Hazardous Materials Transportation Certification
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
HAZARDOUS MATERIALS TRANSPORTATION CERTIFICATION
Applicability and Structure of the
Hazardous Materials Regulations
(HMR)
© Lion Technology Inc.
Applicability of the Hazardous
Materials Regulations
DOT hazmat regulations apply to:
• Transportation
• Of hazardous materials
• “In commerce”
• By one of the “four modes”
Must meet ALL of these conditions for rules
to apply!
[49 CFR 171.1]
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Transportation Activities
Transportation includes movement of property and:
• Loading incidental to movement
௅ Loading in presence of carrier
• Unloading incidental to movement
௅ Unloading in presence of carrier
• Storage incidental to movement
௅ Storage after pickup but before delivery
© Lion Technology Inc.
© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
The Cycle of Transportation
• Transportation begins when a carrier takes
physical possession of the hazardous
material from the offeror (shipper)
• Transportation ends when a carrier delivers
the hazardous material to the consignee
(receiver)
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Definition of a Hazardous Material
Hazardous material is defined as “…a substance
or material that the Secretary of Transportation
has determined is capable of posing an
unreasonable risk to health, safety, and property
when transported in commerce, and has
designated as hazardous…”
Definition also includes certain other materials
regulated by EPA and others
[49 CFR 171.8]
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Definition of a Hazardous Material
• Defined in terms of chemical and physical
properties
௅ For example: A liquid with a flash point of
< 140ºF is “flammable” (Class 3)
• DOT has defined 22 different types of
hazards
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© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Definition of Commerce
“Trade or transportation in the jurisdiction of
the United States within a single state;
Applicability
Structure
ofoutside
the
between
a place in aand
state
and a place
of the
state; that affects
trade Regulations
or transportation
Hazardous
Materials
between a place in a(HMR)
state and place outside of
the state; or on a United States-registered
aircraft”
[49 CFR 171.8]
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Applicability of the Hazardous
What Is “in Commerce”?
Materials Regulations
Something
DOT hazmat
is being
regulations
transported
apply “in
to: commerce” if:
• •It Transportation
is being transported for a “business purpose”
• •Someone
Of hazardous
is making
materials
money from the activity
• •A“In
commercial
commerce”
function is being performed
• •ABy
business
one of the
is benefiting
“four modes”
from the activity
Must meet ALL of these conditions for rules
to apply!
[49 CFR 171.1]
© Lion Technology Inc.
Transportation
The “Four Modes”
Activities
Transportation
DOT’s hazmat
includes
regulations
movement
regulate
of four
property
modes
and:
transport:
•ofLoading
incidental to movement
1.௅ Rail
Loading in presence of carrier
2. Air
• Unloading
incidental to movement
3.௅ Vessel
Unloading in presence of carrier
4. Motorincidental
vehicle bytopublic
highway
• Storage
movement
௅ Storage after pickup but before delivery
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© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Is This Activity Regulated by the HMR?
(Assume in All Cases Material Being Moved Is Hazmat)
Employee purchases gas at a gas station and
takes it back to work to use in lawn mower.
Applicability and Structure of the
Hazardous Materials Regulations
_____________________________________
(HMR)
© Lion Technology Inc.
Applicability
of the Hazardous
Is This
Activity Regulated
by the HMR?
(Assume in All
Cases Material
Being Moved Is Hazmat)
Materials
Regulations
Employee
uses
a truck toapply
moveto:
drums of
DOT
hazmat
regulations
flammable paint from one company-owned
• Transportation
warehouse to another using company-owned
• Of secured
hazardous
materials
roads
behind
gates and fences.
• “In commerce”
• By one of the “four modes”
_____________________________________
Must meet ALL of these conditions for rules
to apply!
[49 CFR 171.1]
© Lion Technology Inc.
Is ThisTransportation
Activity Regulated
by the HMR?
Activities
(Assume in All Cases Material Being Moved Is Hazmat)
Employee uses
a forklift
to move of
a pallet
of and:
Transportation
includes
movement
property
drums of acetone from a company-owned
• Loading incidental to movement
warehouse on one side of a public road to
௅ Loading
in presencewarehouse
of carrier on the
another
company-owned
•other
Unloading
side ofincidental
the road. to movement
௅ Unloading in presence of carrier
•_____________________________________
Storage incidental to movement
௅ Storage after pickup but before delivery
© Lion Technology Inc.
© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Additional Functions Regulated by the HMR
Pre-transportation Activities
• DOT regulates pre-transportation functions
• Pre-transportation functions involve everything
necessary to prepare a material for transport,
including:
௅ Determining the hazard class
௅ Filling a hazmat packaging
௅ Marking and labeling a hazmat package
௅ Preparing a shipping paper
[49 CFR 171.1(b)]
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Functions NOT Regulated by the HMR
There are several functions that are
specifically not regulated under the HMR
including:
• Storing hazmat prior to a carrier taking
possession
• Unloading hazmat by the consignee after
the carrier has left
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The Code of Federal Regulations (CFR)
Structure
The Code of Federal Regulations is divided
into 50 “titles” that represent broad areas
subject to Federal regulation
• Titles are divided into chapters
• Chapters are divided into parts
• Parts are divided into sections
© Lion Technology Inc.
© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
The Code of Federal Regulations (CFR) and
the Hazardous Materials Regulations
Title 49: Transportation Regulations
• Chapter I: Pipeline and Hazardous Materials
Safety Administration (PHMSA)
௅ Subchapter C has the Hazardous Materials
Regulations (HMR)
௅ Subchapter C contains parts 171 through 177
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The Hazardous Materials Regulations
49 CFR 171–173
• 49 CFR 171 – Applicability of the hazmat rules,
definitions, rules for reporting incidents and
emergencies and following alternative hazmat
regulations
• 49 CFR 172 – “Communications” (markings,
labels, etc.), training requirements, and cargo
security plans
• 49 CFR 173 – Shippers’ rules (packaging and
hazard class definitions)
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The Hazardous Materials Regulations
49 CFR 174–177
The carrier regulations include requirements for
operating the vehicle, loading and unloading
hazmat, and dealing with emergencies that occur
during transport
• 49 CFR 174 – Rules for rail carriers
• 49 CFR 175 – Rules for air carriers
• 49 CFR 176 – Rules for vessel carriers
• 49 CFR 177 – Rules for highway carriers
© Lion Technology Inc.
© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
“Additional” Hazardous Materials Regulations
49 CFR 178–180
• 49 CFR 178 – Packaging Specifications
௅ Rules for constructing and testing hazmat
packagings
• 49 CFR 179 – Tank Cars Specifications
௅ Rules for manufacturing tank cars
• 49 CFR 180 – Qualification and Maintenance of
Packagings
௅ Rules for maintaining cylinders and bulk
packagings
© Lion Technology Inc.
Ten Steps to Transportation
of Hazardous Materials
• The hazmat regulations are not written “in
order”
• There is a fairly set order in which things
need to be done in order to ship hazmat
correctly
௅ Lion Technology’s Ten Step Shipping
Process
© Lion Technology Inc.
Ten Steps to Transportation
of Hazardous Materials
1. ________________________________________
2. ________________________________________
3. ________________________________________
4. ________________________________________
5. ________________________________________
© Lion Technology Inc.
© Lion Technology Inc.
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Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Ten Steps to Transportation
of Hazardous Materials
6. Placarding
7. Loading, moving, and unloading
8. Responding to incidents and emergencies
9. Dealing with administrative issues
10.Keeping up with changes
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The Primary DOT Persons Involved in
Hazmat Transportation
• Shippers/offerors
௅ Mainly responsible for following 49 CFR Parts
171, 172, and 173
• Carriers
௅ Mainly responsible for following 49 CFR Parts
171, 172, and 174–177
• Consignees/receivers
௅ No specific responsibilities under the HMR
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Loading and Unloading Activities
Shippers and Consignees vs. Carriers
• Loading and unloading typically considered
carrier activities
• If shippers and consignees do the loading
and unloading, then they:
௅ Are performing carrier activities, and
௅ Must follow carrier rules
© Lion Technology Inc.
© Lion Technology Inc.
Page 8
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Compliance and Enforcement
Types of Penalties
There are two types of hazmat penalties:
1. Civil penalties = making accidental mistakes
2. Criminal penalties = deliberately choosing to
break the rules
© Lion Technology Inc.
Compliance and Enforcement
Civil Penalties
• Maximum civil penalty is ____________ per day,
per incident
• Maximum civil penalty is increased to __________
per day, per incident for violations resulting in:
௅ Death
௅ Severe injury
௅ Serious illness
௅ Substantial destruction of property
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Compliance and Enforcement
Criminal Penalties
Maximum individual criminal penalty is:
• $250,000 / per incident
• 5 years in jail
© Lion Technology Inc.
© Lion Technology Inc.
Page 9
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
Hazardous Materials Transportation Certification, continued
Other Transportation Regulations
IATA and IMDG
DOT’s hazmat regulations are not the only rules
regulating movement of hazardous materials
• Hazardous materials shipped by air usually
must follow the International Air Transport
Association (IATA) regulations
• Hazardous materials shipped by vessel
usually must follow International Maritime
Dangerous Goods (IMDG) Code
© Lion Technology Inc.
DOT vs. IATA vs. IMDG
Hazardous Materials vs. Dangerous Goods
• DOT regulates shipments of “hazardous
materials”
• IATA and IMDG regulate shipments of
“dangerous goods”
Definitions similar for all three
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DOT vs. IATA vs. IMDG Requirements
• DOT, IATA, and IMDG rules are fairly similar
• With certain restrictions, DOT allows
compliance with IATA and IMDG regulations
when hazmat/dangerous goods shipped by
air or vessel respectively
© Lion Technology Inc.
© Lion Technology Inc.
Page 10
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
PRESENTATION 2: APPLICABILITY AND STRUCTURE OF THE HAZARDOUS MATERIALS REGULATIONS (HMR)
References
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Page 11
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
KEY HAZMAT DEFINITIONS
49 CFR 171.8
does not include the United States Postal Service or, for
purposes of 49 U.S.C. 5123 and 5124, a Department,
agency, or instrumentality of the government.
§171.8 Definitions and abbreviations.
Carrier means a person who transports passengers
or property in commerce by rail car, aircraft, motor
vehicle, or vessel.
Person who offers or offeror means:
Consignee means the person or place shown on a
shipping document, package marking, or other media as
the location to which a carrier is directed to transport a
hazardous material.
(1) Any person who does either or both of the
following:
(i) Performs, or is responsible for performing,
any pre-transportation function required under this subchapter for transportation of the hazardous material in
commerce.
Loading incidental to movement means loading by
carrier personnel or in the presence of carrier personnel
of packaged or containerized hazardous material onto a
transport vehicle, aircraft, or vessel for the purpose of
transporting it, including the loading, blocking and
bracing a hazardous materials package in a freight container or transport vehicle, and segregating a hazardous
materials package in a freight container or transport
vehicle from incompatible cargo. For a bulk packaging,
loading incidental to movement means filling the packaging with a hazardous material for the purpose of
transporting it. Loading incidental to movement
includes transloading.
(ii) Tenders or makes the hazardous material
available to a carrier for transportation in commerce.
(2) A carrier is not an offeror when it performs a function required by this subchapter as a condition of acceptance of a hazardous material for
transportation in commerce (e.g., reviewing shipping
papers, examining packages to ensure that they are in
conformance with this subchapter, or preparing shipping documentation for its own use) or when it transfers
a hazardous material to another carrier for continued
transportation in commerce without performing a pretransportation function.
Mode means any of the following transportation
methods: rail, highway, air, or water.
Motor vehicle includes a vehicle, machine, tractor,
trailer, or semi-trailer, or any combination thereof, propelled or drawn by mechanical power and used upon
the highways in the transportation of passengers or
property. It does not include a vehicle, locomotive, or
car operated exclusively on a rail or rails, or a trolley
bus operated by electric power derived from a fixed
overhead wire, furnishing local passenger transportation similar to street railway service.
Storage incidental to movement means storage of a
transport vehicle, freight container, or package containing a hazardous material by any person between the
time that a carrier takes physical possession of the hazardous material for the purpose of transporting it in
commerce until the package containing the hazardous
material is physically delivered to the destination indicated on a shipping document, package marking, or
other medium, or, in the case of a private motor carrier,
between the time that a motor vehicle driver takes physical possession of the hazardous material for the purpose of transporting it in commerce until the driver
relinquishes possession of the package at its destination
and is no longer responsible for performing functions
subject to the HMR with respect to that particular package.
Person means an individual, corporation, company,
association, firm, partnership, society, joint stock company; or a government, Indian tribe, or authority of a
government or tribe offering a hazardous material for
transportation in commerce or transporting a hazardous
material to support a commercial enterprise. This term
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Page 12
Hazardous Materials Transportation Certification
Key Hazmat Definitions, continued
(1) Storage
includes—
incidental
to
movement
(i) Storage at the destination shown on a shipping document, including storage at a transloading
facility, provided the shipping documentation identifies
the shipment as a through-shipment and identifies the
final destination or destinations of the hazardous material; and
(ii) Rail cars containing hazardous materials
that are stored on track that does not meet the definition
of “private track or siding” in §171.8, even if those cars
have been delivered to the destination shown on the
shipping document.
Unloading incidental to movement means removing a packaged or containerized hazardous material
from a transport vehicle, aircraft, or vessel, or for a bulk
packaging, emptying a hazardous material from the
bulk packaging after the hazardous material has been
delivered to the consignee when performed by carrier
personnel or in the presence of carrier personnel or, in
the case of a private motor carrier, while the driver of
the motor vehicle from which the hazardous material is
being unloaded immediately after movement is completed is present during the unloading operation. (Emptying a hazardous material from a bulk packaging while
the packaging is on board a vessel is subject to separate
regulations as delegated by Department of Homeland
Security Delegation No. 0170.1 at 2(103).) Unloading
incidental to movement includes transloading.
(2) Storage incidental to movement does not
include storage of a hazardous material at its final destination as shown on a shipping document.
Transportation or transport means the movement
of property and loading, unloading, or storage incidental to that movement.
© Lion Technology Inc.
6/28/16
Page 13
Presentation 2: Applicability and Structure of the Hazardous Materials Regulations (HMR)
REGULATORY STRUCTURE AND APPLICABILITY
49 CFR:
Applicability:
106
Rulemaking procedures
107
Hazardous materials program procedures
171
General, definitions
172
Communications
172.101
Appendix A
Appendix B
172.102
172.200
172.300
172.400
172.500
172.600
172.700
172.800
173
173.1–173.40
173.50–173.145
173.150–end
Hazardous Materials Table
Hazardous substances
Marine pollutants
Special provisions
Shipping papers
Marking
Labeling
Placarding
Emergency response information
Training
Cargo security plans
Applies to DOT
rulemaking
Applies to
everyone
“Shippers’ rules”
Packaging, general
Hazard class definitions
Packaging authorizations and exceptions
174
Rail carriers
175
Air carriers
176
Vessel carriers
177
Highway carriers
178
Package standards
179
Specifications for tank cars
180
Qualification and maintenance of packagings
Applies to
shippers
Applies to
carriers and
anyone
performing
carrier activities
Applies to
packagings
Applies to tank cars
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Applies to bulk
packagings
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