarded to the applicant.

Why Don’t They All Have the Same Format?

Some approval functions are limited in scope and are relatively easy to administer. The approval of lithium batteries and cells is an example. Other approvals cover complex processes which involve many variables that are unique to a particular set of circumstances. Approvals pertaining to the manufacture of DOT cylinders outside the United States is an example of the more complex types of approvals.

These approvals require more detailed approval documents to adequately describe the function and properly limit the activity. Others are of a nature that they do not require modification over time.

For example, unless there has been a rule change, the classification of an explosive device does not change as long as the device has not been modified. Other types of functions are so unique that an approval may be limited to a single trip or to a limited period of time. An example is the approval for the transportation of foreign made (charged) pressure vessels for the international space station.

Period of Validity?

The question that is most commonly asked about approvals is “How can I tell if this approval is still valid?” Each approval has a section which denotes the regulatory authority on which the approval is based. Some approvals also have a section which pro-vides the period of validity and conditions of approval. Therefore, the means to determine if an approval is valid is to:

• Look up the noted reference for the au-thority on which the approval is based. If the reference is no longer found in the HMR, the approval is no longer valid. The provision for classification of ex-plosives under §173.86 (the former A, B and C explosives classifications) is an example.

• Read the approval to determine if a spe-cific period of validity is listed. Some ap-provals may be limited to a specific time while others remain valid so long as the conditions under which they were issued remain unchanged.

The holder of the approval is responsible for assuring that the circumstances which were conditional to the approval are unchanged.



Page 268

US DOT HEADQUARTERSKey Contacts

General DOT Information

Public Information ...................... (202) 366-4000 Publications .................................. (202) 366-4900 Hazardous Materials Info. Ctr. .. (800) 467-4922 Freedom of Information Legal Office .................................. (202) 366-4400 Internet address ............................. http://www .transportation.gov

Office of Hazardous Materials Safety

Associate Administrator ............ (202) 366-0656 Dep. Associate Administrator ... (202) 366-0656 Administrative Officer ............... (202) 366-0656 International Program Coordinator ........(202) 366-4471Office of the Chief Counsel .............................. (202) 366-4400 Hazmat Safety Home Page: http://phmsa.dot.gov/safety E-mail: [email protected]

Office of Hazardous Materials Enforcement

Phone: ........................................... (202) 366-4700 Fax: ................................................ (202) 366-3753

Office of Hazardous Materials Special Permits and Approvals

Phone: ............................................(202) 366-4511 Fax: ................................................ (202) 366-3308

Office of Hazardous Materials Initiatives and Training

Phone: ........................................... (202) 366-4900 Fax: ................................................ (202) 366-7342

Office of Hazardous Materials Planning and Analysis

Phone: ........................................... (202) 366-4484 Fax: ................................................ (202) 366-7435

Office of Hazardous Materials Standards

Phone: ........................................... (202) 366-8553 Fax: ................................................ (202) 366-3012

Office of Hazardous Materials Technology

Phone: ........................................... (202) 366-4545 Fax: ................................................ (202) 366-3650

US Coast Guard (DHS)

Headquarters

Coast Guard Headquarters Commandant, US Coast Guard 2703 Martin Luther King Jr Ave SE Washington DC 20593-7000 http://www.uscg.mil

Hazardous Materials Information Center:To obtain assistance on the HMR, report potential violations of the regulations, obtain copies of training materials, and access the Fax On Demand system. PHMSA will respond to phone calls before the end of the next business day, and mail training materials and publications in a timely manner.

Hotline..................................(800) HMR49-22(800) 467-4922


US DOT Headquarters, continued


Page 269

Marine Safety, Security, and Stewardship

Deputy Commandant for Operations ................................ (202) 372-2000 Executive Assistant ..................... (202) 372-2007

Prevention Policy

Director of Prevention Policy .... (202) 372-1009 Administrative Coordination Staff .............................................(202) 372-1011 Office of International & Domestic Port Assessment .......202) 372-1018

Investigation Division

Office of Investigations & Analysis .................................... (202) 372-1029

Vessel Activities

Office of Vessel Activities ........... (202) 372-1251

Navigation Systems

Office of Navigation Systems .... (202) 372-1545

Environmental Response Policy

Office of Environmental Response Policy ......................................... (202) 372-2231

Operations Resource Management

Director ......................................... (202) 372-1276

Commercial Regulations and Standards

Director ......................................... (202) 372-1351 Office of Operating & Environmental Standards .................................. (202) 372-1401 Office of Stds. Evaluation & Development............................ (202) 372-1460

For information on Vessel Documenta-tion, visit the National Vessel Documentation Center’s website at http://www.uscg.mil/hq/cg5/nvdc.

For information on Coast Guard news, current events, or upcoming events, visit the website at http://www.news.uscg.mil/.

Other Modal Agencies: Hazardous Materials Contacts

Federal Aviation Administration

Office of Civil Aviation Security (ACO-800) 800 Independence Avenue, SW Washington, DC 20591 Phone ............................................ (202) 267-8434

Federal Motor Carrier Safety Administration

Hazardous Materials Safety Program 400 Seventh Street, SW Washington, DC 20590 Phone ............................................ (800) 467-4922

Federal Railroad Administration

Associate Administrator for Safety 1200 New Jersey Avenue, SE Washington, DC 20590 Phone ............................................ (202) 493-6300

Libraries

DOT Library, Room 2200

1200 New Jersey Avenue, SE Washington, DC 20590-0001

Reference Desk Phone ................ (202) 366-0747 or (Law Library) ...................... (202) 366-0749



Page 270

US DOT—PHMSA REGIONAL OFFICESHazardous Materials Enforcement Program

The Pipeline and Hazardous Materials Safety Administration’s Office of Hazard-ous Materials Enforcement (OHME) has five regional hazardous materials enforcement offices.

PHMSA has primary responsibility for inspection of manufacturers of packagings other than bulk packagings used for highway and rail transportation. It has concurrent juris-diction with the other DOT modal administra-tions to inspect shippers, but its jurisdiction is limited to shipper inspections of persons who offer packagings other than bulk. PHMSA has enforcement jurisdiction for violations of

special permits or approvals issued under the Hazardous Materials Transportation Act of 1974, as amended by the Hazardous Materi-als Transportation Uniform Safety Act of 1990. PHMSA also has authority to take actions for violations of any requirement for a telephonic or written report of a hazardous materials incident or any other reporting requirement imposed under HMTA. PHMSA inspects car-riers or offerors of bulk packagings only when requested by the modal administration with primary responsibility.

Information about OHME is as follows:

Office of Special Investigations (PHH-40, PHH-41) Western Region (PHH-44) Southwest Region (PHH-45)

1200 New Jersey Ave, SE East Building, 2nd FloorWashington, DC 20590Office: 202-366-4700E-mail: [email protected]

3401 Centrelake Drive, Suite 550-BOntario, California 91761Office: 909-937-3279Fax: 909-390-5142

8701 S. Gessner Road, Suite900Houston, TX 77074Office: 713-272-2820Fax: 713-272-2821

Eastern Region (PHH-42) Central Region (PHH-43) Southern Region (PHH-46)

820 Bear Tavern Rd., Suite 306West Trenton, NJ 08628Office: 609-989-2256Fax: 609-989-2277

901 Locust Street, Suite 480Kansas City, MO 64106Office: 816-329-3800Fax: 816-329-3831

233 Peachtree Street NE, Suite 602Atlanta, GA 30303Office: 404-832-1140Fax: 404-832-1168



Page 271

HAZARDOUS MATERIALS TRANSPORTATION Online Resources

US DOT

https://www.transportation.gov/

Offers access to most publicly accessible internet services of the US DOT, all adminis-trations.

Pipeline and Hazardous Materials Administration

https://www.phmsa.dot.gov

PHMSA’s Office of Hazardous Materials Safety

https://www.phmsa.dot.gov/about-phmsa/offices/office-hazardous-materials-safety

PHMSA’s Office of the Chief Counsel

https://www.phmsa.dot.gov/about-phmsa/offices/office-chief-counsel

For questions about the Federal hazardous materials transportation law.

Research and Technology

https://www.transportation.gov/research-technology

Federal Motor Carrier Safety Administration

https://www.fmcsa.dot.gov



Page 272

TRANSPORT CANADAKey Contacts

Headquarters

Transport Canada 330 Sparks Street Ottawa, Ontario, Canada K1A 0N5

General Inquiries ......................... (613) 990-2309 Toll-free ............................................866-995-9737

Safety and Security

Assistant Deputy Minister (ADM) .......................................... (613) 990-2309

Transport of Dangerous Goods Directorate— Director General, Transportation of Dangerous Goods .........................(613) 990-1147

Commercial and Business Aviation— 4th Floor:

Chief, Transportation Dangerous Goods Standards ................................. (613) 990-1060

Marine Safety—11th Floor: Director, Operations & Environmental Programs ................................. (613) 991-3131

Road Safety—8th Floor:

Director General, Road Safety & Motor Vehicle Regulation ... (613) 993-6735

Rail Safety—10th Floor:

Director General, Rail Safety .. (613) 998-2985

Regulatory Resources

Dangerous Goods Regulations

Publication & Depository Services Communication Canada Ottawa, Ontario, Canada K1A 0S9

General .......................................... (800) 661-2868

Guidance Documents

Publications Administrator Transport Canada, Safety & Security Transport Dangerous Goods Directorate—ASDA 330 Sparks Street, 9th Floor Place de Ville, Tower C Ottawa, Ontario, Canada K1A 0N5

Phone .............................................(613) 990-1151

Other Sources of Canadian Government Publications

Bernan 4611 F Assembly Drive Lanham, MD 20706

Phone ............................................ (301) 459-2255 Customer Relations ..................... (800) 865-3457 www.bernan.com

Electronic Resources Internet Address

• Transport Dangerous Goods: https://www.tc.gc.ca/en/ transport-canada.html



Certification (DOT)




CONTENTS

Step 10—Keeping Up With Changes ...............................................................................273

Hazmat Employee Update and Recurrent Training .....................................................274

The Federal Register .............................................................................................................275

Important Transitional Dates ............................................................................................279

Recent Final Rules Published in the Federal Register .....................................................280

Compliance Training Programs .......................................................................................282



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STEP 10—KEEPING UP WITH CHANGESWhat’s Changed, What’s Coming, Are We Still Doing It Right?



172, Subpart H

Rules requiring detailed train-ing for anyone “directly affect-ing” safety of hazardous mate-rials transportation


Federal regulations are constantly chang-ing. As a general rule of United States law, any time you perform an action covered by a reg-ulation, you are expected to know that you’re regulated and what the regulation requires. You must take steps to assure that all hazmat employees and all employees affecting hazmat transportation compliance know how to do their job and are actually performing their function correctly.

Keeping up-to-date includes:

• Performing continual update training for all hazmat employees, as needed per job function.

• Checking the daily Federal Register for new or modified regulations.

• Refering to PHMSA’s six-month agenda.



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HAZMAT EMPLOYEE UPDATE AND RECURRENT TRAINING

Requirements for Update Training [49 CFR 172.702(b)]

The DOT’s detailed hazmat employee training standard requires all hazmat employ-ees to be “instructed in the requirements of” the hazardous materials regulations that apply to the function they are performing. Hazmat employees may not perform any DOT-related hazmat function until they have received this training.

The DOT interprets this requirement to mean that anytime a regulation relating to a function performed by a particular hazmat employee is changed or added, that person must be trained in the new or modified require-ment. This “update” training must be done as needed, whenever these rule changes happen. [61 FR 27169, May 30, 1996]

NOTE: Although it might be considered a good management practice, hazmat employ-ees receiving update training on new regula-tions are not required to be tested as part of their training, nor is there any requirement to update training records.

Requirements for Recurrent Training [49 CFR 172.704(c)(2)]

All hazmat employees must receive recur-rent training at least once every three years, whether the hazmat rules that applied to the employee’s job functions have changed or not. Hazmat employees must be retrained in ALL applicable topics, meaning that, at a minimum, the employee must receive:

• General awareness training.

• Function-specific training.

• Security awareness training.

Depending on the employee’s job func-tions and the types of materials being shipped, the employee may also need safety training and security plan training.

NOTE: Unlike update training, the rules spe-cifically require employees receiving recurrent training to be tested, and that a record of the recurrent training be created and kept.



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THE FEDERAL REGISTER

The primary method the Federal govern-ment uses to let people know about regula-tions that may affect them is by publishing all regulatory changes in the Federal Register. The Federal Register is the official daily publication of the Executive branch of the Federal gov-ernment, and it includes notification of:

• Reports and other information available from the Federal government;

• Public meetings that will be held to dis-cuss possible rule changes;

• Proposed new and modified regula-tions; and

• Finalized rule changes.

One of the most useful features is the semi-annual regulatory agenda, published twice per year. The agenda identifies all rule changes being worked on by a particular agency, the status of each, and a contact person within the agency for more information.

Why Subscribe to the Federal Register?

Regulations change frequently, and it is your responsibility to be aware of the latest updates. There are many reasons why regu-latory compliance professionals should sub-scribe to the Federal Register, the official publi-cation of the United States Government.

1. It’s OFFICIAL. Whatever is printed in the Federal Register IS the rule, unless it is a proposal. Secondary publications, explan-atory documents, and other sources are only as good as the accuracy and knowl-edge of the person preparing them.

2. It gives you an “EARLY WARNING” of changes, so that you will:

– Know what’s coming and have time to plan and prepare; and

– Have the opportunity to comment, pos-sibly affecting the final form or details of the rules.

3. You will know what’s required IMMEDIATELY. No waiting for an update service to retype, reprocess, or comment on a new rule.

4. You can be assured that you are getting EVERYTHING—not just what someone else thinks is important.

5. You will have all of the invaluable PREAMBLES to each proposed and final rule—plain English explanations from the agency, detailing why and how the rule was developed and describing what they meant it to say.

6. It includes NOTICES of non-regulatory actions such as meetings and approvals that others have received (i.e., exemp-tions, exclusions, and delistings).



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The Federal Register, continued

7. You will get announcements of GUID-ANCE DOCUMENTS and studies as they are issued, including addresses and sources of each. Often, the first copies are available free, directly from the agency. Later copies must be purchased from gov-ernment publishing services.

8. It includes many useful FINDING AIDS, cross-referenced by regulation, agency, and topic.

9. It’s relatively INEXPENSIVE. The cur-rent annual subscription rates are:

• $929 with indexes for a paper version,

• $860 without index for a paper version, and

• FREE over the Internet.

These include almost 200 daily issues, finding aids and the semiannual regula-tory agenda.

How to Subscribe

Paper Copy or Microfiche from US GPO

Order online at:

https://bookstore.gpo.gov

Online Subscription

To access the Federal Register online, go to https://www.federalregister.gov. There, you have access to the current issue both in html and in PDF format. You can also browse previ-ous issues of the Federal Register.

You can subscribe to any agency articles, public inspection documents, or search results via e-mail or RSS link. To do so, you need to first sign up to “My FR,” which can be found at the top right of www.federalregister.gov.

Once you have created an account, you can customize your subscription settings by look-ing for the envelope icon with the word “Sub-scribe.” The icon will be on the right-hand side of the page, if subscribing is an option.



Page 277

THE FEDERAL REGISTER

Vol. 83 Monday,

No. 98 May 21, 2018

Pages 23349–23574

OFFICE OF THE FEDERAL REGISTER

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Page 278



Page 279

IMPORTANT TRANSITIONAL DATES2020 and Beyond

October 1 of each year

Every year on this date, the US Government Publishing Office recodifies Title 49 of the Code of Federal Regulations, to reflect rule changes and tech-nical corrections from the previous year. PHMSA traditionally delays the effective date of many final rules until the next October 1 codification date.

June 30 of each year Registration statements (DOT Form F 5800.2) for the next registration year are due. [49 CFR 107.608]

January 1, 2019 Per Special Provisions TP39 and TP41, the portable tank instructions T4 and T9 respectively were phased out on this date. [49 CFR 172.102]

January 1, 2021 The “ORM-D” marking in effect since January 1, 2011, may no longer be used. [49 CFR 172.315(d)(2)]

January 1, 2021 Rail carriers operating high-hazard flammable unit trains (HHFUT) must have ECP brake systems installed by this date. [49 CFR 174.310]



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Page 280

RECENT FINAL RULES PUBLISHED IN THE FEDERAL REGISTER

Harmonization With International Standards (HMT 215-O)

Publication Date: May 11, 2020

Effective Date: May 11, 2020 (except for instruc-tion 17 which is effective January 2, 2023)

Parts Affected: 49 CFR 171, 172, 173, 174, 175, 176, 178, and 180

At 85 FR 27810, PHMSA issued this final rule to amend the Hazardous Materials Reg-ulations in order to maintain consistency with international regulations and standards. Among the incorporated amendments are changes to the 49 CFR 172.101 Hazardous Materials Table, the addition of the lithium battery test summary requirement, changes to the definition and criterion for classifying cor-rosive materials, and the addition of a classi-fication system for articles containing hazard-ous materials which do not already have their own proper shipping names.

Revision of Maximum and Minimum Civil Penalties

Publication Date: July 31, 2019

Effective Date: July 31, 2019

Parts Affected: 49 CFR 107 and 171

At 84 FR 37059, in accordance with the amended Federal Civil Penalties Inflation Act, PHMSA revised the maximum and minimum civil penalties for a knowing violation of the Federal hazardous material transportation law or a regulation, order, special permit, or approval issued under that law. The maxi-mum civil penalty for a knowing violation is now $81,993, except for violations that result in death, serious illness, or severe injury to any person or substantial destruction of prop-erty, for which the maximum civil penalty is $191,316. In addition, the minimum civil pen-alty amount for a violation relating to training is now $493.

Enhanced Safety Provisions for Lithium Batteries Transported by Aircraft (FAA Reauthorization Act of 2018)

Publication Date: March 6, 2019

Effective Date: March 6, 2019

At 84 FR 8006 and pursuant to congressio-nal mandate, PHMSA issued an interim final rule (IFR) to revise the Hazardous Materials Regulations for lithium cells and batteries transported by aircraft. This IFR more fully harmonizes domestic regulations with inter-national standards.



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Recent Final Rules Published in the Federal Register, continued

Oil Spill Response Plans and Information Sharing for High-Hazard Flammable Trains (FAST Act)

At 84 FR 6910, PHMSA and the FRA issued a final rule to revise and clarify requirements for comprehensive oil spill response plans (COSRPs) and other matters for high-hazard flammable train (HHFT) operations.

Harmonization With International Standards (RRR)

Publication Date: March 30, 2017

Effective Date: March 30, 2017

Parts Affected: 49 CFR 107, 171, 172, 173, 175, 176, 178, and 180

At 82 FR 15796, PHMSA issued this final rule to amend the Hazardous Mate-rials Regulations in order to maintain con-sistency with international regulations and standards. Among the incorporated amend-ments are changes to proper shipping names, hazard classes, packing groups, special pro-visions, packaging authorizations, air trans-port quantity limitations, and vessel stowage requirements.



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COMPLIANCE TRAINING PROGRAMSA Suggested Strategy

Determine Whether Training Is Needed

Consider regulatory and technical require-ments against current operations; consider the knowledge level of current incumbents.

Assemble a Training Team

“Two heads are better than one.” Make training a cooperative effort. Assure that all needed disciplines are represented: Techni-cal, Regulatory, Management, and Personnel/Training.

Remember that training itself is both an expertise to be learned and a skill to be devel-oped. In larger companies, a training depart-ment can be of considerable value in organiz-ing your planning efforts and coaching the ultimate presenter of the training. In organiza-tions without such a resource, assure that your team includes at least one good trainer.

Identify HazMat Jobs

Consider all jobs within your facility or jurisdiction. Do they participate in any hazmat-related functions? Group related tasks and related jobs at your facility into “hazmat job descriptions.” Give each a functional job title (e.g., package selector/specifier). These need not directly correspond to employee titles. For instance, “package specifiers” may

include a maintenance employee who selects drums for waste shipment, a packaging engi-neer, a shipping supervisor, and a purchasing agent who orders packaging. Each of these functional job descriptions will require a train-ing “module.” Some employees may have only one functional hazmat job description, some may have many.

Identify Goals and Objectives for Each Training Module

Training should be built around the tasks required in the specific job and existing com-pany procedures. This avoids training people on theory when what they need to know is practice. There are many systems to assist in developing task-based training. Most begin by defining goals and objectives of training—what you want a trainee to be able to DO at completion of the training. For instance, objec-tives for “package selector/specifier training” could be:

• The employee will be able to explain the distinction between “specification” and “performance” packaging.

• The employee will be able to list the information required to specify a 55-gallon drum for liquid hazardous materials.

• The employee will be able to recognize and interpret a specification marking on a package.



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Compliance Training Programs, continued

Develop Learning Activities

Use the established goals and objectives as the outline for your training. Make use of appropriate training materials. Videos and slide shows are good for “awareness” train-ing—to emphasize the importance of an issue. Booklets or manuals combined with lecture are still an option, but should include interac-tive discussion. Exercises are good for teach-ing procedures. Role-playing and demonstra-tions are effective in illustrating key points and issues. More recent technologies (e.g., comput-er-based training, etc.) should be assessed on the merits of their effectiveness.

Develop Post-Testing

All training programs should include a means of assessing attendee learning. This may be done through post-testing or other quantitative methods. A decision must be made as to criteria for successfully completing the training course.

Conduct the Training Program

Brief training programs (of an hour or two) may be conducted by one person. Longer pro-grams or programs using many exercises may require two or more presenters. It is always best to have an observer present for the first few sessions to make an objective assessment of the training effectiveness.

Evaluate Training Effectiveness

All training programs should be assessed periodically to assure that they are accom-plishing their intended purpose. Objective and subjective measures of effectiveness should be considered (e.g., test scores, training obser-vations, actual employee performance, etc.). Periodic review should also be made to assure that stated training goals and objectives are still appropriate to current operations and cur-rent regulations.



Certification (DOT)




CONTENTS

Cargo Security Awareness ................................................................................................287

Keeping Hazardous Materials Secure .............................................................................289

Hazmat Cargo Security .....................................................................................................293



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CARGO SECURITY AWARENESSWhy Are Hazardous Materials “Attractive” Targets?

Traditional Hazmat Dangers

Because hazardous materials can pose a significant threat to people, property, or the environment when they are transported, DOT made rules many years ago to regulate their shipment. Traditionally, the DOT’s con-cerns were things like keeping containers from leaking dangerous materials while being transported down the highway or on an air-plane and providing the information needed to respond to accidents and emergencies that could happen along the way. Essentially, DOT focused on ways to prevent and control acci-dents involving hazardous materials.

“Today’s” Hazmat Dangers

Events such as the Oklahoma City truck bombing in April of 1995, when anti-gov-ernment anarchists conspired to combine a 55-gallon drum of fuel oil with a bag of nitrate fertilizer to destroy the Oklahoma City Fed-eral Building, killing 168 people, as well as the jumbo jet hijackings on September 11, 2001 by members of the Al Qaeda terrorist network to use in suicide attacks on major US land-marks, dramatically demonstrated that today we also face another danger from hazardous materials. We must now consider the possibil-ity that someone could intentionally release or use hazardous materials as weapons of mass destruction.

Hazmat Transportation Is a Target for Terrorism

There are eight aspects of hazmat trans-portation that make it a particularly attractive target for terrorist activity.

1. Hazardous Materials as Weapons

The properties of the materials subject to the DOT hazardous materials regulations are what make them appealing targets. They pose potential acute hazards, such as being explosive, poisonous, or flammable. As such, they are exactly the kinds of things that terror-ists can use to inflict damage on their victims.

2. Number of Potential Targets

The DOT estimates that over 1 million shipments of hazardous materials are made each day and that over 95% of these hazmat shipments are made by motor vehicle on our highways. Every day, enormous quantities of hazardous materials are potentially vulnerable to some type of terrorist attack.

3. Complexity of the Transportation System

The logistics in moving materials from Point A to Point B can be very complicated. Materials may be handled by many different individuals and moved by different modes of transportation. Effectively tracking where



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Cargo Security Awareness, continued

all the hazardous materials are at all times is extremely difficult. Every hazardous materi-als shipment is vulnerable to terrorist attack at any point while in transit.

4. Clear Identification of the Targets

The DOT requires explicit communica-tions (i.e., placards, labels, etc.) to inform rou-tine handlers and emergency responders of the hazards of the materials being shipped. Unfor-tunately, these same vital communications make it easy for a terrorist to pick a target from among the many packages and trucks that oth-erwise crowd the transportation system.

5. Frequent and Predictable Targets

In many cases, hazardous materials are repeatedly shipped using very specific sched-ules and routes. A terrorist can observe the practices of particular shippers and carriers to determine the best time and place to carry out his or her actions.

6. Location of the Targets

Hazardous materials are everywhere, including at or near key targets for terrorists. It is far easier to blow up a bridge by waiting for a cargo tank of flammable liquid to drive across it and then attacking the truck than it is to rig the bridge with dynamite while risking detection by enforcement authorities.

7. Economic Disruption

The desired effect of terrorists is often two-fold—immediate loss of life and damage to property, as well as the disruption to an area’s economy. An incident involving a hazard-ous material in transportation can shut down highways or other routes of transportation for extended periods of time. Countless people would be exposed and harmed by hazardous materials. This would have a devastating effect on the economy.

8. Terror Value

The ultimate goal of terrorism is terror. Ter-rorists can increase the fear factor by targeting things commonly visible to the general public (like placarded trucks). If people believe that it is likely that the cargo trailers of flammables or poisons driving next to them on the interstate could be targeted, and they then begin to alter their behaviors accordingly, then the terrorists have won.

For example, after September 11, 2001, commercial air travel was shut down for days. This affected not only the movement of goods, but the normal routines of business travelers and vacationers. The economic impact of the terrorist acts reached far beyond the cost of the damage and destruction done at the World Trade Center and the Pentagon.



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KEEPING HAZARDOUS MATERIALS SECURE

Hazmat Security Is Everyone’s Responsibility

Because there are so many ways for a terrorist to strike the hazmat transportation system, hazmat security is everyone’s respon-sibility. Everyone involved needs to:

• Remain vigilant;

• Know the types of things that should be regarded as suspicious or out of the ordinary; and

• Know how to report suspicious activi-ties to the proper authorities when they notice them.

You need to learn your site-specific secu-rity details! It’s up to you to understand the security procedures and policies at your facil-ity and to understand your place in the facili-ty’s security plan.

Facility Security Measures

Whatever security measures exist at your facility, you should respect them. If you notice that any part of the system is damaged or not functioning correctly, let someone know. A hole in the ground under a key security fence is all it might take to let in the wrong person.

You may not be involved in planning for surveillance, and these things may even feel intrusive or bothersome at times, but remem-ber that the security measures are there for a

reason. If you notice security equipment that is not functioning correctly, bring it to someone’s attention. Never try to disable or bypass these systems.

Employee Identification Systems

One of the most basic components of any security system is a system for identify-ing employees. Identification cards or badges should be taken seriously. If there are different IDs that grant access to different areas of your facility, you should know them and what each signifies. Keep your ID safe and never loan it to anyone. Stolen or lost identification should be reported immediately and dealt with appro-priately.

Hazmat and Related Equipment Storage Areas

Most facilities will have secure areas for the storage of hazardous materials and/or vehicles that might be loaded with hazardous materials. These secure areas are only effective if all of the hazardous materials are actually kept there, so don’t leave hazardous materials or transport vehicles outside of secure areas. In addition:

• When you leave a secure area, make sure the area is secure;

• If a door should be locked, lock it;

• If a valve or opening should be secured, secure it; and



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Keeping Hazardous Materials Secure, continued

• If you have tamper-resistant or tamper- evident seals or locks, use them.

Monitor access to areas where hazardous materials are being stored, and restrict access to these areas to the people who actually need to be in them.

Keep inventory records of hazardous mate-rials and check them regularly. Most impor-tantly, take note of any missing inventory. A 5-gallon inventory discrepancy one week may go unremarked, but if the same 5-gallon dis-crepancy occurs three weeks in a row, then that may be a sign that someone is trying to accu-mulate hazardous materials unnoticed, and it may be time to let the authorities know.

Dealing With Visitors

Almost every facility receives visitors: cus-tomers or clients, suppliers, consultants and contractors, sales reps, families of employees, and many others. Your organization has pro-cedures to protect against unwanted visitors. You need to take these procedures seriously. Keep a special eye out at access areas where visitors may come and go and take the follow-ing precautions:

• If visitors are supposed to register, don’t let someone in without registration.

• If visitors are supposed to have visitor tags or badges, and you notice peo-ple who don’t, let someone in author-ity know.

• If visitors are supposed to be accompa-nied, then accompany your visitors, and if you see visitors wandering alone, let someone in authority know.

• If there are areas of the facility where visi-tors are not allowed, don’t let them in.

• If there are access areas where visitors may come and go, monitor these areas.

Pickups and Deliveries

Shipping and receiving are two of the most important areas in preventing terrorist access. This is where terrorists could most easily get their hands on your hazardous materials or introduce hazards to your facility. The follow-ing precautions should be taken when dealing with pickups and deliveries:

• Know who you’re dealing with:

– Verify ALL paperwork, and

– Require vendors to provide driver’s name and vehicle number and check IDs;

• Limit places where pickups and deliver-ies can occur; and

• Monitor vehicles entering and leaving your site.

External Communications

It’s important to keep sensitive informa-tion confidential, so don’t discuss issues that are related to facility security with the general public. Remember that you should never dis-cuss security issues with anyone who doesn’t need to know about those particular secu-rity issues.



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Suspicious Activities

There are many different kinds of things that should serve as warning signs that you are dealing with a suspicious situation. For example:

• You should consider it suspicious if you receive an unexpected or unscheduled de-livery. If this happens:

– Don’t just blindly accept the shipment.

– Do raise a red flag.

– Don’t let the carrier leave until you’ve confirmed his or her story and the legit-imacy of the delivery.

– Do let others at your facility know what happened.

• You should consider it suspicious if you see someone conducting physical surveil-lance of your facility. If this happens:

– Don’t ignore them.

– Do let someone know.

• You should consider it suspicious if someone has prying questions about your facility or its operations and that per-son has no reason to ask. If you get such questions:

– Do find out why the person is asking before you respond.

– Don’t give detailed information.

– Do refer the person to the appropriate authorities at your facility.

Suspicious Activities by Customers

One thing to keep in mind is that it’s always possible that a terrorist-related group may simply approach your company to buy hazardous materials for some seemingly legit-imate reason. Although no company wants to turn away business, you should always use a bit of common sense when dealing with new customers. Any of the following should be considered at least somewhat suspicious, par-ticularly if the customer is a new customer:

• Customers whose identities are unclear

• Customers who show a reluctance to ex-plain how your products will be used

• Customers who provide evasive respons-es to questions

• Customer who can’t provide clear an-swers to technical questions

• Customers who make requests for exces-sive confidentiality

• Customers who offer extremely favorable terms of agreement

“Unusual” Can Equal “Suspicious”

In general, just remember that any out-of-the-ordinary activity may be an indicator of terrorist activity, and if something seems suspicious, tell others about it. The more you communicate, the less likely terrorists are to succeed.



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Reporting Security Threats

There are many things to consider if you believe that you have seen something sus-picious that should be reported. First, if you think there is an imminent danger, call the emergency telephone number in your area, be that 911, 311, or the telephone operator. If you work in a job where emergencies may be likely, you should know this number and keep it handy.

Second, for any suspicious situation, you should notify your employer. He or she can gather information from all of your cowork-ers and may be able to detect trends. Your employer will also have an easier time get-ting the attention of public safety authorities if their help is necessary. Depending on your employer’s policies, you may be required to notify local law enforcement or even the local FBI office in certain situations. You should learn what is expected of you in this regard and do it.

Key Contact Telephone Numbers

The Federal government has a couple of useful key contacts for anti-terrorist information:

• The National Infrastructure Protection Center, Watch and Warning Unit of the FBI operates a hotline at 202-323-3205 or toll-free at 888-585-9078.

• The Federal Department of Justice oper-ates a Tip Line at 866-483-5137.



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HAZMAT CARGO SECURITYWritten Security Plan

Planning vs. Training

Security planning should not be con-fused with security awareness training. Every hazmat employee of every hazmat employer must have security awareness training as part of the training required by DOT.

Some shippers and carriers are also required to develop a formal written plan for assuring hazmat transportation security. Those who are required to develop security plans also must train hazmat employees on the details of their plans.

Applicability [49 CFR 172.800(b)]

In general, a written hazmat security plan is required for any facility or organization that ships or transports:

• Any quantity of:

– Division 1.1, 1.2, or 1.3 explosives;

– A material poisonous by inhalation;

– Organic peroxide, Type B, liquid or solid, temperature-controlled;

– Select agents or toxins regulated by the Centers for Disease Control and Prevention of the United States Depart-ment of Agriculture; or

– Highway route controlled quantities and other high-consequence Class 7 materials.

• A “large bulk quantity,” i.e., a quantity greater than 3,000 kg (6,614 lbs.) for solids or 3,000 L (792 gallons) for liquids and gases in a single packaging, such as a car-go tank motor vehicle, portable tank, tank car, or other bulk container, of:

– Division 2.1 flammable gases;

– Division 2.2 compressed gases with a subsidiary hazard of 5.1;

– Class 3, PG I or II;

– Division 4.2, PG I or II;

– Division 5.1, PG I, PG II materials, per-chlorates, or certain ammonium nitrate compounds;

– Division 6.1 poisons other than poison-ous by inhalation; or

– Class 8, PG I.

• A placarded load of:

– Division 1.4, 1.5, or 1.6 explosives;

– Desensitized explosives in Division 4.1 or Class 3;

– Uranium hexafluoride; or

– Division 4.3 dangerous when wet ma-terial.

Retention [49 CFR 172.802(c)]

The most recent version of a security plan, including the risk assessment, must be in writ-ing and retained for as long as it remains in effect.



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Hazmat Cargo Security, continued

Revision [49 CFR 172.802(c)]

Security plans must be reviewed at least annually and revised and/or updated as necessary to reflect changing circumstances. When the security plan is revised, all employ-ees responsible for implementing it must be notified and receive any additional/revised training within 90 days of implementation of the revised plan.

Availability [49 CFR 172.802(d)]

Copies of the most recent version of the security plan, or appropriate portions of it, must be available to the employees responsi-ble for implementation.

All persons required to develop/imple-ment a security plan must maintain an acces-sible copy of the plan at their principal place of business. They must make this plan avail-able upon request to authorized officials of the Department of Transportation or the Depart-ment of Homeland Security.

Contents of a Cargo Security Plan [49 CFR 172.802]

At a minimum, a security plan must include the following elements:

• An assessment of transportation se-curity risks, including site-specific or location-specific risks associated with facilities at which hazardous materials are prepared for transportation, stored, or unloaded incidental to movement;

• Personnel Security—confirm information provided by job applicants who will be given access to or handle hazardous materials above regulated thresholds;

• Unauthorized Access—prevent unautho-rized people from gaining access to the hazardous materials or transport vehi-cles above regulated thresholds; and

• En Route Security—protect shipments of hazardous materials above regulat-ed thresholds en route from origin to destination, including during storage incidental to movement.

Security plans must also include:

• The job title of the person responsible for overall development and implemen-tation of the security plan;

• Security duties for each position or de-partment responsible for implementing the plan;

• The process of notifying employees when specific elements of the security plan must be implemented; and

• A plan for training hazmat employees who will implement the security plan.

Elements of Successful Security Planning

Although the form that security plans take will vary from facility to facility, the US DOT suggests that successful security should gener-ally include the following elements:



Notes:

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• Obtaining commitment to reducing se-curity risks on the part of both managers and workers,

• Promoting a “risk reduction culture with a security focus” in day-to-day operations,

• Partnering with all parties involved in securing the hazardous materials trans-port chain,

• Prioritizing security risks so that resourc-es can be allocated effectively,

• Taking action to reduce the security risks that have been identified,

• Striving for continuous improvement, and

• Communicating with all parties to ensure each knows its role and is aware of rele-vant security risk information.

Risk Management Self-Evaluation Framework (RMSEF)

The US DOT recommends the following seven-step procedure to security planning:

Step 1: Scoping

To focus planning efforts, make some ini-tial decisions as to which transportation activi-ties pose the greatest security risks.

• Identify hazmat transportation activities.

• Identify interactions with other people and organizations.

• Set priorities, determine risk management objectives.

Step 2: Knowledge of Operations

Gather information on your hazmat oper-ations, including:

• Quantities and types of hazardous mate-rials shipped or transported,

• Existing security measures (including those that were not originally designed for security but which may help),

• Degree of conformance with current secu-rity rules, and

• Past security breaches.

Step 3: Assessment

Analyze the nature and magnitude of security risks. Begin simply and progress in complexity as needed. Assessment can simply involve reporting the impressions of experi-enced company staff, brainstorming, or con-ducting a survey by a diverse team composed of staff from various operations. A key element of this step is to identify points in the hazmat transportation chain where security risk exists, but where actions can be taken to reduce the security risk.

Step 4: Strategy

Identify the specific measure that will be taken to control and reduce security risks. Pri-oritize actions based on the degree of vulner-ability and potential impact. This is the step during which the actual hazmat security plan is written.



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Step 5: Action

Implement your plan.

Security plans have been required for existing facilities since September 25, 2003. New facilities can not begin hazmat shipping or transportation activity above the thresholds for security planning without a written plan in place and implemented.

Hazmat employees are required to be trained on the details of the plan. Training must be repeated every three years and when-ever the plan changes.

Step 6: Verification

After the plan is implemented, you should monitor to assure that activities are proceed-ing according to plan. Any problems should be addressed.

Step 7: Evaluation

Plans should be periodically reviewed and assessed against security objectives. This is particularly important as operations and cir-cumstances change. Any problems or improve-ments should be reflected in a revised plan.

When any revision is made, revisions must be communicated to all involved in plan implementation and all copies of the plan must be updated. This is required under 49 CFR 172.802(c).

DOT recommendations summarized from: Enhancing Security of Hazardous Materials Shipments Against Acts of Terrorism or Sabotage Using RSPA’s Risk Management Self-Evaluation Framework (RMSEF), US DOT, January 2002.



Page 295

RISK

MAN

AGEM

ENT

SELF

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FRA

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Man

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and

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uch

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Index


Page 297

INDEX

A

Accident ......................................................... 239

Acronyms ........................................................ 30

Agencies of the DOT ...................................... 39

Airplane hazard .............................................. 83

Applicability of regulations ............................ 6

Approval........................................................ 266

Authorized packaging ................................... 94

B

Basic description .......................................... 199modification ............................................. 200

Bill of lading ........................................... 197, 211

Bulk packaging ............................................. 137

C

Canadian shipment ........................................ 17

Carriage by highway ................................... 239

Carrier ................................................ 19, 22, 233

Checklist: Marking and Labelingcargo tank................................................. 189consumer commodity ............................ 187freight container ...................................... 194fully regulated non-bulk package ........ 184intermediate bulk container (IBC) ........ 187limited quantity ...................................... 186multi-unit tank car .................................. 193portable tank ........................................... 191tank car ..................................................... 190

Civil penalty .................................................... 24

Class 9 .............................................................. 80

Classification ................................................... 41

Code of Federal Regulations (CFR) .................. 30

Column 1 Symbol ........................................... 91

Combination packaging .............................. 106

Combustible liquid ........................................ 74

Commercial motor vehicle ............................ 33

Composite packaging .................................. 106

Consignee ........................................................ 35

Contract carrier ............................................... 33

Criminal penalty ............................................ 24

Cycle of transportation .................................. 33

D

DOT agencies .................................................. 39

DOT-empty ................................................... 154

DOT label ...................................................... 182

DOT placard .................................................. 223

E

Elevated-temperature material ........ 75, 79, 80

Emergency reporting ................................... 247

Emergency response ............................ 247, 251information ...................................... 213, 251telephone number ................................... 214

Empty ............................................................. 152

Enforcement ...................................... 24, 26, 270

ERG Book ...................................................... 214

Hazmat and Waste Ground Shipper Certification (DOT)

Index, continued


Page 298

Excepted small quantity .............................. 156

Exception packagelabeling ..................................................... 170marking .................................................... 170

Exception packaging .................................... 141

F

Federal Motor Carrier Safety Administration (FMCSA) ...................... 246

Federal Register .............................................. 275

Forbidden ........................................................ 86

Function-specific training ............................... 3

Functions regulated by the HMR .................. 8

G

General awareness training ............................ 2

General packaging requirement ......... 111, 112

Generic (“G”) shipping name ..................... 203

Generic name .................................................. 91

H

Hazardprimary ..................................................... 221segregation ............................................... 239subsidiary ................................................ 221

Hazard class ........................................ 28, 41, 48

Hazard classification process ....................... 58

Hazard division ........................................ 41, 48

Hazardous material ............................. 7, 43, 45

Hazardous Materials (HM) Table ... 90, 92, 110

Hazardous substance ....................... 75, 80, 204

Hazardous waste .......................... 75, 80, 85, 96

Hazardous waste manifest ................. 216, 219

Hazmat employeedefinition ...................................................... 2training ......................................................... 1

Hazmat employer ............................................ 1

I

Identification numberbulk package............................................ 176cargo tank................................................. 179marine pollutant ..................................... 180minimum size .......................................... 179multi-unit tank car .................................. 180non-bulk ........................................... 161, 162portable tank ........................................... 179transport vehicle ..................................... 176

Import shipment............................................. 17

Incident .................................................. 239, 248telephone report ...................................... 248written report .......................................... 249

“In commerce” .................................................. 7

Intermediate bulk container (IBC) .......................................... 107, 126, 129

International Air Transport Association (IATA) ............................. 17, 31

International Civil Aviation Organization (ICAO) .......................... 17, 31

International Maritime Dangerous Goods (IMDG) Code .......................... 17, 31

K

Key contacts .......................................... 268, 272

Index

Index, continued


Page 299

L

Labeling ......................................................... 159bulk package and container .................. 179for exception package ............................ 170overpack ................................................... 174salvage packaging .................................. 174

Label specification ........................................ 161

Lab pack .................................................. 34, 157

Limited quantity ........................................... 206

Loading ............................................ 23, 233, 241highway ........................................... 239, 240rail ............................................................. 235tank car ..................................................... 236

M

Marine pollutant......................... 75, 78, 80, 205

Marking ......................................................... 159bulk package and container .................. 179elevated-temperature material ............. 181for exception package ............................ 170ID number ................................................ 176infectious substance ............................... 181poison inhalation .................................... 180requirement ............................................. 160unodorized LPG...................................... 181

Materials of trade exceptioncommunication ....................................... 257definition .................................................. 256packaging ................................................. 256prohibitions ............................................. 258quantity limit ........................................... 257

Mexican shipment .......................................... 17

Miscellaneous Hazard Class 9 ................ 44, 80

Mixturenaming........................................................ 98

Modifying Proper Shipping Name .............. 96

Motor carrier ................................................... 35

Motor vehicle ............................................ 7, 240

Multiple-hazard material .............................. 69

N

Non-bulk package ........................................ 125

Non-bulk packaging ............................ 105, 133

N.O.S. ............................................................... 31

O

Offeror ........................................................ 18, 21

Offeror’s duty ................................................... 5

Online resources ........................................... 271

Overclassification ........................................... 84

Overpack ....................................................... 109labeling ............................................. 174, 175marking ............................................ 174, 175special issue ............................................. 155

P

Package .......................................................... 105non-bulk ................................................... 125securing of ............................................... 240

Package manufacturing ................................. 21

Hazmat and Waste Ground Shipper Certification (DOT)

Index, continued


Page 300

Packaging ....................................... 103, 105, 118authorized ................................. 110, 111, 115authorized bulk ....................................... 137authorized exception .............................. 141authorized non-bulk ............................... 133definitions ................................................ 105general requirements............................... 112IBC markings ........................................... 130manufacturing specifications ................. 115non-bulk ................................................... 105performance-oriented ............................. 115specification codes ........................... 118, 126specification markings ........... 122, 128, 130

Packaging authorization ............................... 94

Packaging manufacturing ......................... 8, 19

Packing group ..................................... 28, 41, 56

Penaltycivil .............................................................. 24criminal ...................................................... 24

Performance-oriented packaging ............... 115

Person .............................................................. 16

Pipeline and Hazardous Materials Safety Administration (PHMSA) regional offices ........................................ 270

Placarddisplaying ................................................ 228prohibited ................................................ 229

Placarding.............................................. 221, 225exceptions ................................................ 230summary .................................................. 231

Plus mark................................................... 43, 45

Precedence of Hazard Table ......................... 72

Pre-transportation function ............................ 8

Primary hazard ....................................... 70, 221

Proper Shipping Name .................................. 89modification ............................................... 96selection ...................................................... 92

R

Rail car ........................................................... 235

Receiver ........................................................... 35

Recent final rules .......................................... 280

Reclassifying flammable liquid .................... 74

Reconditioning ............................................. 150

Recurrent training ............................................ 4

Registration ................................................... 263

Regulationsapplicability ................................................. 6

Regulatory structure ........................... 10, 11, 13

Reportable quantity (RQ) ...... 76, 101, 204, 257

Residue .......................................................... 206

Retention of shipping paper ....................... 219

Reuse .............................................................. 149

S

Safety Data Sheet (SDS) ................................. 32

Salvage packaging........................................ 109drum ......................................................... 158

Salvage Packaginglabeling ..................................................... 174marking .................................................... 174

Sample ............................................... 85, 97, 155

Security .......................................................... 287

Security awareness ....................................... 285

Security awareness training ............................ 3

Security plan ................................................. 291

Security plan training ...................................... 3

Segregation and separation ........ 239, 242, 245

Selecting a Proper Shipping Name .............. 92

Shipmentimport ......................................................... 17to Canada ................................................... 17to Mexico .................................................... 17

Index

Index, continued


Page 301

Shipper ....................................................... 18, 35

Shipper’s certification .................................. 209

Shipper’s Declaration .................................. 197

Shipping paper ............................................. 197basic description ..................................... 199number and type of packages ............... 202rail shipment............................................ 207retention ................................................... 219total quantity ........................................... 202

Signature ........................................................ 209

Solutionnaming........................................................ 98

Special permit ................................. 35, 205, 259becoming party to ................................... 260

Special provision ..................... 95, 110, 111, 147

Specification packaging ................................ 115

Structure of regulations ...................... 10, 11, 13

Subclassification ............................................. 56

Subscription .................................................. 276

Subsidiary hazard .................................. 69, 221

Super-packaging........................................... 157

T

Tank car .......................................................... 236

Ten Steps .................................................... 14, 21

Terrorism ....................................................... 285

Ticket program ............................................... 24

Training ................................ 1, 2, 3, 23, 274, 282recordkeeping .............................................. 4

Transitional dates ......................................... 279

Transportation .................................................. 6

Transportation jargon .................................... 33

Transporter ...................................................... 36

U

Unit of measure .............................................. 37

Unloading ...................................... 233, 239, 241