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U.S. Department of Transportation U.S. Department of Transportation Icon United States Department of Transportation United States Department of Transportation

Interpretation Response #15-0243 ([Environmental Health & Safety] [Ms. Marilyn Winterburg])

Below is the interpretation response detail and a list of regulations sections applicable to this response.

Interpretation Response Details

Response Publish Date:

Company Name: Environmental Health & Safety

Individual Name: Ms. Marilyn Winterburg

Location State: TX Country: US

View the Interpretation Document

Response text:

May 19, 2016

Ms. Marilyn Mia Winterburg
Environmental Health & Safety
DOT/Hazmat Transportation Compliance
Samsung Austin Semiconductor
12100 Samsung Blvd.
Austin, TX 78754

Reference No.  15-0243

Dear Ms. Winterburg:

This is in response to your recent letter requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) regarding the appropriate classification for equipment containing the residue of a hazardous material.  In addition you ask for clarification of “shipper” responsibilities applicable to vendors operating on-site at your facilities.  The tasks performed by these vendors include pre-transportation and transportation functions, storage, cleaning and decontamination of pumps, tools, parts, and other mechanical equipment that may contain processed residue within.  Your questions are paraphrased and answered below.

Q1. For the pumps, tools, parts, and other mechanical equipment, the exact amount of hazardous material residue is often not possible to determine and cannot be removed without rendering the equipment unusable.  The final residue composition in the equipment is determined by reviewing all the changes produced during the processing of raw materials and gases.  You state that the residue is integral to equipment and ask if “UN3363, Dangerous goods in machinery” is the most appropriate classification.

A1. The answer is yes.  It is the opinion of this Office that hazardous material residue in components of equipment or machinery may be considered integral if the residue is necessary to the function of the equipment, its removal would cause damage to the equipment, or it performs some other function necessary to the equipment such that it cannot be removed from the equipment while it is in transportation.  Please note that the proper shipping names “Dangerous goods in machinery” and “Dangerous goods in apparatus” are appropriate shipping names for components of machinery or equipment that contain residual hazardous materials.  Materials prepared for transportation using these proper shipping names must comply with the requirements specified in § 173.222 including the net quantity limitations prescribed in § 173.222(c).

Q2. For parts requiring cleaning, a minor onsite purging process is completed prior to providing the vendor with the part.  Upon receipt of the parts by the vendor, the parts are prepared for shipment and transported to the vendor facility where comprehensive maintenance and in-depth cleaning are performed.  Once the cleaning is complete, the vendor transports the part back to your facility.  You ask for the most appropriate classification of the parts in this scenario.

A2. If the parts are not completely free of the residue of a hazardous material (through a combination of cleaning and/or purging) prior to transport to the vendor facility as described in your letter, then “UN3363, "Dangerous goods in machinery” would be an appropriate description.  Provided that the parts are both cleaned and purged in accordance with
§ 173.29(b)(2) to the extent that no residual hazardous material or vapor remain in the part, the part is not subject to the requirements of the HMR.

Q3. When the parts require repair or calibration the process is identical to that described in Q2 with the exception that the parts are processed for repair and calibration, not for in-depth cleaning. You ask for the most appropriate classification of the parts in this scenario.

A3. See A2.

Q4. As the on-site vendor at your facility conducts all of the steps involved in the preparation and actual transportation and delivery of these items described above, you ask if  the vendor, the manufacturing facility, or both, are responsible for compliance with the HMR, including the “shipper’s certification” on shipping papers?

A4.  Based on your description, the vendor performs all offeror and carrier functions and therefore is responsible for ensuring that the shipments conform to the requirements of the HMR.  Specifically, an offeror is responsible for ensuring proper labeling and shipping papers under §§ 172.200, 172.204, and 172.400; and an offeror or carrier (when assigned the function) is responsible for markings and placards under §§ 172.300 and 172.500.  

Please note that if your company, the manufacturing facility, performs any pre-transportation functions (as defined in § 171.8) related to the residue shipment, including but not limited to securing the closure on a package, preparing a shipping paper, providing emergency response information, or certifying that a shipment is in proper condition for transportation in conformance with HMR requirements, your company is responsible for compliance with the HMR.

I hope this satisfies your request.


Duane A. Pfund
International Standards Coordinator
Standards and Rulemaking Division

173.222, 173.222(c), 173.29(b)(2), 172.200, 172.204, 172.400, 172.300 and 172.500, 171.8

Regulation Sections

Section Subject
171.8 Definitions and abbreviations
172.200 Applicability
172.204 Shipper's certification
172.300 Applicability
172.400 General labeling requirements