toolkit for hazardous materials transportation education 1

TOOLKIT FOR HAZARDOUS MATERIALS TRANSPORTATION EDUCATION

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Module 3: Hazmat Legal and Regulatory Environment

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This work is sponsored by the U. S. Department of Transportation Pipeline and Hazardous Materials Safety Administration (PHMSA). It was conducted through the Hazardous Materials Cooperative Research Program (HMCRP), which is administered by the Transportation Research Board of the National Academies.

Prepared by3 Sigma Consultants, LLC909 Edenbridge Way, Nashville, TN 37215

Learning Outcomes

At the end of this module students will be able to:1.Identify the principal regulations governing hazmat transportation.2.Explain the general layout of the hazardous materials regulations and locate provisions that are applicable to specific shipping situations.3.Describe the operational elements required for the safe and secure movement of hazmat within the applicable regulatory requirements.

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Topics

• Hazmat transportation regulatory context• Overview of legal, and regulatory process• Hazmat legislation and regulations• USDOT regulations• Compliance and enforcement • Other regulatory requirements, standards, and guidelines • Issues involving multiple/overlapping regulations

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The Hazardous Materials Regulations (HMR)

5Source: PHMSA, USDOT, July 2012.

• This module is for educational purposes only.• It does not substitute for the actual HMR.• For authoritative information consult the latest

edition of the HMRhttp://www.ecfr.gov/cgi-bin/text-idx?

sid=69820f56014d9312d67ea8169b0e9e01&c=ecfr&tpl=/ecfrbrowse/Title49/49tab_02.tpl

and the final rules published in the Federal Register.https://www.federalregister.gov/

Why Regulate Hazmat Transportation?

• The dangerous goods transported, if released or ignited, could cause harm to human health or the environment.

• Some releases are catastrophic.– Texas City, TX, cargo ship explosions, April 1947– Waverly, TN, LP gas tank car, February 1978– Caldecott Tunnel, CA, April 1982– Baltimore, MD, rail tunnel fire, July 2001

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What Is a Hazardous Material?

• Many organizations have offered definitions of the synonymous terms “hazardous materials” and “dangerous goods” to meet various needs (see handout):– Institute of Hazardous Material Management (IHMM)– National Fire Protection Association (NFPA)– U.S. Department of Transportation (DOT)– U.S. Environmental Protection Agency (EPA)– U.S. Occupational Safety and Health Administration (OSHA)– U.S. Nuclear Regulatory Commission (NRC)– U.S. General Services Administration (GSA)

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Basic USDOT Definition of Hazardous Material

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A substance or material, that when transported in commerce, is capable of posing an unreasonable risk to:– Health– Safety– Property

Source: PHMSA, USDOT, July 2012.

Dangerous Goods Are Internationally Regulated

• UN Recommendations on the Transport of Dangerous Goods– Not obligatory, but form the basis of many national systems and

international agreements

• International Maritime Organization (IMO)– International Maritime Dangerous Goods (IMDG) Code, part of the

International Convention for the Safety of Life at Sea

• Intergovernmental Organisation for International Carriage by Rail– International Carriage of Dangerous Goods by Rail, part of the Convention

concerning International Carriage by Rail.

• International Civil Aviation Organization (ICAO)– Technical Instructions For The Safe Transport of Dangerous Goods by Air

• International Air Transport Association (IATA)– IATA Dangerous Goods Regulations

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Background: Overview of U.S. Legal and Regulatory Process

• Congress passes a law designed to address a social or economic need or problem.

• The appropriate regulatory agency then creates regulations necessary to implement the law.

• The underlying laws are often referred to as "enabling legislation.“

• Desirable guiding principle: “Reasonable regulations lead to voluntary compliance.”– Allows enforcement to be directed toward the "bad actors"

10Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.

Overview of Legal and Regulatory Process

• Federal Legislation– Examples: Hazardous Material Transportation Act, National

Environmental Policy Act, Oil Pollution Act, laws in other spheres• Regulatory Agencies

– DOT, EPA and at least 50 others– Create and enforce rules - regulations - that carry the full force of law

• Federal Rulemaking Process– The process of creating and enacting federal regulations is generally

referred to as the “rulemaking” process.– Regulatory agencies create regulations according to rules and

processes defined by Administration Procedure Act.– Agencies must publish all proposed new regulations in the Federal

Register at least 30 days before they take effect, and they must provide a way for interested parties to comment, offer amendments, or to object to the regulation.

• State and local governments have similar processes, but may not enact laws and regulations that conflict with federal enactments.

11Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.

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Key U.S. Hazmat Legislation and Regulations

The Federal Hazardous Materials Transportation Law

• 49 U.S.C. § 5101 et seq. is the basic statute regulating hazardous materials transportation in the United States.

• Purpose: to “protect against the risks to life, property, and the environment that are inherent in the transportation of hazardous material in intrastate, interstate, and foreign commerce” (emphasis added)

• Gives the Secretary of Transportation the authority to:– Designate material as hazardous– Issue regulations for the safe and secure transportation of

hazardous material


The USDOT Hazardous Materials Regulations (HMR)

49 CFR 171 through 180• 171 General information, regulations,

and definitions• 172 Hazardous materials table, special

provisions, hazmat communications,emergency response, training

• 173 Shippers and packaging• 174 Carriage by rail• 175 Carriage by aircraft• 176 Carriage by vessel• 177 Carriage by public highway• 178 Specs for packaging• 179 Specs for tank cars• 180 Continuing qualification and

maintenance of packagings


Who Is Subject to the HMR?

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All persons who:• Transport hazardous materials in commerce• Offer hazardous materials for transportation• Are involved in producing hazmat packaging• Prepare or accept hazmat shipments• Are responsible for hazmat safety• Certify compliance with any requirement under the federal

hazmat law


Hazardous Materials Standards

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The HMR set forth standards for:• Classification• Packaging• Hazard communication• Emergency response information• Hazmat employee training• Hazmat transportation by various modes• Incident reporting• Emergency response information• Security


The Hazardous Materials Table (HMT)


What’s in the HMT?


• Contains more than 3,000 proper shipping names of commonly shipped hazmat.

• Contains 14 columns organized into 10 major headings.


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The HMR set forth standards for:• Classification• Packaging• Hazard communication• Hazmat transportation by various modes• Hazmat employee training• Incident reporting• Emergency response information• Security


USDOT/PHMSA Hazmat Classification System• Class 4: Flammable Solids • 4.1 Flammable solid• 4.2 Spontaneously combustible

material• 4.3 Dangerous when wet material• Class 5: Oxidizing Agents & Organic

Peroxides• 5.1 Oxidizer • 5.2 Organic peroxide• Class 6: Toxic & Infectious

Substances • 6.1 Poisonous materials • 6.2 Infectious substance (Etiologic

agent) • Class 7: Radioactive Material • Class 8: Corrosive Material • Class 9: Miscellaneous Hazardous

Materials

• Class 1: Explosives • 1.1 Mass explosion hazard• 1.2 Projection hazard• 1.3 Predominately a fire hazard• 1.4 No significant blast hazard• 1.5 Very insensitive explosives;

blasting agents• 1.6 Extremely insensitive detonating

substances• Class 2: Gases • 2.1 Flammable gas• 2.2 Non-Flammable compressed gas• 2.3 Poisonous gas• Class 3: Flammable and Combustible

Liquids

2049 CFR §173.2

Class 1 - Explosives

1.1 Mass explosion hazard (dynamite, TNT)

1.2 Projection hazard (aerial flares, detonating cord)

1.3 Predominately a fire hazard (liquid fueled rocket motors, propellant explosives)

1.4 No significant blast hazard (practice ammunition, signal cartridges)

1.5 Very insensitive explosives; blasting agents (pilled ammonium nitrate fertilizer-fuel oil mixtures)

1.6 Extremely insensitive detonating substances (items with a negligible probability of accidental initiation or propagation)

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Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

Class 2 - Gases

2.1 Flammable gases (methyl chloride, propane)2.2 Non-flammable compressed gases (anhydrous ammonia, carbon dioxide, compressed nitrogen)

2.3 Poisonous gases (chlorine, arsine, methyl bromide)

22Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

Class 3 – Flammable and Combustible Liquids

Flammable - Flashpoint ator below 60oC (140oF) (acetone, gasoline)

Combustible – Flashpointabove 60oC (140oF) and

below 93 °C (200 °F) (No. 6 fuel oil, mineral oil)

23Source: 49 CFR § 173.120; Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.

Class 4 – Flammable Solids

4.1 Flammable Solids (magnesium pellets, nitrocellulose)

4.2 Spontaneously Combustible (charcoal briquettes, phosphorous)

4.3 Dangerous When Wet (magnesium powder, sodium hydride)


Class 5 – Oxidizing Agents & Organic Peroxides

5.1 Oxidizers (ammonium nitrate, calcium hypochlorite)

5.2 Organic Peroxides (dibenzoyl peroxide, peroxyacetic acid)


Class 6 – Toxic & Infectious Substances

6.1 Toxic or Poison (arsenic compounds, carbon tetrachloride, tear gas)

6.2 Infectious Substance (Etiologic Agent) (anthrax, botulism, rabies, tetanus)

26Source: Defense Ammunition Center, April 2011.; NFPA 472 , Jan 2013.

Class 7 – Radioactive Materials


Examplescobalturanium hexafluoride“yellow cake”

Class 8 – Corrosive Materials

ExamplesAcids (nitric acid, sulfuric acid, batteries)

Alkalis (sodium hydroxide)


Class 9 – Miscellaneous Hazardous Materials

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ExamplesLithium batteriesHot liquid asphaltPCBsMolten sulfur

A material which presents a hazard during transportation but which does not meet the definition of any other hazard class, including: Elevated Temperature Material Hazardous Substance Hazardous Waste Marine Pollutant

49 CFR § 173.140

Hazardous Substances


• Listed in §172.101, Appendix A, Table 1• Shipped in one package in a quantity that equals or exceeds

the Reportable Quantity (RQ).• Table 2 in Appendix A lists radionuclide's and their RQs.

Hazardous Waste

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• Transportation of hazardous waste is regulated by DOT (49 CFR 171.3, 171.8) and EPA (40 CFR 262-263).

• All discarded materials must be evaluated to see if they meet the definition of “hazardous waste.”

• EPA hazardous waste classifications:– Chemicals (generally toxic materials being discarded)– Process wastes (waste streams from a process operation, most

commonly chemical solvents)– Characteristic wastes (ignitibility, corrosivity, reactivity, toxicity)

Source: Transportation Safety Institute, USDOT, Feb 2012.

Marine Pollutants


• A hazmat is also a marine pollutant when:– It is listed in §172.101, Appendix B; AND– The material is in a solution or mixture meeting specified

concentrations

• The marine pollutant requirements in the HMR apply to:– All marine pollutants transported by vessel,– But not to non-bulk shipments by air, rail, or highway.

Other Materials Covered by Hazmat Regulations

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• Forbidden Materials (§ 173.21 )– May not be offered for transportation or transported.

• Forbidden Explosives (§ 173.54 )• ORM-D (Other Regulated Materials – Domestic) (§ 173.144)

– ORM designates a material which, although otherwise subject to 49 CFR 173, presents a limited hazard during transport due to its form, quantity, and packaging.

– Examples• consumer commodity• small arms or cartridges• power devices

• Materials of Trade (MOT) and Company Owned Material (COMAT)

ORM-D: Consumer Commodities

34Source: Defense Ammunition Center, April 2011.

Classification used only in the United States

MOT and COMAT


• Materials of Trade (MOT) are hazmat carried on motor vehicles for the carrier’s use, or to support a non-transport business.– Fewer regulations (e.g., no placarding)– Quantity limits apply

• Air carrier Company Owned Materials (COMAT) are regulated as hazmat/dangerous goods.– COMAT shipped as replacement items for installed equipment,

serviceable items, or items removed for servicing and repair may be regulated.

– Installed equipment containing hazardous materials or hazardous materials required aboard an airplane to meet airworthiness requirements of the FAA are excepted from the HMR.


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Packaging


• In the HMR, “package” refers to the packaging plus its contents.

• Examples of packaging– Fiberboard boxes– Drums– Portable tanks – Cargo tanks– Tank cars– Cylinders– Bags– Wood boxes

General Package Requirements in the HMR

38Source: Transportation Safety Institute, USDOT, Feb 2012.

The hazmat packaging must be:• Able to contain the material• Compatible with the material• Authorized for the material• Closed securely• Filled appropriately

http://www.megacheminc.com/un_packaging.htm

HMT Column 5 – Packing Group (PG)


• Assigned according to the relative degree of danger posed by the hazmat during transport:– PGI greatest– PGII medium– PGIII minor

HMT Column 8 – Packaging References


• Columns 8A, 8B, and 8C complete the citations to §173.***.• Go to the cited sections to find the packaging exceptions,

non-bulk, and bulk requirements.

UN Standard Packaging Performance Tests

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• Drop test• Leakproofness• Hydrostatic pressure test• Stacking• Cooperage test• Packaging test US only– Vibration test

Source: Defense Ammunition Center, April 2011.

http://www.westpak.com/hazardous-materials/stack-testing.asp

Package Marking Requirements



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The HMR set forth standards for:• Classification• Packaging• Hazard communication

– Shipping papers– Markings, labels, placards

• Hazmat transportation by various modes• Hazmat employee training• Incident reporting• Emergency response information• Security


The prime objective of all hazard communication is to ensure that the hazmat information needed by emergency responders is readily available in a standard format.

2012 Emergency Response Guidebook (ERG)

• The ERG provides information to first responders to a hazmat incident to help them quickly:– locate shipping papers– identify the dangerous goods

involved– take initial actions to protect

themselves and the general public

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Shipping Papers

• A properly prepared shipping paper must accompany any hazmat shipment.

• May include:– Shipping order– Bill of lading– Manifest– Other


General Shipping Paper Requirements

• Legibility• Codes and abbreviations• Additional information• Multiple-page shipping

papers• Continuously monitored

emergency response telephone number

• Documents and forms


UN1263, Paint, 3, PGII

HMT Columns 1-5


• Contain the information required for the basic description that is a key part of the shipping paper.

• Column 2 provides the proper shipping name of the material.

Shipping Description of the Hazmat


• 1-4 Basic description• 5 Total quantity• 6 Number and type of packages

UN1114, Benzene, 9, PGII

Shipper Certifications


International

Domestic

Marking, Labeling, and Placarding

• Each hazmat package, freight container, and vehicle must communicate hazard information as prescribed in the HMR.


General Marking Requirements

• Durable• Written in English• Printed on or affixed to the surface of the

package• Displayed on a sharply contrasting color

background• Unobscured by other labels or attachments• Located away from other marking


Marking Requirements for Non-Bulk Packaging

• Identification number• Proper shipping name• Technical name(s)• Special permit information• Consignee’s or consignor’s name and address• Must be on both sides and both ends of the

package• Must be visible, even after loaded on a rail car.


Marking Requirements for Bulk Packaging

• Identification numbers• Size of markings• Empty packagings• Fumigant markings


54Source: PHMSA, USDOT, Chart 14.

HMT Column 6 – Label Codes


• Specifies the hazard warning labels that must be applied to each hazmat package.

• The codes are defined in the Label Substitution Table found in § 172.101(g).

Label Substitution Table

Display of Hazard Class on Labels


Labels for Mixed or Consolidated Packaging


Mixed Consolidated

Placarding

• General rule: if a freight unit contains hazmat there must be placards on both sides and each end displaying the hazard class.

• §172.504(e) gives details in Tables 1 and 2.


Placarding Tables


• Table 1 – materials for which placards are required for any quantity

• Table 2 – materials that may or may not require placards, depending on hazard class/division, packaging, and quantity

• Consolidated shipments are also a factor.

Placarding Specifications


• Strength and durability• Design• Form identification• Exceptions

§172.519

Placard Gallery


§172.521-560

Example: Class 4 Placards


§172.546-548


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Carrier/Shipper Functions


If a carrier repackages hazardous material, the carrier is functioning as a shipper and MUST comply with HMR shipper regulations.

Carrier Requirements - Highway

• HMR Part 177, applies to common, contract, and private motor carriers transporting hazmat.

• Must also comply with Federal Motor Carrier Safety Regulations (FMCSR) covering:– Driver qualifications– Hours of service– Equipment standards– Driving and parking rules– Alcohol and controlled substances– Financial responsibility– Operational requirements

FMCSR49 CFR §390-397and other sections


Additional Motor Carrier Training Requirements

66Source: PHMSA, USDOT, July 2012 and 49 CFR §177.816.

• Pre-trip safety inspections• Use of vehicle controls and equipment• Operation of vehicle• Maneuvering at tunnels, bridges, and

railroad crossings• Attendance of vehicles• Parking• Smoking• Routing• Incident reporting• Loading/unloading of materials

Special Loading/Unloading Requirements


• Explosives• Flammable liquids• Storage batteries/nitric acid• Gases• Poisons/TIH• Materials prohibited in driver compartment• Selected class 4 and 5 materials• Radioactive materials

Example - Gases

• Safety requirements for shipping compressed gas cylinders include:– Securely restrain in upright or

horizontal position– Load into racks securely

attached to the motor vehicle– Pack in boxes or crates


Other Motor Carrier Rules


• Hazmat must be loaded, blocked, braced, and unloaded in accordance with the prescribed safeguards.

• Minimum separation distances for radioactive materials• Segregation table and compatibility table for mixed shipments

and storage• Hazmat restrictions for motor vehicles carrying passengers for

hire

Carrier Requirements - Rail

70Source: PHMSA, USDOT, July 2012 and 49 CFR §174.

• Inspect railcars containing hazmat.• Forward hazmat shipments within 48 hours or on first

available train.• Follow all applicable separation requirements.• Display required markings and placards on railcars.• Train crews must carry shipping papers, and also a

document showing the current location of all hazmat railcars.

• Escorted cars must be placed next to or ahead of the car occupied by the guards or technical escorts if placarded as divisions 1.1, 1.2, 2.3, or 6.1.

• Leaking packages, other than tank cars, must be repaired, reconditioned, or placed in a salvage drum.

Carrier Requirements - Water

71Source: PHMSA, USDOT, July 2012 and 49 CFR §176.

• When carrying hazardous materials by vessel, the International Maritime Dangerous Goods (IMDG) Code may be used, as long as HMR §171.12 and §176.11 are also followed.

• 49 CFR §176 is divided into Subparts A through O:– A-D: general information and operating requirements,

and general handling, stowage, and segregation– E-F: special requirements for transport vehicles and

barges– G-O: detailed requirements for specific classes of

hazardous materials.

Stowage and Segregation

• Stowage - where cargo may be located on the vessel and how it is secured

• Segregation - separation of hazardous cargo by distance or barriers (see Segregation Table)

• Carrier must prepare a dangerous cargo manifest, list, or stowage plan showing:– Vessel name, official number, nationality– Shipping name, emergency response phone number– I.D. number of each hazmat onboard– Number, description, and gross mass of each type of package– Hazmat classification(s) from the HMT or IMDG code– Hazmat stowage location(s)– Additional information required by the regulations


Vessel Stowage Locations

• Stowage locations authorized for a material are found in HMT column 10, and may include any of the following:– On deck– Under deck– Under deck and away from heat,

with ventilation• See also HMT column 7, Special

Provisions• Carrier must secure hazmat

packages against movement, and brace them to prevent piercing or crushing from a superimposed load


Additional Water Carrier Requirements


• Stowage of marine pollutants• Handling and stowage of break bulk hazmat• Stowage of transport vehicles, containers,

and portable tanks• Hazmat transported on ferry vessels• Extensive requirements for handling and

stowage of explosives• Requirements pertaining to hazard

classes/divisions 2 through 8.

Carrier Requirements - Air


49 CFR §175 has subparts A, B, and CA: inspecting and accepting hazmat shipments,

documentation, training, and reporting discrepanciesB: hazmat loading, unloading, and handling, including

quantity limitations, stowage, cargo location, and orientation of packages

C: special requirements for certain hazard classes and commodities, such as flammable liquids, poisons, radioactive materials, and infectious substances

ICAO Technical Instructions


• Instead of preparing shipments in accordance with 49 CFR, Parts 172 and 173, shippers may classify, package, mark, label, and describe them on shipping papers in accordance with the International Civil Aviation Organization (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Air.

• Shipments must still meet all other applicable requirements of 49 CFR §171-180.

Air Carrier Responsibilities


• Material is authorized and within quantity limits

• Content and accuracy of shipping papers, including emergency response information and shipper certification

• Hazmat packages are marked, labeled, and placarded if required

• Proper use of CARGO AIRCRAFT ONLY label

• Packages are in good condition• Seals on radioactive material packages are

not broken

Exceptions to Prohibitions Against Carrying Hazmat

• Hazardous materials may not be carried in the cabin of a passenger aircraft or on the flight deck of any aircraft, except as authorized in the HMR.

• Exceptions include:– Hazmat required for safe operation

of aircraft– Hazmat for personal use of

passengers and crew– Hazmat for use in special aircraft

operations– Hazmat in wheelchairs and other

mobility and medical devices– Miscellaneous hazmat exceptions


Loading Hazmat into Aircraft


• Passenger aircraft – Hazmat may be carried in a main deck cargo compartment provided that the compartment is inaccessible to passengers and that it meets all certification requirements for a Class B or Class C aircraft cargo compartment.

• Cargo aircraft - Load hazmat acceptable in such a manner that a crewmember or other authorized person can see, handle, and – when size and weight permit – separate such packages from other cargo during flight.

Some Other Air Carrier Requirements


• Hazmat quantity limitations are found in the HMT, column 9.• Packagings must be designed and constructed to prevent

leakage that may be caused by internal pressure changes in altitude and temperature during air transportation.

• Venting packages to reduce internal pressure is not permitted.• Specific requirements for packages containing liquids• Hazardous materials shipped by air and authorized for cargo

aircraft only must have the CARGO AIRCRAFT ONLY label affixed to the package, in addition to the hazard class label.

• Packages must be secured in an aircraft so that movement or damage of the package in flight is prevented.


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Required Hazmat Training

Hazmat employers must certify the training of employees who perform functions such as load, unload, or handle the shipment of hazmat, prepare hazmat shipping papers, prepare hazmat shipments for transport, or operate a vehicle moving hazmat.

• Training must include:– General awareness/familiarization– Function-specific/mode-specific training– Safety training– Security awareness training– In-depth security training for some

employees (see §172.800)• Initial training required within 90 days


• DOT requires retraining and testing at least once every 3 years.• FAA requires air carrier employee training every 2 years.


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Incident Reporting


• Many incidents resulting in an unintentional hazmat release must be reported to the National Response Center (NRC) and, in some cases, the Center for Disease Control (CDC).– Some require a telephone report within 12 hours.– All require a written report within 30 days.

• Radioactive materials – notify NRC within 12 hours• Infectious substances – notify CDC within 12 hours• Marine pollutants – notify NRC within 12 hours of

any release of:– Solid greater than 400 Kg (882 lb)– Liquid greater than 450 L (119 gal)

Other Reportable Incidents


• Telephone report required if any of the following occur:– Death, or injury requiring hospitalization– Change in flight pattern or routine of an aircraft– Shutdown of major facility or transportation artery– Evacuation of the public for one hour or more– Any situation that involves a continuing danger to life– On an aircraft, fire, rupture, explosion, or dangerous heat evolution

resulting from a battery or battery-powered device• Written report on DOT Form F 5800.1 is required within 30

days following all telephone reports, and in general for any release of a hazardous waste, or any other hazmat releases of at least 20 liters (5.2 gal) for liquids or 20 Kg (66 lb) for solids.– See 49 CFR §171.15-16 for detailed requirements.

PHMSA Hazmat Enforcement


• Independent and joint modal field inspections of:– Shipper and carrier transportation facilities– Packaging manufacturing, requalification, repair and reconditioning

facilities– Cargo vessel ports, rail freight yards, motor carrier and air cargo

terminals– Chemical and explosive manufacturing plants

• Programmatic inspections of hazardous material transportation systems, procedures, and processes

• Civil and criminal enforcement investigations• Accident and incident investigation and failure analysis• Outreach and education• Emergency response

Hazmat Enforcement: Other Agencies


Enforcement authority under the federal hazmat law is shared by PHMSA, FMCSA, FRA, FAA, and USCG.•FMCSA - the transportation or shipment of hazardous materials by highway. FMCSA also enforces the Federal Motor Carrier Safety Regulations (49 CFR Parts 350-399).•FRA - the transportation or shipment of hazardous materials by railroad. FRA also enforces the rail safety regulations (49 CFR 200-268).•FAA - the transportation or shipment of hazardous materials by air. FAA also enforces all regulations applicable to air carriers and shippers by air issued under the Federal Aviation Act.•USCG - the transportation or shipment of hazardous materials by water. USCG also enforces its own regulations governing the bulk transportation of hazardous materials by vessel, and regulations issued under other laws, such as the Federal Water Pollution Control Act and the Comprehensive Environmental Response, Compensation and Liability Act.

In addition, EPA enforces environmental regulations related to hazardous wastes and substances, and marine pollutants.

HM Inspections, Violations, and Penalties

Source: US DOT Pipeline and Hazardous Materials Safety Administration, Transportation of Hazardous Materials, 2009-2010, October 2011, p. 21. 88

Penalties for Violating HMR

Violations of the HMR may result in• Civil penalties of $250 to $110,000

– Minimum $495 for training related violation– Each day of a continuing violation is a separate offense

• Criminal penalties of up to $250,000 (individuals) and $500,000 (corporations), plus up to ten years in prison

Note: MAP-21 includes language changing some of the penalties, so the regulations will be changing to incorporate the new minimums and maximums.


Other Regulatory Requirements, Standards, and Guidelines

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• DOD Military shipments • DOE/NRC Nuclear materials • STB Commercial transportation• OSHA Worker health and safety• NLRB Organized labor• NFPA First responder safety and health• USDA Invasive species• State-level hazmat compliance programs

Issues Involving Multiple/Overlapping Regulations


• The federal hazmat law and the HMR provide that, unless authorized by another Federal law, a requirement of a state, local government, or Indian tribe is preempted if:– Compliance with both laws/regulations is not possible.– The non-federal requirement interferes with carrying out the federal

law or HMR.– The State, local, or Indian tribe requirement concerns a “covered

subject,” and is NOT “substantively the same” as any provision of, the Federal hazmat law/regulation concerning that subject.

– The “covered subjects” are those covered in the main provisions of the HMR, e.g., hazmat identification and classification, shipping papers, marking, labeling, packaging, etc.

• State and Indian tribe highway routing designations, limitations and requirements relating to hazardous materials will be preempted unless they meet federal procedural and substantive requirements.

Federal Waiver of Preemption


• Notwithstanding the preemption of a State or local require-ment, DOT may waive preemption upon a showing by the jurisdiction that its requirement:– Affords an equal or greater level of protection to the public as is

afforded by the federal requirement; and– Does not unreasonably burden commerce.

• FMCSA has authority to issue preemption determinations and waivers of preemption concerning highway routing.

• PHMSA has authority to issue preemption determinations and waivers of preemption with regard to all other requirements.

• There is a right to petition a U.S. Court of Appeals for review of a preemption determination or waiver of preemption.

Key Takeaways

• The hazmat regulations (HMR)are both comprehensive and complex, and cover all aspects preparing and executing hazmat shipments.

• Shippers, carriers, and all other parties involved in making hazmat shipments must comply with the HMR and other regulations.

• Regulations are regularly updated and changed; therefore, one must access them frequently to stay in compliance.

• The packaging and handling regulations guard against accidental release of hazmat during storage and transport.

• The extensive regulations on shipping papers, marking, labeling, and placarding are designed to facilitate hazard communication.

• Enforcement of the hazmat regulations is a joint effort of multiple agencies.

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Student Exercises

1. For three materials specified by the instructor, use the HMR and HMT to prepare the content of the basic descriptions of each for use on the shipping papers.

2. Vinyl chloride is to be shipped from a manufacturer in Mississippi to a customer in Manchester, England. Identify the modes that may be used and their respective quantity limits and packaging requirements.

3. Compare the requirements for shipping small quantities of corrosive substances by air and truck. Does either mode have a competitive advantage or disadvantage due to the HMR?

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Resources for Support and Additional Learning

• HM-16 Module 2, Hazmat Transportation Logistics• HM-16 Module 4, Hazmat Mode and Route Selection• 49 CFR §171-180, Federal Hazardous Materials Regulations.• PHMSA, Federal Hazardous Materials Transportation Law: An

Overview, U.S. Department of Transportation, Washington, DC.

• PHMSA, Publications and Training Modules, U.S. Department of Transportation, Washington, D.C http://www.phmsa.dot.gov/hazmat/training/publications.

• PHMSA, Technical Reports, U.S. Department of Transportation, Washington, DC, http://phmsa.dot.gov/hazmat/library/reports/technical.

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toolkit for hazardous materials transportation education 1

Documents

federal regulations

rules regulations

reasonable regulations

regulations necessary

principal regulations

regulatory environment

regulatory process congress

proposed new regulations