EXPLOSIVES (EX) APPROVALS

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EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

Regulatory Guidelines for Shipping

and Transporting Fireworks

Revised June 2012

U.S. Department

of Transportation

Pipeline and

Hazardous Materials

Safety Administration

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SPECIAL PERMITS

and

APPROVALS

ONLINE

https://hazmatonline.phmsa.dot.gov/online%20approvals/pages/welcome.aspx

Note: This brochure is for general guidance only; always refer to 49 CFR

and APA 87-1.

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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Background on Fireworks

Hazard Classications for Fireworks

Fireworks are a class of explosive pyrotechnic articles used for aesthetic and

entertainment purposes. They can be either consumer or professional (display)

grade. They are generally classed as to their chemical compounds and how and

where they perform, i.e., ground or aerial.

An explosive means any article that is designed to function by explosion (i.e., an

extremely rapid release of gas and heat) or which, by chemical reaction within itself,

is able to function in a similar manner even if not designed to function by explosion.

The term includes reworks, which are pyrotechnic articles. No person may oer a

new reworks explosive for transportation unless the device has been classed and

approved by the Pipeline and Hazardous Materials Safety Administration’s (PHMSA)

Associate Administrator for Hazardous Materials Safety. PHMSA is the agency

within the U.S. Department of Transportation (DOT) responsible for issuing the

Hazardous Materials Regulations (HMR; 49 C.F.R., Parts 171-180).

The criteria for assignment of class and divisions are as follows:

• Division 1.1G (if the major hazard is mass explosion) Fireworks UN0333 (Display).

Division 1.1 consists of explosives that have a mass explosion hazard. A mass

explosion is one that aects nearly the entire load instantaneously.

• Division 1.3G (if the major hazard is radiant heat or violent burning, or both, but

there is no blast or projection hazard) Fireworks UN0335 (Display). Division 1.3

consists of explosives that have a re hazard and either a minor blast hazard or

both, but not a mass explosion hazard.

• Division 1.4G (if there is a small hazard with no mass explosion and no

projections of fragments of appreciable size or range) Fireworks UN0336

(Consumer). Division 1.4 consists of explosives that present a minor explosion

hazard. The explosive eects are largely conned to the package and no

projection of fragments of appreciable size or range is to be expected. An

external re must not cause virtually instantaneous explosion of nearly the entire

contents of the package.

• Division 1.4G (if there is a small hazard with no mass explosion and no

projections of fragments of appreciable size or range) Articles, Pyrotechnic for

technical purposes UN0431 (Theatrical).

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Regulatory Authority to Issue Explosive (EX) Classification

Approvals

Prior to transportation into and within the U.S., all explosives, including reworks,

must be classed and approved by DOT. Federal Hazardous Materials (hazmat)

Transportation Law, 49 U.S.C., 5101

et seq

., authorizes DOT to issue classication

documents—EX Approvals—in accordance with the procedural requirements in Part

107 and the Hazardous Materials Regulations. All explosives must be in compliance

with the HMR, 49 CFR §173.56; however, Division 1.3 and 1.4 reworks may be

classed and approved by the Associate Administrator without prior examination

and oered for transportation if the reworks meet the requirements in §173.56(j)

that allow a reworks device manufactured in accordance with the applicable

requirements in the American Pyrotechnic Association (APA) Standard 87-1

, which

is incorporated by reference as part of the HMR. As an alternative, the reworks

must be submitted to a DOT-approved laboratory for examination and classication

(see §173.56(b)), or the Associate Administrator may approve a new explosive on

the basis of an approval issued for the explosive by the competent authority of a

foreign government (see 173.56(f )); for additional information see 49 CFR 173.56(b)

or 173.56(f )

. If approved, reworks are assigned an explosives classication number

by the Associate Administrator. Approval holders also must comply with the rules

set forth by the U.S. Coast Guard; U.S. Customs and Border Protection; Bureau of

Alcohol, Tobacco, Firearms and Explosives; as well as the Consumer Product Safety

Commission.

EX Approvals and EX Numbers

If granted:

EX Approvals are classication documents that:

• Give written consent, including competent authority approval, from the

Associate Administrator for Hazardous Materials Safety or other designated

ocial, to perform a function that requires prior consent under the HMR;

• Are issued to ensure the safe transportation of hazmat (explosives/

reworks); and

• Assign the proper shipping name, hazard class, UN identication number,

and EX Approval number for the reworks device.

EX numbers:

• Are issued by the Associate Administrator for Hazardous Materials Safety or

his designated ocial;

• Are required prior to transportation into/within the U.S.; and

• Must be placed on the packaging or shipping papers

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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Applying for an EX Approval (EX number)

streamline

and

expedite

the processing of EX Approval applications, PHMSA has

created an on-line application process that:

• Allows application access 24 / 7;

• Provides immediate conrmation of application;

• Provides an instant tracking number;

• Stores pre-populated elds, allowing ease of multiple applications;

• Allows attachment of supporting documentation;

• Asks required information, ensuring applications are complete; to

• Enable faster processing/turnaround time.

The on-line EX Approval application process is just a click away:

https://hazmatonline.phmsa.dot.gov/online%20approvals/pages/welcome.aspx

All applicants requesting an EX Approval are encouraged to take advantage of this

easy, ecient, automated application process, in lieu of the traditional method of

application submission via standard mail, e-mail, or FAX. You may still e-mail, mail, or

FAX your application and all supporting documentation to:

E-mail: [email protected]v

Mail: U.S. Department of Transportation

PHMSA

Associate Administrator for Hazardous Materials Safety

ATTN: Oce of Hazardous Materials Approvals & Permits

Energetic Materials (PHH-32)

1200 New Jersey Avenue, SE

East Building, 2

Floor

Washington, DC 20590-0001

Telephone: Hazmat Info-Center: 1-800-467-4922

FAX: (202) 366-3753

Do not submit duplicate applications (i.e., on-line applications, mail, e-mail and/or

FAX), as this will only slow down processing.

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Guidelines for Completing an EX Approval Application:

To ensure successful processing, reworks EX approval applications must be

completed in English. Please ensure consistency throughout the application,

chemical sheet, and diagram, and be sure to refer to the APA Standard 87-1 and

include the following:

• Item name--use the actual item name, name of series, or item number.

• Applicant name, address, telephone number, FAX and e-mail address.-- Applicant

is the responsible party; also include job title.

• Applicant/manufacturer e-mail. The manufacturer must be the applicant.

• DOT Class--Mark the correct classication for the device, ex.,

Fireworks, UN0336,

1.4G.

• Manufacturer--name, address, telephone number, FAX and e-mail address.

• U.S. Designated Agent--name, address, telephone number and e-mail address.

• Category of Device--Check as appropriate.

• If not listed in APA 87-1, application must be submitted in accordance

with 49 CFR 173.56(b).

• Description of Device--

• Eects Produced--You must include a clear description of eects produced;

ex.,

shoots red stars into air, emits a shower of green and blue sparks,

etc

Thermal Stability Test--Must be performed prior to the certication date of

the application.

• Certication--Must be signed and dated by applicant.

• Foreign applicants--Must provide Designation of Agent for Service information.

See 49 CFR 107.705(a)(5) and 105.40.

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Example of an EX Approval Application

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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The diagram of the device and chemical composition sheets are

required to be included in the application.

• Diagram of Device--Must identify all internal components. Indicate dimensions,

fuse location, clay plugs, lift charge or propellant, stars, etc. Approvals will be

denied if diagrams are not clear. Component tables also are helpful.

•

Note

--Diagram must be a representative drawing of the complete device

including, as necessary, drawings of the

individual tubes

•

If device is produced in more than one size, indicate dimensions for each

size. If application covers a series of devices, show a typical representative

diagram for the largest item in the series.

Example of a Partial Diagram Showing Only Single Tube

Example of a Component Table

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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• Chemical Composition Sheet--

• Must list

all

chemicals used

. For a series of items, list maximum total

weight used in largest item.

• List name of each type of chemical composition and its respective maximum

weight, i.e.,

Red Star, 15g; black powder propellant, 10 g.,

etc.

• Complete the chemical composition sheet by listing the percentage/

weight of each chemical used in each composition. For chemicals not

listed, enter approved chemical name under

Other Chemicals

space.

• Particle size in microns or the mesh size is required for certain metals.

• Be aware of restricted and prohibited chemicals.

SAMPLE

Example of a Chemical Composition Sheet

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Preparation for Shipping

Packaging:

For all packaging containing explosives, the following must appear:

• EX Approval Number (on package or shipping paper);

• Hazard Label;

• Proper Shipping Name (General Marking);

• UN I.D. number; and

• UN Packaging Specication Marking.

4G/Y30/S/10/CN/4300085

EX: 2008125001

FIREWORKS UN0336

HANDLE CAREFULLY

KEEP FIRE AWAY

FIREWORKS UN0336

ELR 2016

PYRO FOUNTAIN

EX Approval Number (on package

or shipping paper)

172.320

General Marking

Requirements 172.301,

172.304, & 173.22(a)

UN I.D. Number 172.301(a)

UN Packaging Specification

Marking 173.22(a) & 178.503

Hazard Label, 172.411,

172.406

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

Shipping Papers

The following is required:

• Packing Group in Roman numerals;

• Hazard class or division;

• Proper shipping name prescribed for explosive material;

• UN I.D. number prescribed for the explosive material;

• EX Number must be placed on either packaging

shipping paper;

• For Class 1 materials, the quantity must be the net explosive mass;

• Must provide an emergency response telephone number

• The number and type of packages must be included; and

SAMPLE

Bill of Lading

BILL DATE: August 19, 2010

FROM

Consignee: Joe Doe

Shipper: ABC Fireworks

Street: Hwy 90 @ 49

Street: 1234 Boom St

Destination Origin

City/State/Zip: Campbell, AZ City/State/Zip Boomtown, AZ 12345

Route: Special Instructions: None

NO.

SHIPPING

UNITS

HM DESCRIPTION OF ARTICLES

SPECIAL MARKS & EXCEPTIONS

WE IGHT RAT E CHARGES

5 Boxes X UN0336, Fireworks, 1.4G, PGII 83lbs. 1.230.00

EX2008125001

Product Description: Screamin’ Demon

EMERGENCY CONTACT: XXX-XXX-XXXX

REMIT C.O.D. C.O.D. AMOUNT: $ C.O.D. FEE

PREPAID

COLLECT

TO:

ADDRESS:

If this shipment is to be delivered to the

co nsignee without recourse o n the

consigno r, the co nsignor shall sign the

following statement: The carrier shall

not make delivery of this shipment

without payment of freight and all other

lawful charges.

_______________________________

(Signature o f Consigno r)

TOTAL

CHARGES $

NOTE: W here the rate is dependent on value, shippers are

required to state specifically in writing the agreed or declared

value of the property. The agreed or declared value of the

property is hereby specifically stated by the shipper to be not

exceeding $ per

Freight Charges are collect unless market

prepaid

CHECK BOX IF PREPAID

RECEIVED subject to the classifications and tariffs in effect on the date of the issue of this Bill of Lading, the property described above in apparent good

order, except as noted (contents and condition of packages unknown), marked consigned and destined as indicated above which said carrier (the word

carrier being understood through this contract as meaning any person or corporation in possession of the property under the contract) agrees to carry to

its usual place of delivery as said destination. If on its route, otherwise to deliver to another carrier on the route to said destination. It is mutually agreed as

to each carrier of all or any of said property, over all or any portion of said route to destination and as to each party at any time interested in all or any said

property, that every service to be performed hereunder shall be subject to all the Bill of Lading terms and conditions in the go verning classif icatio n on the

date of shipment. Shipper hereby certifies that he is familiar with all the Bill of Lading terms and conditions in the governing classification and the said

terms and conditions.

Shipper: ABC Fireworks Carrier: Yellow Freight

Per: Jack Moss, Operations Mgr.

Per

Date: August 19, 2010

Mark with “X” or “RQ” if appropriate to designate Hazardous Material s Substances as defined in the Department of Transportation Regulations governing

the transportation of hazardous materials. The use of this column is an optional method for identifying hazardous materials on Bills of Lading

172.201(a)(1) (iii) of Title 4 9. Code of Federal Regulations. Also when shipping hazardous materials, the shipper' s certification statement prescribed in

section 172.204(a) of the Federal Regulations, as indicated on the Bill of Lading does apply, unless a specific exception from the requirement is pro vided

in t he Regulation for a particular material.

Example of a Shipping Paper

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

Monitoring Compliance and Ensuring Safety

Compliance with the terms of an Approval is the responsibility of the person or

company authorized to perform the speci c function(s). To ensure that Approvals

are used safely and in accordance with the required terms and conditions, and

companies continue to be  t to conduct authorized operations, enforcement and

safety investigators from various Federal agencies, including DOT, routinely conduct

compliance and safety inspections. An EX Approval may be suspended or terminated

if the performance of the holder fails to meet required conditions.

Persons found to be in violation of the HMR may be subject to civil penalties, criminal

 nes, and imprisonment. Maximum penalties depend on several factors, including the

nature and circumstances, extent and gravity, and severity of the consequences of the

violation, but can range from $250 up to $110,000 per violation for a civil penalty, and

$500,000 and 10 years imprisonment for a criminal penalty.

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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Frequently Asked Questions

Where can I nd information on applying for reworks EX numbers?

Information regarding reworks, the approval process for an EX application, a sample

application, and additional information can be found on:

http://www.phmsa.dot.gov/hazmat/regs/sp-a/approvals/reworks

Can I apply for an Approval on-line?

Yes, you can apply on-line via our automated application process:

https://hazmatonline.phmsa.dot.gov/online%20approvals/pages/welcome.aspx

How will I know if my application has been received?

All applications can be tracked via: http://www.phmsa.dot.gov/hazmat/regs/sp-a/

approvals/search. Complete on-line applications that include an e-mail address and

all supporting documentation will receive an instant 10-digit tracking number as

conrmation of receipt.

What information should be included with my application?

The application should include a cover letter (one cover sheet for multiple

applications submitted at the same time), the request application, chemical

composition sheet, and diagram. If mailing, do not staple applications.

Can I still obtain a renewal or use the Class A, B, and/or C classication of

explosives Approvals issued prior to 1991?

No. DOT previously classed reworks and similar devices as Classes A, B, or C

according to their potential hazards for shipping and use. On October 1, 1993,

DOT reclassied explosive devices according to a new classication system.

Explosive devices previously classed A, B, or C are no longer valid, see

Federal

, Vol. 55, No. 246, dated December 21, 1990.

What additional information must a foreign applicant provide when

requesting an Approval?

Foreign applicants must provide a Designation of Agent for Service in

accordance with 49 CFR 107.705(a)(5) and 105.40.

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Frequently Asked Questions (cont’d)

Can the Thermal Stability test be conducted and dated the same date as the

application?

A thermal stability test must be completed on any reworks device approved

for transportation. The material must not ignite, explode, or undergo signicant

decomposition during heating at 75° C (167 ° F) for 48 consecutive hours. The test

must be completed prior to the signed certication of the application.

Are tracking numbers dierent from EX numbers?

Yes--do not confuse these numbers! Both are 10 digits; however, tracking

numbers are issued for internal application tracking purposes only. EX

numbers are assigned when the device is classed and approved.

How long do EX Approval applications typically take to process?

Typically, 120 days. Please do not submit duplicate applications as this will

only slow down processing.

How can I check the status of my application?

Applications may be tracked, via your tracking number, within the Approvals

database: http://www.phmsa.dot.gov/hazmat/regs/sp-a/approvals/search

How will I know if my reworks devices are approved?

After evaluation of the device, a

determination is made

based on compliance

with APA 87-1, or examination/classication from a DOT-approved laboratory.

If you applied on line and your application is approved, the EX Approvals

on-line database will automatically e-mail an Approval letter or denial letter.

(Explanations will be given for denials.) (DOT may send correspondence to

foreign companies’ Designation of Agents for Service.) All other applicants will be

notied via e-mail, mail, or FAX, depending on how they applied.

Can I change manufacturer using the same EX number?

No.

Can I submit a series of devices under one EX number?

Because of the complexities involved, contact the Approvals Oce.

Can I request a classication for a 1.1G device under the APA Standard 87-1?

No. The Hazardous Materials Regulations require that Division 1.1G reworks

must be examined by a DOT-approved explosives test laboratory and assigned

a recommended shipping description, division, and compatibility group in

accordance with § 173.56(b) or 173.56(f). See Federal Register Notice 11-6.

EXPLOSIVES (EX) APPROVALS: REGULATORY GUIDELINES FOR SHIPPING AND TRANSPORTING FIREWORKS

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         

Frequently Asked Questions (cont’d)

Can EX numbers be transferred or sold?

No. EX numbers are non-transferrable; therefore, they may not be sold or

transferred. See Federal Register Notice 11-13.

What are some common reasons for denial?

• Application does not comply with APA 87-1;

• Lack of consistency with Application, Diagram, and Chemical

Composition Sheet;

• Device exceeds composition limits;

• Chemical compositions not totaling 100%;

• Fusing is not sequential; and

• Failure to designate and/or provide a Designation of Agent for Service

What if I have additional questions?

Hazmat Info-Center: 1-800-467-4922 e-mail: [email protected]

PHMSA Approvals Website: http://www.phmsa.dot.gov/hazmat/regs/sp-a/

approvals

PHMSA Approvals Database Search: http://www.phmsa.dot.gov/hazmat/regs/sp-a/

approvals/search

See also: http://www.phmsa.dot.gov/hazmat

Can the U.S. designated agent of service submit an application on behalf of the

manufacturer?

Yes, the U.S. designated agent of service may submit the application and supporting

documentation on behalf of the manufacturer, however the application must

be certied by the applicant. The EX classication approval will be issued to the

manufacturer/applicant. See Federal Register Notice10-9.

Endnotes:

A current copy of the APA Standard 87-1 (2001 ed.) may be obtained by contacting the

APA, P.O. Box 30438, Bethesda, MD 20824, (301) 907-8181, FAX (301) 907-9148,

www.americanpyro.com. See also 49 CFR 171.7 for document inspection availability.

See 49 CFR 173.56(b) or 173.56(f ).

See APA 87-1(5) and 49 CFR 172.320.

See APA 87-1, Table 4.3-1 for a list of approved chemicals.

See 49 CFR Subpart C - Shipping Papers § 172.201, 202, 320 for all requirements.

See 49 CFR 172.604.

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For information about other

Hazmat Publications or training questions:

Visit our website: http://hazmat.dot.gov

Telephone: (202) 366-4900

FAX: (202) 366-7342

E-mail: [email protected]

Or write:

U.S. Department of Transportation

Pipeline and Hazardous Materials

Safety Administration

1200 New Jersey Avenue, SE, PHH-50

Washington, DC 20590-0001

TRANSPORTATION

Celebrate Safety. Celebrate Safely.

U.S. Department

of Transportation

Pipeline and

Hazardous Materials

Safety Administration

PHH50-0129-0612