Table of Contents

• Purpose
  
• Primary References
  
• Specific Category Criteria
  
• Shipment or Transportation of Materials Offered in Commerce
  
• Shipment or Transportation of Materials Not Offered in Commerce
  
• Security
  
• Summary
  

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Purpose

This intent of this policy is to outline the common considerations and basic requirements which must be met in order to safely and legally transport, or offer for shipment, any materials that may pose a risk to safety, health, property or the environment. This applies to all modes of transportation both domestically and internationally and includes any materials that may be categorized as dangerous goods, hazardous materials, hazardous substances or hazardous wastes by governmental agencies or authorities including: United States Department of Transportation (DOT), United States Environmental Protection Agency (EPA), U.S. Nuclear Regulatory Commission (NRC), International Civil Aviation Organization (ICAO), International Air Transport Association (IATA) or any similar authority with recognized jurisdiction over such regulated materials.

Ordinary delivery or transportation methods such as the US Postal Service (USPS), United Parcel Service (UPS) or personal vehicles cannot normally be utilized for the shipment of hazardous materials. Additionally, it is important to remember that hazardous materials should not be or offered for shipment or transported by University personnel whenever this can be avoided. Acceptable alternatives such as purchasing supplies at field site locations or arranging for direct delivery of new stock to the intended location will generally be less troublesome and much more cost-effective. Preparation for and procurement of packaging materials for these materials can take from a few hours to several weeks so, when these shipments must occur, as much advanced notice should be given to the authorized shipper as is possible.

Penalties for failure to comply with these regulations can be severe. There has been increased scrutiny of hazardous material movements by state and federal agencies as well as continually vigilant surveillance and auditing programs. Several universities have been cited and fined for failure to comply with the requirements of these rules.

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Primary References

Title 40 Code of Federal Regulations, Environmental Protection Agency

Title 42 Code of Federal Regulations, Public Health

Title 49 Code of Federal Regulations, Transportation

IATA, Dangerous Goods Regulations

ICAO, Technical Instructions for the Safe Transport of Dangerous Goods by Air

Carrier specific rules and instructions (FEDEX, DHL, UPS, USPS, Commercial Airlines, etc.)

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Specific Category Criteria

Biological Materials

Etiologic Agents

This category covers viable microorganisms or their toxins that cause, or may cause, disease in humans. It also any includes Diagnostic Specimens or Biological Products that are reasonably believed to contain etiologic agents. Shipments of these materials must be done in accordance with 42CFR72 and 42CFR72.3 contains a list of etiologic agents that are regulated.

Select Agents and Toxins

The U.S. Departments of Health and Human Services (HHS), Agriculture (USDA), Centers for Disease Control and Prevention (CDC) all are involved in regulating the possession, use, and transfer of select agents and toxins that have the potential to pose a severe threat to public health and safety. The CDC Select Agent Program oversees activities and registers all laboratories or other entities that possess, use, or transfer a select agent or toxin. Shipments of these materials require prior planning and attainment of proof of authorizations prior to shipments.

In order to comply with the regulations for biological materials transport or shipments, personnel planning to perform these actions must contact the FSU Biological Safety Office for assistance (644-5374, 644-9117 or 644-6895).

Chemicals

This is the most common category of hazardous material and dangerous goods shipments that occur. The bulk of the international, federal and state regulations are written specifically to cover the requirements for shipment or transportation of these materials in commerce, as well as the related personnel and environmental considerations. Care must be taken to ensure proper packaging is performed in order to minimize the potential for leakage, contain any products that might leak and prevent any contact between non-compatible chemicals or packing materials that could result in adverse reactions.

Shipments of chemical wastes require additional forms, manifesting and procedures to be followed. These are performed by EH&S Chemical Safety Office personnel (644-7682, 644-0971 or 644-6895).

Controlled Substances

Controlled substances, prescription and legend drugs are regulated by the US Drug Enforcement Agency (DEA) and to a lesser extent other agencies such as the Florida Department of Health. These substances have very specific licensing and documentation requirements which must be followed from their production through their final use or disposal. This includes shipping and transportation protocols focused solely on maintaining security and quality of the product. These requirements are philosophically quite different from those for other materials covered by this policy though, errors in the process can also result in severe penalties and potential loss of licensure due to non-compliance with DEA instructions.

Any shipment or transportation of these types of DEA and DOH regulated materials, which is not being done as specifically authorized by these agencies under the direct supervision of a licensed medical or veterinary practitioner, shall not be performed without prior coordination and in conjunction with authorized EH&S Laboratory Safety personnel (644-8916, 644-0818 or 644-6895).

Radioactive Materials

Shipment and transportation of radioactive materials must typically be done in accordance with specific state or federal licensing requirements requiring them to be coordinated in advance with EH&S Radiation Safety personnel. Often these packages require special shielding, certification, forms and descriptions to be utilized that are not normally required for other dangerous good or hazardous material shipments.

Shipments of radioactive waste destined for disposal require advanced notification of governmental agencies which must be performed by EH&S Radiation Safety personnel (644-8802, 644-8801 or 644-6895).

Other Regulated Materials (ORM)

Shipment of these materials is also covered under the same regulations covering previously addressed hazards although they are not as clearly defined and are easier to overlook. An example of one of the materials classified in this manner is “Dry Ice” or “Carbon Dioxide – Solid”. This material is often used to preserve or maintain the condition of shipped samples that may be either dangerous goods requiring specific controls or benign materials with no legal shipping requirements. Special attention is necessary while planning shipments containing ORM to ensure that the inclusion of these types of materials is not overlooked during the process.

Multiple Hazard Category Shipments

In general, the most restrictive requirements of each individual hazard must be met for mixed hazard shipments with priority given to each hazard for marking, labeling and document preparation as outlined in rules such as 49CFR173.2a. The compatibility of the materials with each other and with the packaging materials must be ensured for shipment in the same container and in the ordering of their declaration on required documentation as is specified by applicable regulations.

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Shipment or Transportation of Materials Offered in Commerce

Training for Authorized Individuals

Any individual that prepares, ships, transports or receives hazardous or dangerous goods must be trained in appropriate areas relevant to the task(s) that they perform. All individuals that sign bill of ladings, dangerous goods declarations, waybills or similar shipping documents must be fully certified in all aspects of preparation and shipping of these materials per the requirements of the DOT and other regulatory authorities. Recurring training is required at least every three years for personnel involved with domestic transport covered by DOT regulations and at least every two years for international shipment covered by ICAO/IATA regulations. Proof of training, including materials covered, tests and certifications must be kept by EH&S and be readily available for inspection by agencies such as the DOT, Federal Aviation Administration, Florida Department of Environmental Protection and DOH Bureau of Radiation Control. Additional training to meet other related regulatory obligations is also required.

Packaging

Materials used to package hazardous materials and dangerous goods must meet the regulatory requirements appropriate for the type and quantity of material and mode of transportation. This includes certification, when applicable. The adequacy of all components of the packaging must be verified by any person that signs for the shipment and proof of any required certification must be retained for future inspection for at least three years.

Marking and Labeling

Care must be taken to ensure that all required markings and labels are appropriate for the materials being shipped, the size and quality must be adequate and no extraneous markings or labels can be present on the packaging that would distract from those that are required to be present.

Shipping Papers

Shipping papers must be legible, complete and appropriate for the materials being shipped and signed by a certified and authorized individual. Copies must be forwarded to EH&S and retained for at least three years from the date of the shipment. This includes waybills, dangerous goods declarations, commercial or pro-forma invoices, packaging certification, emergency response guidance and any other required paperwork or additional information included with each shipment.

Licensing

Some shipments require a-priori proof that the intended recipient is duly authorized to receive the material being shipped. Examples are select agent or etiologic agent registrations for certain biological materials, DEA licenses for controlled substances, specific radioactive materials licenses, and import or export approvals for international shipments of certain materials. It is imperative for shippers to ensure that intended recipients provide proof of these authorizations before any of these materials are transferred.

Emergency Response Information

Hazardous material or dangerous good shipments that require shipper’s declarations of the dangerous goods or materials also require 24 hour emergency contact information. This contact phone number must be provided for someone who is immediately available and knowledgeable of the specific shipment and emergency response actions for the shipped materials if damage or incidents occur during shipment or transportation. This requirement usually cannot be met by the FSU Police Department communications officer. CHEMTREC or other numbers provided as a service may be utilized as long as the use is authorized for the shipment. Generally the individual that signs the declaration, waybill and/or manifests should be listed as the emergency response contact and they should be available at the number provided until the shipment is received at its destination.

Domestic Shipments

These shipments are the most common and least difficult to perform. Most commercial aviation carriers (FEDEX, DHL, etc.) require the use of the IATA regulations in order to utilize their services. The use of ICAO regulations is authorized by the DOT if any part of the shipment will be by air per 49CFR171.11. ICAO is the governmental organization recognized by DOT, IATA is a manual of regulations for an association of member airlines and those regulations are quite compatible with ICAO. Slight differences may exist between IATA, ICAO and CFR regulations although there are active efforts to ensure harmonization between them. Shippers must have current copies of the current regulations available to them and must be cautious to ensure that all of the appropriate regulations are followed.

Even when the ultimate goal is to ship materials to locations outside of the United States, the opportunity to first transfer materials, and the responsibility for transportation or shipment, to another party domestically has proven to be the simplest and most effective method in every situation encountered to date. FSU personnel should explore and promote this option when planning or negotiating with other involved parties or vendors that have more experience in international operations or can better provide the requisite logistical support.

International Shipments

These shipments are much more difficult due to issues not as clearly specified in standard regulations governing transportation. These additional issues include customs clearance (which may require the physical presence of the recipient or authorized broker), variable country specific requirements, duties and import taxes and fees, specific import and export controls or authorizations, incomplete carrier operating and coverage areas, transfers between carriers and additional forms or copies of forms beyond those normally required for similar domestic shipments. Before shipping Dangerous Goods internationally, it is imperative that the potential carrier be contacted to determine that these services are offered to the intended location and to gather the most up-to-date regulatory information available.

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Shipment or Transportation of Materials Not Offered in Commerce

Note: Many, but not all, materials transported by governmental agencies for official purposes that are not being offered in commerce are exempt from the formal requirements of the USDOT. However, the intent of the transportation regulations is to ensure the safety during such shipments as well as during responses to accidents involving transport vehicles containing these materials. Therefore, it is requisite that actions are taken to ensure an equivalent level of protection of health, property and the environment is attained. This includes training of individuals involved in this process, packaging, and adequate documentation to providing identification of the materials that will be useful to potential responders to any foreseeable accidents or emergencies that may occur.

Training

The formal requirements that must be met in order to meet the regulatory obligations specified for shipments offered in commerce need not be met for this category of shipments. Documentation of training is not required nor is testing and certification. Personnel involved with these type of shipments must still possess a working knowledge of the material being shipped or transported, including actions to take in order to ensure protection equivalent to regulated shipments. On-the-job and other informal training methods should be offered by certified and knowledgeable experts on issues specific to the shipment or transport being conducted. Other regulatory requirements for additional training such as HAZWOPER, Hazardous Waste Awareness, Right-to-Know, Biological or Radiation Safety training must still be met, as required, for anyone handling these materials.

Requirements and Recommendations

Individuals responsible for these shipments or transportation of materials should ensure that equivalent protection to that afforded for fully regulated operations involving similar materials are met. This means that the only requirements that should generally be relaxed are those for HAZMAT endorsed Commercial Drivers Licenses for vehicle operators, placarding of transport vehicles and preparation of specific waybills or dangerous goods declarations. Whenever possible these types of movements should only be performed by FSU employees utilizing state vehicles. Movement of materials on Contiguous Florida State University Property is preferred and movement of materials across areas not owned by the Florida State University may be prohibited for certain materials. EH&S personnel should be contacted for help in establishing appropriate controls for these shipments and for all non-routine movements of these materials (644-6895).

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Security

Written Security Plan

Security plans are required of any individual that offers for shipment in commerce any material that conforms to the conditions listed in 49CFR172.800. FSU is often involved in shipments that fall into one or more of these categories and EH&S has developed a written security plan as part of another policy. Items covered by the Security Plan include: en-route security, carrier selection and contractual agreements, personnel security and background checks, facility security and periodic review and evaluations. Personnel shipping hazardous materials in commerce are responsible for determining if his or her particular shipment requires a security plan and either determining that it is covered by the current FSU Security Plan or amending/developing a plan to meet those needs.

Additional Security Training

Personnel involved in shipments that require a security plan must also have been provided security awareness training or in-depth security training as is required by current regulations such as 49CFR172.704.

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Summary

Due to the inherent difficulty in mastering the process for transportation and shipment of dangerous goods and hazardous materials, individuals outside of EH&S should generally not attempt to perform these tasks independently. The assistance of currently certified EH&S staff requires no additional cost and will help avoid potential violations that could result in significant penalties and embarrassment to the university. If logistics require that other personnel become certified, such as for researchers working in remote locations, EH&S staff can still help facilitate certification, advise on shipment preparation and retention of records for future inspections. Additionally, these shipments should not be rushed and other tools should be utilized to ensure compliance whenever they are available. Checklists and personal expertise can generally be obtained from specific carriers to check prepared shipments and documentation before these are actually offered for conveyance.

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