Accountability for the load

Federal law specifies penalties up to $250,000 fine for an individual and $500,000 for a company and five years imprisonment for the willful discharge of hazardous waste at other than designated facilities.

Shipping papers: The hazardous waste manifest

No person may offer, transport, transfer, or deliver a hazardous waste (waste) unless an EPA Form 8700-22 and 8700-22A (when necessary) hazardous waste manifest (manifest) is prepared and is signed, carried, and given as required of that person.

The shipper (generator) must prepare the manifest in accordance with 40 CFR 262.

The original copy of the manifest must be dated by, and bear the handwritten signature of, the person representing:

• The shipper (generator) of the waste at the time it is offered for transportation, and
• The initial carrier accepting the waste for transportation.

A copy of the manifest must be dated by, and bear the handwritten signature of the person representing:

• Each subsequent carrier accepting the waste for transportation, at the time of acceptance; and
• The designated facility receiving the waste, upon receipt.

A copy of the manifest bearing all required dates and signatures must be:

• Given to a person representing each carrier accepting the waste for transportation,
• Carried during transportation in the same manner as other shipping papers,
• Given to a person representing the designated facility receiving the waste,
• Returned to the shipper (generator) by the carrier that transported the waste from the United States to a foreign destination with a notation of the date of departure from the United States, and
• Retained by the shipper (generator) and by the initial and each subsequent carrier for three years from the date the waste was accepted by the initial carrier.

Each retained copy must bear all required signatures and dates up to and including those entered by the next person who received the waste.

Additional requirements apply when transporting by rail.

Discharge of hazardous waste and spill cleanup

In 40 CFR 263, the EPA sets forth requirements for spill cleanup of releases of hazardous wastes.

If a discharge of hazardous waste or other hazardous material occurs during transportation, and an official of a state or local government or a federal agency, acting within the scope of his official responsibilities, determines that immediate removal of the waste is necessary to prevent further consequence, that official may authorize the removal of the waste without the preparation of a manifest.

[NOTE: In such cases, EPA does not require carriers to have EPA identification numbers.]

EPA requires shippers (generators) and carriers (transporters) of hazardous wastes to have identification numbers which must be displayed on hazardous waste manifests.

Classification system

The classification criteria and packaging requirements for the transportation of infectious substances are consistent with international standards. The harmonization of these standards ensures an acceptable level of safety for transporting infectious substances and facilitates their domestic and international transportation.

The Category A and Category B classifications are based on criteria developed by the UN Committee of Experts working with the World Health Organization (WHO), the U.S. Centers for Disease Control and Prevention (CDC), medical professionals, microbiologists, transportation professionals, and packaging technical experts.

They are consistent with the requirements contained in the United Nations Recommendations for the Transport of Dangerous Goods (UN Recommendations), the International Civil Aviation Organization Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions), and the International Maritime Organization (IMO) International Maritime Dangerous Goods (IMDG) Code.

Division 6.2 Infectious Substances: Category A and Category B

A Division 6.2 infectious substance is a material known or reasonably expected to contain a pathogen. A pathogen is a micro-organism (including bacteria, viruses, rickettsia, parasites, fungi) or other agent, such as a proteinaceous infectious particle (prion), that can cause disease in humans or animals.

Classification process

Section 173.134(b) of the HMR contains a list of scenario-based exceptions in which some materials are not subject to the requirements for Division 6.2 infectious substances. If a material meets all the conditions of any scenario, it is not regulated.

The flowchart below provides a process that can be helpful when determining if a material is infectious and/or eligible for any exceptions from the requirements. It is important to first determine if the material is known or reasonably expected to contain an infectious pathogen. If it does not contain an infectious pathogen, it is not regulated. However, a material that meets the definition of a Category A infectious substance will not be eligible for any exceptions. Always review 173.134(b) to carefully determine if a material meets any of the conditional exceptions. The classification scenarios provide examples of possible ways to move through a classification process.

Packing, marking and labeling of Category A infectious substances

Requirements for packagings of Category A infectious substances are found in 173.196, and must:

• Meet the test standards of 178.609.
• Be a triple packaging consisting of:
  • Primary leakproof receptacle,
  • Leakproof secondary packaging, and
  • Rigid outer packaging.
• Be marked with a UN package certification mark on the outer packaging in conformance with 178.503(f).

Notes: At least one surface of the outer packaging must have a minimum dimension of 100 mm x 100 mm (3.9 inches). For liquid shipments by aircraft, the primary receptacle or the secondary packaging must be capable of withstanding without leakage an internal pressure producing a pressure differential of not less than 95 kPa. If multiple fragile primary receptacles are placed in a single secondary packaging, they must be either individually wrapped or separated to prevent contact. Follow the package manufacturer’s closure instructions.

Packing and marking of Category B infectious substances

Section 173.199 has additional requirements and limitations for hazardous materials in other hazard classes, such as dry ice and flammable liquids. Refer to 173.199 for all requirements when shipping Category B infectious substances.

Notes: At least one surface of the outer packaging must have a minimum dimension of 100 mm x 100 mm (3.9 inches). For liquid shipments by aircraft, the primary receptacle or the secondary packaging must be capable of withstanding without leakage an internal pressure producing a pressure differential of not less than 95 kPa. If multiple fragile primary receptacles are placed in a single secondary packaging, they must be either individually wrapped or separated to prevent contact. Follow the package manufacturer’s closure instructions.

Regulated medical waste: Packing, marking and labeling

Packaging requirements for regulated medical waste, including detailed inner packaging requirements for each type, can be found in 173.197 and must be marked and labeled in one of the following methods:

• Non-bulk Packagings (<119 gallons) – UN standard packaging conforming to the requirements of Part 178 of the HMR at the Packing Group II performance level.
  • Non-bulk packages must be marked and labeled with the UN ID number, proper shipping name, infectious substance label, and consignee’s or consignor’s name and address.
• Large Packagings (>119 gallons) – Constructed, tested, and marked in accordance with Subparts P and Q of Part 178.
  • Large packages must be marked with the UN ID number and BIOHAZARD marking conforming to 29 CFR 1910.1030.
• Non-specification Bulk Packaging (>119 gallons) – includes wheeled carts or other bulk outer packaging.
  • Bulk packages must be marked with the UN ID number and BIOHAZARD marking conforming to 29 CFR 1910.1030.

Proper shipping names and identification numbers for medical waste include:

• UN3291, Regulated medical waste, n.o.s.
• Clinical waste, unspecified, n.o.s.
• (BIO) Medical waste, n.o.s.
• Biomedical waste, n.o.s.
• Medical waste, n.o.s.

Classification scenario

A waste material that contains a Category A infectious substance must be classified as a Category A infectious substance. The flowchart below provides a process to determine if a material is a regulated medical waste or a Category A infectious substance.

Private or contract carriers

Regulated medical waste transported by a private or contract carrier in a motor vehicle is excepted from:

• The requirement for an “INFECTIOUS SUBSTANCE” label if the outer packaging is marked with a “BIOHAZARD” marking in accordance with 29 CFR 1910.1030;
• The specific packaging requirements of 173.197, if packaged in a rigid non-bulk packaging conforming to the general packaging requirements of 173.24 and 29 CFR 1910.1030, provided the material does not include a waste concentrated stock culture of an infectious substance.

Sharps containers must be securely closed to prevent leaks or punctures.

Exceptions for certain air shipments

According to section 6.3.2.3.8 of the ICAO Technical Instructions, specimen packages marked as “Exempt human specimen” or “Exempt animal specimen” are not regulated under the HMR. In the United States, the mark “Exempt Human/Animal Specimen” is an indication that there is no infectious substance in the package. Packages bearing these marks may be accepted by an air carrier that has made a business decision not to accept hazardous materials.

Exceptions for materials of trade

A Division 6.2 material, other than a Category A infectious substance, is eligible for the Materials of Trade exception when it complies with 173.6 and it contains human or animal samples (including, but not limited to, secreta, excreta, blood and its components, tissue and tissue fluids, and body parts) being transported for research, diagnosis, investigational activities, or disease treatment or prevention, or it is a biological product or regulated medical waste is eligible for materials of trade exceptions. Section 173.6 of the HMR describes the packaging and transport requirements for this exception.

Note that:

• There are specific quantity limitations, and
• Transport must meet the definition of material of trade in 171.8.

Other exceptions

Section 173.134 identifies exceptions for infectious substances and regulated medical wastes not specifically outlined in this guide. In addition, if a DOT special permit is required (DOT-SP) you must follow all requirements described in the permit.

Carriage by aircraft

Section 175.630 contains special requirements for Division 6.1 (poisonous) materials and Division 6.2 (infectious substances) materials. Paragraph (c) requires the inspection of each package, overpack, pallet, or unit load device containing a 6.2 material for signs of leakage. If evidence of leakage is found, the cargo compartment hold where the 6.2 material was stowed is required to be disinfected by any means that makes the release of the 6.2 material ineffective at transmitting disease.

Incident reporting

You must report any release of an infectious substance (Category A or B) in any mode of transportation to the Department of Transportation.

Training requirements

Employees involved in the packaging and transport of infectious substances are subject to the training requirements of the HMR. These requirements vary but are found in 172.704 and include:

• General awareness/familiarization training;
• Function-specific training;
• Safety training;
• Security awareness training; and
• In-depth security training (if subject to security plan requirements).

Employees involved in the packaging and transport of Category B infectious substances are required to be trained on the requirements in 173.199. Employees who perform these tasks for excepted infectious substances, such as Materials of Trade or those listed in 173.134(b) and (c), are required to be trained on the applicable requirements of each exception.

Security plans

Persons who offer for transportation or transport select agents and toxins regulated by the Centers for Disease Control and Prevention (CDC) under 42 CFR Part 73 or the US Department of Agriculture under 9 Part 121 must develop and implement security plans in accordance with 172.800 through 172.804.

Examples of Category A: UN2814, Infectious substances affecting humans

Micro-organism:

• Bacillus anthracis (cultures only)
• Brucella abortus (cultures only)
• Brucella melitensis (cultures only)
• Brucella suis (cultures only)
• Burkholderia mallei—Pseudomonas mallei—Glanders (cultures only)
• Burkholderia pseudomallei—Pseudomonas pseudomallei (cultures only)
• Chlamydia psittaci—avian strains (cultures only)
• Clostridium botulinum (cultures only)
• Coccidioides immitis (cultures only)
• Coxiella burnetti (cultures only)
• Crimean-Congo hemorrhagic fever virus
• Dengue virus (cultures only)
• Eastern equine encephalitis virus (cultures only)
• Escherichia coli, verotoxigenic (cultures only)
• Ebola virus
• Flexal virus
• Francisella tularensis (cultures only)
• Guanarito virus
• Hantaan virus
• Hantaviruses causing hemorrhagic fever with renal syndrome
• Hendra virus
• Herpes B virus (cultures only)
• Human immunodeficiency virus (cultures only)
• Highly pathogenic avian influenza virus (cultures only)
• Japanese Encephalitis virus (cultures only)
• Junin virus
• Kyasanur forest disease virus
• Lassa virus
• Machupo virus
• Marburg virus
• Monkeypox virus
• Mycobacterium tuberculosis (cultures only)
• Nipah virus
• Omsk hemorrhagic fever virus
• Poliovirus (cultures only)
• Rabies and other lyssaviruses (cultures only)
• Rickettsia prowazekii (cultures only)
• Rickettsia rickettsia (cultures only)
• Rift Valley fever virus (cultures only)
• Russian spring-summer encephalitis virus (cultures only)
• Sabia virus
• Shigella dysenteriae type I (cultures only)
• Tick-borne encephalitis virus (cultures only)
• Variola virus
• Venezuelan equine encephalitis virus (cultures only)
• Vesicular stomatitis virus (cultures only)
• West Nile virus (cultures only)
• Yellow fever virus (cultures only)
• Yersinia pestis (cultures only)

Examples of Category A: UN2900, Infectious substances affecting animals

Micro-organism:

• African swine fever virus (cultures only)
• Avian paramyxovirus Type 1—Velogenic Newcastle disease virus (cultures only)
• Classical swine fever virus (cultures only)
• Foot and mouth disease virus (cultures only)
• Lumpy skin disease virus (cultures only)
• Mycoplasma mycoides—Contagious bovine pleuropneumonia (cultures only)
• Peste des petits ruminants virus (cultures only)
• Rinderpest virus (cultures only)
• Sheep-pox virus (cultures only)
• Goatpox virus (cultures only)
• Swine vesicular disease virus (cultures only)

Definitions

Biological product: A virus, therapeutic serum, toxin, antitoxin, vaccine, blood, blood component or derivative, allergenic product, or analogous product, or arsphenamine or derivative of arsphenamine (or any other trivalent arsenic compound) applicable to the prevention, treatment, or cure of a disease or condition of human beings or animals.

Culture: An infectious substance containing a pathogen that is intentionally propagated. Culture does not include a human or animal patient specimen as defined below.

Patient specimen: Human or animal materials collected directly from humans or animals and transported for research, diagnosis, investigational activities, or disease treatment or prevention. Patient specimen includes excreta, secreta, blood and its components, tissue and tissue swabs, body parts, and specimens in transport media (e.g., transwabs, culture media, and blood culture bottles).

Regulated medical waste: Regulated medical waste or clinical waste or (bio) medical waste means a waste or reusable material derived from the medical treatment of an animal or human, which includes diagnosis and immunization, or from biomedical research, which includes the production and testing of biological products. Regulated medical waste or clinical waste or (bio) medical waste containing a Category A infectious substance must be classed as an infectious substance, and assigned to UN2814 or UN2900.

Driver training

The Hazardous Materials Regulations (HMR) specify that a hazmat employer must provide training for its hazmat employees. There is no prescribed format or program that must be used, but the regulations do give guidelines on what must be included in the training program.

The driver of a motor vehicle transporting hazardous materials must receive hazmat training on the applicable requirements specified in 172.704, including:

• General awareness/familiarization
• Function-specific
• Safety
• Security awareness
• In-depth security training

The details of spill cleanup should be specifically covered during function-specific and safety training. The training must include DOT emergency response information and measures to protect the hazmat employee from the hazards to which they may be exposed.

The employee must be made aware of the measures the hazmat employer has taken to protect the employee. In addition, hazmat employees must be made aware of methods and procedures for avoiding accidents, such as the proper handling and storage of packages of hazardous materials.

The training must also include the following:

• How to use the Emergency Response Information required by Subpart G of Part 172.
• The location where written or printed copies of the emergency response information, such as the Emergency Response Guidebook (ERG) or Materials Safety Date Sheet (MSDS) are readily available.
• The locations of emergency eye wash, showers, etc. in the event of accidental contact with a hazardous materials.
• The availability of protective equipment, i.e., personal protective clothing, face guards, etc., and the location where such protective equipment is available.
• Procedures for the proper handling of hazardous materials, including the use of protective equipment, the best methods to be used in handling and moving hazardous materials, and loading a transport vehicle.
• The procedures any hazmat employee is to follow in the event a hazardous materials incident occurs. This should include such things as securing the site, who to notify, and any initial containment steps that can be taken.
• The procedure to be followed in the event the hazmat employee(s) are directly exposed to a hazardous material. This should include procedural differences for materials having different hazard characteristics.

Safety precautions

Resist rushing in! Approach cautiously from upwind, uphill and/or upstream:

• Stay clear of vapor, fumes, smoke and spills.
• Keep vehicle at a safe distance from the scene.

Secure the scene:

• Isolate the area and protect yourself and others.

Identify the hazards using any of the following:

• Placards
• Container labels
• Shipping papers
• Rail Car and Road Trailer Identification Chart
• Safety Data Sheets (SDS)
• Knowledge of persons on scene
• Consult applicable guide page

Assess the situation:

• Is there a fire, a spill or a leak?
• What are the weather conditions?
• What is the terrain like?
• Who/what is at risk: people, property or the environment?
• What actions should be taken — evacuation, shelter-in-place or dike?
• What resources (human and equipment) are required?
• What can be done immediately?

Obtain help:

• Advise your headquarters to notify responsible agencies and call for assistance from qualified personnel.

Respond:

• Enter only when wearing appropriate protective gear.
• Rescue attempts and protecting property must be weighed against you becoming part of the problem.
• Establish a command post and lines of communication.
• Continually reassess the situation and modify response accordingly.
• Consider safety of people in the immediate area first, including your own safety.

ABOVE ALL: Do not assume that gases or vapors are harmless because of lack of a smell — odorless gases or vapors may be harmful. Use CAUTION when handling empty containers because they may still present hazards until they are cleaned and purged of all residues.

Notification and request for technical information

Follow the steps outlined in your organization’s standard operating procedures and/or local emergency response plan for obtaining qualified assistance. Generally, the notification sequence and requests for technical information beyond what is available in your Emergency Response Guidebook (ERG) should occur in the following order:

1. Notify your organization/agency.
   • Based on information provided, this will set in motion a series of events. Actions may range from dispatching additional trained personnel to the scene, to activating the local emergency response plan.
   • Ensure that local fire and police departments have been notified.
2. Call the emergency response telephone number on the shipping paper.
   • If shipping paper is not available, use guidance under next section “NATIONAL ASSISTANCE.”
3. National assistance
   • Contact the appropriate emergency response agency listed on the inside back cover of your ERG.
   • Provide as much information about the hazardous material/dangerous good and the nature of the incident.
   • The agency will provide immediate advice on handling the early stages of the incident.
   • The agency will also contact the shipper or manufacturer of the material for more detailed information if necessary.
   • The agency will request on-scene assistance when necessary.
4. Provide as much of the following information as possible:
   • Your name, call-back telephone number, fax number
   • Location and nature of problem (spill, fire, etc.)
   • Name and identification number of material(s) involved
   • Shipper/consignee/point-of-origin
   • Carrier name, rail car, or truck number
   • Container type and size
   • Quantity of material transported/released
   • Local conditions (weather, terrain)
   • Proximity to schools, hospitals, waterways, etc.
   • Injuries and exposures
   • Local emergency services that have been notified

Emergency response information

At minimum, the following emergency response information must be provided for each hazardous material in the shipment:

• Basic description and technical name of the hazardous material
• Immediate hazards to health
• Risks of fire or explosion
• Immediate precautions to be taken in the event of an accident or incident
• Immediate methods for handling fires
• Initial methods for handling spills or leaks in the absence of fire
• Preliminary first aid measures

How this information is presented is up to the discretion of the shipper.

The main concern is that the information is complete, printed legibly, and in English.

Acceptable methods:

The most common methods for providing the required emergency response information include:

• Listing it directly on the shipping papers.
• Keeping a copy of the Emergency Response Guidebook (ERG) with the shipping papers. The ERG provides first responders with a go-to manual to help deal with hazmat transportation accidents during the critical first 30 minutes.
• Keeping a copy of the appropriate guide pages from the ERG with the shipping papers. The materials basic description (and technical name(s), if any) must be included.
• Keeping a copy of the material’s SDS (Safety Data Sheet) with the shipping papers. The material’s basic description (and technical name(s), if any) must be included.

The requirement for Emergency Response information is contained in 49 CFR Part 172 Subpart G. The number must be maintained at all times that a shipment is in transit. The use of beepers, answering machines, and switchboards is not authorized. The phone number must be to someone capable of providing information on the material.

Written emergency response information must be appropriate for the hazardous material being transported. If the carrier’s equipment has an emergency response guide or similar document on board there is no requirement to provide a separate emergency response document.

Exceptions: The emergency response information requirements do not apply to hazardous material that is excepted from the shipping paper requirements or a limited quantity.

Emergency response telephone number

Shipping papers must include a numeric emergency response telephone number that can be called in the event of an emergency.

The emergency response number must be the number of:

• The person offering the material for transportation, when that person is also the emergency response information provider; or
• Any agency or organization (such as CHEMTREC) that is capable of, and accepts responsibility for, providing detailed information on the hazardous material.

The number must be monitored at all times while the material is being transported — including storage incidental to transportation.

Monitoring must be by a person who is knowledgeable of the hazards and characteristics of the material and who has emergency response and incident mitigation information for the material, or by someone who has immediate access to such a person.

Answering machines and voice mail are not acceptable.

Open head versus closed head drums

If a hazardous material that is a hazardous waste is required to be shipped in a closed head drum (i.e., a drum with a 7.0 cm (3 inches) or less bung opening) and the hazardous waste contains solids or semisolids that make its placement in a closed head drum impracticable, an equivalent (except for the closure) open head drum may be used for the hazardous waste.

The lab pack exception

The following waste materials are NOT authorized for transport under this lab pack exception:

• A material poisonous-by-inhalation,
• A temperature-controlled material unless it complies with 173.21(f)(1),
• A Division 6.1, Packing Group I material,
• Chloric acid, and
• Oleum (fuming sulfuric acid).

Waste materials classed as Class or Division 3, 4.1, 4.2, 4.3, 5.1, 5.2, 6.1, 8, or 9 are excepted from the specification packaging requirements for combination packagings if:

• Packaged according to the requirements in this lab pack exceptions section; and
• Transported for disposal or recovery by highway, rail or cargo vessel.

In addition, a generic description from the 172.101 Hazardous Materials Table may be used in place of specific chemical names, when two or more chemically compatible waste materials in the same hazard class are packaged in the same outside packaging.

Reuse of packagings

A previously used packaging may be reused for the shipment of waste material transported for disposal or recovery, not subject to the reconditioning and reuse provisions contained in 173.28 and Part 178, under the following conditions:

• Except as authorized by this Lab pack exception, the waste must be packaged in accordance with Part 173 and offered for transportation according to the requirements of the Hazardous Materials Regulations.
• Transportation is performed by highway only.
• A package is not offered for transportation less than 24 hours after it is finally closed for transportation, and each package is inspected for leakage and is found to be free from leaks immediately prior to being offered for transportation.
• Each package is loaded by the shipper and unloaded by the consignee, unless the motor carrier is a private or contract carrier.
• The packaging may be used only once under this exception and may not be used again for shipment of hazardous materials, except in accordance with the reuse, reconditioning, and remanufacture of packagings in 173.28.

Technical names for n.o.s. descriptions

The requirements for the inclusion of technical names for n.o.s. descriptions on shipping papers and package markings, in 172.203 and 172.301, respectively, do not apply to packagings prepared according to the Lab Pack exception, except that packages containing materials meeting the definition of a hazardous substance must be:

• Described as required in 172.203, and
• Marked as required in 172.324.

Segregation requirements

Waste materials packaged according to the Lab Pack exception and transported according to the segregation requirements described here are not subject to the segregation requirements in 174.81(d), 176.83(b), and 177.848(d) if:

• They are blocked and braced in such a manner that they are separated from incompatible materials by a minimum horizontal distance of 1.2 m (4 feet); and
• The packages are loaded at least 100 mm (4 inches) off the floor of the freight container, unit load device, transport vehicle, or rail car. The following conditions specific to incompatible materials also apply:

Additional exceptions: Lab packs

Lab packs conforming to the requirements of this section are not subject to the following:

• The overpack marking and labeling requirements in 173.25(a)(2) when secured to a pallet with shrink-wrap or stretch-wrap, except that labels representative of each Hazard Class or Division in the overpack must be visibly displayed on two opposing sides.
• The restrictions for overpacks containing Class 8, Packing Group I material and Division 5.1, Packing Group I material in 173.25(a)(5).

These waste materials may be overpacked with other materials.

Household waste

Household waste, as defined in 171.8, is not subject to the requirements of the Hazardous Materials Regulations when transported according to applicable state, local, or tribal requirements.

Shrink-wrapped or stretch-wrapped pallets of limited quantity waste

Shrink-wrapped or stretch-wrapped pallets containing packages of waste ORM-D or limited quantity materials may be transported by motor vehicle and cargo vessel under the following conditions:

• The waste materials must be in their original undamaged packaging and marked with the “Consumer Commodity ORM-D” marking in conformance with 172.316 or an authorized limited quantity marking in conformance with 172.315, as appropriate. The word “waste” in association with the proper shipping name is not required on individual packages.
• Packages must be securely affixed to a pallet and shrink-wrapped or stretch-wrapped.
• The outside of the shrink-wrap or stretch-wrap must be marked on opposite sides with either “Waste, Consumer Commodity, ORM-D” or “Waste, Limited Quantity.”

Disposal or recycling lithium battery provisions: For motor vehicle only

Lithium cells and batteries, including those contained in or packed with equipment, being shipped for disposal or recycling may qualify for certain exceptions in 173.185(d).

The following exceptions only apply when transported by motor vehicle to a permitted storage facility, disposal site, or for the purposes of recycling:

• UN 38.3 cell and battery testing, and
• UN specification packaging requirements (when packed in a strong outer packaging).

In addition, when these shipments meet the applicable size, packaging, and hazard communication conditions for “smaller” cells and batteries in 173.185(c), they are also eligible for the “smaller” cells and batteries exceptions.

Note that all other requirements of the Hazardous Materials Regulations apply, including, but not limited to, protecting the lithium cells and batteries from:

• Short circuiting, and
• Damage caused by shifting within the outer package.

Batteries, wet

Electric storage batteries, containing electrolyte acid or alkaline corrosive battery fluid (wet batteries), may not be packed with other materials except as described below and in 173.220 and 173.222.

These batteries or battery-powered devices must be prepared and packaged for transport in a manner to prevent:

• A dangerous evolution of heat (i.e., an amount of heat sufficient to be dangerous to packaging or personal safety to include charring of packaging, melting of packaging, scorching of packaging, or other evidence);
• Short circuits, including, but not limited to:
  • Packaging each battery or each battery-powered device when practicable, in fully enclosed inner packagings made of electrically non-conductive material;
  • Separating or packaging batteries and battery-powered devices in a manner to prevent contact with other batteries, devices or electrically conductive materials (e.g., metal) in the packagings; or
  • Ensuring exposed terminals are protected with electrically non-conductive caps, electrically non-conductive tape, or by other appropriate means; and
• Damage to terminals. If not impact resistant, the outer packaging must not be used as the sole means of protecting the battery terminals from damage or short circuiting. Batteries must be securely cushioned and packed to prevent shifting which could loosen terminal caps or reorient the terminals. Batteries contained in devices must be securely installed. Terminal protection methods include but are not limited to:
  • Securely attaching covers of sufficient strength to protect the terminals;
  • Packaging the battery in a rigid plastic packaging; or
  • Constructing the battery with terminals that are recessed or otherwise protected so that the terminals will not be subjected to damage if the package is dropped.

For transportation by aircraft

The packaging for wet batteries must incorporate an acid- or alkali-proof liner, or include a supplementary packaging with sufficient strength and adequately sealed to prevent leakage of electrolyte fluid in the event of spillage; and

Any battery-powered device, equipment or vehicle must be packaged for transport in a manner to prevent unintentional activation or must have an independent means of preventing unintentional activation (e.g., packaging restricts access to activation switch, switch caps or locks, recessed switches, trigger locks, temperature sensitive circuit breakers, etc.).

Authorized packagings

The following specification packagings are authorized for batteries packed without other materials provided all requirements of this section and for transportation by aircraft are met:

• Wooden box: 4C1, 4C2, 4D, or 4F.
• Fiberboard box: 4G.
• Plywood drum: 1D.
• Fiber drum: 1G.
• Plastic drum: 1H2.
• Plastic jerrican: 3H2.
• Plastic box: 4H2.

The following non-specification packagings are authorized for batteries packed without other materials provided all requirements of this section and for transportation by aircraft are met:

• Electric storage batteries are firmly secured to skids or pallets capable of withstanding the shocks normally incident to transportation are authorized for transportation by rail, highway, or vessel. The height of the completed unit must not exceed 11/2 times the width of the skid or pallet. The unit must be capable of withstanding, without damage, a superimposed weight equal to two times the weight of the unit or, if the weight of the unit exceeds 907 kg (2,000 pounds), a superimposed weight of 1,814 kg (4,000 pounds). Battery terminals must not be relied upon to support any part of the superimposed weight and must not short out if an electrically conductive material is placed in direct contact with them.
• Electric storage batteries weighing 225 kg (500 pounds) or more, consisting of carriers’ equipment, may be shipped by rail when mounted on suitable skids. Such shipments may not be offered in interchange service.
• One to three batteries not over 11.3 kg (25 pounds) each, packed in strong outer boxes. The maximum authorized gross weight is 34 kg (75 pounds).
• Not more than four batteries not over 7 kg (15 pounds) each, packed in strong outer fiberboard or wooden boxes. The maximum authorized gross weight is 30 kg (65 pounds).
• Not more than five batteries not over 4.5 kg (10 pounds) each, packed in strong outer fiberboard or wooden boxes. The maximum authorized gross weight is 30 kg (65 pounds).
• Single batteries not exceeding 34 kg (75 pounds) each, packed in 5-sided slip covers or in completely closed fiberboard boxes. Slip covers and boxes must be of solid or double-faced corrugated fiberboard of at least 91 kg (200 pounds) Mullen test strength. The slip cover or fiberboard box must fit snugly and provide inside top clearance of at least 1.3 cm (0.5 inch) above battery terminals and filler caps with reinforcement in place. Assembled for shipment, the bottom edges of the slipcover must come to within 2.5 cm (1 inch) of the bottom of the battery. The completed package (battery and box or slip cover) must be capable of withstanding a top-to-bottom compression test of at least 225 kg (500 pounds) without damage to battery terminal caps, cell covers or filler caps.
• Single batteries exceeding 34 kg (75 pounds) each may be packed in completely closed fiberboard boxes. Boxes must be of double-wall corrugated fiberboard of at least 181 kg (400 pounds) test, or solid fiberboard testing at least 181 kg (400 pounds); a box may have hand holes in its ends provided that the hand holes will not materially weaken the box. Sides and ends of the box must have cushioning between the battery and walls of the box; combined thickness of cushioning material and walls of the box must not be less than 1.3 cm (0.5 inch); and cushioning must be excelsior pads, corrugated fiberboard, or other suitable cushioning material. The bottom of the battery must be protected by a minimum of one excelsior pad or by a double-wall corrugated fiberboard pad. The top of the battery must be protected by a wood frame, corrugated trays or scored sheets of corrugated fiberboard having minimum test of 91 kg (200 pounds), or other equally effective cushioning material. Top protection must bear evenly on connectors and/or edges of the battery cover to facilitate stacking of batteries. No more than one battery may be placed in one box. The maximum authorized gross weight is 91 kg (200 pounds).

Hazmat exemption requirements

When transported by highway or rail, electric storage batteries containing electrolyte, acid, or alkaline corrosive battery fluid and electric storage batteries packed with electrolyte, acid, or alkaline corrosive battery fluid, are not subject to any other requirements of the Hazardous Materials regulations, if all of the following are met:

• No other hazardous materials may be transported in the same vehicle;
• The batteries must be loaded or braced so as to prevent damage and short circuits in transit;
• Any other material loaded in the same vehicle must be blocked, braced, or otherwise secured to prevent contact with or damage to the batteries. In addition, batteries on pallets, must be stacked to not cause damage to another pallet in transportation;
• Except for the purpose of consolidating shipments of batteries for recycling, the transport vehicle may not carry material shipped by any person other than the shipper of the batteries; and
• Shipments made under this paragraph are subject to the incident reporting requirements in 171.15.

Batteries considered non-spillable

Batteries can be considered as non-spillable provided they are capable of withstanding the following two tests, without leakage of battery fluid from the battery:

• Vibration test. The battery must be rigidly clamped to the platform of a vibration machine, and a simple harmonic motion having an amplitude of 0.8 mm (0.03 inches) with a 1.6 mm (0.063 inches) maximum total excursion must be applied. The frequency must be varied at the rate of 1 Hz/min between the limits of 10 Hz to 55 Hz. The entire range of frequencies and return must be traversed in 95 ± 5 minutes for each mounting position (direction of vibrator) of the battery. The battery must be tested in three mutually perpendicular positions (to include testing with fill openings and vents, if any, in an inverted position) for equal time periods.
• Pressure differential test. Following the vibration test, the battery must be stored for six hours at 24°C ±4°C (75°F ±7°F) while subjected to a pressure differential of at least 88 kPa (13 psig). The battery must be tested in three mutually perpendicular positions (to include testing with fill openings and vents, if any, in an inverted position) for at least six hours in each position.

Exceptions for non-spillable batteries

Exceptions for hazardous materials shipments in the following paragraphs are permitted only if this section is referenced for the specific hazardous material in the 172.101 table or in a packaging section.

Non-spillable batteries offered for transportation or transported in accordance with this section are subject to the incident reporting requirements. For transportation by aircraft, a telephone report in accordance with 171.15(a) is required if a fire, violent rupture, explosion or dangerous evolution of heat (i.e., an amount of heat sufficient to be dangerous to packaging or personal safety to include charring of packaging, melting of packaging, scorching of packaging, or other evidence) occurs as a direct result of a non-spillable battery.

For all modes of transportation, a written report in accordance with 171.16(a) is required if a fire, violent rupture, explosion or dangerous evolution of heat occurs as a direct result of a non-spillable battery.

Non-spillable batteries are excepted from the packaging requirements of 173.159 under the following conditions:

• Non-spillable batteries must be securely packed in strong outer packagings or secured to skids or pallets capable of withstanding the shocks normally incident to transportation. The batteries must meet the requirements of 173.159(a), be loaded or braced so as to prevent damage and short circuits in transit, and any other material loaded in the same vehicle must be blocked, braced, or otherwise secured to prevent contact with or damage to the batteries.
• A non-spillable battery which is an integral part of and necessary for the operation of mechanical or electronic equipment must be securely fastened in the battery holder on the equipment.
• The battery and outer packaging must be plainly and durably marked “NONSPILLABLE” or “NONSPILLABLE BATTERY.” The requirement to mark the outer package does not apply when the battery is installed in a piece of equipment that is transported unpackaged.

Non-spillable batteries are excepted from all other requirements of the Hazardous Materials regulations when offered for transportation and transported in accordance with this section and the following:

• At a temperature of 55°C (131°F), the battery must not contain any unabsorbed free-flowing liquid, and must be designed so that electrolyte will not flow from a ruptured or cracked case; and
• For transport by aircraft, when contained in a battery-powered device, equipment or vehicle must be prepared and packaged for transport in a manner to prevent unintentional activation in conformance with 173.159(b)(2).
• For transport by aircraft, must be transported as cargo and may not be carried onboard an aircraft by passengers or crewmembers in carry-on baggage, checked baggage, or on their person unless specifically excepted by 175.10.

Battery fluid

Electrolyte, acid or alkaline corrosive battery fluid, packed with batteries wet or dry, must be packed in one of the following specification packagings:

• In 4C1, 4C2, 4D, or 4F wooden boxes with inner receptacles of glass, not over 4.0 L (1 gallon) each with not over 8.0 L (2 gallons) total in each outside container. Inside containers must be well- cushioned and separated from batteries by a strong solid wooden partition. The completed package must conform to Packing Group III requirements.
• Electrolyte, acid, or alkaline corrosive battery fluid included with electric storage batteries and filling kits may be packed in strong rigid outer packagings when shipments are made by, for, or to the Departments of the Army, Navy, or Air Force of the United States. Packagings must conform to military specifications. The electrolyte, acid, or alkaline corrosive battery fluid must be packed in polyethylene bottles of not over 1.0 L (0.3 gallon) capacity each. Not more than 24 bottles, securely separated from electric storage batteries and kits, may be offered for transportation or transported in each package.
• In 4G fiberboard boxes with not more than 12 inside packagings of polyethylene or other material resistant to the lading, each not over 2.0 L (0.5 gallon) capacity each. Completed packages must conform to Packing Group III requirements. Inner packagings must be adequately separated from the storage battery. The maximum authorized gross weight is 29 kg (64 pounds). These packages are not authorized for transportation by aircraft.

Dry batteries or battery charger devices may be packaged in 4G fiberboard boxes with inner receptacles containing battery fluid. Completed packages must conform to the Packing Group III performance level. Not more than 12 inner receptacles may be packed in one outer box. The maximum authorized gross weight for the completed package is 34 kg (75 pounds).

Battery fluid, acid (UN2796) may be packaged in a UN6HG2 composite packaging further packed in a UN4G fiberboard box with a dry storage battery. The UN6HG2 composite packaging may not exceed 8.0 liters in capacity. Completed packages must conform to the Packing Group III performance level. The maximum authorized gross weight for the completed package is 37.0 kg (82.0 lbs).

When approved by DOT, electric storage batteries, containing electrolyte or corrosive battery fluid in a separate reservoir from which fluid is injected into the battery cells by a power device cartridge assembled with the battery, and which meet the criteria of paragraph (f) are not subject to any other requirements of the Hazardous Materials regulations.

Nickel cadmium batteries containing liquid potassium hydroxide solution

Nickel-cadmium batteries that contain no more than 10 ml of liquid potassium hydroxide solution (UN1814) in each battery are not subject to the requirements of the Hazardous Materials regulations under the following conditions:

• Each battery must be sealed in a heat-sealed bag, packaged to prevent short circuits, and placed in the center of an outer packaging surrounded with a foam-in-place packaging material;
• The completed package must meet the Packing Group II performance level;
• The gross weight of the package may not exceed 15.2 kg (33.4 pounds); and
• The cumulative amount of potassium hydroxide solution in all of the batteries in each package may not exceed 4 ounces (0.11 kg).

Damaged wet electric storage batteries

Damaged batteries incapable of retaining battery fluid inside the outer casing during transportation may be transported by highway or rail provided the batteries are transported in non-bulk packaging, meet the requirements of the “Batteries, wet” section, and are prepared for transport under one or more of the following conditions:

• Drain the battery of fluid to eliminate the potential for leakage during transportation;
• Individually pack the battery in a leak proof intermediate package with sufficient compatible absorbent material capable of absorbing the release of any electrolyte and place the intermediate packaging in a leakproof outer packaging that conforms to the general packaging requirements;
• Pack the battery in a salvage packaging in accordance with the provisions of 173.3(c); or
• When packaged with other batteries or materials (e.g., on pallets or non-skid rails) and secured to prevent shifting during transport, pack the battery in leakproof packaging to prevent leakage of battery fluid from the packaging under conditions normally incident to transportation.

Shipment of damage batteries in accordance with this paragraph is eligible for exception under the “Hazmat exemption requirements” section.