The Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA) apply to all transport of hazardous materials (HazMat) to, from, or through the U.S. The import of HazMat into the U.S. requires compliance with international regulations during the period it is not within U.S. territory. The HMR at 49 CFR 171.22 authorizes the use of international standards and regulations for the transportation of HazMat (known as dangerous goods in the international regulations) in the U.S. with certain conditions.
§171.22(f) specifies the information and certification required for a HazMat to be imported into the U.S.
The purpose of this article is to explain the requirements of §171.22(f)(1): The importer of a hazardous material into the U.S. must provide timely and complete written information to the shipper and the forwarding agent.
Before we begin…
- The U.S. Environmental Protection Agency (USEPA) has its own requirements for importers and exporters of articles, substances, and waste to or from the U.S. EPA Requirements for Importers and Exporters
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Scope and Applicability:
- The HMR recognizes four modes of transport. This regulation applies to all of them:
- Motor vehicle
- Aircraft
- Vessel
- Rail
- Subpart C of the HMR authorizes the use of the following international standards and regulations:
- International Civil Aviation Organization’s Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions). Note: most transportation of dangerous goods by air will be done in compliance with the Dangerous Goods Regulations of the International Air Transport Association (IATA). Compliance with the IATA DGR ensures compliance with the ICAO Technical Instructions.
- International Maritime Dangerous Goods Code (IMDG Code).
- Transport Canada’s Transportation of Dangerous Goods Regulations (Transport Canada TDG Regulations).
- International Atomic Energy Agency Regulations for the Safe Transport of Radioactive Material (IAEA Regulations).
- Paragraph (f) of §171.22 can be thought of as having four distinct but related requirements. They can be summarized as follows:
- (1): The importer of a HazMat must provide information to the shipper and forwarding agent.
- (2): The shipper must provide the carrier with the shipper’s certification.
- (3): The shipping paper and package marks must be in English.
- (4): A copy of the shipping paper must be retained as a record.
It is the regulations of §171.22(f)(1) that will be the subject of this article.
The Regulations:
(1) Except for shipments into the United States from Canada conforming to § 171.12, each person importing a hazardous material into the United States must provide the shipper, and the forwarding agent at the place of entry into the United States, timely and complete written information as to the requirements of this subchapter applicable to the particular shipment.
What’s it mean?
First of all, shipments into the U.S. from Canada are not subject to this regulation if the transport complies with §171.12. What is §171.12? The regulations of §171.12 apply to the transportation of HazMat within North America, i.e., U.S., Canada, and Mexico. Specifically, §171.12(a) includes the requirements for transportation of HazMat between the U.S. and Canada by motor vehicle or rail. Note: transportation of HazMat between the U.S. and Canada by aircraft or vessel is subject to the international regulations of ICAO/IATA and the IMO, respectively. So, as long as the transportation is done in compliance with §171.12(a), it will not be subject to the requirements of §171.22(f)(1).
“each person importing…” While “person” is defined at §171.8, “each person importing” is not. However, an interpretation letter (15-0217) dealt with this as follows:
In the context of § 171.22(f)(1), each person importing means an individual, corporation, company, association, firm, partnership, society, or joint stock company that imports a hazardous material into the United States.
Notice it uses the word “each” and not “the” before “person”; this allows for the fact that a HazMat imported into the U.S. may have more than one importer. The regulations do not make a distinction as to which person is responsible to provide the required information, it is the responsibility of each person importing a HazMat into the U.S. to provide it.
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The required information (more on that below) must be provided to two persons:
- The shipper.
And…
- The forwarding agent at the place of entry into the U.S.
The term “shipper” is used extensively in the HMR but is not defined. It is used to refer to the “person who offers or offeror” of a HazMat which is defined at §171.8. The relationship of these terms is explained in this article: Who is the “Shipper” When Transporting a Hazardous Material?
In the context of this regulation, the shipper is the person(s) arranging for the transportation of the HazMat to the U.S. They can be thought of as the exporter.
Wikipedia defines a forwarding agent as follows:
A freight forwarder, forwarder, or forwarding agent, is a person or company that organizes shipments for individuals or corporations to get goods from the manufacturer or producer to a market, customer or final point of distribution.
Notice that the regulations do not specify where the shipper is to receive the required information but the forwarding agent must receive the information at the place of entry into the U.S.
Read: FAQ: What is a person (according to the USDOT/PHMSA)?
And finally, what is it that each person importing a HazMat into the U.S. must provide to the shipper and forwarding agent? Information. But not just any information. The information provided must be each of the following:
- Timely
- Complete
- Written
The timely, complete, and written information must communicate to the shipper and freight forwarder what is necessary for the shipment to comply with the requirements of the HMR. This includes, where appropriate:
- 49 CFR Subpart C – Authorization and Requirements for the use of International Transport Standards and Regulations. Of which, §171.22 is included.
- Any applicable special permits.
The information is not required to include the applicable requirements of the international regulations. It is the responsibility of the shipper to comply with these.
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Q: What if the import of the HazMat into the U.S. is done in compliance with all applicable international regulations and there are no additional HMR requirements applicable to the shipment?
A: Provided there are no additional conditions or requirements for the shipment in the HMR, nothing. The provision applies to HMR requirements that are specified for a shipment in addition to the requirements of the international standard or regulation being used. (08-0150)
This regulation presumes that neither the shipper – who may reside in another country with different regulations – nor the forwarding agent is trained or knowledgeable in the requirements of the HMR. That is why §171.22(f)(1) makes it the responsibility of the person importing the HazMat to ensure they have the necessary information. Note: it is not the responsibility of the importer to ensure the shipment’s compliance with the HMR, that responsibility remains with the shipper. But, it is the responsibility of the importer to provide both the shipper and the forwarding agent with the information they need to comply.
The HMR does not require specific wording to be used to meet the requirement in §171.22(f)(1). Any format will suffice if it includes the applicable additional conditions or requirements imposed on the shipment. (15-0217)
It is not clear from the regulations nor the interpretation documents I have read, but it does not appear that merely providing the shipper and forwarding agent with the entire HMR, or even just the applicable regulations, will suffice. If that were the case, the regulation would clearly state something like, “provide the shipper and forwarding agent with a written copy of the HMR…” It does not. That means the information must be more than the regulations. It must contain specific information concerning the applicable additional conditions or requirements imposed on that shipment by the HMR.
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Conclusion:
Compliance with the international and domestic transportation regulations is primarily the responsibility of the shipper. That includes the importation of HazMat into the U.S. However, under §171.22(f)(1) each importer must provide to the shipper and forwarding agent timely and complete written information of the requirements of the HMR applicable to the shipment. A good way to begin complying with this regulation is my Onsite, Webinar, or Self-Guided training.