DHL Global Forwarding — Hazardous Materials Safety Interpretation

Page 1U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Avenue, SE Washington, DC 20590 June 3, 2021 Mr. Philip Poland DHL Global Forwarding 2151 Southpark Dr. Ste 1 Hebron, KY 41048 Reference No. 20-0087 Dear Mr. Poland This letter is in response to your November 13, 2020, email and subsequent telephone conversations requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) applicable to the responsibilities of a freight forwarder. Beginning January 1, 2022, each manufacturer and subsequent distributor of lithium cells or batteries manufactured on or after January 1, 2008, must make available a lithium battery test summary (see § 173.185(a)(3)). Specifically, you ask whether a freight forwarder is responsible for validating that shipments of lithium cells or batteries comply with the HMR—by requesting a United Nations (UN) 38.3 Test Summary—prior to offering the shipments to an airline. As provided in § 171.2(b), “… each offeror is responsible only for the specific pre-transportation functions that it performs or is required to perform, and each offeror may rely on information provided by another offeror, unless that offeror knows or, a reasonable person, acting in the circumstances and exercising reasonable care, would have knowledge that the information provided by the other offeror is incorrect.” In the instance of shipments of lithium cells or batteries, a freight forwarder would not be expected to validate whether a shipment meets all the applicable requirements of the HMR unless the freight forwarder is performing a pre- transportation function that would require such knowledge, such as signing a shipper’s certification.#

Page 2In addition, if the freight forwarder has a reason to believe the information provided by the offeror is incorrect or does not meet the requirements of the HMR, the freight forwarder would be required to validate the information before offering the lithium cells or batteries shipments into transportation. I hope this information is helpful. Please contact us if we can be of further assistance. Sincerely, T. Glenn Foster Chief, Regulatory Review and Reinvention Branch Standards and Rulemaking Division#

Page 3Wolcott From: 20-0087 To: Phillip Poland (DHL US) Subject: Cc: Pfund, Duane (PHMSA); Dodd, Alice (PHMSA) Foster, Glenn (PHMSA); Patrick, Eamonn (PHMSA); Dennis Raymund (DHL US) Date: UN 38.3 Test Summary Question Friday, November 13, 2020 10:12:31 AM open attachments unless you recognize the sender and know the content is safe. CAUTION: This email originated from outside of the Department of Transportation (DOT). Do not click on links or Mr. Pfund, I have an question about the UN38.3 test summary. The written documentation from PHMSA and IATA state that the manufacture and distributor must have the test available upon request, and this can include being listed on a website. DGF's interpretation of 49 CFR § 171 is that as the freight forwarder we still hold responsibility to validate that the shipments are in compliance prior to tendering the shipments to an airline. This includes validating that a declaration is not required and that the batteries meet the requirements outlined by IATA. Additionally during the PHMSA calls in June and September we understood that the US government is requesting forwarders to validate lithium ion battery compliance. Many times customers do not provide enough information on the SDS and commercial invoice, thus meaning the only way to have all the information to ensure compliance is to request the UN38.3 test summary. We are getting a lot of push back saying that an airline or customs can request that test summary, but that it is not the responsibility of a freight forwarder to have the UN38.3 test summary. Also customers are pushing back really hard saying that no other freight forwarder is asking for the UN38.3 test summary prior to export. What is the expectation of DOT in regards to our responsibility to validate the batteries are in compliance prior to tendering freight to the airlines? Thanks and Regards ******************************************* Phillip Poland * Head of U.S. Trade and Dangerous Goods Compliance DHL Global Forwarding 2151 Southpark Dr. Ste 1 Hebron, KY 41048 United States Phone: +1 859 869 5020 Cell: +1 937 218 4797 phillip.poland@dhl.com www.dhl.com *The information in this email is not intended to be legal advice or relied upon as legal guidance. The information in this email maybe confidential, and is intended solely for the addressee. Access to this#

Page 4email by anyone else is unauthorized. If you are not the intended recipient, any disclosure, copying, distribution or any action taken or omitted to be taken in reliance on it, is prohibited and may be unlawful. If you are not the intended addressee please contact the sender and dispose of this e-mail. CONFIDENTIALITY NOTICE: This message is from DHL and may contain confidential business information. It is intended solely for the use of the individual to whom it is addressed. If you are not the intended recipient please contact the sender and delete this message and any attachment from your system. Unauthorized publication, use, dissemination, forwarding, printing or copying of this E-Mail and its attachments is strictly prohibited.#