FEDERAL RAILROAD ADMINISTRATION OFFICE OF RAILROAD SAFETY Hazardous Materials Compliance Manual August 2011 TABLE OF CONTENTS Chapter 1 About this Manual ................................................................................................... 1-1 1.1 Introduction ...................................................................................................................... 1-2 1.2 Comments from Interested Persons ................................................................................. 1-2 1.3 Updating the Manual........................................................................................................ 1-2 Chapter 2 Basis for Regulation and Inspection ...................................................................... 2-1 2.1 Statutory Authority .......................................................................................................... 2-1 2.2 Scope of Regulatory Authority ........................................................................................ 2-1 2.3 Inspection Authority ........................................................................................................ 2-4 2.4 Coordination with DOT Modal Administrations and Other Federal Agencies ............... 2-6 2.5 Hazardous Materials Regulatory Development ............................................................... 2-6 Chapter 3 Roles and Responsibilities ....................................................................................... 3-1 3.1 Responsibilities of Hazardous Materials Division Personnel .......................................... 3-1 Chapter 4 Inspection and Investigation Procedures............................................................... 4-1 4.1 Inspections and Investigations ......................................................................................... 4-1 4.2 Types of Hazardous Materials Inspections or Investigations .......................................... 4-2 4.3 Locations of Hazmat Inspections and Common Components of Inspections ................. 4-9 4.4 Inspections Involving Multiple Inspectors or Days ....................................................... 4-13 Chapter 5 Field Reporting Procedures And Forms................................................................ 5-1 5.1 The Inspection Report (FRA Form F6180.96) ................................................................ 5-1 5.2 Violation Report............................................................................................................. 5-16 5.3 Notice to Individual of Alleged Violation ..................................................................... 5-21 5.4 Memoranda .................................................................................................................... 5-25 Chapter 6 Investigator Safety ................................................................................................... 6-1 6.1 Introduction ...................................................................................................................... 6-1 6.2 Basic Safety Practices ...................................................................................................... 6-1 6.3 Accident/Injury Reporting ............................................................................................... 6-2 6.4 Personal Safety ................................................................................................................. 6-2 6.5 Operating Nongovernment Equipment ............................................................................ 6-3 6.6 Offering Advice on Handling Damaged Cars .................................................................. 6-3 Chapter 7 Removal, Replacement, and Recording of Car Seals ........................................... 7-1 7.1 Authority .......................................................................................................................... 7-1 7.2 Security ............................................................................................................................ 7-1 7.3 Records ............................................................................................................................ 7-1 7.4 Replacement Standards .................................................................................................... 7-2 7.5 Notification ...................................................................................................................... 7-2 7.6 Procurement ..................................................................................................................... 7-2 7.7 Removal Safety ................................................................................................................ 7-3 7.8 Accountability .................................................................................................................. 7-3 7.9 International Shipments ................................................................................................... 7-3 7.10 Discovery of Contraband ................................................................................................. 7-3 i Chapter 8 Enforcement and Compliance Program and Tools .............................................. 8-1 8.1 Railroad System Oversight .............................................................................................. 8-1 8.2 Focused Enforcement ....................................................................................................... 8-1 8.3 Unusual Problems or Occurrences ................................................................................... 8-1 8.4 Imminent Hazard/Potential Violations ............................................................................ 8-2 8.5 Determining When and What Enforcement Action is Necessary .................................... 8-4 8.6 Enforcement Discretion ................................................................................................... 8-4 8.7 Enforcement Discretion ................................................................................................... 8-8 8.8 Enforcement Tools ........................................................................................................... 8-9 8.9 Deciding which Enforcement Option is Appropriate .................................................... 8-12 8.10 Determining the Existence of a Violation ...................................................................... 8-14 8.11 Interregional Coordination ............................................................................................. 8-16 8.12 Enforcement Actions Against Individuals ..................................................................... 8-16 Chapter 9 FRA Hazardous Materials One-Time Movement Approval Process ................. 9-1 9.1 Purpose ............................................................................................................................. 9-1 9.2 General Information ......................................................................................................... 9-1 9.3 Approval Guidance .......................................................................................................... 9-2 9.4 Movement Approval Process ........................................................................................... 9-4 9.5 Root Cause Analysis (RCA) Reports ............................................................................... 9-6 9.6 File Closure ...................................................................................................................... 9-8 List of Appendices Appendix A: Hazardous Materials Guidance Documents Appendix B: Memorandums of Agreement/Understanding and Other Interagency Coordination Guidance Appendix C: Checklist for Writing Violation Reports Appendix D: Transportation Worker Identification Credential (TWIC) Informational Bulletin Appendix E: Glossary and Acronyms Appendix F: Forms and Documents ii CHAPTER 1 ABOUT THIS MANUAL The goal of the Federal Railroad Administration’s (FRA) hazardous materials (HM, also referred to as hazmat) safety program is to manage the risks inherent to the transportation of HM by rail. Achievement of this goal requires reducing and eliminating risk, where possible, to protect the public and ensure the continuing economic viability of the Nation. The goal is cultivated through a variety of compliance tools including education, inspection, system assessments, and enforcement. This goal is the direct responsibility of the field and headquarters staff of FRA’s Office of Railroad Safety HM Division and the Office of Chief Counsel’s (RCC) Safety Law Division. This discipline-specific manual provides guidance for Federal and State HM inspectors regarding inspection and investigative activities when evaluating regulated entities’ compliance with Federal laws and regulations pertaining to the transportation of HM. The information in this manual is intended to provide internal guidance, and does not provide any basis for a private party to challenge FRA’s exercise of enforcement discretion in a particular case. The guidance provided in this manual may be revoked or modified without prior notice at any time by FRA. This manual supersedes all previous hazardous materials enforcement and/or compliance manuals. Inspectors should use this Hazardous Materials Compliance Manual as an aid in understanding their role and responsibilities in the implementation of the HM safety program. The success and