The Hazardous Materials Regulations of the USDOT/PHMSA contain specific requirements for the description of a hazardous material on a shipping paper, known as the Proper shipping Description. One component of the Proper Shipping Description is the Basic Description; the purpose of which is to – just like the name implies – provide a basic description of the potential hazards presented by a material in transportation. This article will explain how a change to the order of the Basic Description (effective January 1st, 2013) affects other responsibilities of a HazMat shipper and a possible source of confusion when using the Uniform Hazardous Waste Manifest for the transportation of a hazardous waste. Read the rest of this entry »
Posts Tagged uniform hazardous waste manifest
If you are a large quantity generator of hazardous waste (generate ≥1,000 kg of hazardous waste/calendar month) or a small quantity generator of hazardous waste (generate >100 kg but <1,000 kg of hazardous waste/calendar month) your off-site shipments of hazardous waste must be documented on a Uniform Hazardous Waste Manifest. The regulatory responsibilities of a generator don’t end with the shipment, as a matter of fact some of them are just beginning when you print and sign your name and date the manifest in Section 15.
After signing, the driver will give you page 6 and retain pages 1-5. You are required to retain this copy for three years from the date signed by the initial transporter or until you receive the signed page 3 back from the designated facility (more on that later).
Your State may require you to submit to them a copy of the manifest. Or, the designated facility’s State (if shipped out-of-state) may require a copy of the manifest. The time-frame for submittal varies (some States allow as little as 48 hours from the date of shipment) so check with the applicable State Environmental Agency to confirm your responsibilities. If either requires a copy, be sure to make it a photocopy of page 1 of the manifest since this is likely to be the most legible.
You’re still not done. You must also ensure you receive a signed page 3 back from the designated facility within a certain time-frame. Your responsibilities depend on your hazardous waste generator status.
If an LQG you must:
- Contact the primary transporter or the designated facility if you have not received a signed page 3 of the manifest from the designated facility within 35 days of the date of shipment.
- Submit an Exception Report to your Regional Office of the US EPA or your State if you have not received a signed page 3 of the manifest from the designated facility within 45 days of the shipment.
- Submit an Exception Report to your Regional Office of the US EPA or your State if you have not received a signed page 3 of the manifest from the designated facility within 60 days of the shipment (some States set this limit at 45 days).
Your State may also require you to ensure that an out-of-state designated facility sends a signed page 2 of the manifest back to the your State agency. Check with your State Environmental Agency.
Finally, a generator must retain a signed page 3 of the manifest, signed by the designated facility, for three years from the date of initial acceptance by the transporter.
The generator requirements for uniform hazardous waste manifests are a mixture of State and Federal regulations that remain unknown to many generators. Training on the hazardous waste regulations of RCRA is required for LQG’s and a good idea for anyone who wishes their facility to remain in compliance and away from violations and fines. Contact me to determine what form of training (public workshop or on-site) will work best for you.
I used to work for a hazardous waste disposal company named Laidlaw Environmental Services in Pecatonica, IL. A frequent question I was asked as I directed the client to sign the Uniform Hazardous Waste Manifest (Manifest) was: ”Will I go to jail for this?” I’d laugh and try to reassure them that we had everything under control and they were not going to jail. But the question is valid: Can the person who signs the Manifest be held personally liable for errors and omissions on the shipping paper or in the shipment itself? The answer, is yes.
The EPA notes that its requirements for preparing and signing Manifests are based on the corresponding DOT regulations for the use of shipping papers for hazardous materials. Note that the Certification Statement in section 15 of the Manifest refers to the “Generator’s/Offeror’s Certification” and not just the generator of the hazardous waste. Offeror (sometimes used interchangeably with Shipper) is a term used by the DOT. You can read more about the responsibilities of a shipper/offeror, but in brief, per the DOT an offeror is any person who performs or is responsible for performing a pre-transportation function for the shipment. This definition is deliberately vague and creates a situation where there may be more than one offeror/shipper, each of which could be held jointly and severally responsible for violations of the Hazardous Material Regulations (HMR).
DOT assumes that the signer of the shipper’s certification will have personal knowledge of the waste shipment and its preparation for transportation. Not that it is not necessary for the signer to be an officer of the entity generating the waste, it could be anyone (vendor, consultant, employee, carrier) who is knowledgeable about the shipment and the applicable regulations and is willing to sign on the dotted line.
Whomever is to sign the manifest should carefully read the certification statement:
I hereby declare that the contents of this consignment are fully and accurately described abouve by the proper shipping name, and are classified, packaged, marked and labeled/placarded, and are in all respects in proper condition for transport according to applicable international and national governmental regulations. If export shipment and I am the Primary Exporter, I certify that the contents of this consignment conform to the terms of the attached EPA Acknowledgement of Consent.
Note that the certification covers more than just the information on the Manifest. You are also certifying that all aspects of the shipment are in compliance with the HMR, so be sure you are involved with the preparation, loading, and securing of hazardous waste shipments prior to signing the Manifest.
But what if I’m trained and knowledgeable, I do my best and sign the Manifest, but something is wrong. You’re saying I would be held personally liable? Me?!? Well, yes. Typically the employer of the person signing would be subject to enforcement actions, in situations of egregious or criminal violations, the signer could be held personally liable.
Don’t get caught out of compliance. Contact me for the DOT HazMat Employee Training and the RCRA Training for Hazardous Waste Personnel that will help you to ensure you are following the regulations of both the DOT and the EPA when you ship hazardous waste.
Use of the Emergency Response Telephone Number for Shipments of Hazardous Materials and Hazardous Waste
If you offer for transportation a hazardous material (HazMat) on a shipping paper or bill of lading or a hazardous waste on the Uniform Hazardous Waste Manifest (required for both large and small quantity generators of hazardous waste) you must provide an emergency response telephone number for use in the event of an emergency. I have found many shippers to be unaware of their responsibility regarding this matter as they rely on the carrier and/or designated facility to provide the information required by49 CFR 172.604.
The purpose of the emergency response telephone number is that it be a source of helpful information for emergency responders in the event of a HazMat Incident, therefore the number must be:
- Monitored at all times the hazardous material is in transportation until it reaches its designated facility and is removed from transportation, and;
- The number of a person who is knowledgeable of the HazMat being shipped and has comprehensive emergency response information and incident mitigation information for that material, or;
- Has immediate access to a person who has such knowledge and information. Telephone numbers that require a call back such as an answering service, beeper, or answering machine will not suffice. Refer to interpretation 01-0176 for more guidance on this topic.
The person identified in #’s 2 & 3 above is known as the Emergency Response Information Provider or the ERI Provider.
It is important that the emergency response telephone number is clearly visible in the event of an emergency, therefore the number must be written on the shipping paper:
- Immediately following the description of the hazardous material (this would be Section 9b of the Uniform Hazardous Waste Manifest).
- Entered once on the shipping paper in a “prominent, readily identifiable, and clearly visible manner…” This can be done by using a larger or differently colored font, highlighting, or otherwise setting the number apart. It must also be indicated on the shipping paper that the number is for emergency response information (eg. “EMERGENCY CONTACT ###”). This option can only be used if the number applies to each hazardous material on the shipping paper. Section 3 of the Uniform Hazardous Waste Manifest may be used to fulfill this requirement.
Unfortunately some shippers and carriers were using the phone numbers of ERI Providers that they had not registered with to provide such service and in an emergency first responders were not able to obtain the necessary information from the ERI Provider. For this reason, effective October 1, 2010, some form of identification of the person who has registered with the ERI Provider must be included on the shipping paper. Note that the name of the ERI Provider is not required to appear on the shipping paper, merely their phone number (11-0152, 10-0262). However the name of the person that has contracted or registered with the ERI Provider to perform this service must be identified on the shipping paper. Identification can be by name, contract number, or other unique identifier of the ERI Provider for the registrant and it must be near the emergency response telephone number unless it appears elsewhere on the shipping paper in a prominent, readily identifiable, and clearly visible manner.
So, if the person offering the hazardous material for shipment is also the ERI Provider, their name or some other acceptable means of identification must appear prominently and clearly on the shipping paper. For the Uniform Hazardous Waste Manifest this is accomplished by proper completion of Section 5. If a 3rd party is contracted to be the ERI Provider then some identification linking them to the registrant (name, contract number or other unique identified of the ERI Provider) must be clearly visible on the shipping paper (10-0146). This information could be recorded in Section 14 of the Uniform Hazardous Waste Manifest.
If using a 3rd party, it is the responsibility of the person registered with the ERI Provider to ensure they have the current information on the material before it is offered for shipment. This is especially important for hazardous waste shipments as the wastes may be different for each pickup.
49 CFR 172.604(b) can be difficult to read and understand (It was much more challenging for me than I thought it would be) but the intent is clear: some information linking the ERI Provider to the person offering the hazardous material for shipment must be clearly visible on the shipping paper for emergency responders to find. As of June 2011, the Agency was aware of the confusing text of this regulation and will be taking steps to clarify it (11-0008).
For telephone numbers outside the US, the international access code or the “+” sign, country code, and city code as appropriate must be included.
If preparing shipping papers for the continued transportation of a hazardous material, it is the responsibility of the subsequent offeror to ensure if the original or previous emergency response telephone number is authorized for that shipment. In such a situation, the subsequent offeror may choose to use their own ERI Provider (11-0005).
The requirement to include an emergency response telephone number do not apply to:
- Limited Quantities offered for transportation pursuant to 49 CFR 173.150-156 & 173.306.
- Transportation vehicles or freight containers with lading that has been fumigated and displays the FUMIGANT marking, as long as no other hazardous materials are present.
- Materials properly described under the following shipping names:
- Battery powered equipment.
- Battery powered vehicle.
- Carbon dioxide, solid.
- Castor bean, castor flake, castor meal, or castor pomace.
- Consumer commodity.
- Dry ice.
- Engines, internal combustion.
- Fish meal, stabilized or fish scrap, stabilized.
- Refrigerating machine.
- Vehicle, flammable gas powered.
- Vehicle, flammable liquid powered.
- Wheelchair, electric.
Prior to your next shipment, ensure that you are in compliance with these important regulations. Significant penalties will be assessed if the emergency response telephone number for a shipment of your hazardous waste or hazardous material is discovered to be incorrect or incomplete during a hazardous material incident or emergency. You must also ensure proper training of your HazMat Employees and the employees of a Large Quantity Generator of hazardous waste who handle the waste, including preparing it for shipment or signing the Uniform Hazardous Waste Manifest. Please contact me to schedule on-site training or review my schedule to find a date and location to attend my open enrollment training and return your facility to compliance.
The Pipeline and Hazardous Materials Safety Administration (PHMSA) within the US DOT is tasked with enforcing the nations hazardous materials transportation regulations across all modes of transportation. The unannounced inspections of its agents of the regulated community, ie. shippers, receivers, and transporters of hazardous materials, just like you; has been found to turn up a relatively stable crop of violations. This article contains a descriptive list of the top six violations found by the PHMSA.
One thing these violations have in common (especially the first five) are their frequent applicability throughout the HazMat transportation industry. If you ship or receive any hazardous materials at all, including hazardous waste, then you have a good chance of being subject to the first five of these potential violations. The sixth one depends on the quantity and type of hazardous material you offer for shipment.
The source of the information for this list is a PHMSA Workshop I attended in St. Louis in August of 2011. The trainers, who were all active PHMSA inspectors, reported that this list was determined from inspections completed by the Administration within the previous year. I’m sure that the ranking of these violations may shuffle over the years, but it is my opinion that the violations listed below will always be near the top.
The top six violations of the Hazardous Material Regulations found during inspections by agents of the PHMSA are:
- Improper HazMat Employee training record documentation: An important distinction must be made here, the violation is not due to failure to complete training (see #2) or failure to document the training, but failure to properly document HazMat Employee training. 49 CFR 172.704(d) explains exactly what must be done in order to document the training in a form acceptable to the PHMSA.
- Failure to train HazMat Employees: Not unexpectedly, failure to provide initial and recurrent training for all HazMat Employees as specified in 49 CFR 172.704(c) is right at the top of the list. If you ship or receive a hazardous material (ie. paint, resin, solvent, cleaners, fuel, corrosives, etc.) in commerce, then your HazMat Employees must be trained and tested within 90 days of new hire or change in employment (supervised by a trained employee during those 90 days), and receive full training at least once every three years thereafter.
- Improper marking and labeling of HazMat packages in shipment: With millions of tons of hazardous materials in transportation every day, it is no surprise that many packages of HazMat are found to be labeled and marked improperly. The exact nature of each violation will differ for each shipment, however, whatever the violation they all have one solution: an understanding of the Hazardous Material Regulations (HMR) and how they apply to the hazardous materials you as the shipper are offering for shipment. It is the requirement of the shipper, not the transporter of the HazMat, to ensure it is properly marked, labeled, and the correct packaging is in the proper condition for shipment. If you aren’t sure of your responsibility as a shipper, just read the certification statement near your signature the next time you sign a shipping paper. Which brings us to…
- Errors on the shipping paper: Every shipment of a hazardous material must be accompanied by a shipping paper. For a commercial product the shipping paper may be known as a Bill of Lading. For a shipment of a hazardous waste it must be a Uniform Hazardous Waste Manifest. Whatever the name, it is the responsibility of the shipper to ensure the shipping paper is completed properly. As in #3 above, whatever the cause of the violation, the solution is a thorough understanding of the HMR, the hazardous material – or hazardous waste – you are offering for shipment, and what information about the hazardous material is required to be documented on the shipping paper.
- Not registered with the PHMSA as a shipper or carrier of hazardous materials: In my experience providing HazMat Employee training I have found it to be quite common that employers are not aware of their requirement to register annually with the PHMSA. I will have to save a more thorough explanation for another day as the criteria determining registration can be technical, but know that if you transport or offer for transport a hazardous material, including a hazardous waste, in a quantity that requires the vehicle to be placarded then you must register with the PHMSA. More information about the PHMSA registration requirements can be found here.
- No Security Plan: Since 2003 a person must complete a security plan if they transport or offer for transportation a type and quantity of HazMat subject to the regulation. The current version of the applicability determination for the security plan can be found at 49 CFR 172.800(b). ”Current” because on October 1, 2010, the applicability determination was revised to better address real security threats and remove from regulation small amounts of HazMat not thought to be a potential security threat. The requirements for Security Plan content were changed at that time as well. If your determination of Security Plan applicability was completed prior to 2010 you may wish to check the regulations again to see if you are still subject. If you were not aware of this regulation, please check the applicability determination now to confirm your responsibility. More information about completing the Security Plan can be found on the PHMSA Security website.
There you have it, The Magnificant Six; which of these violations could an inspector find at your facility? And while we’re talking about inspectors, keep in mind that it is not just the PHMSA which conducts inspections of shippers of hazardous materials. If your HazMat is ever transported by an applicable method: Air, rail, highway, or vessel; you may find your facility inspected by the Federal Aviation Administration, the Federal Railroad Administration, the Federal Motor Carrier Safety Administration, or the Coast Guard. Fines for these violations can quickly go into the thousands of dollars each; much more than the cost of a one day training session that covers all of the above and more.
Avoiding the violations and fines for all of the above, and more not listed here, begins with proper training of all of your HazMat Employees. Proper training will not only completely eliminate #’s1 & 2 as a potential violation, it will give you the knowledge and tools to avoid #’s 3+ for years to come.
From the start I thought it a good idea for my training to combine the requirements of the US DOT for HazMat Employees and the US EPA for facility personnel of hazardous waste generators into one day. A generator of hazardous waste and a shipper of hazardous materials both engage in many activities regulated by the US EPA and the US DOT respectively. Many of these activities are regulated solely by one Agency or the other, but some – such as the off-site shipment of hazardous waste – are regulated by both. A critical step in the transportation of hazardous waste- and one regulated by both the US EPA and the US DOT – is the completion of the Uniform Hazardous Waste Manifest (manifest). Anyone who has seen a manifest knows there is a place for the generator or their designee to sign. A question then: Does a person who signs a manifest require training as facility personnel of a hazardous waste generator? As a shipper of hazardous materials? Both? The answer: Likely both (RO14687).
The training requirements for hazardous waste generators depends on your generator status (how much hazardous waste you generate) and not on specific activities like whether or not you ship hazardous waste off-site or sign a manifest. However, if you are required to use a manifest for off-site shipments of hazardous waste it is likely that you are required to have some form of hazardous waste training. If you don’t know already, take this survey to determine your hazardous waste generator status. With your status known you can review the applicable regulations pertaining to training:
- Large Quantity Generator (LQG) – 40 CFR 262.34(a)(4) & 40 CFR 265.16
- Small Quantity Generator (SQG) – 40 CFR 262.34(d)(5)(iii)
- Conditionally Exempt Small Quantity Generator (CESQG) – 40 CFR 261.5
An LQG must annually train its facility personnel who handle hazardous waste or respond to hazardous waste emergencies. This training must teach employees to perform their duties in compliance with the applicable regulations and how to respond to an emergency. An SQG does not have a formal training requirement, but it must, “ensure that all employees are thoroughly familiar with proper waste handling and emergency procedures, relevant to their responsibilities during normal facility operations and emergencies.” While not required by regulation, it is understood that training will play some role in meeting this requirement for an SQG. A CESQG has no training requirement – and indeed – very little regulatory compliance at all to be concerned with, including the manifest which a CESQG need not use. You may read more about the hazardous waste generator training requirements here.
The training requirements of the US DOT are not tiered as they are for hazardous waste generators under US EPA. Nor is the need for training based on a threshold amount of material processed/generated. Instead the need for training is determined by whether or not the activities engaged in meet the definition of a HazMat Employee which then require training. A person who signs a manifest, and anyone else involved in the off-site shipment of hazardous waste, is a HazMat Employee as defined by US DOT. Pursuant to 49 CFR 172, Subpart H, a HazMat Employee must be trained and tested triennially on the following:
- General Awareness/Familiarization
- Function Specific
- Emergency Response/Safety
- Security General Awareness
- In-Depth Security (if applicable)
Read this article for more information about the HazMat Employee training requirements.
The Uniform Hazardous Waste Manifest is a document created to meet the regulatory requirements of both the US EPA (and authorized state hazardous waste programs) and the US DOT. As such any person involved with the completion, review, or signing of the manifest is subject to the training requirements of both the US EPA and the US DOT. Any person involved with the off-site shipment of hazardous waste requires the training as well. It has been my experience that even if not required by regulation, every manufacturer benefits from high quality training on the proper identification, handling, and disposal of hazardous waste and hazardous materials.
Contact me to schedule your training.
In 1984 US EPA created the Uniform Hazardous Waste Manifest. An improvement on its predecessor, it nonetheless allowed States to customize the forms to meet their state-specific needs. Twenty three states adapted the Federal form to include a state letterhead and additional data requirements. Thus variation remained between these twenty three state forms and the Federal form, even though the need to use multiple manifests for interstate shipments had ended.
Fast forward to September 6, 2005 and the creation of a nationwide standardized Uniform Hazardous Waste Manifest system. The Final Rule published on March 4, 2005 gave States and hazardous waste handlers eighteen months to use up their stocks of the old forms and to prepare their regulations for the new ones. After September 6, 2005 only the new form could be used for transportation of hazardous waste. Besides creating uniformity in the appearance and content of hazardous waste manifests, US EPA also made revisions to the form to simplify the tracking of “difficult” shipments of rejected waste, or containers with residue remaining. It also created a registry of companies that were approved to print the manifest to the US EPA specifications. These and other revisions enacted at that time can be reviewed further on the US EPA website.
As of August 22, 2011 US EPA will authorize changes to the current printing specification regulation if no adverse comments are received prior to July 22, 2011. These changes were announced in a Proposed Rule and a Direct Final Rule, both published in the Federal Register on June 22, 2011. This time the changes are much less sweeping than previously. US EPA will allow the approved printers of Uniform Hazardous Waste Manifests to use distinct colors or other methods to differentiate the copy distribution instructions on the form from the remainder of the print. This is intended to cut down on the number of mistakes made in distribution and allow those approved printers greater flexibility in complying with the manifest printing specifications.
These changes should not affect hazardous waste generators other than the possibility of a slight change in the appearance of the Uniform Hazardous Waste Manifest sometime after August 22, 2011. All other requirements, including some state specific requirements remain.
Annual training is required by the US EPA for any personnel that handle hazardous waste or sign the Uniform Hazardous Waste Manifest. Triennial training is required by the US Department of Transportation for any HazMat Employee who prepares hazardous waste for off-site transportation, loads it onto a transportation vehicle, or signs the Uniform Hazardous Waste Manifest.