[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]




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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,

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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.


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    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