For those of you not familiar with the DOT Chart 14, it is a fantastic guidance document produced and distributed by the Pipeline and Hazardous Materials Safety Administration (PHMSA) within the US DOT.  It contains helpful information on three of the four hazardous material communication methods required by the Hazardous Material Regulations (HMR):

• Markings,
• Warning Labels, and;
• Placards.

The missing HazMat communication method is:  Shipping Papers.

At just four pages, the DOT Chart 14 is not a comprehensive source of information, nor is it intended to be a substitute for the regulations; as it reads on the cover, “NOTE:  This document is for general guidance only and should not be used to determine compliance with 49 CFR, Parts 100-185.”  And don’t be misled by the translation to Spanish; the HMR requires all HazMat shipping papers, markings, warning labels, and placards to be in English.  The intent, I imagine, of this translated version is to assist you as the HazMat Employer to fulfill the requirement to provide full training to your Spanish speaking HazMat Employees every three years (49 CFR 172, Subpart H).

The DOT Chart 14, both English and Spanish, is available from the following sources:

• Download and print a color copy from the PHMSA website for free (English or Spanish),
• Purchase a copy from a commercial supplier, or;
• Purchase a copy directly from the PHMSA for much less than you’ll spend at a commercial supplier.

I have used the DOT Chart 14 as a part of my HazMat Employee training for years, going back to when it used to be known as the DOT Chart 12 and was produced by the Research and Special Programs Administration (RSPA), precursor to the PHMSA.  I strongly recommend its use to assist you in complying with the Hazardous Material Regulations at your facility.

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:

1. 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.
2. 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.
3. 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…
4. 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.
5. 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.
6. 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.

49 CFR 173.12 contains many exceptions to full regulation for shipments of hazardous waste in a lab pack.  In an earlier blog post I discussed the exception in 173.12(d)that removes the need to include the technical name of a hazardous material when shipping lab packs of hazardous waste with a generic shipping name such as:  Waste Flammable Liquid, n.o.s.  This article will focus on the relief from the requirements to segregate HazMat -including hazardous waste – in transportation, found in 173.12(e).

If the requirements of this section are met – more on that below – then lab packs of hazardous waste are not subject to the segregation requirements of…

• 49 CFR 174.81(d) for shipments by rail,
• 49 CFR 176.83(b) for shipments by vessel, or;
• 49 CFR 177.848(d) for shipments by highway,

The purpose of the segregation restrictions is to prevent the transportation, or storage in transportation, of hazardous materials that may be incompatible and thus pose an unreasonable risk to life, property, or the environment.  However, PHMSA has determined that if packaged properly, the small volumes of hazardous waste in a lab pack can be transported safely without these restrictions.

Note that this exception to the segregation requirements does not apply to shipments by air.  In that case, the requirements of the International Air Transport Association (IATA) must be complied with in addition to and separate from the regulations of the PHMSA/US DOT.

To be subject to the exception, the hazardous waste must be packaged as a lab pack.  The PHMSA doesn’t define a lab pack, instead it refers you to the Appendix C Glossary of the RCRA Compliance Manual 2011 which defines a lab pack as “Drums filled with many small containers packed in non-biodegradable absorbent materials.”   This type of packaging is most commonly used when a hazardous waste generator – not necessarily a “lab” – has many small containers of hazardous waste for disposal.

To use the exception, the lab pack must meet the requirements of 49 CFR 173.12(b) which first specifically identifies the hazardous wastes that may not take advantage of this exception or any other found in this section, they are:

1. A material poisonous-by-inhalation
2. A Division 6.1, Packing Group I material
3. Chloric Acid
4. Oleum (fuming sulfuric acid)

173.12(b) goes on to identify the Class and Division of lab packed hazardous waste that are authorized to use this exception as long as they are packaged in combination packagings as required by this section (see below) and are shipped for disposal by highway, rail, or cargo vessel; they are:

• Class 3 Flammable or Combustible Liquid
• Division 4.1 Flammable Solid
• Division 4.2 Spontaneously Combustible
• Division 4.3 Dangerous When Wet
• Division 5.1 Oxidizer
• Division 5.2 Organic Peroxide
• Division 6.1 Poison
• Class 8 Corrosive
• Class 9 Miscellaneous

What are the combination packaging requirements of this section that must be used if the hazardous waste lab packs are to utilize the exception?  Well, briefly…

The inner packaging must either be glass of ≤4 L (1 gal) rated capacity or metal or plastic of ≤20 L (5.3 gal) rated capacity.  Inner packagings of liquids must be surrounded by a chemically compatible absorbent material sufficient to absorb the liquid contents.

The outer packaging may contain only one Class of waste material, may not contain incompatibles (ie. acid and base, some organic and inorganic, etc.), and it must be a type of packaging listed in 49 CFR 173.12(b)(2)(ii).  Note that the US EPA land disposal restrictions at 40 CFR 268.42(c) limit the packaging/container you may use if the entire lab pack is going straight to landfill or incineration.  By and large a open-top steel drum of at least packing group III condition will be OK.  Also The gross weight of the combined packaging (inner & outer packaging, absorbents and contents) may not exceed 205 KG (452 lb).

So, before you prepare a lab pack of hazardous waste for off-site shipment, ask yourself, “Is it…

• not a prohibited material?
• an authorized Class or Division?
• to be shipped by highway, rail, or cargo vessel?
• packaged in compliance with combination packaging requirements of 49 CFR 173.12(b)(2)(ii)?

If you answered ‘yes’ to all of the above, then lab pack shipments of the hazardous waste are not subject to the transportation segregation restrictions if they also are blocked and braced so that they are separated from incompatible materials by at least 4 feet horizontally and maintained at least 4 inches off the floor of the vehicle.

I suggest you read 173.12(e) as necessary for a full description of additional requirements for shipments of the following incompatible materials.

1. The vehicle may not contain Class 1 explosives, Class 7 radioactive, or uncontainerized hazardous waste.
2. Waste cyanides and waste acids must be packaged as specified in 173.12(e)(2).
3. Waste Division 4.2 Spontaneously Combustible and Class 8 Corrosive Liquids must be packaged as specified in 173.12(e)(3).
4. Waste Division 6.1, PG I, Hazard Zone A Poison Inhalation Hazards and Class 3, Class 8 liquids, or Division 4.1, 4.2, 4.3, 5.1, and 5.2 materials must be packaged as specified in 173.12(3)(4).

Sometimes when shipping hazardous materials the proper shipping name does not adequately describe the contents of the shipment.  An example of this, found in the Hazardous Materials Table (HMT) at 49 CFR 172.101 is the proper shipping name of:  Flammable Liquids, n.o.s. This entry and others like it contain the letter ‘G’ in column 1 of the HMT.  The ‘G’ stands for generic and indicates that one or more technical names must be included with the proper shipping name on the shipping paper and on the package.

An earlier article I wrote addressed the requirement to use the technical name when shipping HazMat, you may read it here.  In this article I will address one of the exceptions for the shipment of hazardous waste in lab packs found in49 CFR 173.12.  The exception provides relief from the requirement to use technical names when shipping lab packs of hazardous waste.

The PHMSA doesn’t define a lab pack, instead it refers you to the Appendix C Glossary of the RCRA Compliance Manual 2011 which defines a lab pack as “Drums filled with many small containers packed in non-biodegradable absorbent materials.”   This type of packaging is most commonly used when a hazardous waste generator – not necessarily a “lab” – has many small containers of hazardous waste for disposal.

49 CFR 173.12(b) first specifically identifies the hazardous wastes that may not take advantage of this exception or any other found in this section, they are:

1. A material poisonous-by-inhalation
2. A Division 6.1, Packing Group I material
3. Chloric Acid
4. Oleum (fuming sulfuric acid)

It goes on to identify the Class and Division of lab packed hazardous waste that are excepted as long as they are packaged in combination packagings as required by this section (see below) and are shipped for disposal by highway, rail, or cargo vessel, they are:

• Class 3 Flammable or Combustible Liquid
• Division 4.1 Flammable Solid
• Division 4.2 Spontaneously Combustible
• Division 4.3 Dangerous When Wet
• Division 5.1 Oxidizer
• Division 5.2 Organic Peroxide
• Division 6.1 Poison
• Class 8 Corrosive
• Class 9 Miscellaneous

What are the combination packaging requirements of this section that must be used if the hazardous waste lab packs are to utilize the exception?  Well, briefly…

The inner packaging must either be glass of ≤4 L (1 gal) rated capacity or metal or plastic of ≤20 L (5.3 gal) rated capacity.  Inner packagings of liquids must be surrounded by a chemically compatible absorbent material sufficient to absorb the liquid contents.

The outer packaging may contain only one Class of waste material, may not contain incompatibles (ie. acid and base, some organic and inorganic, etc.), and it must be a type of packaging listed in 49 CFR 173.12(b)(2)(ii).  Note that the US EPA land disposal restrictions at 40 CFR 268.42(c) limit the packaging/container you may use if the entire lab pack is going straight to landfill or incineration.  Also The gross weight of the combined packaging (inner & outer packaging, absorbents and contents) may not exceed 205 KG (452 lb).

So, before you prepare a lab pack of hazardous waste for off-site shipment, ask yourself, “Is it…

• not a prohibited material?
• an authorized Class or Division?
• to be shipped by highway, rail, or cargo vessel?
• packaged in compliance with combination packaging requirements of 49 CFR 173.12(b)(2)(ii)?

If you answered yes to all of the above, then you may take advantage of the following exceptions:

1. A generic description from the Hazardous Materials Table may be used in place of specific chemical names, when two or more chemically compatible waste materials in the same hazard class are packaged in the same outside packaging.  This means that a combination packaging containing several containers of sulfuric, nitric, and hydrochloric acid can utilize the proper shipping name of:  Waste Corrosive Liquids, n.o.s.  Read here for an explanation of when to use the word “waste” with a proper shipping name.
2. You need not include the technical name(s) on the shipping paper or on the package even if there is a ‘G’ in column 1 of the HMT for that proper shipping name.

But, as Columbo used to say, “Just one more thing…”  If the hazardous waste is also a hazardous substance(defined at 49 CFR 171.8), then it must be described as required in 49 CFR 172.203(c).  Which means you need to make sure the name of the hazardous substance and the letters ‘RQ’ are included with the proper shipping name on the shipping paper and the package.

To learn more about shipping hazardous waste, hazardous substances, hazardous materials, and all the requirements of a HazMat Employee, attend one of my training events.  My training also covers the US EPA training requirements for generators of hazardous waste.  You can complete both of these training requirements in one day.

Contact me to schedule on-site training!

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A Special Permit is a document which authorizes a person to perform a function that is not currently authorized by the Hazardous Material Regulations (HMR).  They are allowed when a person can demonstrate that the function can be performed safely or is otherwise necessary, such as in the event of an emergency.  Much more about Special Permits, Exemptions, Approvals, and Regulatory Exceptions may be learned by reading an earlierarticle of mine on the subject.  The purpose of this article is to report the status of several Special Permits and what must be done if a person wishes to continue to use them.

DOT-SP 11248

This Special Permit authorizes the manufacture, marking, sale and use of a specially designed combination packaging system manufactured by HAZMATPAC, Inc. of Houston, TX.  A HazMat shipper or carrier does not need a written approval from the PHMSA in order for them to take advantage of its conditions.  A portion of the Special Permit was incorporated into 49 CFR 173.13(c)(1)(ii) (effective 10.1.10, HM233A) to allow for an alternative packaging configuration.  This incorporation into the regulations means that the alternative packaging method is now included specifically in 49 CFR 173.13 for all regulated shippers and carriers whereas before its use was limited solely to the Special Permit.  The Special Permit has an expiration date of 12.31.14 and must be renewed by HAZMATPAC or some other packaging manufacturer in order to continue its use.

DOT-SP 13192

This Special Permit authorizes the transportation by highway of certain cyanide mixtures capable of liberating hydrogen cyanide (HCN), with acids if both hazardous materials are packaged as lab packs or non-bulk packages.  Without this Special Permit, acids and cyanide mixtures capable of liberating HCN are prohibited from being transported in the same vehicle pursuant to 49 CFR 177.848(c).  The use of this Special Permit by a carrier or shipper requires written approval from the PHMSA.  However, effective 10.1.10 in HM233A, the segregation requirements of 49 CFR parts 174 (Carriage by Rail), 175 (Carriage by Vessel), and 177 (Carriage by Public Highway) were amended to allow for the transportation of lab pack quantities of Division 4.2 PG I, Division 5.2, and Division 6.1 PG I (Hazard Zone A) with other waste materials if specific packaging requirements are met.  This incorporates some of DOT-SP 13192 into the regulations, but not all.  A HazMat shipper or carrier must determine if they can now use the regulatory exception or if they must obtain approval from PHMSA to use the Special Permit.

DOT-SP 11624

This Special Permit allows for the transportation of certain hazard class 3 (flammable) waste paints and paint related materials in metal or plastic pails and then packaged in cubic yard boxes, dump trailers and roll-off containers.  This Special Permit is currently effective and none of its conditions have been incorporated into the Hazardous Materials Regulations (HMR) as an exception.  Therefore, a shipper or carrier of HazMat must have written approval from the PHMSA before it may avail itself of the conditions of this Special Permit.

DOT-SP 10949

This Special Permit authorizes the transportation by highway of lab pack quantities of cyanides with non-lab packed acids of ≤55 gallons per package.  This Special Permit is currently effective and none of its conditions have been incorporated into the Hazardous Materials Regulations (HMR) as an exception.  Therefore, a shipper or carrier of HazMat must have written approval from the PHMSA before it may avail itself of the conditions of this Special Permit.

Sometimes the PHMSA incorporates an entire Special Permit into the regulations as an exception if they feel confident the safety of HazMat Employees, emergency responders, and the general public is ensured.  Other times, as is the case with DOT-SP 11248 & DOT-SP 13192, only a portion of the Special Permit is incorporated into the regulations.  This leaves the shipper or carrier to determine if they must obtain written approval to use the Special Permit or if they can rely on the regulatory exception in the HMR.  Additional information about Special Permits can be found on the PHMSA website.  There you can perform a search of available Special Permits and who has received permission to use them.

You can learn more about the PHMSA HazMat regulations and how they apply to you at the ‘FAQs’ or ‘Articles’ pages of my website.  Or, you can register for one of my open enrollment training events where I fulfill the training requirements of the PHMSA at 49 CFR 172, Subpart H and the US EPA at 40 CFR 265.16.