uniform hazardous waste manifest

Q&A: Who is Required to Sign the Shipping Paper for a Hazardous Material?

A question from a regular inquisitor regarding the Hazardous Material Regulations (5.17.16):

Good morning.
Question- We generate our own manifest or shipping papers for both hazardous and non hazardous loads.
We produce our own chemicals and ship/carry them to job sites.
That being the case, is the driver/employee required to sign the manifest?

My reply that same day:

Thank you for contacting me.  I’ll try to answer your question below:

  • A signature or certification is not required from the driver/carrier on a HazMat shipping paper.  Your company is the carrier of the HazMat since you transport it in commerce.
  • 49 CFR 172.204 requires a signature certification from the shipper of a hazardous material (your company is also the shipper of the HazMat since you offer it for transportation).

However…

  • 49 CFR 172.204(b)(1)(ii) includes an exception from the requirement for a shipper certification if the shipper is acting as a private carrier (i.e. transporting its own HazMat) and the HazMat will not be reshipped or transferred to another carrier.
In sum, based on what you described, your HazMat shipping paper does not require a signature or certification from either the shipper or the carrier (your company is both of these).
Once again a simple, but important, question is answered and the business of HazMat transportation can continue:
Thanks again.
Not included in my correspondence but helpful:

Contact me with any questions you may have about the transportation of hazardous materials by air, highway, vessel, or rail

International and Domestic

Daniels Training Services

815.821.1550

Info@DanielsTraining.com

https://www.danielstraining.com/

Q&A: What Training is Required in Order for a Person at an SQG to Sign the Hazardous Waste Manifest?

(1.7.16)  Sometimes it doesn’t take much of a question to get my attention:

Training required to sign shipping manifest for SQG.

My reply that same day:

If your question is if training is required for employees of an SQG who sign the hazardous waste manifest, I will try to answer that below.

Please don’t hesitate to contact me with any other questions.
Daniel Stoehr
Daniels Training Services

Contact me with any questions you may have about the generation, identification, management, and disposal of hazardous waste

Daniels Training Services

815.821.1550

Info@DanielsTraining.com

https://www.danielstraining.com/

And that was it.  Haven’t heard from him since.  I’d like to hear from you though, if you have a question about the transportation of hazardous materials or the management of waste (hazardous, universal, non-hazardous, & used oil).

Avoid These Mistakes on the Uniform Hazardous Waste Manifest

The generator of a hazardous waste is responsible for the accurate – and legible – completion of the Uniform Hazardous Waste Manifest. This is true even if your hazardous waste transporter or Treatment Storage or Disposal Facility (TSDF) provides you with a completed manifest for your shipment. The person who signs the manifest as a representative of the Offeror (this could be the generator, the transporter, or a consultant working for either) is liable for false or incorrect information on the manifest. If you are either the generator of the hazardous waste or the offeror of the shipment you must take care to avoid these common problems on the manifest that may lead to violations. (more…)

Who Signs the Manifest if More Than One Driver From the Same Company?

Who Signs the Manifest if More Than One Driver From the Same Company?

Here’s a question from a person with years of experience in the hazardous waste industry.  I know because he and I worked together years ago.  His latest question, from July 30th, 2015, is part of an ongoing conversation we’ve been having about the USEPA regulations for a hazardous waste transporter; and in particular, those regulations regarding the handling of hazardous waste in a 10-day transfer facility:

Is it necessary to have a different driver from the same company sign the RCRA Manifest as Transporter 2 when taking possession of it at a transfer facility from the driver who signed as Transporter 1?  I spoke to a lady from the USEPA who said “well sure you want the 2nd transporter from the same company to sign, how else would you know who was driving” she was not real convincing. I spoke to <<name of state regulatory agency redacted>> and to a guy in <<name of state redacted>> and they both said no just the first driver from one company only needs to sign. If you come across anything please let me know. I will keep talking to people and looking things up. I would really like a concrete answer.

My response just a few hours later (7.30.15):

When in doubt.  Go to the regulations.

III. Instructions for Transporters Item 17. Transporters’ Acknowledgments of Receipt Enter the name of the person accepting the waste on behalf of the first transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt. Only one signature per transportation company is required. Signatures are not required to track the movement of wastes in and out of transfer facilities, unless there is a change of custody between transporters. If applicable, enter the name of the person accepting the waste on behalf of the second transporter. That person must acknowledge acceptance of the waste described on the manifest by signing and entering the date of receipt.

emphasis mine.
 
The same is found in the Appendix to 40 CFR 262 and is printed as instructions on the back of the Uniform Hazardous Waste Manifest.
I hope this helps.
Dan
Another satisfied, well…not a customer, just an old friend who happens to also be in the hazardous waste transportation and disposal industry.

Hey Dan,

Thanks for the quick help, I really appreciate it. The good news is it sounds like we have been doing it correct to date. It always drives me nuts when I get different answers from people. You are right, when in doubt go to the regs.

Thanks again,

Contact me with any questions you may have about the generation, identification, management, and disposal of hazardous waste

Daniels Training Services

815.821.1550

Info@DanielsTraining.com

https://www.danielstraining.com/

Correcting Mistakes on a Uniform Hazardous Waste Manifest

Everybody makes mistakes, right?  But what if those mistakes are made by a generator of hazardous waste on the uniform hazardous waste manifest?  In this article I will explain the regulatory requirements of both the USEPA and the USDOT/PHMSA for correcting mistakes on the uniform hazardous waste manifest (Manifest). (more…)

The Order to the Basic Description

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. (more…)

Generator Requirements After an Off-Site Shipment of Hazardous Waste

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.  Please note that the driver will take page 1 with them when they leave your site.  It is important that you make a copy of page 1 prior to the driver leaving your site.

You’re still not done.  You must also ensure you receive a signed copy of the manifest from the designated facility within a certain time-frame.  Your responsibilities will depend on your hazardous waste generator status.

If an LQG you must:

  1. Contact the primary transporter or the designated facility if you have not received a copy of the manifest signed by the owner or operator of the designated facility within 35 days of the date accepted by the initial transporter.
  2. Submit an Exception Report to your State or the USEPA regional office if you have not received a copy of the manifest with the handwritten signature of the owner or operator of the designated facility within 45 days of the date accepted by the initial transporter.

The Exception Report for an LQG must include:

  • A legible copy of the manifest for which the generator does not have confirmation of delivery, and;
  • A cover letter signed by the generator or his authorized representative explaining the efforts taken to locate the hazardous waste and the results of those efforts.

If an SQG you must:

  1. 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).

The Exception Report for an SQG must include:

  • A legible copy of the manifest with some indication that the generator has not received confirmation of delivery.

Note the following regarding the Exception Report for both an LQG or SQG:

  • The regulations do not specify which copy of the manifest is to be returned to the generator by the designated facility.  However, page 3 of the manifest is intended for this purpose.
  • The date of initiation (ie. the date the clock starts) is the date the manifest is signed by the initial transporter and not the date the waste is certified as acceptable for shipment by the Generator/Offeror.
  • The Exception Report is submitted to the state if that state has an authorized hazardous waste program.  It must be submitted to the Regional USEPA office in states without an authorized hazardous waste program:  Iowa, Alaska, & Puerto Rico.
  • The signature of the owner or operator of the designated facility must be handwritten, though a copy of the manifest (not the original) is acceptable.
  • The submission to USEPA or state for an SQG need only be a handwritten or typed note on the manifest itself, or on an attached sheet of paper, stating that the return copy was not received.

Your State may also require you to ensure that an out-of-state designated facility sends a signed copy (page 2 is intended) of the manifest back to the agency of your State.  Check with your State Environmental Agency.

Finally, a generator must retain a copy 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.

The Uniform Hazardous Waste Manifest and Personal Liability

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 such as a 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 by 49 CFR 172.604.

This article was updated November 01, 2019 to reflect changes made to the regulations since its first publication on March 27, 2012.

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 (LOI 01-0176).

This knowledgeable person monitoring the telephone 24/7 (if necessary) 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 (e.g., “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 (LOI 11-0152, LOI 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 (LOI 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:

  1. Limited Quantities offered for transportation pursuant to 49 CFR 173.150-156 & 173.306.
  2. 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.
  3. 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.

The Top Six Hazardous Material Transportation Violations

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.