30444 Federal Register / Vol. 61, No. 116 / Friday, June 14, 1996 / Rules and Regulations

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.

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 transportationrelated 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,
Federal Register / Vol. 61, No. 116 / Friday, June 14, 1996 / Rules and Regulations 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 § 173.2) and the proper shipping

name (see § 172.101) for hazardous

materials. Some materials are so

hazardous that they are specifically

designated as ‘‘forbidden’’ in the

Hazardous Materials Table in § 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 § 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
30446 Federal Register / Vol. 61, No. 116 / Friday, June 14, 1996 / Rules and Regulations

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 ModalSpecific 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 § 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 §§ 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 §§ 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

§§ 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 § 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 § 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.
Federal Register / Vol. 61, No. 116 / Friday, June 14, 1996 / Rules and Regulations 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