Hazardous materials transportation compliance issues can cast a wide net across an organization and impact many people and departments. It is not unusual for compliance in this area to be decentralized and not fall completely under an EH&S department’s or manager’s responsibility. Check out this presentation to learn from the twelve common mistakes which often arise in decentralized environments.

1. Hazardous Materials
Transportation:
Common Problems and
Emerging Trends
Doug Graham, CHMM
Triumvirate Environmental

2. 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.

3. 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.

4. 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

5. 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

6. 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.)

7. 1. Not understanding the
regulatory differences
between modes

8. 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!!

9. “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.

10. 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”

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

12. 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!!??

13. 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

14. 3. Improperly preparing
packages for return to
suppliers

15. 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.

16. 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.

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

18. “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…

19. 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.

20. 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.

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

22. 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?

23. 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.

24. 6. Inadvertently creating
inspection and enforcement
triggers

25. 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!

26. 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.

27. 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.

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

29. 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!

30. 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.

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

32. We’ll take my car?...
I got gas… you drove
last time… then we’ll
hit a Mickey-D’s?

33. 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…

34. 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

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

36. 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.

37. 10. Not determining
competency of hazmat
employees

38. 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!!

39. 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.

40. 11. Not training receivers in
issues such as proper
hazard identification and
emergency response

41. 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!

42. 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.

43. 12. Not having administrative control
over the hazardous materials
program (security, registration,
inspection preparedness,
recordkeeping, reporting, etc.)

44. Doesn’t Corporate
do that?

45. 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

46. Regulatory
Update

47. Recent Notable
IATA Changes-
Apr 1, 2016

48. 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

49. 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

50. 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-IonCAO
Ref: 49 CFR 172.448
DGR Sec. 7.2.4.2

51. 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

52. Upcoming Notable
IATA Changes-
Jan 1, 2017

53. 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

54. 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

55. 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

56. 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

57. Recent Notable
DOT Changes-
July 5, 2016 (HM-218H)

58. 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

59. 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

60. Proposed Notable
DOT Changes for 2017-
Sept. 7, 2016 (HM-215N)
Public Comment
Period ends
November 7th.

61. 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

62. 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

63. Final Thoughts
An 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.

64. Thank You!
Doug Graham, CHMM
Sr. EH&S Consultant
dgraham@triumvirate.com