The Bullet:

The U.S. Department of Transportation’s Federal Aviation Administration (FAA) proposes a $120,000 civil penalty against UPS, Inc., of Atlanta, GA, for allegedly violating the Hazardous Materials Regulations.

The FAA alleges that UPS, performing a shipper function, knowingly offered a shipment containing lithium batteries to the company’s UPS Airlines for transportation by air from Ontario, CA, to Louisville, KY, on Nov. 15, 2018.

Read the FAA press release of January 24, 2020

Who:

• The Federal Aviation Administration (FAA) is one of thirteen (13) administrations and bureaus within the U.S. Department of Transportation (USDOT).
  • FAA contact: Allen Kenitzer / 206-231-2035 / allen.kenitzer@faa.gov
• United Parcel Service (UPS) is an American multinational package delivery and supply chain management company.  Its headquarters are in Atlanta, GA

What:

• The FAA alleges the shipment of lithium batteries violated the following regulations of the HMR:
  • Shipment of lithium batteries was not properly packaged.
  • Shipment was not accompanied by a Shipper’s Declaration for Dangerous Goods, and was not properly described, marked or labeled to indicate the hazardous nature of its contents.
  • The FAA also alleges UPS failed to include emergency response information with the shipment.
• Employees at the UPS facility in Louisville examined the contents of the shipment and discovered that it contained multiple loosely packed lithium batteries which had no protection from short circuit, were damaged, and several of which were in a reactive state, the FAA alleges.

Where:

• Consignment was offered for transport in Ontario, CA.  For delivery to the UPS facility in Louisville, KY.

When:

• Consignment of lithium batteries was offered for transport on November 15, 2018.
• FAA press release: January 24, 2020
• UPS has 30 days after receiving the FAA’s enforcement letter to respond to the agency.

Why:

Lithium ion (and lithium metal) batteries that are damaged, defective and likely to generate a dangerous evolution of heat are forbidden for air transportation on cargo and passenger carrying aircraft.

How:

The FAA does not create the Hazardous Materials Regulations – that’s the job of another administration within the USDOT: the Pipeline and Hazardous Materials Safety Administration (PHMSA) – but it does enforce the HMR when a hazardous material is transported by air.

Conclusion:

Even big companies make mistakes.  Another reason why the person who offers a HazMat for transportation (the shipper) should not rely on the carrier to ensure compliance with the regulations.  Only knowledge of the regulations and the biennial training required by IATA (USDOT/PHMSA requires training every three years) can keep your company from facing civil penalties like the one now faced by UPS.

The Bullet:

The Federal Aviation Administration (FAA) alleges that Amazon, Inc. violated USDOT regulations for the transportation of hazardous materials by air on several occasions.  It has proposed fines as a civil penalty for those alleged violations.

The information for this article regarding the alleged violations is derived from three FAA press releases.  Links to these press releases are at the end of this article.

Who:

Amazon.com, Inc., often referred to as simply Amazon, is an American electronic commerce and cloud computing company with headquarters in Seattle, Washington. Wikipedia

The Federal Aviation Administration (FAA) is the national aviation authority of the United States, with powers to regulate all aspects of American civil aviation. These include the construction and operation of airports, the management of air traffic, the certification of personnel and aircraft, and the protection of US assets during the launch or reentry of commercial space vehicles.  Wikipedia

The FAA is one administration or bureau of many within the U.S. Department of Transportation.  Another USDOT administration, PHMSA or the Pipeline and Hazardous Materials Safety Administration, is responsible for all regulations regarding the transportation of hazardous materials in commerce within the U.S.  In this situation the FAA is the investigation and enforcement agency for the PHMSA Hazardous Materials Regulations (HMR).

Unmentioned in the press release is an international agency known as IATA, the International Air Transport Association, and its Dangerous Goods Regulations.  IATA is a creation of the airline industry – not of any government body – to set standards and regulate all transportation by air.  Its Dangerous Goods Regulations, though not officially adopted by PHMSA, is based on – and even a little more strict than – the Technical Instructions of the International Civil Aviation Administration (ICAO).  The ICAO Technical Instructions are adopted by PHMSA

What:

FAA alleges that in three separate incidents dating from 2014, Amazon did not comply with the HMR.  Though each incident involved different hazardous materials (from acid drain cleaners to a compressed gas) and different outcomes (injured UPS employees, leaking packages), the alleged violations were sadly similar.  They include:

• Not classifying the intended shipments to determine if they were a hazardous material as defined at 49 CFR 171.8.
• Not using the authorized packaging for the HazMat.  Authorized packaging is identified for each HazMat in part 173 of the HMR, referenced from column 8 of the Hazardous Materials Table at §172.101.
• Not using packaging designed, manufactured, tested, and marked to indicate it meets the United Nations packaging standards.
• Packages offered for transport were not marked or labeled to indicate the contents and its potential hazards.  The package marking and labeling requirements are at §172, subpart D and E, respectively.
• Not preparing and providing to the carrier (Fed Ex or UPS) two copies of the shipping paper which is meant to describe the entire hazardous materials shipment.  One of the press releases refers to the Shipper’s Declaration of Dangerous Goods, which is the name for a shipping paper used exclusively by IATA.
• Failing to provide emergency information.  Actually, a shipper of HazMat is required to provide two separate types of emergency information on or with the shipping paper.  Required emergency information includes:
  • Emergency Response Information that provides emergency responders and trained HazMat Employees critical information in the first few minutes of a spill, fire, or other HazMat incident.  Read:  The Shipper Must Provide Emergency Information.
  • Emergency Response Telephone is a phone number to call 24/7 whenever a HazMat is in transportation.  Its purpose is to provide emergency responders and trained HazMat Employees with immediate contact with a person who is knowledgeable about the hazards of the shipment and has basic emergency response awareness.  Read:  Providing the Emergency Response Phone Number.
  • “Amazon employees who handled the package had not received required hazardous materials training.”  You’ll forgive my bias but this is the big one.  Not providing initial and triennial HazMat Employee Training is bad enough.  But, if done right, training would have provided Amazon employees with the information and the tools necessary to properly classify and package the HazMat, apply the correct HazMat labels and markings, and complete the Shipper’s Declaration of Dangerous Goods – with the applicable emergency information.

The three proposed civil penalties are:

• $350,000 for alleged violations of October 15, 2014
• $78,000 for alleged violations of May 24, 2014
• $52,000 for alleged violations of June 2, 2014

Where/When:

• In a press release dated June 15, 2016, FAA alleged:  on October 15, 2014 Amazon offered to United Parcel Service (UPS) a package containg a one-gallon container of “Amazing! LIQUID FIRE,” a corrosive drain cleaner for transport from Louisville, KY to Boulder, CO.
• In a press release dated June 22, 2016, FAA alleged:  on June 2, 2014, Amazon offered UPS a non-specification cardboard box containing a flammable gas for air transportation from Whitestown, IN to Glendale, CA.
• In a press release also dated June 22, 2016, FAA alleged:  on May 24, 2014, Amazon offered Federal Express (FedEx) two cardboard boxes containing corrosive rust stain preventer for air transportation from Plainfield, IL to Davenport, FL.

Why:

The purpose of the HMR is to ensure the safe transportation in commerce of hazardous materials.  One of the responsibilities of the FAA is to ensure that HazMat transported by air within the U.S. is done in compliance with the HMR and the IATA Dangerous Goods Regulations.

Amazon has a history of violating the Hazardous Materials Regulations.  From February 2013 to September 2014 alone, Amazon was found to have violated the Hazardous Materials Regulations 24 other times.  FAA press release of June 13, 2016

How:

The FAA has the authority to enforce the Hazardous Materials Regulations of PHMSA when the mode of transportation is by aircraft.  The FAA will, in addition, enforce the IATA DGR if it is used within the U.S. by a carrier or shipper.

In 2015, the FAA handed out more than $4.5 million in civil penalties for improper shipments of hazardous materials aboard airplanes, up from $3.4 million in 2014.  Dallas Morning News

Conclusion:

• Don’t assume that big companies have huge budgets to spend on regulatory compliance and therefore have all the answers when it comes to shipping HazMat.  Unless they have personnel dedicated to researching the regulations, and staying on top of new regulations – such as those for the transportation of lithium batteries – they can be just as in the dark as a small start-up.
• One mainstream news article on this issue quoted an expert who stated regarding Amazon, “Before, when they were smaller, they didn’t have to make as many distinctions between ground and air.”  In fact, the Hazardous Materials Regulations of PHMSA apply to these HazMat no matter how they are transported in commerce (air, rail, highway, or vessel).  It’s just that the regulations for transportation by air are more strict than those by highway and rail (the regulations for transportation of HazMat by vessel are also pretty strict, just not as strict as those by air).
• Another mainstream media article referred to these hazardous materials in these instances as “prohibited dangerous goods…”.  Without more information on the actual hazardous material and the volume of their packaging, it is impossible to know if it is “prohibited” for transportation by air or merely subject to the requirements of the HMR.  Many hazardous materials – including Class 1 explosives – may be transported by air if they are correctly classified, packaged, marked and labeled, and a shipping paper is prepared with the necessary emergency information.

More Information:

• FAA press release June 13, 2016 – FAA Proposes $350,000 Civil Penalty Against Amazon.com, Inc.
• FAA press release June 22, 2016 – FAA Proposes $52,000 Civil Penalty Against Amazon, Inc., for Alleged Hazardous Materials Violations
• FAA press release June 22, 2016 – FAA Proposes $78,000 Civil Penalty Against Amazon, Inc. for Alleged Hazardous Materials Violations

Another month and another raft of regulatory agency publications in the Federal Register.  As an EHS Professional you may find it too much to stay on top of all these changes in the regulations.  That’s the reason for my monthly search through the Federal Register to identify for you the applicable regulations of the following agencies:

• Environmental Protection Agency (EPA)
• Federal Aviation Administration (FAA) – an administration within the Department of Transportation (DOT).
• Federal Motor Carrier Safety Administration (FMCSA) – an administration within the Department of Transportation (DOT).
• Federal Railroad Administration (FRA) – an administration within the Department of Transportation (DOT).
• Pipeline and Hazardous Materials Safety Administration (PHMSA) – an administration within the Department of Transportation (DOT).

I couldn’t find any publications related to the management of hazardous waste or the transportation of hazardous materials from the FAA, FMCSA, or FRA.  There were, however, some publications by EPA and PHMSA that may have an impact on how you manage hazardous waste and/or ship hazardous materials.

Please note that this is my best effort to identify the relevant announcements in the Federal Register that may be of interest to generators of hazardous waste and shippers of hazardous materials.  I encourage you to review the list of Federal Register publications yourself to ensure regulatory compliance.

As you review this document note the different types of publications in the Federal Register and their relative import:

Rules and Regulations – These are notifications of rules and regulations that have passed the review process and will – now or at a later established date – become regulations in the CFR (Code of Federal Regulations).  Complying with them is not an option.

Proposed Rules – These are notifications of a new rule or a modification to an existing one that the agency has in the works.  Interested parties may still submit comments and possibly affect the outcome of a proposed rule.

Notices – For all the things the government does that don’t rise to the level of regulations.  These could be safety notices or announcements of meetings for interested parties regarding proposed rules.

FEBRUARY 1, 2016 THROUGH FEBRUARY 29, 2016

USEPA – US ENVIRONMENTAL PROTECTION AGENCY:

Publications not related to the management of hazardous waste, solid waste, universal waste, or used oil are not included here.

Rules and Regulations:

Additions to List of Categorical Non-Waste Fuels Pages 6687 – 6743 [FR DOC # 2016-01866] PDF | Text | More

Proposed Rules:

None

Notices:

Inquiry To Learn Whether Businesses Assert Business Confidentiality Claims Regarding Waste Import and Export Pages 7788 – 7791 [FR DOC # 2016-03102] PDF | Text | More

Proposed Information Collection Request; Comment Request; Recordkeeping and Reporting-Solid Waste Disposal Facilities and Practices  Pages 8956 – 8957 [FR DOC # 2016-03744] PDF | Text | More

FAA – FEDERAL AVIATION ADMINISTRATION:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

FMCSA – FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

FRA – FEDERAL RAILROAD ADMINISTRATION:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

NONE

PHMSA – PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

Hazardous Materials: Public Meeting Notice for the Research and Development Forum Pages 6103 – 6104 [FR DOC # 2016-02146]PDF | Text | More

Information can be helpful but it’s useless if you are not able to make sense of it.  You must be able to determine how any changes to the rules and regulations (final or proposed) will affect your operations, and communicate the necessary information to your personnel.  I can help you to do that.

Please contact me for a free training consultation to determine your regulatory requirements and how training can help you to attain and maintain compliance with the regulations of the US Environmental Protection Agency (and your state) and the PHMSA, FAA, FRA, & FMCSA of the US Department of Transportation.

One of the hardest challenges for an EHS Professional is staying aware of changes to the Federal Regulations that affect your compliance.  Luckily, these new rules and regulations don’t just appear overnight.  Often they are the result of years of Notices of Proposed Rulemakings by the respective regulatory agencies followed by requests for comment from the regulated industry (that’s you!)  These comments may cause the agency to change the proposed rule which results in further notices until – perhaps months or years later – a Final Rule is published.  Usually the Final Rule is published months before it becomes effective. The Rulemaking Process is designed to encourage participation of the regulated industry and to ensure no one is caught flat-footed by changes to the Code of Federal Regulations.  This entire process is published periodically in the Federal Register.

On its website the US Government Printing Office makes a wealth of Federal publications available for review and download; one of these is the Federal Register.

Published by the Office of the Federal Register, National Archives and Records Administration (NARA), the Federal Register is the official daily publication for rules, proposed rules, and notices of Federal agencies and organizations, as well as executive orders and other presidential documents.

What I have done for the month of June 2015 is reviewed the list of publications in the Federal Register from the agencies listed below.  I have only included published notices that affect the management of waste and the transportation of hazardous materials.

• Environmental Protection Agency (EPA) publications related to the generation, management, and disposal of solid waste, hazardous waste, universal waste, and used oil.
• The following agencies – all within the Department of Transportation – for publications solely related to the transportation of hazardous materials (HazMat).
  • Pipeline & Hazardous Materials Safety Administration (PHMSA).
  • Federal Motor Carrier Safety Administration (FMCSA).
  • Federal Railroad Administration (FRA).
  • Federal Aviation Administration (FAA).

DISCLAIMER:  Please note that this is my best effort to identify the relevant announcements in the Federal Register that may be of interest to generators of hazardous waste and shippers of hazardous materials.  I encourage you to review the list of Federal Register publications yourself to ensure regulatory compliance.

 June 1, 2015 through June 30, 2015

USEPA – US Environmental Protection Agency:

Publications not related to the management of hazardous waste, solid waste, universal waste, or used oil are not included here.

Rules and Regulations:

None

Proposed Rules:

Idaho: Authorization of State Hazardous Waste Management Program Revision Pages 31338 – 31342 [FR DOC # 2015-12932] PDF | Text | More

Notices:

Agency Information Collection Activities; Proposed Collection; Comment Request; Criteria for Classification of Solid Waste Disposal Facilities and Practices, Recordkeeping and Reporting Requirements Pages 34154 – 34155 [FR DOC # 2015-14658] PDF | Text | More

Agency Information Collection Activities; Proposed Collection; Comment Request; Hazardous Remediation Waste Management Requirements (HWIR Contaminated Media) Pages 34156 – 34157 [FR DOC # 2015-14657] PDF | Text | More

FAA – Federal Aviation Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

FMCSA – Federal Motor Carrier Safety Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

Incorporation by Reference; North American Standard Out-of-Service Criteria; Hazardous Materials Safety Permits Pages 34839 – 34841 [FR DOC # 2015-14961] PDF | Text | More

State Compliance With Commercial Driver’s License Program: Correction Pages 36930 – 36932 [FR DOC # 2015-15906] PDF | Text | More

Proposed Rules:

Parts and Accessories Necessary for Safe Operation: Federal Motor Vehicle Safety Standards Certification for Commercial Motor Vehicles Operated by United States-Domiciled Motor Carriers Pages 34588 – 34593 [FR DOC # 2015-14934]     PDF | Text | More

Hazardous Materials Safety Permit (HMSP) Program: Amendment to Enforcement Policy Pages 35253 – 35255 [FR DOC # 2015-15091] PDF | Text | More

Notices:

None

FRA – Federal Railroad Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

PHMSA – Pipeline and Hazardous Materials Safety Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

Information can be helpful but it’s useless if you are not able to make sense of it.  You must be able to determine how any changes to the rules and regulations (final or proposed) will affect your operations, and communicate the necessary information to your personnel.  I can help you to do that.

Please contact me for a free training consultation to determine your regulatory requirements and how training can help you to attain and maintain compliance with the regulations of the US Environmental Protection Agency (and your state) and the PHMSA, FAA, FRA, & FMCSA of the US Department of Transportation.

November 2014 – Rules & Regulations, Proposed Rules, and Notices Regarding the Management of Hazardous Waste and the Transportation of Hazardous Materials

On its website the US Government Printing Office makes a wealth of Federal publications available for review and download; one of these is the Federal Register.

Published by the Office of the Federal Register, National Archives and Records Administration (NARA), the Federal Register is the official daily publication for rules, proposed rules, and notices of Federal agencies and organizations, as well as executive orders and other presidential documents.

See below for a brief summary of announcements in the Federal Register by the US EPA on the subject of Hazardous Waste and the Pipeline & Hazardous Materials Safety Administration (PHMSA), Federal Railroad Administration (FRA), and the Federal Aviation Administration (FAA) of the US DOT on the subject of Transportation of Hazardous Materials.

The Federal Register is a great way to look down the road and see potential changes to the regulations long before they are put into effect (sometimes The Rulemaking Process takes years before a final rule is issued, if ever).  Knowledge of these potential changes provides you with several advantages:

• Additional time to modify your business operations to comply.
• Awareness of on what topics the regulatory agencies intend to focus their efforts.
• The ability to register your concerns, complaints, suggestions, etc. in order to modify the proposed rule before a final rule is issued.  It can be done, really!
• Make changes to your training program to account for changes that become effective before the next training cycle.
• Alert you to the need to re-train your employees prior to their next scheduled training cycle, if necessary.
• Keep you abreast of changes to the regulations that affect your business and/or your industry group.

Please note that this is my best effort to identify the relevant announcements in the Federal Register that may be of interest to generators of hazardous waste and shippers of hazardous materials.  I encourage you to review the list of Federal Register publications yourself to ensure regulatory compliance.

 November 1, 2014 through November 30, 2014

USEPA – US Environmental Protection Agency:

Publications not related to the management of hazardous waste, solid waste, universal waste, or used oil are not included here.

Rules and Regulations:

• Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties, Issuance of Compliance or Corrective Action Orders, and the Revocation, Termination or Suspension of Permits Pages 65897 – 65901 [FR DOC # 2014-26321] PDF| Text | More
• Hazardous Waste Management System; Identification and Listing of Hazardous Waste; Final Exclusion Pages 70108 – 70113 [FR DOC # 2014-27780] PDF| Text | More

Proposed Rules:

• Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties, Issuance of Compliance or Corrective Action Orders, and the Revocation, Termination or Suspension of Permits Pages 65910 – 65912 [FR DOC # 2014-26318] PDF| Text | More

Notices:

• Agency Information Collection Activities; Proposed Collection; Comment Request; Requirements and Exemptions for Specific RCRA Wastes Pages 65652 – 65653 [FR DOC # 2014-26329] PDF | Text | More

FAA – Federal Aviation Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

FMCSA – Federal Motor Carrier Safety Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

None

FRA – Federal Railroad Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

• Training, Qualification, and Oversight for Safety-Related Railroad Employees Pages 66459 – 66510 [FR DOC # 2014-26290] PDF| Text | More

Proposed Rules:

None

Notices:

• Roadway Worker Authority Limits-Importance of Clear Communication, Compliance With Applicable Rules and Procedures, and Ensuring That Appropriate Safety Redundancies Are in Place in the Event of Miscommunication or Error Pages 70268 – 70270 [FR DOC # 2014-27955] PDF| Text | More

PHMSA – Pipeline and Hazardous Materials Safety Administration:

Publications not related to the transportation of hazardous materials are not included here.

Rules and Regulations:

None

Proposed Rules:

None

Notices:

• List of Delayed Applications Pages 65296 – 65296 [FR DOC # 2014-25165] PDF| Text | More
• Actions on Special Permit Applications Pages 65297 – 65298 [FR DOC # 2014-25168] PDF| Text | More
• Pipeline Safety: Renewal Requests for Special Permit Pages 65477 – 65478 [FR DOC # 2014-26086] PDF | Text | More
• International Standards on the Transport of Dangerous Goods Pages 65768 – 65768 [FR DOC # 2014-26184] PDF| Text | More
• Office of Hazardous Materials Safety; Notice of Application For Special Permits Pages 69559 – 69560 [FR DOC # 2014-27426] PDF| Text | More
• Actions on Special Permit Applications Pages 69560 – 69561 [FR DOC # 2014-27427] PDF| Text | More
• Delayed Applications Pages 69561 – 69562 [FR DOC # 2014-27428] PDF| Text | More
• Notice of Application for Modification of Special Permit Pages 69562 – 69563 [FR DOC # 2014-27430] PDF| Text | More

Information can be helpful but it’s useless if you are not able to make sense of it.  You must be able to determine how any changes to the rules and regulations (final or proposed) will affect your operations, and communicate the necessary information to your personnel.  I can help you to do that.

Please contact for a free training consultation to determine your regulatory requirements and how training can help you to attain and maintain compliance with the regulations of the US Environmental Protection Agency (and your state) and the PHMSA, FAA, FRA, & FMCSA of the US Department Of Transportation.