Hazardous Material Shipment Exemption
DOT-E 7616 (Fifteenth Revision)
Expiration Date: September 30, 2002 (For renewal, see 49 CFR § 107.109)
- Grantee: Union Pacific Railroad Company, Omaha, Nebraska
(See Appendix A to this exemption for a list of additional grantees - Purpose and Limitation: This exemption authorizes the carrier to accept shipping paper information for hazardous materials shipments via telephone (voice communications) and authorizes a variance in the certification requirement, when transmitted via telephonically (through voice communications) or through electronic data interchange (EDI). This exemption provides no relief from any regulation other than as specifically stated.
- Regulatory System Affected: 49 CFR Parts 106, 107 and 171-180.
- Regulations From Which Exempted: 49 CFR § 172.203(a); §§ 172.204(a) and (d); § 174.3; and § 174.24.
- Basis: This exemption is based on Union Pacific Railroad Company's application dated November 21, 2000, submitted in accordance with § 107.109.
- Hazardous Materials (49 CFR § 172.101): The proper shipping description authorized under the terms of this exemption must be as specified in 49 CFR Subpart B of Part 172, an exemption issued under 49 CFR Subpart B of Part 107, or as authorized in accordance with 49 CFR § 171.12 or § 171.12a.
- Packaging(s) and Safety Control Measures:
- Acceptance: A carrier may accept shipping paper information either telephonically (voice communications) or electronically (EDI) from offerors of hazardous materials in accordance with the provisions of this exemption.
- Telephonic: When receiving shipping papers telephonically (through voice communications):
- A shipping paper (record) for a loaded movement must be forwarded to the carrier within five working days, unless the carrier sends the offeror a copy of the shipping paper prepared on the offeror's behalf.
- If the carrier generates a residue shipping paper from the information relating to the previous loaded movement of a bulk packaging, the carrier's representative must ensure that the description to accompany that shipment is as per the offeror request. (For certification requirements, see paragraph 8.a.(1)). This may be accomplished by either:
- Reading the complete hazard communications description which will accompany the shipment to the offeror and receive verbal acknowledgment that the description is as required; or
- Prior to July 31, 1995, forwarding a shipping paper (record) to the offeror within seven working days, unless the carrier has received a copy of the shipping paper from the offeror. After July 31, 1995, forwarding a copy of the description which will accompany the shipment via either electronic data interchange, facsimile, or mail to the offeror prior to the shipment being pulled by a train crew. The offeror must be given time to ensure the description is as required.
- A method of retaining information concerning time of release, the person releasing the shipment for transportation, and the person accepting the shipment for transportation must be used. This information must be retained for a period of one year.
- Electronic: When receiving shipping papers electronically (via EDI), the carrier and the offeror must have a procedure by which the offeror can verify accuracy of the transmitted hazard communication information that will accompany the shipment. After July 31, 1995, this procedure must be a written procedure on file with the Associate Administrator for Hazardous Materials Safety (AAHMS).
- Record Retention: The offeror, the carrier, and any entity performing a function under the terms of this exemption, must maintain a copy of the shipping paper or transaction set transmitted for the hazardous materials shipment for a period of one year. Records may be retained using any available format (magnetic tape, paper retention, microfiche, etc.) and must be made available for inspection in a format readable by a representative of the Department upon request.
- Special Provisions:
- Certification: When required, the certification required under § 172.204(a) must be entered on the shipping paper in accordance with the following:
- Telephonic – When received telephonically, the original shipping paper, if required, must contain either:
- the full certification specified in § 172.204(a); or
- the following abbreviated certification, in lieu of the full certification:
"* * * , on behalf of shipper [or offeror] avers certification specified in § 172.204(a)."
(The name of the principle partner, officer, or employee of the offeror or his agent must be substituted for the asterisks.)
- Electronic Data Interchange (EDI) – When received electronically, the original shipping paper, if required, must contain either:
- the shortened certification as specified in paragraph 8.a.(1)(ii); or
- the name of the principal person, partner, officer, or employee of the offeror or his agent in a computer field defined for that purpose. This name must be a consent on the part of the offeror to the terms of this exemption and the certification requirements of § 172.204.
- Telephonic – When received telephonically, the original shipping paper, if required, must contain either:
- Exemption Notation: The notation "DOT-E 7616" must be placed on the shipping paper in accordance with the following:
- Electronically – The notation DOT-E 7616 is not required on shipping papers or transaction sets for shipments offered electronically.
- Telephonically – The notation DOT-E 7616 is required on the original shipping paper prepared by the carrier on the offeror's behalf. The notation DOT-E 7616 is not required on any consist, work order or other shipping paper in the possession of the train crew.
- Exemption Availability: The carrier must provide a current copy of this exemption, upon request, to each trading partner offering hazardous materials under the terms of this exemption.
- Movement Documents: A member of a train crew of a train transporting hazardous materials must have in his possession a copy of the shipping papers (e.g. waybill, train consist, or other similar document) for each shipment of hazardous materials being transported.
- Marking: Transport vehicles, and other packagings, offered under the terms of this exemption need not be marked with the exemption number in accordance with § 172.301(c).
- Certification: When required, the certification required under § 172.204(a) must be entered on the shipping paper in accordance with the following:
- Modes of Transportation Authorized: Rail freight.
- Modal Requirements: Not as a condition of this exemption.
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Compliance: Failure by a person to comply with any of the following may result in suspension or revocation of this exemption and penalties prescribed by Federal hazardous materials transportation law, 49 U.S.C. 5101 et seq:
- All terms and conditions prescribed in this exemption and the Hazardous Materials Regulations, 49 CFR Parts 171-180.
- Registration required by § 107.601 et seq., when applicable.
Each "Hazmat employee," as defined in § 171.8, who performs a function subject to this exemption must receive training on the requirements and conditions of this exemption in addition to the training required by §§ 172.700 through 172.704.
No person may use or apply this exemption, including display of its number, when the exemption has expired or is otherwise no longer in effect.
- Reporting Requirements: The carrier is required to report any incident involving fire, explosion or loss of packaging contents or packaging failure to the Associate Administrator for Hazardous Materials Safety (AAHMS) as soon as practicable. (Sections 171.15 and 171.16 apply to any activity undertaken under the authority of this exemption.) In addition, the holder of this exemption must inform the AAHMS, in writing, of any incident involving the package and shipment made under the terms of this exemption.
Issued at Washington, D.C.:
Robert A. McGuire
(for) Associate Administrator
for Hazardous Materials Safety
Address all inquiries to: Associate Administrator for Hazardous Materials Safety, Research and Special Programs Administration, Department of Transportation, Washington, D.C. 20590.
Attention: DHM-31.
The original of this exemption is on file at the above office. Photo reproductions and legible reductions of this exemption are permitted. Any alteration of this exemption is prohibited.
Copies of exemptions may be obtained from the AAHMS, U.S. Department of Transportation, 400 7th Street, S.W., Washington, DC 20590-0001, Attention: Records Center, 202-366-5046.
Dist: FRA
PO: sln
Appendix A
The following are hereby granted party status to this exemption based on their application(s) submitted in accordance with § 107.107 or § 107.109, as appropriate:
| Company Name City/State |
Application Date | Issue Date | Expiration Date |
| Alaska RR Corp. Anchoraage, AK |
1/4/99 | 2/22/99 | 1/31/2001 |
| Arkansas Louisiana and Mississippi Railroad Crossett, AR |
1/15/99 | 1/6/2000 | 1/31/2001 |
| Birmingham Southern RR Co. Monroeville, PA |
9/22/2000 | 10/13/00 | 9/30/2002 |
| Canadian Pacific Railway Company Calgary, Alberta, CN |
2/26/99 | 3/25/99 | 1/31/2001 |
| Canadian National Railways West Montreal, Quebec, CN (US Agent: Illinois Central Railroad Chicago, IL) |
11/8/2000 | 11/21/2000 | 9/30/2002 |
| Consolidated Rail Corp. Philadelphia, PA |
11/13/2000 | 11/21/2000 | 2/30/2002 |
| CSX Transportation Inc. Jacksonville, FL |
11/29/2000 | 12/7/2000 | 9/30/2002 |
| Elgin, Joliet & Eastern Railway Co. Joliet, IL |
10/3/2000 | 10/25/2000 | 9/30/2002 |
| Florida East Coast Railway Co. St. Augustine, FL |
2/17/99 | 3/25/99 | 1/31/2001 |
| I&M Rail Line LLC Missoula, MT |
10/23/98 | 9/22/99 | 1/31/2001 |
| Illinois Central Railroad Homewood, IL |
11/10/2000 | 11/21/2000 | 9/30/2002 |
| Montana Rail Link, Inc. Missoula, MT |
10/3/2000 | 10/25/2000 | 9/30/2002 |
| Norfolk Southern Railway Company Norfolk, VA |
11/2/2000 | 11/21/2000 | 2/30/2002 |
| Old Augusta Railroad Crossett, AR |
11/15/99 | 1/6/2000 | 1/31/2001 |
| Pacer/Stack Train Oakland, CA |
7/18/2000 | 8/17/2000 | 1/31/2001 |
| Paducah & Louisville Railway, Inc. Paducah, KY |
1/14/99 | 2/22/99 | 1/31/2001 |
| Sault Ste. Marie Bridge Co. Rosemont, IL |
11/22/2000 | 11/30/2000 | 2/30/2002 |
| The Kansas City Southern Railway Co. Kansas City, MO |
1/28/99 | 3/25/99 | 1/31/2001 |
| The Burlington Northern & Santa Fe Railway Company Topeka, KS |
10/20/2000 | 11/2/2000 | 9/30/2002 |
| Wisconsin Central Limited Rosemont, IL |
11/22/2000 | 11/30/2000 | 9/30/2002 |
Robert A. McGuire
(for) Associate Administrator
for Hazardous Materials Safety