Toolkit For Hazardous Materials Transportation Education

TOOLKIT FOR HAZARDOUS MATERIALS
TRANSPORTATION EDUCATION
1
This work is sponsored by the U. S. Department of Transportation
Pipeline and Hazardous Materials Safety Administration
(PHMSA). It was conducted through the Hazardous Materials
Cooperative Research Program (HMCRP), which is administered
by the Transportation Research Board of the National Academies.
Prepared by
3 Sigma Consultants, LLC
909 Edenbridge Way, Nashville, TN 37215
Module 3: Hazmat Legal and

Regulatory Environment
2
Learning Outcomes
At the end of this module students will be able to:

1. Identify the principal regulations governing hazmat
transportation.
2. Explain the general layout of the hazardous materials
regulations and locate provisions that are applicable to
specific shipping situations.
3. Describe the operational elements required for the safe
and secure movement of hazmat within the applicable
regulatory requirements.
3
Topics
• Hazmat transportation regulatory context

• Overview of legal, and regulatory process
• Hazmat legislation and regulations
• USDOT regulations
• Compliance and enforcement
• Other regulatory requirements, standards, and guidelines
• Issues involving multiple/overlapping regulations
4
The Hazardous Materials Regulations (HMR)
• This module is for educational purposes only.

• It does not substitute for the actual HMR.
• For authoritative information consult the latest
edition of the HMR
http://www.ecfr.gov/cgi-bin/text-
idx?sid=69820f56014d9312d67ea8169b0e9e01&c=ecfr&tpl=/ecfrbrowse/Title49/
49tab_02.tpl
and the final rules published in the Federal Register.

https://www.federalregister.gov/
Source: PHMSA, USDOT, July 2012.

5
Why Regulate Hazmat Transportation?
• The dangerous goods transported, if released

or ignited, could cause harm to human health
or the environment.
• Some releases are catastrophic.
– Texas City, TX, cargo ship explosions, April 1947
– Waverly, TN, LP gas tank car, February 1978
– Caldecott Tunnel, CA, April 1982
– Baltimore, MD, rail tunnel fire, July 2001
6
What Is a Hazardous Material?
• Many organizations have offered definitions of the

synonymous terms “hazardous materials” and “dangerous
goods” to meet various needs (see handout):
– Institute of Hazardous Material Management (IHMM)
– National Fire Protection Association (NFPA)
– U.S. Department of Transportation (DOT)
– U.S. Environmental Protection Agency (EPA)
– U.S. Occupational Safety and Health Administration (OSHA)
– U.S. Nuclear Regulatory Commission (NRC)
– U.S. General Services Administration (GSA)
7
Basic USDOT Definition of Hazardous Material
A substance or material, that when transported in

commerce, is capable of posing an unreasonable risk
to:
– Health
– Safety
– Property

8
Dangerous Goods Are Internationally Regulated
• UN Recommendations on the Transport of Dangerous Goods

– Not obligatory, but form the basis of many national systems and
international agreements
• International Maritime Organization (IMO)
– International Maritime Dangerous Goods (IMDG) Code, part of the
International Convention for the Safety of Life at Sea
• Intergovernmental Organisation for International Carriage by Rail
– International Carriage of Dangerous Goods by Rail, part of the Convention
concerning International Carriage by Rail.
• International Civil Aviation Organization (ICAO)
– Technical Instructions For The Safe Transport of Dangerous Goods by Air
• International Air Transport Association (IATA)
– IATA Dangerous Goods Regulations
9
Background: Overview of U.S. Legal and
Regulatory Process
• Congress passes a law designed to address a social or

economic need or problem.
• The appropriate regulatory agency then creates regulations
necessary to implement the law.
• The underlying laws are often referred to as "enabling
legislation.“
• Desirable guiding principle: “Reasonable regulations lead to
voluntary compliance.”
– Allows enforcement to be directed toward the "bad actors"
Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.

10
Overview of Legal and Regulatory Process
• Federal Legislation
– Examples: Hazardous Material Transportation Act, National
Environmental Policy Act, Oil Pollution Act, laws in other spheres
• Regulatory Agencies
– DOT, EPA and at least 50 others
– Create and enforce rules - regulations - that carry the full force of law
• Federal Rulemaking Process
– The process of creating and enacting federal regulations is generally
referred to as the “rulemaking” process.
– Regulatory agencies create regulations according to rules and
processes defined by Administration Procedure Act.
– Agencies must publish all proposed new regulations in the Federal
Register at least 30 days before they take effect, and they must
provide a way for interested parties to comment, offer amendments,
or to object to the regulation.
• State and local governments have similar processes, but may not
enact laws and regulations that conflict with federal enactments.
Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012. 11
Key U.S. Hazmat Legislation and Regulations
12
The Federal Hazardous Materials Transportation
Law
• 49 U.S.C. § 5101 et seq. is the basic statute regulating

hazardous materials transportation in the United States.
• Purpose: to “protect against the risks to life, property,
and the environment that are inherent in the
transportation of hazardous material in intrastate,
interstate, and foreign commerce” (emphasis added)
• Gives the Secretary of Transportation the authority to:
– Designate material as hazardous
– Issue regulations for the safe and secure transportation of
hazardous material
Source: PHMSA, USDOT, July 2012. 13

The USDOT Hazardous Materials Regulations (HMR)
49 CFR 171 through 180

• 171 General information, regulations,
and definitions
• 172 Hazardous materials table, special
provisions, hazmat communications,
emergency response, training
• 173 Shippers and packaging
• 174 Carriage by rail
• 175 Carriage by aircraft
• 176 Carriage by vessel
• 177 Carriage by public highway
• 178 Specs for packaging
• 179 Specs for tank cars
• 180 Continuing qualification and
maintenance of packagings
14
Who Is Subject to the HMR?
All persons who:

• Transport hazardous materials in commerce
• Offer hazardous materials for transportation
• Are involved in producing hazmat packaging
• Prepare or accept hazmat shipments
• Are responsible for hazmat safety
• Certify compliance with any requirement under the federal
hazmat law

15
Hazardous Materials Standards
The HMR set forth standards for:

• Classification
• Packaging
• Hazard communication
• Emergency response information
• Hazmat employee training
• Hazmat transportation by various modes
• Incident reporting
• Security

16
The Hazardous Materials Table (HMT)

17
What’s in the HMT?
• Contains more than 3,000 proper shipping names of

commonly shipped hazmat.
• Contains 14 columns organized into 10 major headings.

18

• Classification
• Packaging
• Security

19
USDOT/PHMSA Hazmat Classification System
• Class 1: Explosives • Class 4: Flammable Solids
• 1.1 Mass explosion hazard • 4.1 Flammable solid
• 1.2 Projection hazard • 4.2 Spontaneously combustible
• 1.3 Predominately a fire hazard material
• 1.4 No significant blast hazard • 4.3 Dangerous when wet material
• 1.5 Very insensitive explosives; • Class 5: Oxidizing Agents & Organic
blasting agents Peroxides
• 1.6 Extremely insensitive detonating • 5.1 Oxidizer
substances • 5.2 Organic peroxide
• Class 2: Gases • Class 6: Toxic & Infectious
• 2.1 Flammable gas Substances
• 2.2 Non-Flammable compressed gas • 6.1 Poisonous materials
• 2.3 Poisonous gas • 6.2 Infectious substance (Etiologic
• Class 3: Flammable and Combustible agent)
Liquids • Class 7: Radioactive Material
• Class 8: Corrosive Material
• Class 9: Miscellaneous Hazardous
49 CFR §173.2 Materials 20
Class 1 - Explosives
1.1 Mass explosion hazard

(dynamite, TNT)
1.2 Projection hazard
(aerial flares, detonating cord)
1.3 Predominately a fire hazard
(liquid fueled rocket motors, propellant explosives)
1.4 No significant blast hazard
(practice ammunition, signal cartridges)
1.5 Very insensitive explosives; blasting agents
(pilled ammonium nitrate fertilizer-fuel oil mixtures)
1.6 Extremely insensitive detonating substances
(items with a negligible probability of accidental initiation or propagation)
Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
21
Class 2 - Gases
2.1 Flammable gases
(methyl chloride, propane)
2.2 Non-flammable compressed gases
(anhydrous ammonia, carbon dioxide, compressed
nitrogen)
2.3 Poisonous gases
(chlorine, arsine, methyl bromide)
Source: Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013. 22
Class 3 – Flammable and Combustible Liquids
Flammable - Flashpoint at
or below 60oC (140oF)
(acetone, gasoline)
Combustible – Flashpoint
above 60oC (140oF) and
below 93 °C (200 °F)
(No. 6 fuel oil, mineral oil)
Source: 49 CFR § 173.120; Defense Ammunition Center, April 2011.; NFPA 472, Jan 2013.
23
Class 4 – Flammable Solids
4.1 Flammable Solids

(magnesium pellets, nitrocellulose)
4.2 Spontaneously Combustible
(charcoal briquettes, phosphorous)
4.3 Dangerous When Wet
(magnesium powder, sodium hydride)
24
Class 5 – Oxidizing Agents & Organic Peroxides
5.1 Oxidizers
(ammonium nitrate, calcium hypochlorite)
5.2 Organic Peroxides
(dibenzoyl peroxide, peroxyacetic acid)
25
Class 6 – Toxic & Infectious Substances
6.1 Toxic or Poison

(arsenic compounds, carbon tetrachloride, tear gas)
6.2 Infectious Substance (Etiologic Agent)
(anthrax, botulism, rabies, tetanus)
Source: Defense Ammunition Center, April 2011.; NFPA 472 , Jan 2013.
26
Class 7 – Radioactive Materials
Examples
cobalt
uranium hexafluoride
“yellow cake”
27
Class 8 – Corrosive Materials
Examples
Acids
(nitric acid, sulfuric acid, batteries)
Alkalis
(sodium hydroxide)
28
Class 9 – Miscellaneous Hazardous Materials
A material which presents a hazard
during transportation but which
does not meet the definition of any
other hazard class, including:
Elevated Temperature Material
Hazardous Substance
Hazardous Waste
Marine Pollutant
Examples
Lithium batteries
Hot liquid asphalt
PCBs
Molten sulfur
49 CFR § 173.140 29
Hazardous Substances
• Listed in §172.101, Appendix A, Table 1

• Shipped in one package in a quantity that equals or exceeds
the Reportable Quantity (RQ).
• Table 2 in Appendix A lists radionuclide's and their RQs.

30
Hazardous Waste
• Transportation of hazardous waste is regulated by DOT (49

CFR 171.3, 171.8) and EPA (40 CFR 262-263).
• All discarded materials must be evaluated to see if they meet
the definition of “hazardous waste.”
• EPA hazardous waste classifications:
– Chemicals (generally toxic materials being discarded)
– Process wastes (waste streams from a process operation, most
commonly chemical solvents)
– Characteristic wastes (ignitibility, corrosivity, reactivity, toxicity)
Source: Transportation Safety Institute, USDOT, Feb 2012.
31
Marine Pollutants
• A hazmat is also a marine pollutant when:

– It is listed in §172.101, Appendix B; AND
– The material is in a solution or mixture meeting specified
concentrations
• The marine pollutant requirements in the HMR
apply to:
– All marine pollutants transported by vessel,
– But not to non-bulk shipments by air, rail, or highway.

32
Other Materials Covered by Hazmat Regulations
• Forbidden Materials (§ 173.21 )

– May not be offered for transportation or transported.
• Forbidden Explosives (§ 173.54 )
• ORM-D (Other Regulated Materials – Domestic) (§ 173.144)
– ORM designates a material which, although otherwise subject to 49 CFR
173, presents a limited hazard during transport due to its form,
quantity, and packaging.
– Examples
• consumer commodity
• small arms or cartridges
• power devices
• Materials of Trade (MOT) and Company Owned Material
(COMAT)
33
ORM-D: Consumer Commodities
Classification used only in

the United States
Source: Defense Ammunition Center, April 2011.

34
MOT and COMAT
• Materials of Trade (MOT) are hazmat carried on motor

vehicles for the carrier’s use, or to support a non-transport
business.
– Fewer regulations (e.g., no placarding)
– Quantity limits apply
• Air carrier Company Owned Materials (COMAT) are regulated
as hazmat/dangerous goods.
– COMAT shipped as replacement items for installed equipment,
serviceable items, or items removed for servicing and repair may be
regulated.
– Installed equipment containing hazardous materials or hazardous
materials required aboard an airplane to meet airworthiness
requirements of the FAA are excepted from the HMR.

35

• Classification
• Packaging
• Security

36
Packaging
• In the HMR, “package” refers

to the packaging plus its
contents.
• Examples of packaging
– Fiberboard boxes
– Drums
– Portable tanks
– Cargo tanks
– Tank cars
– Cylinders
– Bags
– Wood boxes

37
General Package Requirements in the HMR
The hazmat packaging must be:

• Able to contain the material
• Compatible with the material
• Authorized for the material
• Closed securely
• Filled appropriately
http://www.megacheminc.com/un_packaging.htm
Source: Transportation Safety Institute, USDOT, Feb 2012.

38
HMT Column 5 – Packing Group (PG)
• Assigned according to
the relative degree of
danger posed by the
hazmat during
transport:
– PGI greatest
– PGII medium
– PGIII minor

39
HMT Column 8 – Packaging References
• Columns 8A, 8B, and 8C complete the citations to §173.***.

• Go to the cited sections to find the packaging exceptions,
non-bulk, and bulk requirements.

40
UN Standard Packaging Performance Tests
• Drop test
• Leakproofness
• Hydrostatic pressure test
•
http://www.westpak.com/hazardous-materials/stack-testing.asp
Stacking
• Cooperage test
• Packaging test US only
– Vibration test
Source: Defense Ammunition Center, April 2011.

41
Package Marking Requirements

42

The prime objective of
• Classification all hazard
• Packaging communication is to
ensure that the hazmat
information needed by
– Shipping papers emergency responders is
– Markings, labels, placards readily available in a
• Hazmat transportation by various modes standard format.

• Security
43
2012 Emergency Response Guidebook (ERG)
• The ERG provides information to

first responders to a hazmat
incident to help them quickly:
– locate shipping papers
– identify the dangerous goods
involved
– take initial actions to protect
themselves and the general public
44
Shipping Papers
• A properly prepared shipping paper must

accompany any hazmat shipment.
• May include:
– Shipping order
– Bill of lading
– Manifest
– Other

45
General Shipping Paper Requirements
• Legibility
• Codes and abbreviations
• Additional information UN1263, Paint, 3, PGII
• Multiple-page shipping
papers
• Continuously monitored
emergency response
telephone number
• Documents and forms
46
HMT Columns 1-5
• Contain the information

required for the basic
description that is a key
part of the shipping
paper.
• Column 2 provides the
proper shipping name of
the material.

47
Shipping Description of the Hazmat
• 1-4 Basic description

• 5 Total quantity
• 6 Number and type of packages
UN1114, Benzene, 9, PGII

48
Shipper Certifications
Domestic
International

49
Marking, Labeling, and Placarding
• Each hazmat package, freight container, and vehicle must

communicate hazard information as prescribed in the HMR.

50
General Marking Requirements
• Durable
• Written in English
• Printed on or affixed to the surface of the
package
• Displayed on a sharply contrasting color
background
• Unobscured by other labels or attachments
• Located away from other marking

Marking Requirements for Non-Bulk Packaging
• Identification number
• Proper shipping name
• Technical name(s)
• Special permit information
• Consignee’s or consignor’s name and address
• Must be on both sides and both ends of the
package
• Must be visible, even after loaded on a rail car.

52
Marking Requirements for Bulk Packaging
• Identification numbers
• Size of markings
• Empty packagings
• Fumigant markings

53
Source: PHMSA, USDOT, Chart 14.
54
HMT Column 6 – Label Codes
• Specifies the hazard warning labels that must be applied to

each hazmat package.
• The codes are defined in the Label Substitution Table found
in § 172.101(g).
Label Substitution Table

Display of Hazard Class on Labels

56
Labels for Mixed or Consolidated Packaging
Mixed Consolidated

57
Placarding
• General rule: if a freight

unit contains hazmat there
must be placards on both
sides and each end
displaying the hazard
class.
• §172.504(e) gives details
in Tables 1 and 2.

58
Placarding Tables
• Table 1 – materials for which placards are required

for any quantity
• Table 2 – materials that may or may not require
placards, depending on hazard class/division,
packaging, and quantity
• Consolidated shipments are also a factor.

59
Placarding Specifications
• Strength and durability

• Design
• Form identification
• Exceptions
§172.519

60
Placard Gallery
§172.521-560

61
Example: Class 4 Placards
§172.546-548

62

• Classification
• Packaging
• Security

63
Carrier/Shipper Functions
If a carrier repackages hazardous material, the carrier is

functioning as a shipper and MUST comply with HMR shipper
regulations.

64
Carrier Requirements - Highway
• HMR Part 177, applies to common,

contract, and private motor carriers
transporting hazmat.
• Must also comply with Federal Motor
Carrier Safety Regulations (FMCSR)
covering:
– Driver qualifications
– Hours of service FMCSR
– Equipment standards 49 CFR §390-397
– Driving and parking rules and other sections
– Alcohol and controlled substances
– Financial responsibility
– Operational requirements
65
Additional Motor Carrier Training Requirements
• Pre-trip safety inspections

• Use of vehicle controls and equipment
• Operation of vehicle
• Maneuvering at tunnels, bridges, and
railroad crossings
• Attendance of vehicles
• Parking
• Smoking
• Routing
• Loading/unloading of materials
Source: PHMSA, USDOT, July 2012 and 49 CFR §177.816.
66
Special Loading/Unloading Requirements
• Explosives
• Flammable liquids
• Storage batteries/nitric acid
• Gases
• Poisons/TIH
• Materials prohibited in driver compartment
• Selected class 4 and 5 materials
• Radioactive materials

67
Example - Gases
• Safety requirements for shipping compressed gas

cylinders include:
– Securely restrain in upright or
horizontal position
– Load into racks securely
attached to the motor vehicle
– Pack in boxes or crates

68
Other Motor Carrier Rules
• Hazmat must be loaded, blocked, braced, and unloaded in

accordance with the prescribed safeguards.
• Minimum separation distances for radioactive materials
• Segregation table and compatibility table for mixed shipments
and storage
• Hazmat restrictions for motor vehicles carrying passengers for
hire

69
Carrier Requirements - Rail
• Inspect railcars containing hazmat.

• Forward hazmat shipments within 48 hours or on first
available train.
• Follow all applicable separation requirements.
• Display required markings and placards on railcars.
• Train crews must carry shipping papers, and also a
document showing the current location of all hazmat
railcars.
• Escorted cars must be placed next to or ahead of the
car occupied by the guards or technical escorts if
placarded as divisions 1.1, 1.2, 2.3, or 6.1.
• Leaking packages, other than tank cars, must be
repaired, reconditioned, or placed in a salvage drum.
Source: PHMSA, USDOT, July 2012 and 49 CFR §174.

70
Carrier Requirements - Water
• When carrying hazardous materials by vessel, the

International Maritime Dangerous Goods (IMDG)
Code may be used, as long as HMR §171.12 and
§176.11 are also followed.
• 49 CFR §176 is divided into Subparts A through O:
– A-D: general information and operating requirements,
and general handling, stowage, and segregation
– E-F: special requirements for transport vehicles and
barges
– G-O: detailed requirements for specific classes of
hazardous materials.
Source: PHMSA, USDOT, July 2012 and 49 CFR §176.

71
Stowage and Segregation
• Stowage - where cargo may be
located on the vessel and how it is
secured
• Segregation - separation of
hazardous cargo by distance or
barriers (see Segregation Table)
• Carrier must prepare a dangerous cargo manifest, list, or

stowage plan showing:
– Vessel name, official number, nationality
– Shipping name, emergency response phone number
– I.D. number of each hazmat onboard
– Number, description, and gross mass of each type of package
– Hazmat classification(s) from the HMT or IMDG code
– Hazmat stowage location(s)
– Additional information required by the regulations
Vessel Stowage Locations
• Stowage locations authorized

for a material are found in HMT
column 10, and may include
any of the following:
– On deck
– Under deck
– Under deck and away from heat,
with ventilation
• See also HMT column 7, Special
Provisions
• Carrier must secure hazmat
packages against movement,
and brace them to prevent
piercing or crushing from a
superimposed load
Additional Water Carrier Requirements
• Stowage of marine pollutants

• Handling and stowage of break bulk hazmat
• Stowage of transport vehicles, containers,
and portable tanks
• Hazmat transported on ferry vessels
• Extensive requirements for handling and
stowage of explosives
• Requirements pertaining to hazard
classes/divisions 2 through 8.

Carrier Requirements - Air
49 CFR §175 has subparts A, B, and C

A: inspecting and accepting hazmat shipments,
documentation, training, and reporting discrepancies
B: hazmat loading, unloading, and handling, including
quantity limitations, stowage, cargo location, and
orientation of packages
C: special requirements for certain hazard classes and
commodities, such as flammable liquids, poisons,
radioactive materials, and infectious substances

75
ICAO Technical Instructions
• Instead of preparing shipments in

accordance with 49 CFR, Parts 172 and 173,
shippers may classify, package, mark, label,
and describe them on shipping papers in
accordance with the International Civil
Aviation Organization (ICAO) Technical
Instructions for the Safe Transport of
Dangerous Goods by Air.
• Shipments must still meet all other
applicable requirements of 49 CFR §171-180.

76
Air Carrier Responsibilities
• Material is authorized and within quantity

limits
• Content and accuracy of shipping papers,
including emergency response
information and shipper certification
• Hazmat packages are marked, labeled,
and placarded if required
• Proper use of CARGO AIRCRAFT ONLY
label
• Packages are in good condition
• Seals on radioactive material packages are
not broken

77
Exceptions to Prohibitions Against Carrying Hazmat
• Hazardous materials may not be carried in the cabin of a

passenger aircraft or on the flight deck of any aircraft, except
as authorized in the HMR.
• Exceptions include:
– Hazmat required for safe operation
of aircraft
– Hazmat for personal use of
passengers and crew
– Hazmat for use in special aircraft
operations
– Hazmat in wheelchairs and other
mobility and medical devices
– Miscellaneous hazmat exceptions

78
Loading Hazmat into Aircraft
• Passenger aircraft – Hazmat may be carried in a main deck

cargo compartment provided that the compartment is
inaccessible to passengers and that it meets all certification
requirements for a Class B or Class C aircraft cargo
compartment.
• Cargo aircraft - Load hazmat acceptable in such a manner
that a crewmember or other authorized person can see,
handle, and – when size and weight permit – separate such
packages from other cargo during flight.

79
Some Other Air Carrier Requirements
• Hazmat quantity limitations are found in the HMT, column 9.

• Packagings must be designed and constructed to prevent
leakage that may be caused by internal pressure changes in
altitude and temperature during air transportation.
• Venting packages to reduce internal pressure is not permitted.
• Specific requirements for packages containing liquids
• Hazardous materials shipped by air and authorized for cargo
aircraft only must have the CARGO AIRCRAFT ONLY label
affixed to the package, in addition to the hazard class label.
• Packages must be secured in an aircraft so that movement or
damage of the package in flight is prevented.

80

• Classification
• Packaging
• Security

81
Required Hazmat Training
Hazmat employers must certify the training of employees who perform

functions such as load, unload, or handle the shipment of hazmat,
prepare hazmat shipping papers, prepare hazmat shipments for
transport, or operate a vehicle moving hazmat.
• Training must include:
– General awareness/familiarization
– Function-specific/mode-specific training
– Safety training
– Security awareness training
– In-depth security training for some
employees (see §172.800)
• Initial training required within 90 days
• DOT requires retraining and testing at least once every 3 years.
• FAA requires air carrier employee training every 2 years.
82

• Classification
• Packaging
• Security

83
Incident Reporting
• Many incidents resulting in an unintentional

hazmat release must be reported to the National
Response Center (NRC) and, in some cases, the
Center for Disease Control (CDC).
– Some require a telephone report within 12 hours.
– All require a written report within 30 days.
• Radioactive materials – notify NRC within 12 hours
• Infectious substances – notify CDC within 12 hours
• Marine pollutants – notify NRC within 12 hours of
any release of:
– Solid greater than 400 Kg (882 lb)
– Liquid greater than 450 L (119 gal)

84
Other Reportable Incidents
• Telephone report required if any of the following occur:

– Death, or injury requiring hospitalization
– Change in flight pattern or routine of an aircraft
– Shutdown of major facility or transportation artery
– Evacuation of the public for one hour or more
– Any situation that involves a continuing danger to life
– On an aircraft, fire, rupture, explosion, or dangerous heat evolution
resulting from a battery or battery-powered device
• Written report on DOT Form F 5800.1 is required within 30
days following all telephone reports, and in general for any
release of a hazardous waste, or any other hazmat releases of
at least 20 liters (5.2 gal) for liquids or 20 Kg (66 lb) for solids.
– See 49 CFR §171.15-16 for detailed requirements.

85
PHMSA Hazmat Enforcement
• Independent and joint modal field inspections of:

– Shipper and carrier transportation facilities
– Packaging manufacturing, requalification, repair and reconditioning
facilities
– Cargo vessel ports, rail freight yards, motor carrier and air cargo
terminals
– Chemical and explosive manufacturing plants
• Programmatic inspections of hazardous material
transportation systems, procedures, and processes
• Civil and criminal enforcement investigations
• Accident and incident investigation and failure analysis
• Outreach and education
• Emergency response

Hazmat Enforcement: Other Agencies
Enforcement authority under the federal hazmat law is shared by
PHMSA, FMCSA, FRA, FAA, and USCG.
• FMCSA - the transportation or shipment of hazardous materials by highway.
FMCSA also enforces the Federal Motor Carrier Safety Regulations (49 CFR
Parts 350-399).
• FRA - the transportation or shipment of hazardous materials by railroad. FRA
also enforces the rail safety regulations (49 CFR 200-268).
• FAA - the transportation or shipment of hazardous materials by air. FAA also
enforces all regulations applicable to air carriers and shippers by air issued
under the Federal Aviation Act.
• USCG - the transportation or shipment of hazardous materials by water. USCG
also enforces its own regulations governing the bulk transportation of
hazardous materials by vessel, and regulations issued under other laws, such
as the Federal Water Pollution Control Act and the Comprehensive
Environmental Response, Compensation and Liability Act.
In addition, EPA enforces environmental regulations related to
hazardous wastes and substances, and marine pollutants.
HM Inspections, Violations, and Penalties
Source: US DOT Pipeline and Hazardous Materials Safety Administration, Transportation of

Hazardous Materials, 2009-2010, October 2011, p. 21. 88
Penalties for Violating HMR
Violations of the HMR may result in

• Civil penalties of $250 to $110,000
– Minimum $495 for training related violation
– Each day of a continuing violation is a separate offense
• Criminal penalties of up to $250,000 (individuals) and
$500,000 (corporations), plus up to ten years in prison
Note: MAP-21 includes language changing some of the penalties, so the

regulations will be changing to incorporate the new minimums and
maximums.

89
Other Regulatory Requirements, Standards, and
Guidelines
• DOD Military shipments

• DOE/NRC Nuclear materials
• STB Commercial transportation
• OSHA Worker health and safety
• NLRB Organized labor
• NFPA First responder safety and health
• USDA Invasive species
• State-level hazmat compliance programs
90
Issues Involving Multiple/Overlapping Regulations
• The federal hazmat law and the HMR provide that, unless
authorized by another Federal law, a requirement of a state,
local government, or Indian tribe is preempted if:
– Compliance with both laws/regulations is not possible.
– The non-federal requirement interferes with carrying out the federal
law or HMR.
– The State, local, or Indian tribe requirement concerns a “covered
subject,” and is NOT “substantively the same” as any provision of, the
Federal hazmat law/regulation concerning that subject.
– The “covered subjects” are those covered in the main provisions of the
HMR, e.g., hazmat identification and classification, shipping papers,
marking, labeling, packaging, etc.
• State and Indian tribe highway routing designations,
limitations and requirements relating to hazardous materials
will be preempted unless they meet federal procedural and
substantive requirements.
91
Federal Waiver of Preemption
• Notwithstanding the preemption of a State or local require-

ment, DOT may waive preemption upon a showing by the
jurisdiction that its requirement:
– Affords an equal or greater level of protection to the public as is
afforded by the federal requirement; and
– Does not unreasonably burden commerce.
• FMCSA has authority to issue preemption determinations and
waivers of preemption concerning highway routing.
• PHMSA has authority to issue preemption determinations and
waivers of preemption with regard to all other requirements.
• There is a right to petition a U.S. Court of Appeals for review
of a preemption determination or waiver of preemption.
92
Key Takeaways
• The hazmat regulations (HMR)are both comprehensive and

complex, and cover all aspects preparing and executing hazmat
shipments.
• Shippers, carriers, and all other parties involved in making hazmat
shipments must comply with the HMR and other regulations.
• Regulations are regularly updated and changed; therefore, one
must access them frequently to stay in compliance.
• The packaging and handling regulations guard against accidental
release of hazmat during storage and transport.
• The extensive regulations on shipping papers, marking, labeling,
and placarding are designed to facilitate hazard communication.
• Enforcement of the hazmat regulations is a joint effort of multiple
agencies.
93
93
Student Exercises
1. For three materials specified by the instructor, use the

HMR and HMT to prepare the content of the basic
descriptions of each for use on the shipping papers.
2. Vinyl chloride is to be shipped from a manufacturer in
Mississippi to a customer in Manchester, England.
Identify the modes that may be used and their
respective quantity limits and packaging
requirements.
3. Compare the requirements for shipping small
quantities of corrosive substances by air and truck.
Does either mode have a competitive advantage or
disadvantage due to the HMR?
94
Resources for Support and Additional Learning
• HM-16 Module 2, Hazmat Transportation Logistics

• HM-16 Module 4, Hazmat Mode and Route Selection
• 49 CFR §171-180, Federal Hazardous Materials Regulations.
• PHMSA, Federal Hazardous Materials Transportation Law: An
Overview, U.S. Department of Transportation, Washington,
DC.
• PHMSA, Publications and Training Modules, U.S. Department
of Transportation, Washington, D.C
http://www.phmsa.dot.gov/hazmat/training/publications.
• PHMSA, Technical Reports, U.S. Department of
Transportation, Washington, DC,
http://phmsa.dot.gov/hazmat/library/reports/technical.
95

Toolkit For Hazardous Materials Transportation Education

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TOOLKIT FOR HAZARDOUS MATERIALS

Module 3: Hazmat Legal and

At the end of this module students will be able to:

• Hazmat transportation regulatory context

• This module is for educational purposes only.

and the final rules published in the Federal Register.

Source: PHMSA, USDOT, July 2012.

• The dangerous goods transported, if released

• Many organizations have offered definitions of the

A substance or material, that when transported in

Source: PHMSA, USDOT, July 2012.

• UN Recommendations on the Transport of Dangerous Goods

• Congress passes a law designed to address a social or

Source: http://usgovinfo.about.com/od/uscongress/a/fedregulations.htm, August 2012.

• 49 U.S.C. § 5101 et seq. is the basic statute regulating

Source: PHMSA, USDOT, July 2012. 13

49 CFR 171 through 180

All persons who:

Source: PHMSA, USDOT, July 2012.

The HMR set forth standards for:

Source: PHMSA, USDOT, July 2012.

Source: PHMSA, USDOT, July 2012.

• Contains more than 3,000 proper shipping names of

Source: PHMSA, USDOT, July 2012.

The HMR set forth standards for:

Source: PHMSA, USDOT, July 2012.

1.1 Mass explosion hazard

4.1 Flammable Solids

6.1 Toxic or Poison

• Listed in §172.101, Appendix A, Table 1

Source: PHMSA, USDOT, July 2012.

• Transportation of hazardous waste is regulated by DOT (49

Source: Transportation Safety Institute, USDOT, Feb 2012.

• A hazmat is also a marine pollutant when:

Source: PHMSA, USDOT, July 2012.

• Forbidden Materials (§ 173.21 )

Classification used only in

Source: Defense Ammunition Center, April 2011.

• Materials of Trade (MOT) are hazmat carried on motor

Source: PHMSA, USDOT, July 2012.

The HMR set forth standards for:

Source: PHMSA, USDOT, July 2012.

• In the HMR, “package” refers

Source: PHMSA, USDOT, July 2012.

The hazmat packaging must be:

Source: Transportation Safety Institute, USDOT, Feb 2012.

Source: PHMSA, USDOT, July 2012.

• Columns 8A, 8B, and 8C complete the citations to §173.***.

Source: PHMSA, USDOT, July 2012.

Source: Defense Ammunition Center, April 2011.

Source: PHMSA, USDOT, July 2012.

The HMR set forth standards for:

• Hazmat employee training

• The ERG provides information to

• A properly prepared shipping paper must

Source: PHMSA, USDOT, July 2012.

• Contain the information

Source: PHMSA, USDOT, July 2012.

• 1-4 Basic description

UN1114, Benzene, 9, PGII

Source: PHMSA, USDOT, July 2012.

Source: PHMSA, USDOT, July 2012.