Q&A: Is the Cargo Aircraft Only label required for UN3480?

Questioner:

So this is a power bank. Method of transportation: USPS-priority/first class, or UPS/FedEx Ground.. I didn’t think we could ship air?

It can be from 1 to 4 power banks. Varies on the purchase.

Note: Their answer, “So this is a power bank.” led me to believe that the correct classification was not UN3481, Lithium ion battery contained in equipment or UN3481, Lithium ion battery packed with equipment. Instead, I now suspect the correct classification is UN3480, Lithium ion battery, which is a lithium ion battery packed alone. I needed to clarify this before I could proceed to answer their question.

Daniels Training Services:

Please clarify my understanding, which of the following classifications applies to this battery:

UN3481, Lithium ion battery contained in equipment
UN3481, Lithium ion battery packed with equipment

Or…

UN3480, Lithium ion battery (lithium ion battery packed alone).

Questioner:

Yes it is packed alone.. i agree it should be un3480 but we are being told it is un3481 which is what we don’t understand.

Daniels Training Services:

With that clarification I was now able to provide them with the information they required.

Please see below for a summary of the regulatory requirements based on the available information. I am providing information solely for transport by ground within the U.S. subject to USDOT/PHMSA regulations for commercial carriers (FedEx, UPS). I am not considering transport by USPS. (I find their regulations confusing and many postal personnel do not know them properly resulting in confused shipping).

These batteries may be transported by air anywhere in the world subject to the regulations of the International Air Transport Association (IATA). I am familiar with the IATA Dangerous Goods Regulations but they are not considered here. Learn more about ICAO & IATA.

Classification per USDOT/PHMSA: UN3480, Lithium ion battery, 9
Shipper must comply with the general packing requirements at 49 CFR 173.185(a) and (b).
Based on the Wh rating (11.55 Wh) it is eligible for the packaging exception at 49 CFR 173.185(c).
The package must display the lithium battery mark. The mark must display the ID # “UN3480” in characters at least 12 mm high and an information phone number.
The package must also display some form of hazard communication indicating it is forbidden as cargo on passenger aircraft. Options for this hazard communication are limited to one of the following:
- “LITHIUM ION BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”

Or…

- Display the “CARGO AIRCRAFT ONLY” label.
It seems strange, but even when transportation is entirely by ground, one of the above hazard communication methods must be displayed on the package if it is a lithium cell or battery (packed alone) and is transported subject to the “small” lithium battery exception at §173.185(c).
It seems stranger, but if this lithium cell or battery was not transported subject to the “small” lithium battery exception at §173.185(c) and instead was transported as a fully-regulated lithium cell or battery, then hazard communication indicating it is forbidden for transport as cargo on passenger aircraft is only required if transport is by aircraft.
Package must not exceed gross weight of 30 kg (66 lb).
There are additional packing requirements at §173.185(c)(2).

I hope this helps.

I can provide further assistance under my consulting services or I can provide HazMat Employee training.

Please contact me with any other questions.

They had one more question:

One more question, so if it is determined that it is a UN3480 Powerbank based on the watts/hr it would it require the CAO label going ground fedex or UPS?

My reply:

Not exactly.

A lithium cell or battery, packed alone classified as UN3480, Lithium ion battery, 9, and eligible for the “small” lithium battery exception at §173.185(c) must display some form of hazard communication indicating it is forbidden as cargo on a passenger aircraft. Hazard communication options are limited to one of the following:

“LITHIUM ION BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”

Or…

Display the “CARGO AIRCRAFT ONLY” label.

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That did it!

The regulations for the transportation of lithium cells or batteries are complex and seem to become more stringent every year. Of special concern to the regulatory agencies is ensuring lithium cells or batteries of any size packed alone are kept from the cargo hold of passenger aircraft. This is the reason why the requirements for hazard communication that indicate a lithium cell or battery is forbidden for transport aboard passenger aircraft are so strict. Sometimes – as in this case – the requirement to indicate a consignment is forbidden as cargo on passenger aircraft applies even when transportation is by ground.

Q&A: My HazMat packagings have been emptied and rinsed. Are they OK to ship as non-HazMat?

Question (03.17.21):

Hi Daniel,

We have a customer who wants to ship empty containers to a container cleaning center. The totes and drums are empty and have been rinsed. Those containers had hazmat materials, can they cover up the labels and ship them ?

Regards,

Answer (03.17.21):

Thank you for contacting me. Please see below.

There are two options for the transport of these packagings in compliance with the Hazardous Materials Regulations (HMR) of USDOT/PHMSA:

Option 1: No Hazard

The transportation of a packaging is not subject to the HMR under the following conditions:
- It is unused.
- It has been cleaned of residue and purged of vapor to remove any potential hazard.
- It has been refilled with non-HazMat so no hazard remains.
Under any of the above conditions the packaging is excepted from the HMR and may be transported as non-HazMat if the following is done:
- All hazard communication (labels, marks, etc.) indicating the packaging contains a hazardous material are removed, obliterated, or securely covered.

Or…

- The packaging is not visible during its transportation and it is loaded by the shipper and unloaded by the receiver or shipper.

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Option 2: The Empty Packaging Exception

If any HazMat residue remains the packagings may still be transported under the empty packaging exception. Compliance with the empty packaging exception requires the following:
- It is a non-bulk packaging with a maximum capacity of no more than 450 L (119 gal).
- It meets the USEPA criteria for RCRA empty with no more than 2.5 cm (1 in) of residue.
- It is a HazMat found in Placard Table 2 at 49 CFR 172.504(e).
- Transportation is by a private or contract motor carrier. Transportation by a common carrier is not eligible for the full empty packaging exception.
If the consignment is eligible for the full empty packaging exception, compliance requires the following:
- It is not required to display placards on the vehicle.
- It is not required for the shipper to prepare a shipping paper.
- Package marks and labels are required to be displayed on the packaging the same as if it is full.
- All other requirements of the HMR remain, e.g., HazMat Employee training.
If the consignment is eligible only for the partial empty packaging exception, compliance requires the following:
- It is not required to display placards on the vehicle.
- The shipper must prepare and sign a shipping paper that describes the consignment as a hazardous material.
- Package marks and labels are required to be displayed on the packaging the same as if it is full.
- All other requirements of the HMR remain, e.g., HazMat Employee training.

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You indicate the packagings are empty and have been rinsed. The question to be answered is this:

Have they been emptied and rinsed to remove any potential hazard?

If yes, then the packagings may be offered for transportation as described in Option 1.
If no, then either the full or partial empty packaging exception described in Option 2 is available.

I hope this helps. Please contact me with any other questions.

That did it!:

Hi Daniel,

Thanks for the information and the links, this really helps.

Q&A: Is a HazMat Driver required for the transportation of UN3481 lithium ion batteries in snow blowers?

A question on 01.29.21:

Hi Daniel,

Have a project I am running from Mahwah, NJ to Philadelphia, PA.

It was my understanding that if the total weight of the hazardous material was under 1,000lbs then it did not require a hazmat certified driver. These batteries inside of these snowblowers weigh about 8lbs and the total weight on the full truck loads is 448lbs.

What are your thoughts? Do you think we will need a hazmat driver or could we technically use a normal driver?

Thanks in advance

Daniels Training Services, Inc.

815.821.1550

My reply 01.29.21:

Thank you for contacting me. Please see below.

The requirement to have a driver with a HazMat endorsement on their CDL is based on one criteria: Is the vehicle operated by the driver required to display placards? If yes, then the HazMat endorsement is required. If no, then HazMat endorsement is not required.
For most HazMat, if the aggregate gross weight of the consignment is 454 kg (1,001 lb) or less it does not require the display of placards unless in a bulk packaging or a Table 1 HazMat.
Also, it is not required to display the Class 9 Miscellaneous placard on a vehicle operating within the U.S. Read: Is the class 9 placard required?

Class 9 Miscellaneous placard

Lithium batteries are a Class 9 Miscellaneous.
Therefore, no matter the weight of lithium batteries, placards are not required to be displayed on the vehicle. Therefore, a HazMat endorsement is not required on the CDL.
This consignment may be transported by a driver that does not have the HazMat endorsement on their CDL.
However, regardless of the quantity or type of HazMat, the driver will need HazMat Employee training with Driver Training.

I hope this helps. Please contact me with any other questions.

And that did it!

Thank you, I will let you know.

Q&A: Is the transport of government HazMat by a private company on a public road (within a college campus) subject to USDOT Regulations?

Question (12.08.20):

Hi Daniel,

I enjoy reading your articles, find them concise and easy to interpret. I was reading your piece on the government employee exemption, and wanted to get your opinion on something. Since the word “commerce” seems to be an operative word here, would you consider the transportation of hazmat by a non-government company on public roads from one university building to another “in commerce”? The materials are not being sold, but rather just moved to a new building so the old one can be renovated. I assume that since we would be giving money to the vendor to transport the hazmat, even if it is just ½ mile up the road, that this would be considered in commerce, but just wanted to check with someone else. I know we could transport them with our university vehicles without complying, but we just don’t have the manpower right now. I appreciate your input on this, thanks again,

Kind Regards,

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My answer:

Thank you for contacting me. Please see below.

The transport of HazMat by a private company for a government agency is considered to be “in commerce” and therefore subject to all USDOT regulations.

It is not eligible for the Government Employee Exemption.

You are correct that a you may transport some HazMat yourself as a private motor carrier for a non-transportation related business under the Materials of Trade Exception.

That seems to answer your question.

Please let me know if you have any other questions.

After a pause of almost three months, he provided an update on March 02, 2021:

And just an update as far as this goes. I spoke with USDOT/PHMSA about this some, and what I understand is acceptable, which we plan on doing, is having our local university police temporarily block off access to the public road that the vendor would use to transport chemicals from one building to the next to get around DOT regs. It is about ¼ a mile, so not far at all. The difference in price for packing to DOT vs. just using best management practices is huge. We decided to contract this out rather than use our university vehicles to transport, which we could obviously do without DOT if we wanted. All happening in September or October, and can let you know how it all goes down. Take care,

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And my confirmation:

Correct, per 49 CFR 171.1(d)(4) movement by motor vehicle is not subject to the HazMat Regulations if access to the public road is restricted by signals, lights, gates, or similar controls.

FAQ: What is a common carrier?

The conditions of the empty packaging exception at 49 CFR 173.29 include the terms “contract or private carrier”. Despite the importance of these terms to this exception and their use elsewhere in the Hazardous Materials Regulations (HMR) of USDOT/PHMSA, nowhere does the HMR define a contract carrier or private carrier. Fortunately, I explain these terms for you in these articles:

Even stranger, a third type of carrier: a common carrier, is not documented in the empty packaging exception at all even though understanding its characteristics is necessary for a full understanding of the exception. In fact, nowhere in the HMR does USDOT/PHMSA define a common carrier.

To find some answer we may turn to the regulations for commercial motor vehicles administered by the Federal Motor Carrier Safety Administration within the USDOT. (The FMCSA is one of 13 administrations and bureaus – along with PHMSA – within the USDOT). Unfortunately, since 2007, the FMCSA no longer distinguishes between common and contract carriers. Read about it on the FMCSA website.

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So just what is a common carrier?

Well, we know a common carrier is not a private carrier. A private carrier is not-for-hire and transports its own HazMat.

We also know a common carrier is not a contract carrier. A contract carrier operates under continuing contracts with one or a limited number of persons to provide transportation services for compensation.

A common carrier:

“Common carriers provide for-hire truck transportation to the general public.” USDOT website
“A common carrier is a person or a commercial enterprise that transports passengers or goods for a fee and establishes that their service is open to the general public.” Legal Information Institute

And…

“A common carrier provides services to any and all companies between predetermined points on a scheduled basis. The U.S. Postal Service is a common carrier, as are FedEx and the Amtrak railway system.” Encyclopedia Britannica

So, to sum up: a common carrier provides transportation services for compensation to just about anybody who needs it.

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Read: Have you Registered with the USDOT/PHMSA as a Shipper or Carrier of Hazardous Materials?

Q&A: Am I required to register with USDOT based on the HazMat I receive at my facility?

A question from a previous trainee (12.09.20):

Hi Daniel. I was wondering if you’d be able to answer another question for me. I took your class a few months ago, and still trying to wrap my head around all of this. We do not ship from our site any HazMat that requires registration. However, we receive 190 proof ethyl alcohol, do we need to register as a hazmat handler?

My reply that same day:

No. Registration is only required for persons who offer for transportation (shipper) or transport in commerce (carrier) a shipment containing any one of the categories specified at 49 CFR 107.601. The registration requirement does not apply to the hazardous materials received at a facility.

Q&A: Do I display the HazMat’s identification number on the limited quantity sticker?

Question (11.23.21):

Hi Daniel,
I saw your video on YouTube and had a couple questions I was hoping you could answer for me. Regarding Limited Quantities, does the UN number get written on the Limited Quantities sticker?

Answer (11.23.21):

Thank you for contacting me. Please see below.

No. the ID# for a HazMat is never displayed on the limited quantity mark. Nothing may be displayed on the limited quantity mark.
The ID# is not displayed anywhere on a package of a limited quantity unless it is to be transported by air.
The only required marks and labels on a limited quantity by highway, rail, or vessel is the following:
- The limited quantity mark.
- Orientation arrows (displayed on two opposite vertical sides) if the HazMat is a liquid.

: Hazard communication required for limited quantity by air.

: Hazard communication required for limited quantity by highway, rail, or vessel.

I hope this helps. Please contact me with any other questions.

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Conclusion:

Exceptions to the HazMat transportation regulations – such as the limited quantity exception – provide an opportunity for shippers of HazMat to save time and money when offering HazMat for transportation. However, care must be taken to ensure compliance with the requirements of the exception. My HazMat Employee training focuses on this and other packaging exceptions if applicable to your operations. Just let me know what you need and I will include it in your training.

FAQ: Who must receive HazMat Employee training?

Before we begin…

The Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA) creates and enforces the Hazardous Materials Regulations (HMR) for the transportation of hazardous materials (HazMat) to, from, or through the U.S.
According to 49 CFR 171.8 of the HMR, a hazmat employer is “A person who employs or uses at least one hazmat employee on a full-time, part time, or temporary basis.”
According to §171.8, a hazmat employee is any employee who is “Employed on a full-time, part time, or temporary basis by a hazmat employer and who in the course of such full time, part time or temporary employment directly affects hazardous materials transportation safety”.

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According to §172.702 of the HMR, “A hazardous materials (HazMat) employer shall ensure that each of its hazmat employees is trained in accordance with the requirements” of the regulations. Training is required for any person engaged in the pre-transportation functions, meaning a function that is required to assure the safe transportation of a hazardous material in commerce, including —

Determining the hazard class of a hazardous material.
Selecting a hazardous materials packaging.
Filling a hazardous materials packaging, including a bulk packaging.
Securing a closure on a filled or partially filled hazardous materials package or container or on a package or container containing a residue of a hazardous material.
Marking a package to indicate that it contains a hazardous material.
Labeling a package to indicate that it contains a hazardous material.
Preparing a shipping paper. Including the uniform hazardous waste manifest required by USEPA.
Providing and maintaining emergency response information.
Reviewing a shipping paper to verify compliance with the HMR or international equivalents.
For each person importing a hazardous material into the United States, providing the shipper with timely and complete information as to the HMR requirements that will apply to the transportation of the material within the United States.

Read: Importing Hazardous Materials into the U.S.

Certifying that a hazardous material is in proper condition for transportation in conformance with the requirements of the HMR.
Loading, blocking, and bracing a hazardous materials package in a freight container or transport vehicle.
Segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo.
Selecting, providing, or affixing placards for a freight container or transport vehicle to indicate that it contains a hazardous material.

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Q&A: Must I display the HazMat’s identification number on my vehicle when transporting (essentially empty) IBCs?

A question 11.22.21:

Hello I have been asked to transport IBC containers containing trace (essentially empty) amounts of several types with id #1789/1790/1835/2031 am I correct in assuming they should still be identified by their numbers on the outside of my trailer even though they are in small quantities? I am in New York…

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Read: Hazard Communication Options on the Intermediate Bulk Container

My answer:

You are correct. A bulk packaging (e.g., IBC or intermediate bulk container) that contains even trace amounts of a HazMat is subject to full USDOT regulations. This includes but is not limited to the following:

Placards and the HazMat’s identification number displayed on all four sides of vehicle.
Hazard communication including labels & marks on the packaging.

A HazMat shipping paper to describe the consignment.
A commercial driver’s license (CDL) with the HazMat endorsement for the driver.
HazMat Employee training (I provide this training).

Read: USDOT/PHMSA Regulation of Empty Packagings with Residue

Please contact me with any other questions.

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Conclusion:

Another driver with a question. I’m glad he/she contacted me and I’m glad I was able to answer their question. HazMat transportation is too important to risk a non-compliance.

Scope and Applicability:

The above answer is derived from the Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA).

FAQ: What’s “in commerce” mean?

Scope and Applicability:

The transportation in commerce of hazardous materials (HazMat) within the U.S. are subject to the Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA).

What is meant in the Hazardous Materials Regulations of USDOT/PHMSA by “in commerce” when establishing the applicability of the HMR?

Let’s begin at the beginning. The very first sentence of the HMR at 49 CFR 171.1 reads, “Federal hazardous materials transportation law (49 U.S.C. 5101 et seq.) directs the Secretary of Transportation to establish regulations for the safe and secure transportation of hazardous materials in commerce,…” So, right from the start we are informed the regulations apply solely to HazMat “in commerce”, but what does that mean?

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Read: The Government Employee Exemption to the Hazardous Materials Regulations

Commerce is defined at §171.8:

Commerce means trade or transportation in the jurisdiction of the United States within a single state; between a place in a state and a place outside of the state; that affects trade or transportation between a place in a state and place outside of the state; or on a United States-registered aircraft.

So let’s break that down.

Commerce means trade or transportation…

Notice the definition is not limited just to transportation but also includes trade.

…in the jurisdiction of the United States…

Naturally.

The following are four options where the trade or transportation may take place within U.S. jurisdiction.

(Option 1) …within a single state;

The trade or transportation takes entirely within a single state.

(Option 2) …between a place in a state and a place outside of the state;

The trade or transportation takes place between two or more states.

(Option 3)…that affects trade or transportation between a place in a state and a place outside of the state;

This increases the applicability of the HMR to include not only trade or transportation but activities (trade or transportation) that affect trade or transportation between two or more states.

(Option 4)…or on a United States-registered aircraft.

The trade or transportation takes place on a U.S.-registered aircraft anywhere in the world.

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The definition helps, but it doesn’t clearly limit the terms applicability solely to a business nor does it clearly state it is not applicable to a non-business entity like a private homeowner. For that clarification we must refer to USDOT/PHMSA letters of interpretation. Several examples are provided below. Only the relevant text from the LOIs are displayed.

LOI 11-007:

A driver who transports his/her own personal belongings (e.g., battery operated cell phones, medical devices and GPS devices, gas cans, etc.) for personal, non-commercial use is clearly not in commerce. Therefore, in the scenario you describe, those personal belongings are not subject to the HMR. However, any hazardous material that the driver is transporting on behalf of the motor carrier is in commerce and subject to the HMR.

LOI 09-0220:

PHMSA also interprets “in commerce” to mean trade or transportation in furtherance of a commercial enterprise.

And…

(1) an individual who transports his/her own scuba tank for personal, noncommercial use (e.g., recreation, sport fishing) is not subject to the HMR; (2) a scuba instructor who transports scuba tanks for use by his students as part of their instruction is subject to the HMR; and (3) a boat repair facility that uses scuba tanks as part of its examination of a boat’s hull and repair operations is subject to the HMR when it transports the scuba tanks.

LOI 11-0306:

As a general matter, the transportation of a hazardous material by motor vehicle for personal use of the driver is not subject to requirements in the HMR – although it may be subject to other Federal, State, or local requirements.

LOI 22-0003:

The HMR apply to the transportation of hazardous materials in commerce, i.e. in support of a commercial enterprise.

LOI 19-0017:

The transportation of a hazardous material by a private individual for non-commercial personal use is not considered transportation in commerce. Therefore, the requirements of the HMR are not applicable to fillers or private individuals for the use, recharging, or transportation of SCUBA cylinders by private individuals for personal use.

However…

Do not rely on the answer given in LOI 03-0223 as it has been supplanted by changes to the regulations made by the HM-223 final rule. USDOT/PHMSA is considering rescinding this LOI but has not yet done so.

Q: What if the HazMat is transported by a government agency? Is that still considered to be “in commerce”?

A: HazMat transported by a government entity in vehicles operated by government personnel for non-commercial purposes are not subject to the HMR. However, if a government entity contracts a third party to transport a HazMat on their behalf, the exemption would no longer apply.

And, if you’re interested in any more…

The HMR’s definition of a person at §171.8 includes, “…an individual, corporation,…government, Indian tribe,…that offers a hazardous material for transportation in commerce, transports a hazardous material to support a commercial enterprise, or designs, manufactures, inspects,…a packaging…qualified for use in transporting hazardous material in commerce.

Read: What – or Who – is a Person According to USDOT/PHMSA?

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