[Federal Register Volume 61, Number 116 (Friday, June 14, 1996)]
[Rules and Regulations]
[Pages 30444-30447]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15070]
[[Page 30443]]
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Part VI
Department of Transportation
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Research and Special Programs Administration
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49 CFR Chapter I
Advisory Guidance; Offering, Accepting, and Transporting Hazardous
Materials; Final Rule
Federal Register / Vol. 61, No. 116 / Friday, June 14, 1996 / Rules
and Regulations
[[Page 30444]]
DEPARTMENT OF TRANSPORTATION
Research and Special Programs Administration
49 CFR Chapter I
[Notice No. 96-10]
Advisory Guidance; Offering, Accepting, and Transporting
Hazardous Materials
AGENCY: Research and Special Programs Administration (RSPA), DOT.
ACTION: Advisory guidance.
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SUMMARY: Preliminary findings in the investigation of a recent
passenger aircraft accident in Florida indicate a possibility that
hazardous materials carried as cargo aboard the aircraft may have
caused or contributed to the severity of the accident. This is advisory
guidance to remind persons involved in the transportation of hazardous
materials of their responsibilities to ensure that hazardous materials
are properly identified, packaged, authorized for transportation,
handled, loaded, and transported in conformance with the Hazardous
Materials Regulations.
FOR FURTHER INFORMATION CONTACT: Edward T. Mazzullo, Director, Office
of Hazardous Materials Standards, RSPA, Department of Transportation,
400 Seventh Street, S.W., Washington, DC 20590-0001, Telephone (202)
366-8553.
SUPPLEMENTARY INFORMATION:
I. General
A. Background
A May 11, 1996 aircraft accident in Florida resulted in 110
fatalities. Preliminary evidence indicates that oxygen generators
(chemical) were carried as cargo on board the aircraft and may have
caused or contributed to the severity of the accident. In an interim
final rule published on May 24, 1996 (61 FR 26418), RSPA has
temporarily prohibited the transportation of oxygen generators
(chemical) as cargo on passenger aircraft, while RSPA and the Federal
Aviation Administration (FAA) determine what further regulatory actions
may be necessary.
This accident serves to point out the risks posed by hazardous
materials in transportation. RSPA is publishing this advisory notice to
remind persons who offer, accept for transportation, or transport
hazardous materials of their responsibilities to ensure that authorized
hazardous materials are transported safely and that prohibited
hazardous materials are not offered for transportation or transported.
B. Regulation of Hazardous Materials Transportation in Commerce
The Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180)
specify requirements for the safe transportation of hazardous materials
in commerce by rail car, aircraft, vessel, and motor vehicle. These
comprehensive regulations govern transportation-related activities by
offerors (e.g., shippers, brokers, forwarding agents, freight
forwarders, and warehousers); carriers (i.e., common, contract, and
private); packaging manufacturers, reconditioners, testers, and
retesters; and independent inspection agencies. The HMR apply to each
person who performs, or causes to be performed, functions related to
the transportation of hazardous materials such as determination of, and
compliance with, basic conditions for offering; filling packages;
marking and labeling packages; preparing shipping papers; handling,
loading, securing and segregating packages within a transport vehicle,
freight container or cargo hold; and transporting hazardous materials.
In general, the HMR prescribe requirements for classification,
packaging, hazard communication, incident reporting, handling and
transportation of hazardous materials. The HMR are enforced by RSPA and
DOT's modal administrations: the FAA, the Federal Highway
Administration (FHWA), the Federal Railroad Administration (FRA), and
the United States Coast Guard (USCG). Federal law provides for civil
penalties of not more than $25,000 and not less than $250 for each
violation. An individual who willfully violates a provision of the HMR
may be fined, under Title 18 U.S.C., up to $250,000, be imprisoned for
not more than 5 years, or both; a business entity may be fined up to
$500,000.
The information presented in this document highlights some of the
requirements of the HMR which can affect transportation safety, but
does not address many of the specific provisions and exceptions
contained in the HMR. This advisory notice is intended to provide
general guidance. It should not be used as a substitute for the HMR to
determine compliance.
II. Basic Requirements
A. Training
The terms ``hazmat employee'' and ``hazmat employer'' are defined
in detail in 49 CFR 171.8. Stated briefly, a hazmat employee is anyone
who directly affects hazardous materials transportation safety, and a
hazmat employer is anyone who uses employees in connection with
transporting hazardous materials in commerce, causing hazardous
materials to be transported, or manufacturing or offering packagings as
authorized for use in transportation of hazardous materials.
Before any hazmat employee performs a function subject to the HMR,
that person must be provided initial training in the performance of
that function. Also, if a new regulation is adopted, or an existing
regulation is changed that relates to a function performed by a hazmat
employee, that hazmat employee first must be instructed in those new or
revised function-specific requirements. For example, if a new
requirement is added to the shipping paper requirements, a hazmat
employee must be instructed regarding the new requirement prior to
performance of a function affected by the new or revised rule. As an
interim measure, a hazmat employee may perform a required function
under the direct supervision of a properly trained and knowledgeable
hazmat employee for a period of 90 days, or until the required training
is provided, whichever comes first.
Each hazmat employee must be initially trained, and periodically
retrained at least every three years (previously two years; see final
rule under Docket HM-222B; 61 FR 27166, May 30, 1996) in three areas:
General awareness/ familiarization training designed to provide
familiarity with requirements of the HMR and to enable the employee to
recognize and identify hazardous materials; function-specific training
concerning requirements of the HMR which are specifically applicable to
the functions the employee performs; and safety training concerning
emergency response information, measures to protect the employee from
the hazards posed by materials, and methods and procedures for avoiding
accidents.
Hazmat employers are responsible for training. Each hazmat employee
must be trained and tested, and the employer must keep a record of
training to include certification of training and testing, date of
training, a description of the training material, and the name and
address of the person providing the training.
RSPA stresses the importance of hazmat employer compliance with the
hazmat employee training requirement. Effective training of hazmat
employees reduces the potential for incidents and accidents and is
essential for the protection of people (employees,
[[Page 30445]]
passengers, emergency response personnel, and the general public),
property, and the environment.
See Subpart H (Training) of Part 172 for detailed requirements.
B. Classification and Identification of Hazardous Materials.
The HMR set forth the procedures and criteria for determining the
hazard class (see Sec. 173.2) and the proper shipping name (see
Sec. 172.101) for hazardous materials. Some materials are so hazardous
that they are specifically designated as ``forbidden'' in the Hazardous
Materials Table in Sec. 172.101 (the Table) and may not be offered for
transportation or transported in commerce. Some require special review
and approval. Others are designated as ``forbidden'' from
transportation by specific modes, such as air transportation. Section
173.21 extends the ``forbidden'' designation beyond those materials
listed by name in the Table to additional general categories, including
materials (other than materials classed as explosives) that will
detonate in a fire; combinations of materials that are likely to cause
a dangerous evolution of heat, create flammable or poisonous gases or
vapors, or produce corrosive materials; and packages that give off a
flammable gas or vapor likely to create a flammable mixture with air in
a transport vehicle. In the May 24, 1996 interim final rule, RSPA added
a provision to Sec. 173.21 to temporarily prohibit the transportation
of oxygen generators (chemical) as cargo in passenger aircraft.
The Table lists, by name, several thousand of the most commonly
transported hazardous materials. Tens of thousands of other hazardous
materials that pose similar hazards as specifically listed materials
are addressed by generic descriptions like ``flammable liquids,
n.o.s.'' (``n.o.s.'' means not otherwise specified).
The Table is a key element and primary guide to offerors, carriers,
and enforcement personnel in determining compliance with the
regulations. For each entry, the Table specifies the proper shipping
name, hazard class or division, identification number, packing group,
required hazard warning labels, packaging authorizations, per-package
quantity limitations for passenger and cargo aircraft, and special
provisions.
C. Protective Packaging.
The packaging required for a hazardous material is the first line
of defense in ensuring that the material is not released during
transportation. An inadequately packaged hazardous material may not be
offered for transportation, accepted or transported.
Generally, the HMR specify various performance levels for
packagings for hazardous materials, based on the nature and level of
hazards posed by the specific material to be packaged therein. All
packagings must be designed to ensure that under normal conditions of
transportation there will be no release of the contents, and that the
effectiveness of the packaging will not be substantially reduced by
temperature changes. Packagings used to transport liquids by aircraft
must be able to withstand significant changes in ambient pressure. In
the case of combination packagings, the inner packagings containing a
liquid must be packed so that the closures are properly installed and
tight, are upright, and the outer packaging must be marked to show the
proper orientation. All inner packagings must be adequately secured and
cushioned within the outer packaging to prevent breakage or leakage and
to control their movement within the outer packaging under conditions
normally incident to transportation. Substances that may react
dangerously with each other may not be placed within the same package.
See Subpart B (Preparation of Hazardous Materials for
Transportation) of Part 173 for general packaging requirements.
D. Hazard Communication.
Essential elements of hazard warning information are required to be
communicated through shipping documents, package markings and labels,
placards on transport vehicles and bulk packagings, written emergency
response information, and emergency response telephone numbers to be
used in the event of an emergency involving the hazardous material.
Shipping papers can be in the form of a bill of lading, freight
bill, hazardous waste manifest, or other shipping document. At a
minimum, a properly prepared shipping paper clearly identifies a
hazardous material by its proper shipping name, hazard class or
division number, identification number, packing group (if any), and
total quantity. Additional hazard warning and handling information,
such as ``POISON'' and ``CARGO AIRCRAFT ONLY,'' must be entered on the
shipping paper. This information is intended to enhance safety by
informing hazmat employees of the presence of hazardous materials and
prompting them to ensure that required actions, such as placarding and
segregation of incompatible materials, are accomplished. This same
information is used by emergency responders in responding to incidents
and accidents involving hazardous materials.
The ``shipper's certification'' is a positive endorsement that the
offeror is required to provide when tendering a shipment of hazardous
materials to a carrier for transportation. The person signing the
certification must be trained in appropriate areas of the HMR (e.g.,
classification, description, packaging, marking, and labeling)
pertaining to the shipment.
See Subpart C (Shipping papers) of Part 172 and related sections
for detailed requirements.
Package markings and labels convey information on packages, such as
the proper shipping name, identification number, and hazard class of a
hazardous material. This information readily identifies that a package
contains a hazardous material. It is used by carriers and other persons
to ensure compliance with loading and stowage requirements designed to
prevent potentially dangerous situations that may occur with
incompatible hazardous materials, or to prevent contamination of
foodstuffs, feed, or other edible materials. Also, the information
provided by package markings and hazard warning labels can be used by
emergency responders when shipping papers are destroyed or otherwise
not immediately available. Hazardous materials markings must be
durable, in English, and unobscured by other information appearing on
the package. Hazard warning labels must conform to size and color
specifications, be placed on the package near the marked proper
shipping name, be clearly visible and be unobscured by other
information.
See Subparts D (Marking) and E (Labeling) of Part 172 and related
sections for detailed requirements.
Hazard warning placards and identification numbers are displayed on
the outside of motor vehicles, freight containers, and bulk packagings
loaded with hazardous materials. They provide a readily visible warning
that hazardous materials are present. The information they provide can
be critical to emergency responders in mitigating the impacts of a
hazardous materials incident or accident.
See Subparts D (Marking) and F (Placarding) of Part 172 and related
sections for detailed requirements.
Emergency response information and an emergency response telephone
number must be provided by the offeror and maintained by the carrier
for use in the mitigation of an accident or incident involving the
hazardous material. The offeror must provide information concerning
immediate hazards to
[[Page 30446]]
health, risks of fire or explosion, immediate precautions to be taken
in 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. Furthermore, the shipping
paper must contain the emergency response telephone number of a person
who is either knowledgeable of the hazardous material and has
comprehensive emergency response and incident mitigation information
for that material, or has immediate access to a person who possesses
such knowledge and information.
The required emergency response information provided by the offeror
must be immediately accessible to train crew personnel, drivers of
motor vehicles, flight crew members, and bridge personnel on vessels.
See Subpart G (Emergency Response Information) of Part 172 and
related sections for detailed requirements.
E. Incident Reporting and Modal-Specific Requirements.
Incident Reporting
The HMR require carriers to report incidents involving hazardous
materials. These incident reports are maintained by RSPA in its
automated Hazardous Materials Information System (HMIS) database. RSPA
uses this information to identify problems, such as inadequate or
improper packagings; operational problems occurring during loading,
unloading, or handling of packages; and inadequate blocking, bracing,
or securing of packages within transport vehicles, freight containers,
and cargo holds. When potentially serious problems are detected,
regulatory or enforcement actions may be initiated.
Each person who discovers a discrepancy relative to the shipment of
a hazardous material following its acceptance for transportation aboard
an aircraft is required to notify the nearest FAA Civil Aviation
Security Office, by telephone, as soon as practicable following
discovery. This reporting requirement (see Sec. 175.31) applies to
packages which are found to contain hazardous materials that are: other
than as described or certified on shipping papers; in quantities
exceeding authorized limits; in inside containers which are not
authorized or have improper closures; in inside containers not oriented
as shown by package markings; or with insufficient or improper
absorption materials, when required. Also, a telephonic report is
required when a package or bag is found to contain a hazardous material
subsequent to its being offered and accepted as other than a hazardous
material shipment.
See Secs. 171.15, 171.16, 175.31, 176.48 and related sections for
detailed requirements concerning the reporting of incidents,
discrepancies, and other hazardous conditions.
Stowage and Segregation
Hazard warning labels and package markings are used by carrier
personnel and other persons to ensure that hazardous materials are
properly segregated or stowed, when required. For example, the HMR
generally prohibit the loading of Class 8 (corrosive) material above or
adjacent to Division 4.1 (flammable solid) materials or Division 5.1
(oxidizing) materials. Furthermore, there are modal-specific rules,
such as quantity limitation requirements for transportation by
passenger aircraft.
See Secs. 173.21, 173.24, 173.24a, 174.81, 175.75, 175.78, 176.83,
177.848 and related sections for detailed stowage and segregation
requirements.
III. Common-Sense Reminders
The HMR are only effective when persons who engage in day-to-day
transportation-related activities make a concerted effort to ensure
their own compliance, as well as that of others from whom they may
receive shipments. The following reminders, as a minimum, are provided
for consideration to ensure that hazardous materials are recognized and
handled safely in conformance with the regulations.
A. Know Your Customer
Does your customer manufacture, ship or transport products that are
hazardous materials? If so, what kind and in what quantities?
B. Know the Packaging
Is each hazardous material packaged in an authorized packaging that
conforms to a DOT specification or United Nations standard, or other
packaging authorization of the HMR? (See Parts 172, 173, 178-180,
including Secs. 172.101, 173.24, 173.24a, and 173.27).
C. Know/Verify the Proper Hazardous Material Description
Does the shipping description used match the proper shipping name,
hazard class or division, identification number, and packing group
listed in the Hazardous Materials Table in Sec. 172.101? Is there a
conflict between the documentation and the package marking? Is there an
emergency response telephone number on the shipping paper? Does
emergency response information accompany the shipping paper? Is the
shipper's certification entered on the shipping paper, as required by
Sec. 172.204?
D. Visually Inspect Shipments
Is there damage to a package that makes it unsuitable for
transportation? Are hazardous materials warning labels clearly visible?
Is the transport vehicle, freight container, or bulk packaging properly
marked and placarded?
E. Advise Your Customer of Possible Discrepancies
Do not take independent action to correct known or suspected
deficiencies. DON'T GUESS. If you know or suspect there is a problem,
advise your customer and work together to bring the shipment into
conformance with the HMR.
F. Report Violations
RSPA operates a toll-free telephone number (800-467-4922) that may
be used to voluntarily report suspected violations of the HMR. Reported
violations that concern a single mode of transportation are forwarded
to the appropriate DOT modal administration for follow-up action.
IV. Obtaining Federal Assistance in Complying With the HMR
Numerous resources of the Department of Transportation are readily
available to assist offerors, carriers, packaging manufacturers and
other persons in understanding particular requirements of the HMR. RSPA
operates a hazardous materials information center that responds to
inquiries regarding the HMR. The information center operates during
normal business hours. After-hours callers may leave a recorded
message. Calls will be returned by the end of the next business day.
The telephone number is 800-467-4922 or, in Washington, DC, 202-366-
4488.
Modal-specific information may be obtained directly from DOT's
modal administrations (i.e., FAA, FHWA, FRA, and USCG) at their
Washington, DC headquarters or local field offices.
RSPA has a variety of training materials and compliance guides
available in limited quantities to interested persons. Information on
those publications and related materials is available via the Internet
@ hmix.dis.anl.gov (146.137.100.54) or by calling 800-467-4922, ext. 3.
[[Page 30447]]
Issued in Washington, DC on June 7, 1996.
Alan I. Roberts,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 96-15070 Filed 6-13-96; 8:45 am]
BILLING CODE 4910-60-P
