{"operation":"document","citation":"18-0119","title":"Cascade Asset Management, LLC — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2019-03-13","effective_on":null,"summary":"18-0119 response to Cascade Asset Management, LLC concerning 172.102, 173.185, 173.24.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-18-0119.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-18-0119.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-18-0119","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/docs/standards-rulemaking/hazmat/interpretations/70821/180119.pdf","body":"<<<PAGE 1>>>\n\nU.S. Department\nof Transportation\nPlpellne and Hazardout\nMaterlal1 Safety\nAdmlnlttratlon\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nMAR 1 3 2019\nJohn Sorrel Weakland\nEH&S Compliance Coordinator\nCascade Asset Management, LLC\n6701 Manufacturers Drive\nMadison, WI 53704\nReference No. 18-0119\nDear Mr. Weakland:\nThis letter is in response to your August 20, 2018, letter requesting clarification of the Hazardous\nMaterials Regulations (HMR; 49 CFR Parts 171 -180) applicable to shipments of used\nnickel-cadmium and lithium ion batteries for recycling. You explain that your company\ndisassembles electronic devices and ships the used nickel-cadmium and lithium ion batteries to\nrecycling centers via highway transportation only. Additionally, you state that certain battery\nrecycling companies have instructed you to use the Class 8 (Corrosive) label for packages of\nspent dry nickel-cadmium batteries and the Class 9 (Miscellaneous) label for packages of used\nlithium ion batteries. You provide photographs of the requested package configurations.\nSpecifically, you ask several questions about the labeling and training requirements for these\nbattery shipments. We have paraphrased and answered your questions as follows:\nQ 1. You ask if shipments meeting the exceptions in § 172.102( c) Special Provision 130( d) for\nspent dry batteries and § 173 .185( d) for used lithium ion batteries require hazard class\nlabels.\nA 1. Shipments of used or spent dry batteries meeting the conditions of§ 172.102( c ), Special\nProvision 130(d) are not subject to any other requirement of the HMR, to include labeling\nrequirements. Special Provision 130(d) does not permit batteries having different\nchemistries,. e.g. lithium ion and/or dry batteries with a marked rating of greater than\n9-volts, to be combined with used or spent batteries in the same package.\nPlease note the description \"UN3028, Batteries, dry, containing potassium hydroxide\nsolid\" is not appropriate for nickel-cadmium batteries. This entry should be used only to\ndescribe non-activated batteries that contain dry potassium hydroxide and that are\nintended to be activated prior to use by the addition of an appropriate amount of water to\nthe individual cells. This proper shipping name does not apply to common household\nbatteries, such as nickel-cadmium, which are most appropriately described as \"Batteries,\ndry, sealed, n.o.s.\"\n\n<<<PAGE 2>>>\n\nQ2. A2. Q3. A3. Q4. Shipments of lithium cells or batteries transported by motor vehicle for purposes of\nrecycling in accordance with § 173 .185( d) are excepted from the testing and record\nkeeping requirements of§ 173.185(a) and the specification packaging requirements of\n§ 173. l 85(b )(3) when packed in a strong outer packaging conforming to the requirements\nof§§ 173.24 and 173.24a. A lithium cell or battery shipment that meets the size,\npackaging, and hazard communication requirements in§ 173.185(c)(l)-(3) is excepted\nfrom the requirements in Subparts C through H of Part 172, which includes labeling\nrequirements. Such packages must display the lithium battery mark required by\n§ 173.185(c)(3). A lithium cell or battery shipment that does not meet the requirements\nin § 173 .185( c )( 1 )-(3) must be labeled with the appropriate hazard class and meet the\nrequirements in Subparts C through H of Part 172.\nProvided the shipments in Question Q 1 do not require hazard class labels, you ask if\npermissive labeling of Class 8 for nickel-cadmium batteries and Class 9 for lithium ion\nbatteries would be permitted in accordance with Special Provision 130(d) and\n§ 173.185(d).\nYou may permissively label the package so long as it contains the material and presents\nthe hazard described. However, as noted in Answer Al, nickel-cadmium batteries are\nmost appropriately described as \"Batteries, dry, sealed, n.o.s.\" and do not meet the\ndefinition of a Class 8 material. Therefore, it would be incorrect to use the Class 8 label\nfor shipments of nickel-cadmium batteries.\nProvided the hazard class labels in Question Q2 are permitted but unnecessary, you ask if\nit is appropriate for a carrier to require the additional labels.\nWhile the HMR do not prohibit permissive labeling of these shipments, this Office does\nnot recommend partial use of either exception, as it can create confusion in the\nenforcement or emergency response community that may result in issuance of a ticket\nand frustration of your shipment.\nYou ask ifthere are training requirem~nts for staff who package used nickel-cadmium\nand lithium ion batteries that qualify for the exceptions in Special Provision 130(d) and\n§ 173.185(d).\n\n<<<PAGE 3>>>\n\nA4. Hazardous materials training is not required for staff packaging shipments that meet the\nexceptions in Special Provision 130( d) for spent dry batteries. Lithium cells or batteries\nthat meet the size, packaging, and hazard communication requirements in paragraph\n( c )(1 )-{3) and § 173 .185( d) for used lithium ion batteries shipped for recycling are\nexcepted from the training requirements in Subpart H. See Answer Al.\nI hope this information is helpful. Please contact us if we can be of further assistance.\nSincerely,\nT. Glenn Foster\nChief, Regulatory Review and Reinvention\nStandards and Rulemaking Division\n\n<<<PAGE 4>>>\n\nCASCADE\nASSET MANAGEMENT\n'18 - 0l \\9\nCorporate Headquarters & Processing Facility\n6701 Manufacturers Dr.\nMadison, WI 53704\nAugust 20, 2018\nMr. Shane Kelley\nDirector, Standards and Rulemaking Division\nU.S. DOT/PHMSA (PHH-10)\n1200 New Jersey Avenue, SE East Building, 2nd Floor\nWashington, DC 20590\nOur company is seeking clarification regarding the labeling of used batteries shipped for recycling and the\ntraining requi rements for staff conducting the shipments. Specifically, our questions regard whether\nputting hazard class labels on containers nullifies t he exempt ions to Hazardous Materials Regulations that\nare provided fo r qualifying types of small batteries shipped for recycling, and, secondly, whether there are\nstill legally mandated training requirements that would apply even if we are exempt from the\nrequirements specified in 49 CFR 172.704.\nAs background, our company disassembles computers and other electronic devices for recycling. Nearly all\nbatteries removed for recycling are of the size and type that qualify for the exceptions given in Special\nProvision 130(d) in 49 CFR 172.102(c)(l) for spent dry batteries, and in 173.185(d) fo r used lithium\nbatteries. (All batteries are shipped to battery recyclers via highway t ransport only.) By my reading of\nthose exceptions, the dry batteries require no special DOT labeling, while the lithium batteries require UN\nnumbers and certain other labeling but not a class 9 lithium battery hazard label. However, some battery\nrecycling companies have instructed us to put the class 9 label on all lithium battery containers and the\nclass 8 label on all dry nickel-cadmium battery containers (classifying the latter as UN 3028). This left me\nuncertain about what is the proper way to label these materials.\nI have attached photos of how we were requested to label packages of used lithium ion batteries and\nnickel-cadm ium batteries from laptops, tablets, smart phones and other small electronics. By my reading\nof the exceptions, the class 9 label on the lithium ion package is unnecessary (the other two remain per\n173.185(c) ), and neither of the two labels on the NiCd container are required.\nI was advised by someone in the industry that the hazard class labels were most definitely NOT required if\nthe batteries were being shipped for recycling and, furthermore, that adding those labels was to commit\nto classifying the contents as fully regulated hazardous material, nullifying the exceptions and bringing\ninto effect other .pa rts of the HMR (notably training requirements for Hazmat employees) that we wished\nto avoid. However, a DOT regulator told me over the phone that this was not the case-that applying the\nhazard class labels did not of itself nullify the exceptions (although he agreed they were superfluous and\nrecommended omitting them). Our attorneys concurred with that opinion, but t hey noted that there has\n~wards\nI\nAsset Value• Data Security• Environment\nIndiana * Wisconsin\nPH:1.888.222.8399 FAX:1.608.222.6208 E: info@cascade-assets.com www.cascade-assets.com\n\n<<<PAGE 5>>>\n\nCASCADE\nASSET MANAGEMENT\nCorporate Headquarters & Processing Facility\n6701 Manufacturers Dr.\nMadison, WI 53704\nbeen no formal letter of interpretation published about the matter and they advised that we seek one\nfrom the PHMSA.\nTo summarize, ou r questions are the following:\nQl: Do the exceptions cited above for qualifying batteries shipped for recycling indeed remove the need\nfor hazard class labels on the outer packaging?\nQ2 : If yes (Ql), does applying the hazard class label (class 9 for lithium and class 8 for nickel-cadmium) to\nthe packaging nullify the exceptions?\nQ3 : If the hazard class labels are permitted but unnecessary (Ql-yes, Q2-no), is it appropriate for a\ntransporter to require these extra labels?\nOne last question we have regards training requirements for staff who package used batteries that qualify\nfor the exceptions above:\nQ4: If the training requirements in 172.704 do not apply, are there other training-related requirements\nthat apply instead?\nWe appreciate you providing a definitive answer to these questions, which will help clarify the matter for\nothers in our industry.\nJohn Sorrel Weakland\nEH&S Compliance Coordinator\nCascade Asset Management, LLC\njweakland@cascade-assets.com\n~ wards Asset Value • Data Security • Environment\nIndiana * Wisconsin\nPH:1.888.222.8399 FAX:1.608.222.6208 E: info@cascade-assets.com www.cascade-assets.com\n\n<<<PAGE 6>>>\n\nCASCADE\nASSET MANAGEMENT\nCorporate Headquarters & Processing Facility\n6701 Manufacturers Dr.\nMadison, W I 53704\nLithium ion batteries :\n11111UM Ml111!11 ',\n11m11r1111 NI OM 11U\\NWC111 I\n,.11(//\\IH MIi 11111 I ANO\n1\\',11\nU 4 11l!O\nIUlllllM 1()14 lll\\W 1111\\\n•h•,11u•dl1w\n( 11 • ,tdt A q•l M~rnttt:,+im¥,-,\n1-flOI M~-,u l.1ttur-o lhl\"i'\nNickel-cadmium batteries :\n~wards Asset Value • Data Security • Environment\nIndiana * Wisconsin\nPH:1.888.222.8399 FAX: 1.608.222.6208 E: info@cascade-assets.com www.cascade-assets.com","truncated":false,"body_characters":10246}