{"operation":"document","citation":"24-0041","title":"Council on Safe Transportation of Hazardous Articles — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2024-10-01","effective_on":null,"summary":"24-0041 response to Council on Safe Transportation of Hazardous Articles concerning 171.2, 172.102.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0041.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0041.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0041","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/2024-10/240041.pdf","body":"<<>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nOctober 1, 2024\nFrank Lopez\nRegulatory Compliance Specialist\nCouncil on Safe Transportation of Hazardous Articles\n10 Hunter Brook Lane\nQueensbury, NY 12804\nReference No. 24-0041\nDear Mr. Lopez:\nThis letter is in response to your May 28, 2024, letter requesting clarification of the Hazardous\nMaterials Regulations (HMR; 49 CFR Parts 171-180) applicable to determining responsibility\nfor compliance with lithium ion cell and battery state of charge (SOC) requirements—see\n§ 172.102 Special Provision A100. You ask for confirmation that subsequent offerors of lithium\nion cells and batteries may generally rely on information from the initial offeror that the SOC\ndoes not exceed 30 percent of the cell or battery’s rated capacity.\nThe answer is yes. Section 171.2(b) states that “…each offeror may rely on information provided\nby another offeror, unless that offeror knows or, a reasonable person, acting in the circumstances\nand exercising reasonable care, would have knowledge that the information provided by the\nother offeror is incorrect.” Additionally, § 171.2(f) would apply to the scenario you provided,\nbecause it states that “carriers that transport hazardous materials may rely on information\nprovided by the offeror of the hazardous material or a prior carriers, unless the carrier knows or,\na reasonable person, acting in the circumstances and exercising reasonable care, would have\nknowledge that the information provided by the offeror or prior carrier is incorrect.” Therefore,\nsubsequent offerors of lithium ion cells and batteries may rely on information provided by\nanother offeror—or a previous carrier—unless it is known to the offeror or a reasonable person\nacting in the circumstances and exercising reasonable care that the other offeror’s or carrier’s\ninformation is incorrect.\n\n<<>>\n\nFinally, please note that whenever a hazardous material has not been shipped in compliance with\nthe HMR, the Department of Transportation will attempt to bring an enforcement proceeding\nagainst the person who first caused the transportation of the noncomplying shipment. See the\nformal interpretation[1] of carrier responsibility when accepting hazardous material for\ntransportation in commerce (June 4, 1998; 63 FR 30411).\nI hope this information is helpful. Please contact us if we can be of further assistance.\nSincerely,\nAlexander Wolcott\nActing Chief, Regulatory Review and Reinvention Branch\nStandards and Rulemaking Division\n\n<<>>\n\nVore\n24-0041\nFrom: INFOCNTR (PHMSA)\nTo: Hazmat Interps\nSubject: FW: COSTHA Letter of Interpretation Request regarding §171.2(b) and the requirement for lithium ion batteries to\nbe at a state of charge of 30% or less\nDate: Tuesday, June 4, 2024 10:12:51 AM\nAttachments: image001.png\nCOSTHA LOI 171.2 and SOC.pdf\nPlease see attached request for letter of interpretation.\nThanks,\nJonathon, HMIC\nFrom: Frank Lopez \nSent: Tuesday, May 28, 2024 4:09 PM\nTo: Kelley, Shane (PHMSA) \nCc: INFOCNTR (PHMSA) ; L'Gena Shaffer ;\nChris Yakush ; Tom Ferguson ; Julie Prescott\n; Anne Barry \nSubject: COSTHA Letter of Interpretation Request regarding §171.2(b) and the requirement for\nlithium ion batteries to be at a state of charge of 30% or less\nCAUTION: This email originated from outside of the Department of Transportation (DOT). Do\nnot click on links or open attachments unless you recognize the sender and know the content is\nsafe.\nDear Mr. Shane Kelley,\nAttached please find COSTHA’s request for a letter of interpretation on §171.2(b) regarding\nthe air transportation requirement for lithium ion batteries to be at a State of Charge (SOC)\nof 30% or less as it relates to subsequent offerors ability to rely on information from the\nmanufacturer or previous offeror on the SOC.\nPlease contact me if you should have any questions or need any additional information.\nWe appreciate your consideration.\nBest regards,\nFrank\n__ __\nFrank Lopez\nRegulatory Compliance Specialist\nCOSTHA\nOffice: 518.761.0668 xt 222\nhttp://www.costha.com\nfrank@costha.com\nFollow us on LinkedIn\n\n<<>>\n\nFollow us on Instagram (@costha1972)\nENGAGE IN YOUR COSTHA MEMBERSHIP: Upcoming Events, Meetings, & Webinars\n-- -- -- -- --\nCONFIDENTIAL: UNAUTHORIZED USE OR DISCLOSURE IS STRICTLY PROHIBITED.\nThis information is intended to provide interpretative and authoritative information in regard to the subject\nmatter covered as a service to our clients and has been answered to the best of our ability based on the\ninformation provided to us. We do not guarantee the accuracy or completeness of any such interpretation\nor information, however, nor do we warrant that compliance with any advice we provide will guarantee\ncompliance with any legal or regulatory requirements. Our statements or opinions do not convey legal\ninterpretation and government authorities or legal counsel should be contacted for such a response.\n\n<<>>\n\nRichard Schweitzer, PLLC\nMay 28, 2024\nPresident\nDan Hankinson\nProgram Manager\nStellantis\nFirst Vice President\nJanet Kolodziey-Nykolyn\nDir. Global Dangerous Goods Compliance\nPfizer, Inc.\nSecond Vice President\nCarolyn Weintraub\nDir. Regulatory & Government Affairs US\nReckitt\nTreasurer\nVeronica Wilson\nDirector, HM Transportation\nWal-Mart, Inc\nSecretary\nDave Madsen\nReg. Compliance Specialist - Americas\nAutoliv ASP, Inc.\nExecutive Committee\nSamuel Moyers\nDirector of Transportation Safety\nARCADIS\nBoard of Directors\nCarla Andrews\nDG Safety Manager\nFedEx Logistics\nJon Pelis\nSr. Manager, Dangerous Goods / Product\nRegulatory Compliance\nThe Boeing Company\nJohn Redman\nManager, TMNA Hazmat Compliance\nToyota Motor North America, Inc.\nLynn Reiman\nGlobal Regulated DG Director\nUPS\nMr. Shane Kelley\nDirector, Standards and Rulemaking Division\nPipeline and Hazardous Materials Safety Administration\nAttn: PHH-10\nU.S. Department of Transportation\nEast Building, 1200 New Jersey Ave., SE\nWashington, D.C. 20590-0001\nSubmitted: Via Email\ncc: infocntr@dot.gov\nDear Mr. Kelley,\nThe Council on Safe Transportation of Hazardous Articles (COSTHA) requests a\nformal letter of interpretation on behalf of the air carrier roundtable regarding the\nrequirements of §175.33(c)(1)(i). COSTHA member airlines have experienced\ndifferences in interpretation regarding the requirement to ensure a copy of a\nshipping paper accompanies a shipment it covers during transportation aboard an\naircraft.\nCOSTHA is a not-for-profit organization representing manufacturers, shippers,\ndistributors, carriers, freight forwarders, trainers, packaging manufacturers and other\nassociated with the hazardous materials transportation industry. In addition to\npromoting regulatory compliance and safety in hazardous materials transportation,\nCOSTHA assists its members and the public in evaluating the practicality and\nefficacy of laws, rules and regulations for the safe transportation and distribution of\nhazardous materials. COSTHA is also pleased to have 17 air carriers included in\nour membership.\nThe 49 CFR Subpart A, Part 175, §175.33(c)(1)(i) currently reads:\nErik Steinbeck\nGlobal Logistics Manager\nParker Hannifin - LORD Corporation\nWim Verkuringen\nDirector DG & Transportation Safety\nJohnson & Johnson\nMike Wentz\nSr. Specialist Hazmat/DG Compliance\nAmerican Airlines\nEnsure a copy of the shipping paper required by §175.30(a)(2) accompanies\nthe shipment it covers during transportation aboard the aircraft.\nGeneral Counsel\nRichard Schweitzer, PLLC\nCOSTHA requests this interpretation confirm our understanding that the\nrequirement of §175.33(c)(1)(i) aligns with the requirements of the International Civil\nAviation Organization (ICAO) Technical Instructions on the Safe Transport of\nDangerous Goods by Air (TI) in that, one shipping paper will accompany the entire\nconsignment versus a copy of the shipping paper be provided for each individual\npackage within the shipment. The ICAO Technical Instructions reference a\n“consignment” vs. the HMR stating “shipment”.\nCouncil on Safe Transportation of Hazardous Articles\n10 Hunter Brook Lane, Queensbury, NY 12804 • Phone: (518)761-0389 • Fax: (518)792-7781 • www.costha.com\n\n<<>>\n\nThe ICAO Technical Instructions (Doc 9284) 2023-2024 Ed states:\nPart 7, Chapter 1, 1.2.2 - Where a dangerous goods transport document is provided in\naccordance with 1.2.1 a), one copy must accompany the consignment to final\ndestination and one copy must be retained by the operator at a location on the ground\nwhere it will be possible to obtain access to it within a reasonable period; the document\nmust be retained at this point until the goods have arrived at final destination, after which\ntime it may be stored elsewhere.\nThe ICAO Technical Instructions define:\nConsignment One or more packages of dangerous goods accepted by an operator\nfrom one shipper at one time and at one address, receipted for in one lot and moving\nto one consignee at one destination address.\nShipment The specific movement of a consignment from origin to destination.\nExample\nA shipment containing 10 packages as a single consignment accepted by an operator from a\nsingle shipper at one time and at one address, receipted for as a single lot and moving to a\nsingle consignee at a single destination address, would require only one shipping paper on the\n“number one” piece.\nCOSTHA members have experienced instances where Federal Aviation Administration (FAA)\ninspectors or Principal Hazmat Inspectors (PHIs) interpreted the requirement of §175.33(c)(1)(i)\nto require a copy of the shipping paper for each individual package within the consignment or\nshipment. COSTHA member airlines do not believe this to be the requirement or intent of\n§175.33(c)(1)(i).\nCOSTHA member airlines believe the inclusion of a copy of the shipping papers for every piece\nof a multi-piece shipment would cause undue burden on the carrier through time and resources\nrequired, is contrary to standard procedures aligned with international regulations, and provides\nno added safety benefit. However, in the situation where a multi-piece shipment must be split for\naccommodation purposes during transportation, a second shipping paper, properly annotated,\nwill accompany the spilt pieces.\nIn closing, COSTHA asks PHMSA to confirm our understanding that the provisions in\n§175.33(c)(1)(i) require a single copy of the shipping paper to accompany a “consignment” or\nshipment of multiple pieces of hazardous materials.\nCOSTHA appreciates your review of this interpretation request, and we look forward to hearing\nfrom you soon.\nSincerely,\nFrank Lopez\nRegulatory Compliance Specialist","truncated":false,"body_characters":10808}