Laidlaw Carriers Tank LP — Hazardous Materials Safety Interpretation

Page 1Mr. Jim O'Hara Laidlaw Carriers Tank LP 605 Athlone Avenue P.O. Box 1571 Woodstock, Ontario N4S-A7 Reference No. 17-0044 Dear Mr. O'Hara: This letter is in response to your April 21, 2017, email requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) applicable to shipping papers. You state your understanding that the HMR permit shipments under the guidelines of Transport Canada's Transportation of Dangerous Goods (TDG) Regulations, which do not require the letters "RQ" to be included on the shipping paper. You further ask whether the shipping paper for shipments made to or from Canada in compliance with the TDG Regulations must list an RQ. The answer is yes. While § 171.12 of the HMR permits hazardous materials that are shipped to or from Canada to be offered for transportation in accordance with Transport Canada's TDG Regulations, § 171.23 imposes additional requirements for certain materials, which include hazardous substances. Specifically, § 171.23(b)(5) requires a material that meets the definition of a hazardous substance to conform to the shipping paper requirements in § 172.203(c), as well as the marking requirements in § 172.324. Therefore, when shipping a hazardous substance in the United States, the letters "RQ" must be entered on the shipping paper and the package in association with the proper shipping name for each hazardous substance in your shipment. I hope this information is helpful. Please contact us if we can be of further assistance. Sincerely Chief, Standards Development Branch Standards and Rulemaking Division#

Page 2i Shantel Alice, Please submit this as a letter of interpretation. Mr. O'Hara spoke with Eamonn. Please let me know if you have any questions. Thanks, Eamonn From: Jim O'Hara [mailto:johara@laidlaw.ca] Sent: Friday, April 21, 2017 11:08 AM To: PHMSA HM InfoCenter <PHMSAHMInfoCenter@dot.gov> Subject: Laidlaw Carriers Interpretation of 49 CFR 171.12 EP completed via phonecall 4:18PM 4/21/2017. Mr. O'Hara would like to proceed with a written interpretation. Is it possible to get a written interpretation on the following: One of our drivers recently received a violation (See attached) during a inspection for CFR 172.203( C)(2) "RQ not on shipping paper: RQ Entry Missing, RQ Requirement 5,000 Ibs Shipping paper indicates 44,080 Ibs" It is my understanding that the CFR 171.12 permits us to ship this under the guidelines of Transport Canada Regulations Part 3 3.5 (see attached) which does not require us to have "RQ" on the shipping document. This is a just one example of shipment that we do on a regular basis and if this violation is correct then I would greatly appreciate something writing so I can go back to our customers both in Canada and United States and have them change the way they do their paperwork. Our goal is to be in compliance 100% of the time and any help would be greatly appreciated. Supporting documentation attached for your reference. Regards Jim O'Hara Laidlaw Carriers Tank LP Safety and Compliance 605 Athlone Ave PO. Box 1571 Woodstock, ON N4S-0A7 Phone-519.539.6103 ext 224 Fax 519.539.0615 Cell 519.539.9199 1#

Page 4DESTINATION (PROV/STATE), COUNTRY POSTAL / ZIP Chatham Virginia, United states 24531 TO ARRIVE Delivery Information: Friday, March 24, 2017 Delivery Time Afternoon Contact: Danny Barker 1-434-432- 8836 Ext. 5010 DG DESCRIPTION of ARTICLES and SPECIAL MARKS WEIGHT x 1 T/T Maleic Anhydride Molten (HS 2917.14.5000) 44060 Lb. 19940 g. UN 2215, Maleic Anhydride, Class 8, PG III C.A.S. Registry No. 108-31-6 Tank Truck Number: 0 S8 26 7 Tank Truck Temperature:_ 60°C Storage Tank Temperature: _ 69°C Seal Number: 17/37, 17138 IN CASE OF A DANGEROUS GOODS EMERGENCY CALL CANUTEC AT THE 24-HOUR NUMBER 613-996-6666 Customer PO: 7800065968 Item 20 Comments: Material Code: 115597 RESIDUE LAST CONTAINED GROSS WEIGHT: 44060 Lb. Driver Received 4 Corro sive Placards 1 4490 Kg. › Drivers Signature: Mull 2 MSDS ATTACHED Shipper's Certification * hereby declare that the contents of Aris consignment are fully and accurately described above by the proper shipping name, and are classitied, packaged, marked and labelled/placarded, and are in all respects in proper condition for transport according to applicable international and national govermentat regutations." Certifier's Name: JOE VASCONCELOS NOTE: This shipment is contracted in accordance with the regulations made under the Truck Transportation Act and guarantees the shipper all rights and priviledges not specifically prohibited by law. Carrier accepts conditions herein. SHIPPER: RECEIVED IN GOO ORDER, AND CONDITION, EXCEPT AS NOTE four b met Per: BARTEK INGREDIENTS INC 421 SEAMAN STREET STONEY CREEK, ONTARIO - L8E 3J4 PERMANENT POST OFFICE ADDRESS Of SHIPPER Per: CONSIGNEE RECEIVER Bartek Ingredients Inc. complies with all TDG and DOT has HAZMAT rules including DOT HM232.#

Page 5Background Definitions SECTION Consignor Responsibilities 3.1 Carrier Responsibilities 3.2 Consist for Transport by Rail 3.3 Legibility and Language 3.4 Information on a Shipping Document. 3.5 Additional Information on a Shipping Document 3.6 Consignor's Certification SOR/2014-152 3.6.1 Location of a Shipping Document: Road 3.7 Location of a Shipping Document and Consist: Rail. 3.8 Location of a Shipping Document: Marine ...... 3.9 Location of a Shipping Document: Storage In the Course of Transportation 3.10 Keeping Shipping Document Information ...... 3.11 Part 3/Partie 3 3-1#

Page 6When information required by this Part is recorded on paper, that paper is a shipping document. A shipping document may be in any form, including a waste manifest or a company-designed form, as long as it contains all the information required by this Part. When information required by this Part is recorded electronically, the resulting document is an electronic copy of a shipping document. A shipping document and an electronic copy of it are both shipping records. When documentation is required to be kept, it may be in the form of a shipping record, that is, on paper or in electronic form. ahe Spen Cases is is dimed p the and isador Suppenin Par 1. Coming into Force, Repeal, Inerpretation, General Provisions Part 3/Partie 3 3-2#

Page 7CANUTEC IMDG Code SOR/2014-152 ship carrier import shipping document 49 CFR SOR/2014-152 infectious substance shipping name class inspector shipping record classification in transport small means of containment compatibility group liquid solid consignor means of containment special provision dangerous goods means of transport subsidiary class dangerous goods safety mark net explosives quantity substance emergency response assistance plan or offer for transport technical name ERAP or ERP packing group train flash point person UN number gas primary class UN Recommendations handling railway vehicle 3.1 Consignor Responsibilities A person may be both a consignor and a carrier of the same consignment, for example, a manufacturer who also transports the dangerous goods he or she produces. 1) Before allowing a carrier to take possession of dangerous goods for transport, the consignor must prepare and give to that carrier lipping document or, if the carrier agrees, an electronic copy of the shipping documer 2) When dangerous goods are imported into Canada, the consignor must, before the dangerous goods are transported in Canada 'nsure that the carrier has a shipping document or, with the agreement of the carrier, an electronic copy of the shipping documen that contains the information required by these Regulations. 3.2 Carrier Responsibilities carrier" and "in transport", a person such as a freight forwarder who has possession o (1) A carrier must not take possession of dangerous goods for transport unless the carrier has the shipping document for the dangerous goods. (2) A carrier who accepts an electronic copy of a shipping document must produce a shipping document from the electronic copy before taking possession of the dangerous goods for transport. (3) Dangerous goods in transport are in the possession of a carrier from the time the carrier takes possession of them for transport until another person takes possession of them. (4) While the dangerous goods are in transport and in the possession of a carrier, the carrier must keep the shipping document in the location specified by sections 3.7 to 3.10. Part 3/Partie 3 3-3#

Page 8shipping document in a different format. 3.3 Consist for Transport by Rail (2) The consist must include, for each railway vehicle containing dangerous goods for which a placard is required to be displayed in accordance with Part 4, Dangerous Goods Safety Marks. (a) the numerical location of the railway vehicle in the train, numbering the first vehicle at the head of the train as 1, the next vehicle as 2 and so on, excluding the locomotive or locomotives wherever they are located in the train; SOR/2002-306 (b) the reporting mark of the railway vehicle; (c) for a tank car, the shipping name or UN number of the dangerous goods in the tank car; and (d) for a railway vehicle other than a tank car, (i) the shipping name or UN number of the dangerous goods, if the railway vehicle contains only dangerous goods with the same shipping name and UN number, or (ii) the words "Dangerous Goods" or "Marchandises dangereuses", if the railway vehicle contains dangerous goods that have different shipping names or UN numbers. (3) A carrier must be able to immediately provide to CANUTEC a copy of a consist whenever the train to which the consist applies is in operation or is involved in an accident. 3.4 Legibility and Language (1) The information required on a shipping document and on a consist must be easy to identify, legible, in indelible print and in English or French. 2) When the information related to dangerous goods is on the same shipping document with information related to non-dangerous goods. the dangerous goods information must be shown (a) before the information related to the non-dangerous goods and under the heading "Dangerous Goods" or "Marchandises dangereuses"; (b) printed or highlighted in a colour that contrasts with the print or highlight used for the information related to the non- dangerous goods; or (c) following the letter "X" opposite the shipping name in a column under the heading "DG" or "MD". 3.5 Information on a Shipping Document (1) The following information must be included on a shipping document: (a) the name and address of the place of business in Canada of the consignor; (b) the date the shipping document or an electronic copy of it was prepared or was first given to a carrier; Part 3/Partie 3 3-4#

Page 9odorisant", LICE SECO (iii) the primary class, which may be shown as a number only or under the heading "Class" or "Classe" or following the word "Class" or "Classe". (iv) for dangerous goods with a primary class of Class 1, Explosives, the compatibility group letter following the primary (vi) the packing group roman numeral, which may be shown under the heading "PG" or "GE" or following the letters "PG" or "GE" or following the words "Packing Group" or "Groupe d'emballage", and (vii) for dangerous goods that are subject to special provision 23, the words "toxic by inhalation" or "toxic - inhalation hazard" or "toxique par inhalation" or "toxicité par inhalation"; Examples of descriptions of dangerous goods are: UN1203, GASOLINE, 3, I UN1203, GASOLINE, Class 3, PG II UNI214, ISOBUTYLAMINE, Class 3, Subsidiary Class (8), II UN1214, ISOBUTYLAMINE, Class 3(8), Packing Group I/ SOR/2014-306 (d) for each shipping name, the quantity of dangerous goods and the unit of measure used to express the quantity which, on a shipping document prepared in Canada, must be a unit of measure included in the International System of Units (SI) or a unit of measure acceptable for use under the SI system, except that for dangerous goods included in Class 1, Explosives, the quantity must be expressed in net explosives quantity or, for explosives with UN numbers subject to special provision 85 or 86, in number of articles or net explosives quantity; Examples of descriptions of units of measure include "net mass, 30 kg", "gross mass, 200 kg" or "number of objects, I 000" or, for a gas, the volume of the means of containment in direct contact with the gas, such as "50 L". Note that solids are normally measured in kilograms while volumes, including liquid capacities, are normally measured in litres. Using litres for this purpose is acceptable under the SI system. SOR/2008-34 (e) for dangerous goods in one or more small means of containment that require a label to be displayed on them in accordance with Part 4, Dangerous Goods Safety Marks, the number of small means of containment for each shipping name; and SOR/2008-34 (f) the words "24-Hour Number" or "Numéro 24 heures", or an abbreviation of these words, followed by a telephone number, including the area code, at which the consignor can be reached immediately for technical information about the dangerous goods in transport, without breaking the telephone connection made by the caller. The terms "24-Hour Number" and "Numéro 24 heures" used in this paragraph refer to the telephone number that must be available when the dangerous goods are in transport. The terms were chosen to emphasize that the requirement is applicable not only during office hours but must also be satisfied at any hour of the day when the dangerous goods are in An example of the type of technical information referred to in paragraph (1)(f is the information contained in ANSI Standard Z400.1-1998, Material Safety Data Sheet. SOR/2002-306 Part 3/Partie 3 3-5#

Page 103) A means of containment, or the contents of a means of containment, that is being fumigated with dangerous goods and that is in transport must be accompanied by a shipping document that, despite subsections (I) and (5) and section 3.6, includes the following information if the fumigant is the only dangerous goods in transport in the means of containment: (a) the shipping name, "FUMIGATED UNIT" or "ENGIN SOUS FUMIGATION"; (b) the class, Class 9; (c) the UN number, UN3359; (d) the quantity of the fumigant; (e) the date of fumigation; and (f) instructions for the disposal of residues of the fumigant or fumigation device. Despite paragraph (1)(d), if the quantity of dangerous goods in a means of containment is less than 10 per cent of the maximum For example: Residue - Last Contained, UN1203, GASOLINE, 3, II UNI203, GASOLINE, 3, II, Residue - Last Contained SOR/2014-306 so the quanty of dan erous pads pen el on a desping do camero der paragra to hear marrie document or on a document attached to the shipping document or the carrier may mark on the shipping document, or on a document attached to the shipping document, the additions to or the How the carrier shows the change in quantity is the carrier's choice. The carrier can change the number used to express quantity subtractions from the number used to express quantity. The quantity of dangerous goods is expressed in kilograms for solids, in litres for liquids and in kilograms or litres for gases. It may also be expressed as a number of items. SOR/2014-306 (6) Repealed SOR/2008-34 (7) Repealed SOR/2014-306 3.6 Additional Information on a Shipping Document (1) In addition to the information required by subsection 3.5(1), the shipping document for dangerous goods for which an emergency response assistance plan is required under Part 7, Emergency Response Assistance Plan, must include a) the reference number of the emergency response assistance plan issued by Transport Canada preceded or followed by th etters "ERP" or "ERAP" or "PIU", an (b) the telephone number, including the area code, to call to have the emergency response assistance plan activated immediately. Part 3/Partie 3 3-6#

Page 11ERAP 3-2021 and 24-Hour Number: 613-123-4567 (3) In addition to the information required by subsection 3.5(1), the following information must be included on a shipping document: (a) for dangerous goods in transport by ship, SOR/2008-34 (i) the flash point for dangerous goods included in Class 3, Flammable Liquids, and (ii) for dangerous goods that are marine pollutants under section 2.7 of Part 2, Classification, the words "marine pollutant" or "polluant marin" and, for a pesticide that is a marine pollutant, the name and concentration of the most active substance in the pesticide; (b) for dangerous goods included in Class 4.1, Flammable Solids, the control and emergency temperatures shown in section 2.4.2.3.2.3 of Chapter 2.4 of the UN Recommendations, if applicable; or dangerous goods included in Class 5.2, Organic Peroxides, the control and emergency temperatures shown in sectio .5.3.2.4 of Chapter 2.5 of the UN Recommendations, if applicable; anc (1) Forder ice skagin and trainpor or , a a sistes resultandinal information required for ransport document- 3.6.1 Consignor's Certification SOR/2014-152 Beginning on July 15, 2015, a shipping document must include, after the information required under section 3.5, one of the following certifications: (a) "I hereby declare that the contents of this consignment are fully and accurately described above by the proper shipping name, are properly classified and packaged, have dangerous goods safety marks properly affixed or displayed on them, and are in all respects in proper condition for transport according to the Transportation of Dangerous Goods Regulations."; (b) the certification set out in section 172.204 of 49 CFR; (c) the certification set out in section 5.4.1.6 of the ICAO Technical Instructions; (d) the certification set out in section 5.4.1.6 of the IMD Code; or (e) the certification set out in section 5.4.1.6 of the UN Recommendations. (2) The certification must be made by an individual who is the consignor or by an individual acting on behalf of the consignor and must set out that individual's name. (3) This section does not apply in respect of an empty large means of containment that contained dangerous goods but has not been cleaned or purged. SOR/2014-152 3.7 Location of a Shipping Document: Road The driver of a power unit that is attached to or is part of the cargo unit of a road vehicle transporting dangerous goods must ensure that a copy of the shipping document is kept, as follows: (a) if the driver is in the power unit, in a pocket mounted on the driver's door or within the driver's reach; or (b) if the driver is out of the power unit, in a pocket mounted on the driver's door, on the driver's seat or in a location that is clearly visible to anyone entering through the driver's door. Part 3/Partie 3 3-7#

Page 123.9 Location of a Shipping Document: Marine (1) The master of a ship containing dangerous goods or the master in control of a ship containing dangerous goods must have readily available on or near the bridge of the ship a paper copy or electronic copy of (a) the shipping document; or (b) a list that includes the classification of the dangerous goods. (2) If dangerous goods are transported by ship on board a road vehicle that is accompanied by one or more drivers or a railway vehicle that is accompanied by one or more members of the train crew, a driver or a member of the train crew must notify the master of the ship or the marine carrier of the presence of the dangerous goods and make available to the master a copy of the 22232 shipping document. However, the shipping document must be kept, for the road vehicle, in accordance with section 3.7 and, for the railway vehicle, in the possession of a member of the train crew. SOR/2008-34 3.10 Location of a Shipping Document: Storage In the Course of Transportation (1) A carrier must ensure that a shipping document is placed in a waterproof receptacle that is securely attached to or near the means of containment containing the dangerous goods, at a readily identifiable and accessible location, when the dangerous goods are in transport if (a) they are left in an unsupervised area (i) after being unloaded from a means of transport, (ii) after the cargo unit of a road vehicle containing them has been disconnected from the power unit, or (iii) when the railway vehicle containing them is no longer part of a train; and (b) possession of the dangerous goods has not been transferred to another person. (2) When dangerous goods in transport are left in a supervised area, the person in charge of the supervised area is considered to have taken possession of the dangerous goods. The carrier must leave a copy of the shipping document with that person, who must keep it and give it to the next person who takes possession of the dangerous goods. (3) Wcum the person in charge of a supervised area is absent from the area, that person must ensure that the copy of the shipping (a) placed in a waterproof receptacle securely attached to or near the means of containment containing the dangerous goods, at a readily identifiable and accessible location; or (b) left in the possession of an employee who is present in the supervised area and is designated for this purpose by the person in charge of the supervised area. (a) the rail dispatcher for the area in which the railway vehicle is located; (b) the person responsible for the port at which the dangerous goods are located; or (c) the marine terminal manager at the terminal where the dangerous goods are located. Part 3/Partie 3 3-8#

Page 13telephone number: (a) the name and address of the person; (b) the telephone number of the office of the person; (c) the physical area to which the telephone number applies and, in the case of a port or a marine terminal, evidence that public access to the area is controlled; (d) the period of time, not to exceed 5 years, for which CANUTEC's approval is requested; and (e) the dangerous goods to which the approval applies. (7) The Director General may revoke, in writing, the approval to use a telephone number if (a) the person referred to in subsection (4), or that person's representative, does not answer the telephone; (b) the person referred to in subsection (4), or that person's representative, does not provide immediately, at the request of a federal, provincial or municipal official including a member of a fire department, a facsimile or an electronic copy of the shipping record or, if requested, a voice description of the information on the shipping record; or (c) public access to a port or marine terminal is not controlled. 3.11 Keeping Shipping Document Information (1) A consignor must be able to produce a copy of any shipping document (a) for two years after the date the shipping document or an electronic copy of it was prepared or given to a carrier by the consignor; (b) for dangerous goods imported into Canada, for two years after the date the consignor ensured that the carrier, on entry into Canada, had a shipping document or an electronic copy of one; and SOR/2008-34 (c) within 15 days after the day on which the consignor receives a written request from an inspector. (2) When dangerous goods are no longer in transport, each carrier who transported the dangerous goods must be able to produce a copy of the shipping document that related to the dangerous goods and was required to be in the possession of that carrier while the dangerous goods were in transport (a) for two years after the date the dangerous goods are no longer in transport; and (b) within 15 days after the day on which the carrier receives a written request from an inspector. 3) Subsection (2) does not apply to a carrier who transported dangerous goods SOR/2008-34 (a) from a place outside Canada, through Canada to a place outside Canada or for a portion of such transportation; or (b) entirely outside Canada (i) on board a ship, or (ii) on board an aircraft that is registered in Canada and leased to a foreign carrier. (4) Subsection (2) does not apply to a carrier who is involved only in handling the dangerous goods, including storing them in the course of transport. (5) The shipping documents referred to in this section may be kept as electronic copies. Part 3/Partie 3 3-9#

Page 14WOODSTOCK, ON N4S 0A7 Date of Birth USDOT#: 01041304 Phone#: (519)539-6103 CoDriver: MC/MX#: 436939 Fax#: License#: State: State#: Date of Birth: Location: STEPHENS CITY SCALES SOUTH MilePost: Shipper: BARTEK INGREDIENTS INC Highway: 1-81 SOUTH Origin: STONEY CREEK, ON Bill of Lading: 33237 County: FREDERICK, VA Destination:CHATHAM, VA Cargo: MALEIC ANHYDRIDE VEHICLE IDENTIFICATION Unit Type Make Year State Plate # Equipment ID VIN GVWR CVSA # CVSA Issued # OOS Sticker 1 TT VOLV 2007 ON 6161PK 056891 4V4NC9GH67N452789 52,350 2 ST POLA 2004 ON F9739T 058255 10BFB72V74F0B5504 65,000 24081179 BRAKE ADJUSTMENTS Axle # 3 5 Right 1 1/8 21/8 1 3/8 1 5/8 Left 1 1/4 1 3/8 1 3/8 1 1/2 1 1/4 Chamber C-20 C-30 C-30 C-30 C-30 VIOLATIONS Vio Code Section Unit OOS Citation # Verify Crash Violations Discovered 393.47E 393.47(e) Clamp or Roto type brake out-of-adjustment: Axle #2 Right. 393.53B 393.53(b) 1 N N CMV manufactured after 10/19/94 has an automatic airbrake adjustment system that fails to compensate for wear 393.45D 393.45(d) N N Brake connections with leaks or constrictions: Audible Air Leak at Connection to Distribution Block on Firewall. 172.203C2 172.203(c)(2) 1 N N N 5,000 Ibs. Shiping Paper Indicates 44,080 Ibs. RQ not on shipping paper: RQ Entry Missing, RQ Requirement HazMat: 8 Corrosive material Placard: Yes Cargo Tank: 407 Special Checks: No Data for Special Checks. Report Prepared By: KEVIN J. TETER Badge#: 3927 VIOREL GHERDAN Copy Received By: Page 1 of 2 01041304 VA VA3927007927 Scanned by CamScanner#