{"operation":"document","citation":"20-0087","title":"DHL Global Forwarding — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2021-06-03","effective_on":null,"summary":"20-0087 response to DHL Global Forwarding concerning 171.2, 173.185.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-20-0087.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-20-0087.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-20-0087","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/docs/standards-rulemaking/hazmat/interpretations/75091/200087.pdf","body":"<<<PAGE 1>>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nJune 3, 2021\nMr. Philip Poland\nDHL Global Forwarding\n2151 Southpark Dr. Ste 1\nHebron, KY 41048\nReference No. 20-0087\nDear Mr. Poland\nThis letter is in response to your November 13, 2020, email and subsequent telephone\nconversations requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR\nParts 171-180) applicable to the responsibilities of a freight forwarder. Beginning\nJanuary 1, 2022, each manufacturer and subsequent distributor of lithium cells or batteries\nmanufactured on or after January 1, 2008, must make available a lithium battery test summary\n(see § 173.185(a)(3)). Specifically, you ask whether a freight forwarder is responsible for\nvalidating that shipments of lithium cells or batteries comply with the HMR—by requesting a\nUnited Nations (UN) 38.3 Test Summary—prior to offering the shipments to an airline.\nAs provided in § 171.2(b), “… each offeror is responsible only for the specific pre-transportation\nfunctions that it performs or is required to perform, and each offeror may rely on information\nprovided by another offeror, unless that offeror knows or, a reasonable person, acting in the\ncircumstances and exercising reasonable care, would have knowledge that the information\nprovided by the other offeror is incorrect.” In the instance of shipments of lithium cells or\nbatteries, a freight forwarder would not be expected to validate whether a shipment meets all the\napplicable requirements of the HMR unless the freight forwarder is performing a pre-\ntransportation function that would require such knowledge, such as signing a shipper’s\ncertification.\n\n<<<PAGE 2>>>\n\nIn addition, if the freight forwarder has a reason to believe the information provided by the\nofferor is incorrect or does not meet the requirements of the HMR, the freight forwarder would\nbe required to validate the information before offering the lithium cells or batteries shipments\ninto transportation.\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 Branch\nStandards and Rulemaking Division\n\n<<<PAGE 3>>>\n\nWolcott\nFrom:\n20-0087\nTo:\nPhillip Poland (DHL US)\nSubject:\nCc:\nPfund, Duane (PHMSA); Dodd, Alice (PHMSA)\nFoster, Glenn (PHMSA); Patrick, Eamonn (PHMSA); Dennis Raymund (DHL US)\nDate:\nUN 38.3 Test Summary Question\nFriday, November 13, 2020 10:12:31 AM\nopen attachments unless you recognize the sender and know the content is safe.\nCAUTION: This email originated from outside of the Department of Transportation (DOT). Do not click on links or\nMr. Pfund,\nI have an question about the UN38.3 test summary. The written documentation from\nPHMSA and IATA state that the manufacture and distributor must have the test available\nupon request, and this can include being listed on a website.\nDGF's interpretation of 49 CFR § 171 is that as the freight forwarder we still hold\nresponsibility to validate that the shipments are in compliance prior to tendering the\nshipments to an airline. This includes validating that a declaration is not required and that\nthe batteries meet the requirements outlined by IATA. Additionally during the PHMSA calls\nin June and September we understood that the US government is requesting forwarders to\nvalidate lithium ion battery compliance.\nMany times customers do not provide enough information on the SDS and commercial\ninvoice, thus meaning the only way to have all the information to ensure compliance is to\nrequest the UN38.3 test summary. We are getting a lot of push back saying that an airline\nor customs can request that test summary, but that it is not the responsibility of a freight\nforwarder to have the UN38.3 test summary. Also customers are pushing back really hard\nsaying that no other freight forwarder is asking for the UN38.3 test summary prior to\nexport.\nWhat is the expectation of DOT in regards to our responsibility to validate the batteries are\nin compliance prior to tendering freight to the airlines?\nThanks and Regards\n*******************************************\nPhillip Poland *\nHead of U.S. Trade and Dangerous Goods Compliance\nDHL Global Forwarding\n2151 Southpark Dr. Ste 1\nHebron, KY 41048\nUnited States\nPhone: +1 859 869 5020\nCell:\n+1 937 218 4797\nphillip.poland@dhl.com\nwww.dhl.com\n*The information in this email is not intended to be legal advice or relied upon as legal guidance.\nThe information in this email maybe confidential, and is intended solely for the addressee. Access to this\n\n<<<PAGE 4>>>\n\nemail by anyone else is unauthorized. If you are not the intended recipient, any disclosure, copying,\ndistribution or any action taken or omitted to be taken in reliance on it, is prohibited and may be unlawful.\nIf you are not the intended addressee please contact the sender and dispose of this e-mail.\nCONFIDENTIALITY NOTICE: This message is from DHL and may contain confidential business information. It\nis intended solely for the use of the individual to whom it is addressed. If you are not the intended recipient please\ncontact the sender and delete this message and any attachment from your system. Unauthorized publication, use,\ndissemination, forwarding, printing or copying of this E-Mail and its attachments is strictly prohibited.","truncated":false,"body_characters":5394}