Common Problems & Emerging Trends in DOT HazMat Compliance

Hazardous Materials

Transportation: Common Problems and

Emerging Trends

Doug Graham, CHMM

Triumvirate Environmental

Objective

• Learn from the common missteps often

encountered with decentralized hazmat

programs to help ensure you have a

compliant hazardous materials shipping

program; and

• Learn about recent and upcoming DOT

and IATA regulatory changes.

Hazardous materials transportation compliance issues can cast a wide net

across an organization and impact many people and departments. It’s not

unusual for compliance in this area be de-centralized and not fall completely

under an EH&S department’s or manager’s responsibility.

Compliance goes well beyond the shipping of chemical and biological wastes.

12 Common Missteps

1. Not understanding the regulatory differences between modes (air, hwy, water, rail)

2. Offering electronics, batteries, devices, and instruments mistakenly as non-hazardous

3. Improperly preparing packages for return to suppliers

4. Assuming the competency and MSDS/SDS reliability of original suppliers

12 Common Missteps

5. Not controlling access to shipping accounts to only trained employees

6. Inadvertently creating inspection and enforcement triggers

7. Increasing regulatory burden and liability by shipping by air when not necessary

8. Improperly preparing hazardous materials for self-transport or hiring of untrained couriers to move hazardous materials

12 Common Missteps

9. Not obtaining the correct software, pre-approval and/or contract to ship hazmats

10. Not determining “competency” of hazmat employees

11. Not training receivers in issues related to proper identification and emergency response

12. Not having administrative control over the hazardous materials program (security, registration, inspection

preparedness, recordkeeping, reporting, etc.)

1. Not understanding the

regulatory differences

between modes

Oh No!

I’ve been shipping these infectious patient specimens on

dry ice with a courier for years and never had to do

anything special.

Then I sent it FedEx and it got rejected and the sample was

ruined!!

“I didn’t know FedEx used air

regulations”

Employees must understand the

applicability of modal-specific regulations.

One of the most common mistakes is not

realizing that FedEx Express requires all

hazmat shipments, even domestic

shipments, to be prepared in accordance

with the International Air Transport

Association (IATA) Dangerous Goods

Regulations.

UPS Domestic air: 49 CFR

FedEx Express: IATA

International: IATA

Int’l Water: IMDG

Domestic Water: 49 CFR

Ground: 49 CFR

“I didn’t know FedEx used air

regulations”

2. Offering electronics,

batteries, devices, and

instruments mistakenly

as non-hazardous

FAA is at the front desk

because I shipped a

colleague a spare battery for

his laptop yesterday. . . . .

I was supposed to ship it

Cargo Air Only and follow all

these IATA (what!?) rules!

And we might get fined

what!!??

Do Employees Know

These are Regulated?

• Lithium batteries, packed alone, with,

or installed in equipment

• Magnets

• Instruments with compressed gas

chambers (e.g., shock absorbers)

• Flame ionization detectors (air

monitoring device with hydrogen fuel

cell and lithium battery power supply).

• Electron tubes

3. Improperly preparing

packages for return to

suppliers

Returns

Too often, shipping/receiving personnel believe that returning

hazardous materials shipments involve nothing more that re-offering

it in the original packaging with the original markings and labels.

These employees who have not been trained as “hazmat shippers”

may try to wing it and try to figure out how to get it out the door and

back to the supplier.

Returns

Potential problems:

• Shipped ground, then returned air- requirements

are vastly different;

• Not recognizing incoming shipments prepared

under exceptions as hazardous, then attempting

to return as non-hazardous;

• Incoming shipment improperly prepared, return

mimics errors of original shipper.

4. Assuming the

competency and MSDS/SDS

reliability of original

suppliers

“Floyd’s Industrial Use Miracle Glue”… contains

xylene, methyl ethyl ketone, toluene and acetone…

keep away from flames and heat... highly flammable…

yada, yada, yada…

Oh here! Transportation: not regulated

for transport…

Cool!

OK, the boss wants this in Cleveland

by tomorrow 4 pm…

Relying on Transportation Sec. of

MSDS/SDS

Although a transportation section is common on

MSDSs and is now a standard section of a GHS-

compliant SDS (Sec. 14), the information is not

mandatory and it may not be accurate. Shippers

are expected to have the tools to spot errors.

Too often, it’s taken on faith that the information is

accurate and employers don’t think of “QC-ing”

this information.

Relying on Transportation Sec. of

MSDS/SDS

Looking at the constituents, properties, and

usage of the article or substance and then going

through the classification, packing group

assignment, and shipping name selection

process is the manner in which it should be

approached.

Although oftentimes accurate, Sec. 14 can be a

dangerous short-cut.

5. Not controlling access to

shipping accounts to only

trained employees

What do you mean “what do you

mean is it hazardous?”

No? as in… it’s not hazardous?

Or…

No, as in… you don’t really know

what that means but… you just

really want me to take it?

Not Having a Gatekeeper

Unrestricted access to shipping accounts,

especially air shipping (e.g., FedEx Express

Service, international, and UPS Air) is a recipe for

disaster.

Without well-trained employees acting to screen

shipments, or a central trained gatekeeper to

funnel all shipments through, undeclared

hazardous materials shipments may be offered

for transport.

Less obvious hazmats, like lithium batteries,

magnets, GMOs, gas-containing articles, and dry

ice are the most likely offenders.

6. Inadvertently creating

inspection and enforcement

triggers

And this nice man from the FAA wouldn’t be here today speaking

with us if you followed the Excepted Quantities Provision that

doesn’t require a Dangerous Goods Declaration… you know,

the one with the red candy stripes…

LIKE WE TALKED ABOUT, PATTY!

Staying Under the Radar Whenever

Possible

The most frequent hazardous materials

shipping-related inspections at shipper

sites are those performed by FAA.

Random inspections based upon FAA

selecting Dangerous Goods

Declarations at UPS or FedEx locations

are the most common trigger.

Staying Under the Radar Whenever

Possible

Avoid the Declaration through

the use of exceptions

whenever possible (Excepted

Quantities- IATA Sec. 2.6),

and the risk of an FAA

inspection is greatly reduced.

7. Increasing regulatory

burden and liability by

shipping by air when

not necessary

No, no, not at all.

I know you don’t need the

chemicals until Thursday, but

we’ll overnight them just as an

added bonus!

That’s just what we call SUPER

SERVICE!

For SUPER CUSTOMERS like

you!

Ship By Ground, Not By Air,

Whenever Possible

The level of scrutiny, the chance of rejection, and the higher

penalties for non-compliance associated with air shipments are

all strong incentives to keep hazmat shipments on the ground.

8. Improperly preparing

hazardous materials for

self-transport or hiring of

untrained couriers to move

hazardous materials

We’ll take my car?...

I got gas… you drove

last time… then we’ll

hit a Mickey-D’s?

Self-Transport, Local Couriers-

Common Mistakes

Self transport to support the

principal business is the most

common “Materials of Trade”

(MOT) definition. The MOT

exception is commonly used and

offers great advantages in reducing

the regulatory requirements.

There are common mistakes,

however…

Self-Transport, Local Couriers-

Common Mistakes

1. The Materials of Trade exception (49

CFR 173.6) does have requirements and

restrictions, and does contain a training

requirement;

2. Third party transport, like hiring local

courier services does not fall under the

MOT exception (interp letter 06-0115);

3. The use of personal vehicles can create

personal liabilities

9. Not obtaining the correct

software, pre-approval

and/or contract to

ship hazmats.

Examples

FedEx Express requires that Shipper’s Declarations for

dangerous goods shipments be prepared using approved

software with compliance edit checks.

FedEx Express and United Parcel Service require that all

shipments of lithium metal batteries UN3090 (all sizes) require

pre-approval.

In order to ship hazardous materials/dangerous goods with

United Parcel Service, you must enter into an Agreement.

10. Not determining

competency of hazmat

employees

Son, we’ve sent you to your first and only offsite training, you have zero

experience, and little or no working knowledge of the regulations…

congratulations, you’re our new Hazmat Shipping Department

NOW GO GET ‘EM, TIGER!!

Training is Step One

With such lengthy and complicated regulations as the 49 CFR

and the IATA DGR, initial training should be viewed as the first

step in a process of becoming qualified and competent;

It’s the employer’s responsibility to determine competency since

they are ultimately responsible for ensuring shipments go out

compliantly;

Learning-by-doing under the direction of an experienced hazmat

shipper for a period of time prior to being allowed to prepare

shipments independently is the best approach.

11. Not training receivers in

issues such as proper

hazard identification and

emergency response

Right there yonder, that’s where

Shipping/Receiving used to be… before

the “incident”, that is.

“Limited quantity” is what they called it-

had a black and white diamond on it with

no words… sounds nasty, don’t it!

Yes, Receivers are “Hazmat Employees”

Actions taken by receivers may impact transportation safety.

Key issues for them to understand:

• How to identify incoming hazardous materials, especially-

- those with exception markings (not obvious to an trained eye)

- salvage containers (containing leaking or damaged contents)

- temperature sensitive materials (organic peroxides and self-reactives)

- radioactives

How to initiate an emergency response if materials released in the

vehicle, outside, or on the loading dock.

12. Not having administrative control

over the hazardous materials

program (security, registration,

inspection preparedness,

recordkeeping, reporting, etc.)

Doesn’t Corporate

do that?

Administrative Issues

Some hazmat shipping compliance issues are

not strictly related to the preparation of a

shipment, but are administrative in nature and

require a person or department to often take

ownership.

Key issues: • Annual registration

• Written security planning

• Recordkeeping

• Points of contact for inspections

• Special permits

Regulatory

Update

Recent Notable

IATA Changes-

Apr 1, 2016

ICAO/IATA Li-Ion

Passenger Air Restriction Effective April 1, 2016, ICAO/IATA prohibits transporting all

UN3480 lithium batteries (Sec. IA, IB, and II) as cargo aboard

passenger carrying aircraft (prohibition is not applicable to

batteries packed with, or contained in equipment).

Note: Under the new Special Provision A201

Individual countries may grant an exemption

from this prohibition (with conditions).

Ref: DGR PI 965

ICAO Safety Advisory- April 1, 2016

Li-IonPASS

ICAO/IATA Li-Ion

State of Charge (SoC) Limit for All

Size Li-Ion Batteries Shipped Alone

ICAO Safety Advisory- April 1, 2016

Li-Ion

Effective April 1, 2016, all UN3480 lithium ion cells and

batteries (Sec. IA, IB, and Sec. II) must be offered at a

state of charge (SoC) not exceeding 30% of their rated

design capacity.

Note: Guidance and methodology for determining the rated

capacity can be found in Sec. 38.3.2.3 of the UN Manual of

Tests and Criteria, 5th revised edition, Amend. 1

Ref: DGR PI 965

CAO Handling Label for Small Li-Ion

Batteries Shipped Alone

Effective April 1, 2016,

the “Cargo Aircraft Only”

label must also be used

when offering UN3480,

Sec. II batteries.

The lithium battery handling label

must appear near and on the

same surface of the package as

the CAO label..

Li-IonCAORef: 49 CFR 172.448

DGR Sec. 7.2.4.2

Limiting & Separating UN3480, Sec II

“lithium ion batteries” Consignments

Li-Ion

Effective April 1, 2016, a shipper is not permitted to offer for transport

more than one (1) package of UN3480 (batteries packed alone)

prepared in accordance with PI 965, Sec. II in any single consignment.

Additionally, such packages must be offered to the operator separately

from cargo which is not subject to the instructions.

Ref: DGR PI 965, Sec. II

Upcoming Notable

IATA Changes-

Jan 1, 2017

Li-Ion

New Lithium Battery Class 9

Label

Ref: DGR Sec. 7.3.18

Effective January 1, 2017,

the “Lithium Battery Class 9”

label will replace the Class 9

label when shipping Sec I,

IA, and IB lithium batteries.

Li-Metal

Li-Ion

New Lithium Battery Handling

Label

Ref: DGR Sec. 7.1.5.5

Effective January 1, 2017,

the new Lithium Battery

Handling Label will replace

the existing label when

shipping Sec IB and II

batteries

Li-Metal

Li-Ion

Accompanying Document for Smaller

(Sec II) Li-Ion and Li Metal Batteries

Each consignment must be accompanied with a

document with an indication that:

• The package contains lithium ion cells or batteries

• The package must be handled with care and that a

flammability hazard exists if damaged

• Special procedures must be followed in the event of damage

• A telephone number for additional information

Ref: DGR PI 965-967, Sec II

Dangerous Goods

Declaration is not

Required

Li-Metal

Declaration Form Completion

Instructions (IATA)

24 Hr. Emergency Contact: Chem-Tel (800) 255-3924

Douglas Graham, Lead Shipper

Boston, MA 3 September 2015

Ref: DGR Sec. 8.1.6.13-14

Recent Notable

DOT Changes-

July 5, 2016 (HM-218H)

24 Hr. Emergency Response Tel. No.

Each hazmat shipping paper must include a 24 Hour

emergency response telephone number.

If a third party service provider is used for that purpose, the

shipping paper must now also identify the person (by

name or contract number) who has a contractual

agreement with the service provider.

Ref: 49 CFR 172.201

24 Hr. Emergency Response Tel. No.

The 24 Hour emergency response telephone

number must include an area code, and if an

international shipment, the international access

code or the “+” symbol, country code, and city

code, as appropriate, required to make the call,

must now be included.

Ref: 49 CFR 172.604

Proposed Notable

DOT Changes for 2017-

Sept. 7, 2016 (HM-215N)

Public Comment

Period ends

November 7th.

Li-Ion

New Lithium Battery Class 9 Label

Ref: 49 CFR 172.447

The “Lithium Battery Class

9” label is proposed to

replace the Class 9 label

when shipping fully

regulated lithium batteries.

Li-Metal

Li-Ion

New Lithium Battery Handling Label

Ref: 49 CFR 173.185(c)(3)(i)

A new Lithium Battery

Handling Label is proposed

to replace the existing label

when shipping small lithium

batteries under 173.185(c).

Li-Metal

Final ThoughtsAn EH&S Director/Manager is well advised to either manage or

facilitate the management of a hazardous materials program

and look into the many activities and compliance areas

impacting a facility beyond the shipping of wastes.

Do it proactively so you don’t get drawn into

problems you weren’t prepared to deal with.

Thank You!

Doug Graham, CHMM

Sr. EH&S Consultant

dgraham@triumvirate.com