{"operation":"document","citation":"16-0009","title":"Innovative Safety Solutions, Inc. — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2017-04-06","effective_on":null,"summary":"16-0009 response to Innovative Safety Solutions, Inc. concerning 178.320, 178.345, 180.1, 180.401, 180.413.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-16-0009.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-16-0009.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-16-0009","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/legacy/interpretations/Interpretation%20Files/2017/160009.pdf","body":"<<<PAGE 1>>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nAPR 0 6 2017\nMr. Albert Calkin\nTransportation Safety Consultant\nInnovative Safety Solutions, Inc.\n3310 Baldy Dr.\nHelena, MT 59602\nRef. No.: 16-0009\nDear Mr. Calkin,\nThis responds to your January 10, 2016 email, and subsequent telephone conversation with a\nmember of my staff, requesting clarification of the Hazardous Materials Regulations (HMR; 49\nCFR Parts 171-180). Specifically, you ask several questions concerning Specification DOT 406\ncargo tank motor vehicle (CTMV) manufacturing and registration requirements. Your questions\nare paraphrased and answered below, please note that the answers to Q 1, Q4, and Q5 apply to\nmanufacturers as defined in§ 178.320 (includes attaching a cargo tank to a motor vehicle or to a\nmotor vehicle suspension component that involves welding on the cargo tank wall) and not to\nassemblers, as defined in§ 107.502(a)(2) of CTMV's who attach a cargo tank to the motor\nvehicle or to a motor vehicle component if no welding to the cargo tank wall is involved:\nQ 1. You seek confirmation that when a person manufactures a portion of more than one cargo\ntank and then at a later date takes one of the incomplete cargo tanks and manufactures a new\ncomplete CTMV, that person is responsible for issuing a certificate of compliance for the CTMV\nonly when it is completed and ready to be used in DOT specification service.\nAl. For Specification DOT 406 CTMV's, § 178.345-15(a) requires certification documents to\nbe provided to the owner of the CTMV at or before the time of delivery. The various\ncertification documents referenced in § 178.345-15 require signatures that certify that the CTMV\ndesign meets the applicable specification. These documents need not be signed until the CTMV\nis in full compliance with the applicable specification.\nQ2. You seek confirmation that the date stamped on the nameplate for original test date and the\ncargo tank certification date and cargo tank date of manufacture stamped on the specification\nplate do not need to be stamped until the tank is certified by the person responsible for ensuring\ncompliance with the regulations and are the dates when the CTMV is tested and certified as a\ncomplete DOT specification CTMV.\n\n<<<PAGE 2>>>\n\nA2. Section 178.345-14(a) requires the manufacturer to certify that each CTMV has been\ndesigned, constructed and tested in accordance with the applicable specification cargo tank\nrequirements and, when applicable, with Section VIII of the ASME Code. This certification\nshall be accomplished by marking the cargo tank as prescribed in§ 178.345-14(b) and (c) and by\npreparation of the certificate prescribed in§ 178.345-15. The marking on the nameplate for the\noriginal test date should be the date that required cargo tank testing was completed. The CTMV\ncertification date (if different from the cargo tank certification date) marking on the specification\nplate is to be the date on which the CTMV has been tested and certified as a complete DOT\nspecification cargo tank motor vehicle. The cargo tank date of manufacture on the specification\nplate should be date the cargo tank has been tested and certified as a DOT specification cargo\ntank.\nQ3. You present a scenario where a person partially completes construction of a cargo tank and\nsells the incomplete cargo tank to another person for completion of the cargo tank manufacturing\nprocess and mounting on a CTMV. You state it is your understanding that the person who started\nconstruction of the cargo tank must create an incomplete Certificate of Compliance which\nidentifies those items (i.e. closures and vents) which must be installed to complete the cargo tank\nmanufacturing process. You ask for confirmation of your understanding that this incomplete\nCertificate of Compliance does not need to include items, such as accident damage protection,\nthat need to be addressed by the person who manufactures the complete DOT specification cargo\ntank motor vehicle.\nA3. Your understanding is correct. Section 178.345-15(e) requires the manufacturer of the\nincomplete cargo tank to state the specification requirements not complied with on the\nmanufacturer's Certificate of Compliance. These specification requirements not complied with\nthat are required to be noted on the Certificate of Compliance are limited to items required for\nthe cargo tank itself to be considered compliant, not to items required to be addressed by the\nperson who manufactures the complete DOT specification CTMV.\nQ4. You present a scenario where a person purchases a cargo tank which is partially constructed\nto Specification DOT 406 standards, but certified as meeting the specification requirements with\nshortages, such as missing the required venting and or closures. The person purchasing the cargo\ntank with specification shortages then completes the construction ofthe cargo tank by installing\nthe parts that were identified as shortages on the incomplete Certificate of Compliance, and using\nthe now complete DOT specification cargo tank, manufactures a new complete DOT\nspecification CTMV. You ask for confirmation of your understanding that this manufacturer of\nthe completed CTMV must issue a single Certificate of Compliance which identifies only the\nparts that were added to meet the requirements of a DOT specification cargo tank and certifies\nthat the complete CTMV meets the applicable DOT cargo tank motor vehicle specifications.\n\n<<<PAGE 3>>>\n\n7;2\nA4. Section 178.345-lS(e) discusses certification requirements for cargo tanks manufactured\nwith specification shortages. When the cargo tank is brought into full compliance with the\napplicable specification, the Registered Inspector shall issue a Certificate of Compliance stating\ndetails of the particular operations performed on the cargo tank, and the date and person\naccomplishing the compliance. This Certificate of Compliance requirement to describe the\ndetails of the particular operations performed on the cargo tank, and the date and person\naccomplishing the compliance is a separate document from the certificate required by § 178.345-\n1 S(b ), ( c ), or ( d) as applicable.\nQ5. You ask if 49 CFR Part 180 requirements apply to those who manufacture cargo tank or\ncargo tank motor vehicles. Specifically, you reference§ 180.413(e) requirements that require\nmounting of a cargo tank on a CTMV to be performed and certified by a Design Certifying\nEngineer and ask if these, and other Part 180 requirements apply to new cargo tank and CTMV\nmanufacturers.\nAS. The applicability of Part 180 as prescribed in § 180.1 states \"this part prescribes\nrequirements pertaining to the maintenance, reconditioning, repair, inspection and testing of\npackagings, and any other function having an effect on the continuing qualification and use of a\npackaging under the requirements of this subchapter.\" The applicability of Subpart E of Part\n180, specific to qualification and maintenance of cargo tanks, in § 180.401 states \"this subpart\nprescribes requirements, in addition to those contained in parts 107, 171, 172, 173 and 178 of\nthis subchapter, applicable to any person responsible for the continuing qualification,\nmaintenance or periodic testing of a cargo tank.\" Based on the limitations placed in these\napplicability sections, initial manufacturing of cargo tanks and CTMV and associated processes\nsuch as initial mounting of cargo tanks on a CTMV are not subject to requirements found in Part\n180. The definition of manufacturer in § 178.320 was revised in a final rule issued under Docket\nHM-189M (October 1, 1996; 61 FR 51334). The preamble to the final rule stated that the\ndefinition was revised to clarify that the term does not include persons (i.e., assemblers) who\nattach a cargo tank to the motor vehicle or to a motor vehicle component if no welding to the\ncargo tank wall is involved. There are specific Part 180 requirements that apply to \"assemblers\"\nofCTMV's.\nI hope this answers your inquiry. If you need additional assistance, please contact the Standards\nand Rulemaking Division at (202) 366-8553.\nSincerely,\n0~ /Lty-1\nInternational Standards Coordinator\nStandards and Rulemaking Division\n\n<<<PAGE 4>>>\n\nlil 'Y bt:;\nA 0 '7. 0 OP-\n(:\\t fle 1•LO A e 1\ni lo ·:rnr\nGoodall, Shante CTR (PHMSA)\nFrom:\nSent:\nTo:\nSubject:\nGeller, Shelby CTR (PHMSA)\nMonday, January 11, 2016 2:01 PM\nHazmat Interps\nFW: Request for a written interpretation\nDear Shante and Alice,\nForwarded is a request for a formal letter of interpretation.\nThanks,\nShelby\nFrom: Albert Calkin [mailto:acinnovativesafety@msn.com]\nSent: Sunday, January 10, 2016 11:30 PM\nTo: PHMSA HM InfoCenter\nSubject: Request for a written interpretation\nU.S. DOT\nPHMSA Office of Hazardous Materials Standards\nAttn: PHH-10\nEast Building\n1200 New Jersey Avenue, SE.\nWashington, DC 20590-0001\nphmsa.hm-infocenter@dot.gov\nRE: Request for Interpretation\nI have a series of questions regarding the applicability of the regulations as they apply to a person who is\nengaged in the manufacture and/or assembly of a new DOT Specification Cargo Tank and/or DOT Specification\nCargo Tank Motor Vehicle. Additionally what are the specific requirements that apply when more than one\nmanufacturer is involved in the design, construction and certification of a complete DOT Specification Cargo\nTank Motor Vehicle? I have identified a few excerpts from the regulations that I feel are applicable to my\nquestions. These excerpts are listed below followed by the areas for which I would like you to provide\nguidance.\nIn 49 CFR 107.502, Assembly is defined as the performance of any of the following functions when the\nfun~tion does no diWOi~eiding~cargo tank wall:\n1. The mounting of one or more tanks or cargo tanks on a motor vehicle or to a motor vehicle\nsuspension component;\n2. The installation of equipment or components necessary to meet the specification requirements\nprior to the certification of the cargo tank motor vehicle; or\n3. The installation of linings, coatings, or other materials to the inside of a cargo tank wall.\nIn 49 CFR 178.320, there are several definitions that are listed below,\n1. Manufacturer means any person engaged in the manufacture of a DOT specification cargo tank, cargo\ntank motor vehicle, or cargo tank equipment that forms part of the cargo tank wall. This term includes\n1\n\n<<<PAGE 5>>>\n\nattaching a cargo tank to a motor vehicle or to a motor vehicle suspension component that involves\nwelding on the cargo tank wall. A manufacturer must register with the Department in accordance with\nsubpart F of part 107 in subpart A of this chapter.\n2. Cargo tank means a bulk packaging that:\na. Is a tank intended primarily for the carriage of liquids, gases, solids, or semi-solids and includes\nappurtenances, reinforcements, fittings, and closures (for tank, see §§178.337-1, 178.338-1, or\n178.345-1, as applicable);\nb. Is permanently attached to or forms a part of a motor vehicle, or is not permanently attached\nto a motor vehicle but that, by reason of its size, construction, or attachment to a motor\nvehicle, is loaded or unloaded without being removed from the motor vehicle; and\nc. Is not fabricated under a specification for cylinders, intermediate bulk containers, multi-unit\ntank car tanks, portable tanks, or tank cars.\n3. Cargo tank motor vehicle means a motor vehicle with one or more cargo tanks permanently attached\nto or forming an integral part of the motor vehicle.\nIn 49 CFR 178.345-1, it states, Specification DOT 406, DOT 407 and DOT 412 cargo tank motor vehicles must\nconform to the requirements of this section in addition to the requirements of the applicable specification\ncontained in §§178.346, 178.347 or 178.348. Additionally it states, each cargo tank must be designed and\nconstructed in conformance with the requirements of the applicable cargo tank specification.\nIn 49 CFR 178.345-15, it addresses certification of a cargo tank with specification shortages as follows; If a\ncargo tank is manufactured which does not meet all applicable specification requirements, thereby requiring\nsubsequent manufacturing involving the installation of additional components, parts, appurtenances or\naccessories, the cargo tank manufacturer may affix the name plate and specification plate, as required by\n§178.345-14 (b) and (c), without the original date of certification stamped on the specification plate. The\nmanufacturer shall state the specification requirements not complied with on the manufacturer's Certificate\nof Compliance. When the cargo tank is brought into full compliance with the applicable specification, the\nRegistered Inspector shall stamp the date of compliance on the specification plate. The Registered Inspector\nshall issue a Certificate of Compliance stating details of the particular operations performed on the cargo tank,\nand the date and person (manufacturer, carrier, or repair organization) accomplishing the compliance.\nIn 49 CFR 180.401, it states, This subpart prescribes requirements, in addition to those contained in parts 107,\n171, 172, 173 and 178 of this subchapter, applicable to any person responsible for the continuing qualification,\nmaintenance or periodic testing of a cargo tank.\nWhen reviewing all of the hazardous material regulations, including the specific sections listed above, are the\nfollowing statements correct?\n1. A person who designs, constructs and certifies a new cargo tank to the requirements for a DOT 406\nspecification, is a manufacturer and is responsible for ensuring all of the requirements of 49 CFR\n178.345 and 49 CFR 178.346 are met for the cargo tank.\na. When the person manufactures a portion of more than one cargo tank and then at a later date,\nsubsequently takes one of the incomplete cargo tanks and manufactures a new complete cargo\ntank motor vehicle that person is responsible for issuing a certificate of compliance for the\ncargo tank motor vehicle only when it is completed and ready to be used in DOT specification\nservice. The date stamped on the Name plate for Original Test date and the date stamped on\nthe Specification plate do not need to be stamped until the tank is certified by the person\nresponsible for ensuring compliance with the regulations and are the dates when the cargo\n2\n\n<<<PAGE 6>>>\n\ntank motor vehicle is tested and certified as a new complete DOT specification cargo tank\nmotor vehicle.\nb. Since a single person designed, constructed and certified the new complete cargo tank motor\nvehicle over an extended period of time, and since the same person completed the cargo tank\nmotor vehicle in accordance with the requirements of 49 CFR 178.345 and 49 CFR 178.346\nthere is no requirement to create a certificate of compliance for the cargo tank and later create\na certificate for the complete cargo tank motor vehicle. The person is only required to issue a\nsingle certificate of compliance for the completed cargo tank motor vehicle.\n2. A person who designs, constructs and certifies a new cargo tank to the requirements for a DOT 406\nspecification, as a manufacturer, is responsible for ensuring all of the requirements of 49 CFR 178.345\nand 49 CFR 178.346 are met for the cargo tank.\na. When this person does not complete the construction of the cargo tank and sells the\nincomplete cargo tank to another person for completion and mounting on a cargo tank motor\nvehicle, the person who started the construction of the cargo tank must create an incomplete\ncertificate of compliance which identifies those items, such as closures and vents, which must\nbe installed to complete the cargo tank. The incomplete certificate does not need to include\nitems, such as those required to provide accident damage protection, that need to be\naddressed by the person who manufactures (i.e. designs, constructs and certifies) the complete\nDOT specification cargo tank motor vehicle.\nb. A person purchases a cargo tank, which was partially constructed to DOT 406 specification, but\nthe cargo tank was certified as meeting the specification requirements with shortages, such as\nmissing the required venting and or closures. The person completes the construction of the\ncargo tank by installing the parts that were identified as shortages on the incomplete certificate\nof compliance. The person then, using the now complete DOT specification cargo tank,\nmanufactures a new complete DOT specification cargo tank motor vehicle. The person must\nissue a single certificate of compliance which identifies only the parts that were added to meet\nthe requirements of a DOT specification cargo tank and certifies that the complete cargo tank\nmotor vehicle meets the DOT cargo tank motor vehicle specifications.\n3. The applicability of 49 CFR Part 180.401 states \"this subpart prescribes requirements applicable to any\nperson responsible for the continuing qualification, maintenance or periodic testing of a cargo\ntank\". Since the newly manufactured cargo tank motor vehicle is not a DOT Specification package\nuntil it is certified by the manufacturer, the subpart (Part 180, subpart E) does not apply to a person\nwho manufactures and/or assembles a newly designed, constructed and certified DOT specification\ncargo tank or cargo tank motor vehicle as outlined in any of the scenarios listed in the previous\nstatements. Since the requirements of Part 180, subpart E do not apply to the manufacturing of a DOT\nspecification cargo tank there is no requirement for a person engaged in the manufacturing process be\na Registered Inspector except for the stamping and certification of the cargo tank motor vehicle as a\nDOT specification package as required by 49 CFR 178.345-15.\nAlbert Calkin, Transportation Safety Consultant\nInnovative Safety Solutions, Inc\n3310 Baldy Dr. Helena MT 59602\nOffice: (406) 227-0745\nFax: (406) 422-0722\nMobile: (406) 459-4288\n3\n\n<<<PAGE 7>>>\n\nE-ma ii: aci n novativesaf ety@msn.com\nThe information in this electronic mail message and any attached files is confidential and may be legally\nprivileged. If you are not the intended recipient, delete this message and contact the sender immediately.\nAccess to this message by anyone other than its intended recipient is unauthorized. You must not use or\ndisseminate this information as it is proprietary property of the Innovative Safety Solutions Inc. Thank you.\n4","truncated":false,"body_characters":18352}