{"operation":"document","citation":"24-0051","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":"2026-02-24","effective_on":null,"summary":"24-0051 response to Council on Safe Transportation of Hazardous Articles concerning 171.1.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0051.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0051.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-24-0051","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/2026-02/24-0051.pdf","body":"<<>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\nFebruary 24, 2026\nMr. Frank Lopez\nCouncil on Safe Transportation of Hazardous Articles\n101 Ridge St. Suite I\nGlenn Falls, NY 12801\nReference No. 24-0051\nDear Mr. Lopez,\nThis letter is in response to your June 6, 2024, email requesting clarification of the Hazardous\nMaterials Regulations (HMR; 49 CFR Parts 171-180) applicable to the responsibility to obtain a\nCompetent Authority Approval (CAA) for the transportation of hazardous materials. In your\nemail, you provide several examples of provisions found in the International Civil Aviation\nOrganization Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO\nTI) that require approval from the “State of Origin” and “State of the Operator,” such as Special\nProvisions (SP) A88 and A99.\nWe have paraphrased and answered your questions as follows:\nQ1: Is it the shipper’s (i.e., offeror’s) or air carrier’s (i.e., operator’s) responsibility to obtain\nan approval for the State of Origin and the State of the Operator, as required in ICAO TI\nSpecial Provisions A88 and A99?\nA1: The HMR apply to the offering, acceptance, and transportation of hazardous materials to,\nfrom, or within the United States, and to any aircraft of United States’ registry anywhere\nin global air commerce. When ICAO TI SP A88 and A99 stipulate authorization from\nboth the \"State of Origin\" and the \"State of the Operator,\" as the competent authority for\nthe United States, PHMSA issues a single competent authority approval (CAA) based on\nauthority provided within the HMR. Typically, the approval is granted to the offeror\nrequesting as part of the pre-transportation functions, outlined in 49 CFR § 171.1(b). The\noperator’s capability to handle specific material is evaluated during the approval process,\nin coordination with the Federal Aviation Administration (FAA).\nQ2: Is the only approval an operator is required to seek, or provide in accordance with ICAO\nTI Special Provisions A88 and A99, the operator’s agreement to accept a dangerous\ngoods shipment under a CAA?\n1200 New Jersey Avenue, SE\nWashington, DC 20590\n\n<<>>\n\nA2: Yes. Generally, it is the responsibility of the offeror (i.e., shipper) to seek a CAA—\nincluding under ICAO TI Special Provisions A88 and A99. However, in some\ncircumstances the air operator seeks this approval, either through a contractual\narrangement with the offeror, or because the operator itself is the offeror of the hazardous\nmaterials (e.g., COMAT). In these circumstances, the operator is the responsible party for\nobtaining a CAA.\nIndependent of the HMR, operators should refer to the FAA provisions under 14 CFR\n§§ 121.135(b)(25) and 135.23(p) concerning operator manual requirements for accepting\nand transporting dangerous goods shipments.\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\n24-0051\nFrom: Nickels, Matthew (PHMSA)\nTo: Hazmat Interps\nSubject: FW: Letter of Interpretation Request to clarify obtaining a foreign CAA\nDate: Thursday, June 20, 2024 10:17:01 AM\nAttachments: image001.png\nCOSTHA Requesting a Letter of Interpretation Request for foreign CAA.pdf\nHey Alice and Jessie, please assign to next person up. Thanks!\nFrom: Kelley, Shane (PHMSA) \nSent: Tuesday, June 18, 2024 4:56 PM\nTo: Nickels, Matthew (PHMSA) ; DerKinderen, Dirk (PHMSA)\n; Patrick, Eamonn (PHMSA) \nCc: Burger, Donald (PHMSA) ; Pfund, Duane (PHMSA)\n\nSubject: FW: Letter of Interpretation Request to clarify obtaining a foreign CAA\nGents\nNot sure which branch will handle, but I would appreciate if I could be kept in the loop on this\nresponse. Please also make sure we coordinate with Duane’s team as well as Don’s.\nThank you\nFrom: Frank Lopez \nSent: Tuesday, June 18, 2024 4:09 PM\nTo: Kelley, Shane (PHMSA) \nCc: INFOCNTR (PHMSA) ; L'Gena Shaffer ;\nTom Ferguson ; Chris Yakush ; Julie Prescott\n; Anne Barry \nSubject: Letter of Interpretation Request to clarify obtaining a foreign CAA\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 to clarify the\nresponsibility for obtaining competent authority approvals for air transport, and confirm our\nunderstanding that a Competent Authority Approval (CAA) is an authorization required for\nspecific dangerous goods (i.e., lithium batteries greater than 35 kg transported by air,\nprototype lithium batteries) or a waiver or modified compliance with a regulatory requirement\n(i.e., non-specification cylinder construction), and that it is the responsibility of the offeror\n(shipper) to obtain the appropriate “approvals” prior to offering the dangerous goods for air\ntransport.\n\n<<>>\n\nPlease contact me if you should have any questions or need any additional information.\nWe appreciate your consideration.\nv/r\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\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\nPresident\nDan Hankinson\nJune 6, 2024\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\nAmy Fischesser\nCorporate Hazardous Materials Manager\nSun Chemical Corporation\nJon Pelis\nSr. Manager, Dangerous Goods / Product\nRegulatory Compliance\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 to clarify responsibility for obtaining competent authority\napprovals for air transport. The International Civil Aviation Organization Technical\nInstructions on the Safe Transport of Dangerous Goods by Air (ICAO TI) uses the\nterms “state of origin” and “state of the operator” in Special Provisions A88 and A99.\nSpecifically, we request confirmation from PHMSA that the responsibility to obtain\napprovals from the competent authority of the origin country and of the operator is\nexclusively that of the shipper and not the carrier (operator). COSTHA Air Carrier\nRoundtable member airlines have experienced requests from foreign competent\nauthorities to produce a Competent Authority Approvals (CAA) for lithium batteries\ngreater than 35 kg and prototype lithium battery shipments.\nThe Boeing Company\nJohn Redman\nManager, TMNA Hazmat Compliance\nToyota Motor North America, Inc.\nLynn Reiman\nGlobal Regulated DG Director\nUPS\nJennifer Stokes\nRegulatory Manager\nProcter & Gamble\nWim Verkuringen\nDirector DG & Transportation Safety\nJohnson & Johnson\nMike Wentz\nSr. Specialist Hazmat/DG Compliance\nAmerican Airlines\nGeneral Counsel\nRichard Schweitzer, PLLC\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 efficacy\nof laws, rules and regulations for the safe transportation and distribution of hazardous\nmaterials. COSTHA is also pleased to have 17 air carriers included in our\nmembership.\nCOSTHA requests this interpretation to confirm our understanding that a Competent\nAuthority Approval (CAA) is an authorization required for specific dangerous goods\n(i.e., lithium batteries greater than 35 kg transported by air, prototype lithium\nbatteries) or a waiver or modified compliance with a regulatory requirement (i.e., non-\nspecification cylinder construction), and that it is the responsibility of the offeror\n(shipper) to obtain the appropriate “approval” prior to offering the dangerous goods\nfor air transport.\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\nUS air carriers have documented operational certificates that are approved through the Federal\nAviation Administration (FAA) for accepting and transporting dangerous goods. The decision to\naccept dangerous goods covered under a CAA or Special Permit is at the discretion of the air\ncarrier.\n49 CFR defines an offeror as:\n1) Any person who does either or both of the following:\n(i) Performs, or is responsible for performing, any pre-transportation function\nrequired under this subchapter for transportation of the hazardous material in\ncommerce.\n2) A carrier is not an offeror when it performs a function required by this subchapter as a\ncondition of acceptance of a hazardous material for transportation in commerce (e.g.,\nreviewing shipping papers, examining packages to ensure that they are in conformance\nwith this subchapter, or preparing shipping documentation for its own use) or when it\ntransfers a hazardous material to another carrier for continued transportation in\ncommerce without performing a pre-transportation function.\nThe ICAO TI defines State of the Operator and State of Origin as:\nSTATE OF THE OPERATOR: The country (State) in which the operator's principal place\nof business is located or, if there is no such place of business, the operator's permanent\nresidence.\nSTATE OF ORIGIN: The country (State) in the territory of which the consignment is to\nfirst be loaded on an aircraft.\nCOSTHA seeks confirmation that the “State of Origin” is the national authority or Competent\nAuthority Approver of the location of departure and the “State of the Operator” is the national\nauthority or Competent Authority Approver of the air carrier’s (operator’s) country.\nExamples\nSpecial Provision A88 Pre-production prototypes of lithium batteries or cells, when\nthese prototypes are transported for testing… that have not been tested to the\nrequirements in subsection 38.3 of the UN Manual of Tests and Criteria may be\ntransported aboard cargo aircraft, if approved by the appropriate authority of the State of\norigin and the State of the operator and the requirements in Packing Instruction 910 of\nthe ICAO Supplement to the Technical Instructions are met.\nWhen lithium batteries are shipped under an approval in accordance with this\nspecial provision…\nA copy of the document of approval must accompany the consignment.\nTransport in accordance with this special provision must be noted on the Shipper's\nDeclaration...\nSpecial Provision A99 Irrespective of the per package quantity limit for cargo aircraft\nspecified in Column L of the List of Dangerous Goods (Subsection 4.2) and in Section I\nof Packing Instructions 965, 966, 967, 968, 969 or 970, a lithium cell or battery (UN 3090\nor UN 3480), including when packed with, or contained in equipment (UN 3091 or UN\n3481) that meets the other requirements of Section I of the applicable packing instruction\nmay have a mass exceeding 35 kg, if approved by the appropriate authority of the State\nof origin and the State of the operator and the requirements in Packing Instruction 974 of\nthe ICAO Supplement to the Technical Instructions are met.\n\n<<>>\n\nWhen lithium batteries are shipped under an approval in accordance with this special\nprovision, the packing instruction number shown on the Shipper's Declaration must be\n“974”.\nA copy of the document of approval must accompany the consignment. Transport in\naccordance with this special provision must be noted on the Shipper's Declaration.\nWhile a US air carrier may require shippers to have an arrangement or “approval” to\ntransport a dangerous goods under a CAA approval such as the requirements provided\nin special provisions A88/A99, this agreement is not a Competent Authority Approval but\nan agreement to accept and transport the dangerous goods.\nIn closing, COSTHA requests PHMSA confirm our understanding that the responsibility to\nobtain an authorization from the competent authority of the origin country and state of the\noperator is exclusively that of the shipper and not the carrier (operator). The only “approval”\nnecessary related to air carriers is the agreement to accept a dangerous goods shipment\nunder a Competent Authority Approval.\nCOSTHA appreciates your review of this interpretation request, and we look forward to hearing\nfrom you soon. Please contact us with any questions.\nSincerely,\nFrank Lopez\nRegulatory Compliance Specialist","truncated":false,"body_characters":14359}