HAZARDOUS MATERIALS COMPLIANCE MANUAL

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2 Copyright 2016 J. J. Keller & Associates, Inc Breezewood Lane P.O. Box 368 Neenah, Wisconsin Phone: (800) Fax: (800) JJKeller.com Library of Congress Catalog Card Number: ISBN Canadian Goods and Services Tax (GST) Number: R All rights reserved. Neither the publication nor any part thereof may be reproduced in any manner without written permission of the Publisher. United States laws and Federal regulations published as promulgated are in public domain. However, their compilation and arrangement along with other materials in this publication are subject to the copyright notice. Printed in the U.S.A. ii 6/16

3 Introduction The Hazardous Materials Compliance Manual has been developed as a companion publication to the Hazardous Materials Regulations Guide to assist the regulated community in better understanding the Hazardous Materials Regulations. The Hazardous Materials Regulations, 49 CFR Parts 105 through 180 issued by the Pipeline and Hazardous Materials Safety Administration (PHMSA) of the U.S. Department of Transportation (DOT) are not only very detailed, but also complicated. In this manual, we have attempted to provide the user with some understanding of the Hazardous Materials Regulations and guidance to better compliance with the requirements. The section WORKING WITH HAZMAT REGULATIONS provides a brief discussion of areas that the user often has difficulty with in developing a working knowledge of the regulations. Next is QUESTIONS & ANSWERS. This section contains commonly asked questions from the regulated community. The third section is TRAINING, which provides a discussion of the various parts of the requirements in Part 172 subpart H, along with guidance to assist the user in developing a training program. SECURITY is a section that will help the user target any potential security risks that may exist in the hazmat transportation process. It will also assist in the preparation of a security plan, if one is required. The fifth section, STATE REQUIREMENTS, contains information on state specific requirements concerning hazardous materials such as licenses/permits/registrations, routing, and safe havens. The last section of the manual is the REFERENCES section, which contains: address and telephone numbers of the Federal Railroad, Federal Aviation and Federal Motor Carrier Safety Administrations; various government agencies and private organizations involved with hazardous materials and accident assistance; and finally the Preambles to Dockets finalized during the past few years. Revision bars, like the one at the left of this paragraph, are used in this publication to show where significant changes were made on update pages. The revision bar next to text on a page indicates that the text was revised. The date at the bottom of the page tells you when the revised page was issued. Due to the constantly changing nature of government regulations, it is impossible to guarantee absolute accuracy of the material contained herein. The Publisher and Editors, therefore, cannot assume any responsibility for omissions, errors, misprinting, or ambiguity contained within this publication and shall not be held liable in any degree for any loss or injury caused by such omission, error, misprinting or ambiguity presented in this publication. This publication is designed to provide reasonably accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that the Publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. The Editors & Publisher J. J. Keller & Associates, Inc. iii 12/16

4 Published & Printed by J. J. Keller & Associates, Inc Breezewood Lane, P.O. Box 368 Neenah, Wisconsin Phone: (800) Fax: (800) JJKeller.com EDITORIAL director editorial resources PAUL V. ARNOLD project editor MICHAEL L. ATKINSON sr. editorial manager transportation BETTY J. B. WEILAND sr. editor transportation management THOMAS E. BRAY sr. editor transportation safety DAREN B. HANSEN sr. editor transportation management MARK G. SCHEDLER sr. editor hazardous materials transportation THOMAS J. ZIEBELL editor transportation safety KATHY L. CLOSE editor transportation management RICHARD J. MALCHOW editor transportation operations HEATHER L. NESS editor transportation management ROBERT J. ROSE editor transportation safety JILL M. SCHULTZ sr. metator/xml analyst MARY K. FLANAGAN PUBLISHING GROUP chairman ROBERT L. KELLER vice chairman & treasurer JAMES J. KELLER president & ceo MARNE L. KELLER-KRIKAVA evp & chief operating officer RUSTIN R. KELLER chief financial officer DANA S. GILMAN sr. director of product development CAROL A. O HERN sr. product development manager JENNIFER M. JUNG sr. product development specialist SUZANNE IHRIG director of manufacturing TODD J. LUEKE sr. electronic publishing & prepress manager GERALD L. SABATKE The Editorial Staff is available to provide information generally associated with this publication to a normal and reasonable extent, and at the option of, and as a courtesy of, the Publisher. iv 12/16

5 WORKING WITH HAZMAT REGULATIONS General U.S. Department of Transportation Hazardous Materials Regulations (49 CFR Parts, & 397) Regulation of Intrastate Transportation (Section 171.1) Materials Incorporated by Reference (Section 171.7) International Regulations Import/Export Shipments (49 CFR 171 Subpart C) National Registration Program (Part 107, Subpart G) Classification Hazardous Materials: Definitions (Parts 171 & 173) Packing Groups (Part 173) Hazard Precedence (Section 173.2a) Hazardous Materials Table (Section ) List of Hazardous Substances and Reportable Quantities (Section , Appendix A) List of Marine Pollutants (Section , Appendix B) Packaging Definitions (Section 171.8) Regulatory References Packaging Selection Packaging Exceptions v 12/16

6 Documentation Shipping Papers (Part 172, Subpart C) Emergency Response Information (Part 172, Subpart G) Emergency Response Telephone Number (Section ) Additional Documentation: Rail (Part 174, Subpart B) Additional Documentation: Air (Part 175, Subpart A) Additional Documentation: Vessel (Part 176, Subpart B) Additional Documentation: Highway (Part 177) Enforcement Marking Marking (Section ) Additional Marking Requirements Marking Transport Vehicles and Freight Containers Labeling Labeling (Part 172, Subpart E) Primary and Subsidiary Labels (Section ) Additional Labeling Requirements Placarding Placarding (Part 172, Subpart F) Placarding Requirements (Section ) Subsidiary Placards (Section ) Additional Placarding Requirements Handling & Storage Carriage by Rail (Part 174) Carriage by Air (Part 175) Carriage by Vessel (Part 176) Carriage by Highway (Parts 172, 177, 397, & 392) vi 12/16

7 Accidents & Incidents Carrier Incident Contact (Section ) Incident Reporting (Sections ) Accidents Involving Hazardous Materials Guidelines for First Responders QUESTIONS & ANSWERS TRAINING Training The Hazardous Materials Regulations Areas of Training Recordkeeping Audits Why Do Self Audits? Procedures for Self Auditing Self-Auditing Checklists SECURITY Security Awareness Training Security Awareness Training The Security Awareness Training Program What Is Required? Awareness of Security Risks Recognizing and Responding to Possible Security Threats Security Risks on the Road Suspicious Activity What to Look for Enhancing Transport Security Security Plan Security Security Plans Identifying SSI vii 12/16

8 Risk Assessment Tool Risk Assessment Questions: Hazmat Transportation Risk Assessment Sensitive Security Information Additional Information Hazardous Materials Security Checklists SENSITIVE SECURITY INFORMATION FMCSA Security Contact Form STATE REQUIREMENTS REFERENCES Enforcement Pipeline and Hazardous Materials Safety Administration Federal Railroad Administration Federal Aviation Administration U. S. Coast Guard Federal Motor Carrier Safety Administration Guidelines for Civil Penalties Data Sources Associations and Government Agencies Accident Assistance Sources Preambles SUBJECT INDEX viii 12/16

9 HAZARDOUS MATERIALS COMPLIANCE MANUAL Although there are a few exceptions, shipping papers are required for each hazardous materials shipment. They are relied on by all who come into contact with the shipment to provide key information about what is being transported and how hazardous it is. While the regulations do not mandate the use of a specific form, they do detail what information must be included and how the information must be shown. Typically, the general shipping paper requirement can be met using a way-bill, manifest, or bill of lading such as the one shown here. CONTAINS HAZARDOUS MATERIALS Carrier Copyright 2010 J. J. KELLER & ASSOCIATES, INC., Neenah, WI USA (800) jjkeller.com Printed in the United States CONTAINS HAZARDOUS MATERIALS STRAIGHT BILL OF LADING ORIGINAL NOT NEGOTIABLE SCAC Shipper s No. Carrier s No. RECEIVED, subject to individually determined rates or contracts that have been agreed upon in writing between the carrier and shipper, if applicable, otherwise to the rates, classifications and rules that have been established by the carrier and are available to the shipper, on request; and all applicable state and federal regulations; at, date from the Property described below, in apparent good order, except as noted (contents and condition of contents of packages unknown), marked, consigned, and destined as indicated below which said company (the word company being understood throughout this contract as meaning any person or corporation in possession of the property under the contract) agrees to carry to delivery at said destination, if on its route, or otherwise to deliver to another carrier on the route to said destination. It is mutually agreed as to each carrier of all or any of said Property over all or any portion of said route to destination and as to each party at any time interested in all or any of said Property that every service to be performed hereunder shall be subject to all the conditions not prohibited by law, whether printed or written, herein contained, including the conditions on the back hereof, which are hereby agreed to by the shipper and accepted for himself and his assigns. TO: FROM: Consignee Shipper Street Street Destination Zip Origin Zip Route Vehicle U.S. DOT Hazmat Delivering Carrier Number Reg. Number Number and Type of Packages HM 2 drums 1 case 1 box X X I.D. Number UN1654 UN1133 NICOTINE Brushes Adhesives Remit COD to: Address: City: State: Zip: Description of Articles NOTE: Where the rate is dependent on value, shippers are required to state specifically in writing the agreed or declared value of the property. The agreed or declared value of the property is hereby specifically stated by the shipper to be not exceeding $ Per (Signature of Consignor) NOTE: Liability Limitation for loss or damage in this shipment may be applicable. See 49 U.S.C (c)(1)(A) and (B). PLACARDS This is to certify that the above-named materials are properly classified, described, packaged, marked and labeled, and are in proper condition for transportation according to the applicable regulations of REQUIRED the Department of Transportation. Per Michael Greene SHIPPER: CARRIER: PER: Michael Greene DATE: 06/01/2010 PER: EMERGENCY RESPONSE TELEPHONE NUMBER: (800) BLS-A3 371 (Rev. 9/10) CONTAINS HAZARDOUS MATERIALS Hazard Class 6.1 Subject to Section 7 of conditions, if this shipment is to be delivered to the consignee without recourse on the consignor, the consignor shall sign the following statement: The carrier shall not make delivery of this shipment without payment of freight and all other lawful charges. 3 Pkg. Total Quantity (mass, volume, or Grp. activity) II II COD AMT: $ TOTAL CHARGES: $ PLACARDS SUPPLIED DRIVER S SIGNATURE: NAME OR CONTRACT NUMBER OR OTHER UNIQUE IDENTIFIER: Weight (subject to correction) 200 lbs. 10 lbs. 25 lbs. COD FEE: Prepaid Collect $ FREIGHT CHARGES: Prepaid Collect BY SHIPPER DATE: A12345 Class or Rate BY CARRIER CONTAINS HAZARDOUS MATERIALS Another documentation requirement is all shipments that require a shipping paper must be accompanied by emergency response information. In the event of a leak, spill, or other such incident, this information provides emergency personnel with guidance as to the appropriate response measures. This section of your manual will review the regulations general requirements for documentation. It will also address some of the special rules applicable to the different modes of transport. DOCUMENTATION 3 6/13

10 Shipping Papers (Part 172, Subpart C) Applicability Exceptions The general shipping paper requirements apply to hazardous material shipments offered for transport by all modes rail, air, vessel, and highway. Exceptions to the general shipping paper requirements are authorized for any material identified by the letter A or W in Column 1 of the Hazardous Materials Table (Section ), unless the material is: Offered or intended for transportation by air or water, respectively. A hazardous waste. A hazardous substance (listed in Appendix A to the Hazardous Materials Table). A marine pollutant (listed in Appendix B to the Hazardous Materials Table). The shipping paper requirements do not apply to a limited quantity package unless it is offered or intended for transportation by air or vessel, and, until December 31, 2020, a package of ORM-D material authorized by the HMR in effect on October 1, 2010, when offered for transportation by highway, rail, or vessel. Shipping papers are also not required for Category B infectious substances prepared in accordance with Section Responsibility HAZARDOUS MATERIALS COMPLIANCE MANUAL Shipping papers must be prepared by the person who is offering the hazardous materials for transport. However, there may be times when the carrier will be required to make additional notations. For transportation by rail, a rail carrier may accept shipping paper information either telephonically (i.e., voice communications and facsimiles) or electronically (EDI) from an offeror of a hazardous materials shipment. The information must be available to the offeror and carrier at all times during transport, and the carrier must have and maintain a printed copy of the information until delivery of the hazardous materials on the shipping paper is complete. When a paper document is produced, the data must be presented as required. The offeror must forward the shipping paper (record) for a loaded movement to the carrier prior to shipment unless the carrier prepares the shipping paper on behalf of the offeror. The offeror is only relieved of the duty to forward the shipping paper once the offeror has received a copy of the shipping paper from the carrier. A carrier that generates a residue shipping paper using information from the previous loaded movement of a hazardous materials packaging must ensure the description of the hazardous material that accompanies the shipment complies with the offeror s request. The carrier and the offeror must also have a procedure by which the offeror can verify accuracy of the transmitted hazard communication information that will accompany the shipment. DOCUMENTATION 4 6/13

11 Retention The Pipeline and Hazardous Materials Safety Administration (PHMSA), has amended the Hazardous Materials Regulations (HMR) to require shippers to retain a copy of each hazardous material shipping paper, or an electronic image thereof, for a period of 2 years after the date the hazardous material is accepted by a carrier. Carriers must retain a copy of each shipping paper for one year after the material is accepted from the shipper. A year is calculated from the exact date the shipping paper is provided to the initial carrier until the same date the following year. It must be accessible at or through the principal place of business and the shipping paper must be made available, upon request, to an authorized official of a federal, state, or local government agency at reasonable times and locations. Hazardous Materials Description Each hazardous material that will be offered for transport must be clearly described on the shipping paper using the applicable information from the Hazardous Materials Table. At a minimum, this shipping description must include the material s: Identification number (Column 4) Proper shipping name (Column 2) Hazard class or division number (Column 3) The subsidiary hazard class or division number entered in parentheses (The subsidiary hazard class or division number is not required to be entered when a corresponding subsidiary hazard label is not required.) (Column 6) Packing group, if any (Column 5) Total quantity, by net or gross mass, capacity, or as otherwise appropriate Number and type of packages The total quantity is not required for empty hazardous material packaging (i.e., one that has not been purged or refilled with a non-hazardous material), cylinders of Class 2 materials, and bulk packagings. However, some indication of total quantity must be shown for cylinders of Class 2 materials and bulk packagings. 10 cylinders or 1 cargo tank The HMR requires that the information be entered before or after (or both before and after) the basic description. Basic Description The first five (5) items often referred to as the material s basic description must be shown, with no additional information interspersed unless authorized by the regulations. The packing group must be shown in Roman numerals and may be preceded by the letters PG. DOCUMENTATION 5 12/12

12 For domestic shipments, primary and subsidiary hazard class or division names may be entered following the numerical hazard class or division, or following the basic description. If the material is described using a generic or n.o.s. entry preceded by the symbol G in column 1 of the Hazardous Materials Table, the technical name(s) of the material s hazardous component(s) must be entered in parentheses. The technical name(s) in parentheses can be placed between the proper shipping name and the hazard class or they may be listed following the packing group. UN1760, Corrosive liquid, n.o.s. (Caprylyl chloride), 8, II UN1760, Corrosive liquid, n.o.s., 8, II, (Caprylyl chloride) A modifier (such as contains or containing ) and/or the percentage of the hazardous component may be included, if appropriate. UN1993, Flammable liquids, n.o.s. (contains Xylene, Benzene), 3, II Total Quantity The fifth required item the material s total quantity may be placed either before, after, or both before and after the basic description. In addition, it must include the appropriate unit of measure (such as pounds, gallons, kilograms, and liters). While the regulations do not typically allow abbreviations, they are permitted when specifying the material s weight or volume (lbs, L) or the type of packaging (cyl.). 1 box, 25 lbs., UN1133, Adhesives, 3, II UN1133, Adhesives, 3, II, 25 lb. box 1 box, UN1133, Adhesives, 3, II, 25 lbs. For most shipments, the type of packaging (such as a box or drum) is not a required entry. However, for bulk packagings and cylinders of Class 2 materials, some indication of total quantity must be shown. Additional Description Entries The regulations specifically permit the addition of class names or subsidiary hazard class or division numbers either following the numerical hazard class, or following the basic description. Any other additional information pertaining to the material may be entered on the shipping paper provided that: It is not inconsistent with the required description. It is placed after the basic description. DOCUMENTATION 6 12/12

13 Hazardous Material Entries Because hazardous materials often require extra precautions during handling and transport, it is important that they can be easily identified. If the shipping paper includes entries for both hazardous and non-hazardous materials, the hazardous entries must be: Entered first, or Number and Type of Packages I.D. Number Description of Articles Hazard Class Pkg. Grp. Weight (subject to correction) Identified with an X or RQ (as appropriate) in a column designated HM, or Number and Type of Packages HM I.D. Number Description of Articles Hazard Class Pkg. Grp. Weight (subject to correction) Entered in a contrasting color. (Note: They may be highlighted on copies of the shipping paper.) Additional Notations Depending on the material and the conditions of transport, additional descriptive information may be required on the shipping papers. Shipping descriptions for hazardous materials offered or intended for transportation by rail that contain all the information required and that are formatted and ordered in accordance with recognized electronic data interchange standards and, to the extent possible in the order and manner required, are deemed to comply with the requirements. Some of the more common notations are shown on the following pages using examples. Modal-specific notations and those applicable only to radioactive materials are listed in the tables that follow. N.O.S Entries For materials described by an n.o.s. or generic proper shipping name, the technical name(s) of the hazardous component(s) must be entered in parentheses in association with the basic description, if the proper shipping name is preceded by the symbol G in Column 1 of the Hazardous Materials Table. The word contains or containing may be used, as appropriate. DOCUMENTATION 7 12/12

14 3 boxes, UN1760, Corrosive liquid, n.o.s. (Fluoroboric acid), 8, III, 26 lbs. 10 boxes, UN2924, Flammable liquid, corrosive, n.o.s., 3, 8, II (contains Methanol, Potassium hydroxide), 50 lbs. Hazardous Substances If the name of the hazardous substance is not identified in the proper shipping name, one of the following must be provided in parentheses in association with the basic description. Name of the hazardous substance, or A waste stream number, or For wastes, the letters EPA followed by the word ignitability, or corrosivity, or reactivity or toxicity, as appropriate or the corresponding D number. 10 bags, NA3077, Environmentally Hazardous Substance, solid, n.o.s. (Chlorpyrifos), 9, III, RQ, 400 lbs. Reportable Quantities For hazardous substances which are transported in a quantity in one package at or above their reportable quantities, the letters RQ must be entered before or after the basic description, or in the column designated HM. Number and Type of Packages HM I.D. Number Description of Articles Hazard Class Pkg. Grp. Weight (subject to correction) 1 Drum RQ UN2809 Mercury 8 III 400 lbs. Number and Type of Packages 1 Description of Articles Weight (subject to correction) DRUM RQ, UN2809, MERCURY, 8, III 400 lbs. Limited Quantities When a shipping paper is required, the description for a material offered for transportation as a limited quantity must include the words Limited Quantity or Ltd Qty following the basic description. 1 box, UN1230, METHANOL, 3, II, Ltd. Qty., 0.25 gal DOCUMENTATION 8 12/12

15 Poisonous Materials For materials which are poisonous by inhalation, the words Poison-Inhalation Hazard, followed by Zone A, B, C, or D for gases, or Zone A or B for liquids, must be entered after the shipping description. UN1754, Chlorosulfonic acid, 8, I, Poison-Inhalation Hazard Zone B Residues The description on the shipping paper for a packaging containing the residue of a hazardous material may include the words RESIDUE: Last Contained *** immediately before or after the basic shipping description on the shipping paper. The description on the shipping paper for a tank car containing the residue of a hazardous material must include the phrase, RESIDUE: LAST CONTAINED *** immediately before or after the basic shipping description or immediately preceding the proper shipping name of the material on the shipping paper. 1 TANK CAR, RESIDUE: LAST CONTAINED UN1203, GASOLINE, 3, II Marine Pollutants For materials which are marine pollutants, the words Marine Pollutant must be entered in association with the basic description. In addition, if the name of the component that makes a material a marine pollutant is not identified in the proper shipping name, it must be added in parentheses in association with the basic description. If two or more components are involved, the two components most predominantly contributing to the marine pollutant designation must be listed. Except when transported aboard vessel, marine pollutants in non-bulk packagings are not subject to the hazmat requirements Number and Type of Packages HM Description of Articles Weight (subject to correction) 1 Portable tank X UN1088, Acetal, 3, II, Marine Pollutant 4500 lbs. DOCUMENTATION 9 12/13

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