[Federal Register Volume 67, Number 92 (Monday, May 13, 2002)]
[Rules and Regulations]
[Pages 31974-31978]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-11659]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

49 CFR Chapter I

[Notice No. 02-05]


Hazardous Materials; Advisory Guidance on Packaging and Shipper 
Responsibilities

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Advisory guidance.

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SUMMARY: This advisory document is to remind shippers of hazardous 
materials in commerce, particularly by aircraft, of their 
responsibilities to properly identify, package, and communicate the 
hazards of those materials in conformance with the Hazardous Materials 
Regulations. The intent of this

[[Page 31975]]

action is to enhance the safety of hazardous materials in 
transportation.

FOR FURTHER INFORMATION CONTACT: Michael G. Stevens, Office of 
Hazardous Materials Standards, Research and Special Programs 
Administration, U.S. Department of Transportation, 400 Seventh Street, 
SW., Washington, DC 20590-0001, telephone (202) 366-8553.

SUPPLEMENTARY INFORMATION: 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. In general, the HMR apply to each person who performs, 
or causes to be performed, functions related to the transportation of 
hazardous materials in commerce. The HMR prescribe requirements for 
classification, packaging, hazard communication, shipping papers, 
incident reporting, handling, loading, unloading, segregation, and 
movement of hazardous materials.
    Each year, carriers report thousands of ``incidents'' involving the 
transportation of hazardous materials to the Research and Special 
Programs Administration (RSPA, we) in accordance with the HMR incident 
reporting requirements. An ``incident'' occurs when there is an 
unintentional release of hazardous material from a package (including a 
tank) or, as a direct result of hazardous materials, an ``incident'' 
requires immediate notification to the National Response Center (see 
Secs. 171.15 and 171.16).
    Many incidents result from noncompliance with the requirements in 
the HMR. They frequently stem from a shipper's lack of awareness of the 
HMR's requirements, rather than a deliberate violation. The safety of 
hazardous materials in transportation depends on persons engaged in 
day-to-day transportation-related activities making a concerted effort 
to comply with the HMR. We strongly urge all persons involved in the 
packaging and offering of hazardous materials to carefully examine all 
of their procedures to ensure compliance.
    In this document, we discuss requirements that are applicable to 
persons who offer (or ship) hazardous materials. These are subdivided 
into the following seven areas: (1) Hazard identification, 
classification and communication; (2) general packaging requirements; 
(3) requirements for the use of packagings meeting United Nations (UN) 
performance standards; (4) additional packaging requirements for air 
shipments; (5) transportation security; (6) training of hazmat 
employees; and (7) obtaining Federal assistance.
    Most of the guidance and information in this document applies to 
all modes of transportation. However, this document emphasizes the 
requirements for air transportation because of the number of reported 
incidents involving air transportation and the vulnerability of air 
transportation to potentially catastrophic accidents. This document 
provides general guidance only. Shippers should not rely on this 
document as a substitute for the HMR to determine compliance with 
regulatory requirements.

I. Hazardous Materials Identification, Classification, and 
Communication

    Reducing or eliminating the incidence of undeclared hazardous 
materials in transportation is one of our highest priorities. 
Undeclared hazardous materials shipments by aircraft are of particular 
concern because of the risks they pose. We believe a lack of awareness 
of regulatory requirements and the risks posed by hazardous materials 
is a contributing factor in undeclared hazardous materials entering the 
transportation system. As a shipper--that is, a person who offers 
hazardous materials for transportation--you must be aware of any 
hazardous characteristics of your products and must know whether a 
product is regulated as a hazardous material before offering it for 
transportation. In addition, you should know whether an item or article 
contains a hazardous material.
    Currently, we have a number of non-regulatory initiatives to 
increase public awareness of the safety problem presented by undeclared 
shipments of hazardous materials. We are examining a number of 
alternatives to reduce or eliminate undeclared hazardous materials 
shipments, such as through better means of detection. Ultimately, 
however, primary responsibility for ensuring that hazardous materials 
are identified and declared in accordance with the applicable 
regulations rests with the shipper.

Classification and Hazard Communication

    Because you as a shipper perform critical functions in preparing 
hazardous materials for transportation, you have the greatest 
opportunity to improve transportation safety. You may offer a hazardous 
material for transportation only when it is properly classed and 
described in accordance with parts 172 and 173 of the HMR, or 
international regulations such as the International Civil Aviation 
Organization's Technical Instructions for the Safe Transport of 
Dangerous Goods by Air (ICAO Technical Instructions), as permitted in 
Part 171 of the HMR. The Sec. 172.101 Hazardous Material Table (HMT) 
lists the most commonly transported materials and articles by name, or 
by a generic alternative when no specific name is listed. Some 
hazardous materials are prohibited for transportation. Others, such as 
most explosives, self-reactive substances, and organic peroxides, 
require the approval of the Associate Administrator for Hazardous 
Materials Safety before they may be offered or transported. However, 
for most hazardous materials, you are responsible for determining the 
appropriate hazard class and shipping description. This information 
determines the appropriate packaging and hazard communication 
requirements such as package marking, labels, and shipping 
documentation, including emergency response information.

II. General Packaging Requirements

    Selection and use of the appropriate packaging for a hazardous 
material are essential to ensuring that a hazardous material is not 
released during transportation. Only packagings authorized by the HMR 
may be used to package hazardous materials for transportation. You must 
ensure that a packaging will retain its contents during temperature 
variances, changes in atmospheric pressure, vibration, or other 
conditions that may be encountered during normal conditions of 
transport.
    Section 173.24 of the HMR sets forth general requirements that 
apply to all packagings and packages used for hazardous materials. 
Section 173.24a contains additional requirements for non-bulk 
packagings. These sections of general applicability require you to 
ensure a packaging is compatible with its lading, properly closed, and 
meets any additional capability requirements. For example, Sec. 173.24 
requires plastic packaging and inner receptacles used for liquids to be 
capable of withstanding, without failure, the procedure for determining 
chemical compatibility and rate of permeation prescribed in Appendix B 
of Part 173. For Packing Group I materials, this procedure must be 
performed on each plastic packaging or receptacle. In addition, 
Sec. 173.24a requires all non-bulk packagings to be capable of 
withstanding the vibration test procedure specified in Sec. 178.608 
without rupture or leakage. Section IV of this notice discusses 
additional

[[Page 31976]]

packaging requirements in Sec. 173.27 that apply to packages 
transported by aircraft.

III. Requirements for the Use of Packagings Meeting United Nations 
(UN) Performance Standards

UN Standard

    Generally, the HMR specify performance levels for packagings based 
on the hazardous characteristics posed by the specific hazardous 
material to be packaged. In the HMR, we have implemented packaging 
standards based on United Nations Recommendations on the Transport of 
Dangerous Goods (UN Model Regulations). UN standard packagings (i.e., 
packagings which conform to both the UN Model Regulations and the HMR) 
are required for most hazardous materials.
    Prior to using a UN standard packaging, you must determine that the 
packaging has been manufactured, assembled, and marked in accordance 
with Part 178 of the HMR or national or international regulations based 
on the UN Model Regulations (see Sec. 173.24(d)(2)). For a UN standard 
packaging, you must assure that the packaging meets the applicable 
packing group, specific gravity, gross mass, and pressure requirements. 
Unless otherwise permitted, you must assemble, fill, close, and offer a 
package for transportation in the same manner as it was tested. 
Communication between you and the packaging manufacturer is essential 
to ensure these conditions are met, and that any specialized 
instructions relating to package preparation are followed. For liquids, 
you must know the vapor pressure and specific gravity of the material 
to be packaged (see Sec. 173.24a(b)(4)). You will generally need to 
know the design details (e.g., size, shape, and type of material) for 
cushioning material used, if any, and the number and type (e.g., metal 
can, plastic bottle), style (e.g., friction lid, narrow mouth screw 
top, wide mouth jar), closure details (e.g., material, size, and liner 
or gasket design (if required)), and position of any inner receptacles 
as tested in that particular design type.
    You should have a copy of the packaging manufacturer's notification 
to its customers (see 49 CFR 178.2(c)) and complete the assembly and 
closure of the package in the manner specified in the notification. 
Closure of the packaging in the same manner as tested and as specified 
in the manufacturer's notification is essential to ensuring that it 
conforms to the requirements of Sec. 173.24 under conditions normally 
incident to transportation. We strongly recommend that you maintain 
copies of both the packaging design test report and the notification to 
customer to ensure that the packaging conforms to applicable 
requirements. You may also need this information if you reoffer a 
previously offered package of hazardous material.
    For combination UN standard packagings, inner receptacles must 
conform to the general packaging requirements of Secs. 173.24 and 
173.24a, discussed in Section II above. Inner packagings must be 
adequately secured and cushioned within the outer packaging to prevent 
breakage or leakage and to control the movement of inner packagings 
within the outer packaging under conditions normally incident to 
transportation. Except as otherwise permitted under Sec. 178.601 
variations, you must close a package in accordance with closure 
instructions provided by the packaging manufacturer. Design tested 
components of a combination packaging may vary as permitted under 
Sec. 178.601. When using a variation, you must ensure that an 
equivalent level of performance is maintained and you should document 
how such equivalence was determined. For example, under the selective 
testing variations in Sec. 178.601(g)(1), Variation 1 allows inner 
packagings of a tested design to be replaced with inner packagings of 
equivalent or smaller size without further testing provided an 
equivalent level of performance is maintained. You must, however, be 
able to fully ascertain that the varied inner packagings are equally 
effective as the tested inner packagings they replace; otherwise, the 
packaging is considered a new packaging and subject to design 
qualification testing.

Packaging Reuse

    If you intend to reuse a packaging or receptacle you must ensure 
the packaging continues to conform to all applicable HMR requirements. 
This includes closure devices and cushioning materials. Before a 
packaging is reused, it must be inspected to assure it is free from 
incompatible residue, leaks, or other damage that reduces its 
structural integrity. Packagings that show any evidence of such damage 
must be reconditioned in accordance with Sec. 173.28(c) prior to reuse. 
Non-bulk packagings made of paper, plastic film, or textile are not 
authorized for reuse.
    Single or composite UN standard packagings intended to contain 
liquids are subject to the leakproofness test prescribed in 
Sec. 178.604 and must be leakproofness tested before reuse. As 
prescribed in Sec. 173.28(b)(2)(i), packagings must be tested with air 
using an internal air pressure (gauge) of at least 48 kPa (7.0 psi) for 
Packing Group I and 20 kPa (3.0 psi) for Packing Group II and Packing 
Group III. The packaging must be marked with the letter ``L'', the name 
and address or symbol of the person conducting the test, and the last 
two digits of the year the test was conducted to indicate successful 
completion of the leakproofness test.
    Metal and plastic drums and jerricans used as single packagings or 
as the outer packagings of composite packagings may be reused only when 
they are permanently marked (e.g., embossed) in millimeters with the 
nominal (for metal packagings) or minimum (for plastic packagings) 
thickness of the packaging material, as required by Secs. 173.28 and 
178.503(a)(9). Under Sec. 173.28(b)(5), plastic inner receptacles of 
composite packagings must have a minimum thickness of 1.0 mm (0.039 
inch) if reused. Metal or plastic packagings that do not conform to 
minimum thickness requirements may not be reused.

Packaging Maintenance and Recordkeeping

    Packagings manufactured to a UN standard must be design-qualified. 
This means the design must be tested (design qualification tests) to 
meet a particular standard. Once a packaging has been tested, it is 
certified by marking it to identify which performance standard it 
meets, where and when it was manufactured, and by whom. Identical 
packagings may be manufactured until periodic retesting is due. Single 
and composite non-bulk packaging designs must be retested successfully 
at least once every 12 months. Combination packaging designs must be 
retested successfully at least once every 24 months.
    The term ``manufacturer'' means the person certifying or taking 
responsibility for assuring that the packaging meets the standard to 
which it is marked. This may not necessarily be the person who produces 
the packaging or the person who tests the packaging. A person who 
certifies a packaging may be a self-certifying shipper, a box 
manufacturer, or a third party testing lab. The person certifying the 
packaging is responsible for the integrity of the packaging and for 
ensuring the packaging meets the performance requirements of the HMR.
    Any person certifying a packaging, and each subsequent distributor 
of that packaging, must notify in writing each person to whom that 
packaging is transferred of all requirements of Part 178 not met at the 
time the packaging is transferred. Such notification must

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include the type and dimensions of any closures, including gaskets, 
needed to satisfy performance test requirements. This notification 
includes instructions on how to assemble and close each packaging so 
the user may be assured that the packaging will perform to the standard 
to which it is marked. A copy of the written notification must be 
retained by the packaging manufacturer for at least one year from the 
date it is issued, and copies of all written notifications must be made 
available for inspection by representatives of DOT.

IV. Additional Packaging Requirements for Air Shipments

    If you offer hazardous materials for transportation by aircraft, 
you must ensure that all of the additional requirements applicable to 
air transport are met. Because of the risks posed by leaking hazmat 
packages in air transport, you must exercise exceptional diligence and 
attention to detail when preparing packagings. For example, because 
temperatures can range from -40  deg.C to 55  deg.C (-40  deg.F to 130 
deg.F), sufficient ullage (outage) must be maintained in receptacles 
containing liquids to ensure the structural integrity of the package 
while transported. Reduced external pressure caused by altitude 
variances can result in package failure if inferior, untested, or 
improper packagings containing liquids are transported. Extreme care 
must be exercised when hazardous materials have been packaged by others 
and are consolidated or reshipped. You must verify that the package is 
eligible for air transport.

General Packaging Requirements

    All packagings offered for air transport must conform to the 
requirements prescribed in Sec. 173.27 of the HMR. These requirements 
are in addition to those in Secs. 173.24 and 173.24a. For example, a 
Packing Group III material of Class 4, 5, or 8 offered for air 
transport must be packaged in packages meeting the Packing Group II 
performance level. In addition, Sec. 173.27 prescribes pressure 
requirements for packagings; package closure requirements; the use of 
absorbent materials; inner receptacle quantity limits and pressure 
capabilities; and additional labeling for packages requiring transport 
aboard cargo-only aircraft.

Inner Packaging Requirements

    Tables 1 and 2 of Sec. 173.27 prescribe the maximum net capacity of 
inner packagings contained within a combination packaging that may be 
offered for transport aboard an aircraft. Columns 9A and 9B of the HMT 
specify individual package quantity limits or forbid transportation by 
passenger-carrying or cargo-only aircraft, respectively. Unless 
otherwise specified, the individual package quantity limitations in 
columns 9A and 9B of the HMT are ``net'', that is, the quantity of 
hazardous materials in the completed package. When ``gross'' is 
specified, the individual package limitation is the gross mass (i.e., 
packaging and its contents) allowed per package. For articles or 
devices specifically listed by name, the net quantity limit applies to 
the entire article or device, less packaging and packaging materials.

Pressure Differential Capability

    You should not use a packaging for transportation by aircraft 
unless the packaging meets the pressure requirements and is closed in a 
manner that ensures that it will be capable of resisting pressure 
changes throughout transportation. All packagings intended to contain 
liquids must be capable of withstanding, without leakage, an internal 
gauge pressure of at least 75 kPa (11 psig) for liquids in Packing 
Group III of Class 3 or Division 6.1 or 95 kPa (14 psig) for all other 
liquids, or a pressure related to the vapor pressure of the liquid to 
be conveyed, whichever is greater (see Sec. 173.27(c)). This 
requirement also applies to liquids excepted from specification 
packaging, such as limited quantities and consumer commodities. 
Although not currently required, we recommend that you perform pressure 
tests on sample receptacles to ensure conformance with the capability 
standard. Liquids contained in inner receptacles that do not meet the 
minimum pressure requirements in Sec. 173.27(c) may be overpacked into 
receptacles that do meet the pressure requirements. A single packaging, 
or any packaging subject to hydrostatic pressure testing under 
Sec. 178.605, must have a marked test pressure of not less than 250 kPa 
for liquids in Packing Group I, 80 kPa for liquids in Packing Group III 
of Class 3 or Division 6.1, and 100 kPa for other liquids.

Closures

    Packaging failures in air transportation often involve loose 
closures. Stoppers, corks, or other such friction-type closures must be 
held securely, tightly and effectively in place by positive means (see 
Sec. 173.27(d)). A screw-type closure on any packaging must be secured 
to prevent the closure from loosening due to vibration or substantial 
change in temperature. A secured closure should incorporate a secondary 
means of maintaining a seal, such as a shrink-wrap band or heat sealed 
liner. You must ensure that replacement closures or inner packagings 
other than those originally tested (e.g., caps or bottles from a 
different vendor) conform to the pressure requirements in Sec. 173.27 
(c)(1) and (c)(2).

Absorbent Material

    Except as otherwise provided, liquids in Packing Group I or II of 
Class 3, 4, 5, 6, or 8, when in glass or earthenware inner packagings, 
must be packaged with absorbent material that will not react 
dangerously with the liquid as prescribed in Sec. 173.27(e). In 
addition, where a package requiring absorbent material is not liquid-
tight, a means of containing the liquid must be used. You may 
accomplish this by using a leakproof liner, plastic bag, or other 
equally efficient means of containment. It should be noted that, while 
not having official standing under the HMR, the majority of air 
carriers only accept hazardous materials packaged in conformance with 
the International Air Transport Association's Dangerous Goods 
Regulations (IATA DGR). Currently, the IATA DGR require all liquids in 
Class 3, 4, or 8, or in Division 5.1, 5.2, or 6.1, to be provided with 
a means of containing the liquid in the event of leakage when packed in 
an outer package that is not leak-tight. The addition of a liner or 
similar form of containment to a previously tested packaging design 
generally would not constitute a different packaging, requiring new 
design qualification testing, provided the liner does not compromise 
the integrity of the original tested design type (such as affecting the 
closure or necessitating a change in the manner of assembly of the 
package).

V. Transportation Security

    In the wrong hands, certain hazardous materials may pose 
significant security threats, particularly those that may be used as 
weapons of mass destruction. Persons who offer, transport, or store 
hazardous materials in transit should review their security measures 
and make any necessary adjustments to ensure the security of hazardous 
materials shipments. On February 14, 2002, we published a notice in the 
Federal Register (67 FR 6963) advising hazardous materials shippers and 
carriers of voluntary measures to enhance the security of hazardous 
materials shipments during transportation. The notice addresses 
personnel, facility, and en route security issues, and includes contact 
points for

[[Page 31978]]

obtaining additional, more detailed information. These possible actions 
are not government regulations or mandates. However, we strongly 
suggest that shippers and carriers consider implementation of security 
measures that are appropriate to their industry and operations. There 
are certain cargo security regulations already in place, such as the 
Federal Aviation Administration's Indirect Air Carrier Security Program 
set forth under 14 CFR part 109.

VI. Training of Hazmat Employees

    We estimate that over 85 percent of all hazardous materials 
incidents are caused by human error. Insufficient function-specific 
training of hazmat employees has been identified as a major contributor 
in hazmat related incidents. Before any hazmat employee performs a 
function subject to the HMR, that person must be trained in the 
performance of that function. Effective training of hazmat employees 
reduces the potential for incidents and accidents. Training is 
essential for the protection of people, property, and the environment.
    Training is a systematic program (consistent approach, testing, and 
documentation) that ensures a hazmat employee has knowledge of 
hazardous materials and the HMR, and can perform assigned hazmat 
functions properly. The terms ``hazmat employee'' and ``hazmat 
employer'' are defined in detail in Sec. 171.8. Stated briefly, a 
hazmat employee is anyone who directly affects hazardous material 
transportation safety. 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. Each hazmat employee must be initially trained, 
and periodically retrained every three years in three areas: (1) 
General awareness/familiarization training designed to provide 
familiarity with requirements of the HMR and to enable the employee to 
recognize and identify hazardous materials; (2) function-specific 
training concerning requirements of the HMR which are specifically 
applicable to the functions the employee performs; and (3) safety 
training concerning emergency response information, measures to protect 
the employee from the hazards posed by materials, and methods and 
procedures for avoiding accidents.

VII. Obtaining Federal Assistance

    You may obtain information on hazardous material incidents, most of 
which involve ``spills'' (the unintentional release of a hazardous 
material during transportation), from RSPA's database which is 
accessible from our website at http://hazmat.dot.gov. You can search 
this database to make sure that you are aware of incidents involving 
your shipments. To ensure that shippers are informed of incidents 
involving their shipments, RSPA has proposed to amend the HMR to 
require a carrier to notify the shipper of any incident required to be 
reported to RSPA. (See RSPA's notice of proposed rulemaking published 
in the Federal Register on July 3, 2001; 66 FR 35155.)
    Our Hazardous Materials Information Center (HMIC) may be reached 
toll-free at 800-467-4922. The HMIC provides informal guidance 
concerning requirements of the HMR. The HMIC is staffed with 
information specialists from 9 am until 5 pm, Eastern time, Monday 
through Friday, except Federal holidays. When the information line is 
not staffed, callers may leave a recorded message, which will be 
answered the next business day. This toll-free number may also be used 
to voluntarily report suspected violations of the HMR. Reported 
violations of hazardous materials regulations are forwarded to the 
Office of Hazardous Materials Enforcement or the appropriate DOT modal 
administration for appropriate action.
    Modal-specific information may be obtained directly from DOT's 
modal administrations (i.e., the Federal Aviation Administration, the 
Federal Motor Carrier Safety Administration, the Federal Railroad 
Administration, the U.S. Coast Guard, and the Transportation Security 
Administration) at their Washington, DC headquarters or field offices.
    You may request an informal written interpretation, a regulatory 
clarification, a response to a question, or offer an opinion concerning 
hazardous materials transportation by submitting a written request to 
the RSPA Office of Hazardous Materials Standards (DHM-10), U.S. 
Department of Transportation, 400 Seventh Street, SW., Washington, DC 
20590-0001.
    We have a variety of training materials and compliance guides 
available in limited quantities to interested persons. Information on 
those publications and related materials is available through our 
website at http://hazmat.dot.gov/. In addition our website provides: 
(1) A complete copy of the HMR; (2) recently published rulemakings; (3) 
hyperlinks to government and private vendors who offer training, 
consulting and other contracted services; (4) our multi-modal training 
seminar schedule; (5) complementary on-line training modules; and (6) 
informal interpretations and guidance documents.

    Issued in Washington, DC, on May 6, 2002.
Frits Wybenga,
Deputy Associate Administrator for Hazardous Materials Safety.
[FR Doc. 02-11659 Filed 5-10-02; 8:45 am]
BILLING CODE 4910-60-P