shipping paper

Q&A: Does the person signing for receipt of a hazardous materials delivery require HazMat Employee triaining?

Question (12.12.17):

I have a hopefully quick question – a non-hazmat employee can sign for a delivery of a hazmat, correct? They are not unloading, just receiving hazmat to the site and signing for the load.

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My answer (12.12.17):

Correct. It may be subject to interpretation, but the receipt of Hazmat Shipping paper is not subject to regulation. The physical unloading of the vehicle is subject to regulation. Allow me to explain further.

A more complete answer can be found in the Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA). At 49 CFR 171.1 USDOT/PHMSA explains the applicability of the HMR to persons and functions.  Applicable functions include:

  • Each person who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests a packaging for use in the transportation of hazardous materials.
  • Pre-transportation functions. Functions that must take place before the HazMat is offered for transportation. This includes preparing a shipping paper. The pre-transportation functions are usually performed by the person who offers the HazMat for transportation, aka: the shipper.
  • Transportation of the hazardous material in commerce, which includes:
    Unload HazMat at Airport

    The unloading of a hazardous material is subject to the HMR

    • Loading the HazMat prior to its movement. This includes a package or container or the filling of a bulk packaging incidental to its movement.
    • Movement of the HazMat by rail car, aircraft, motor vehicle, or vessel. This function is performed by the carrier.
    • Storage of the HazMat between the time the carrier takes physical possession of it and its delivery to the indicated destination. This will not occur if the HazMat is delivered directly to its destination.
    • Unloading of the HazMat (package, container, or unload of bulk packaging) at the assigned destination when performed by carrier personnel or in the presence of carrier personnel.
  • And that’s it! There is no regulated function entitled “post-transportation function” which may include signing the shipping paper.

So, if the act of signing a HazMat shipping paper is not a function subject to the hazardous materials regulations, it isn’t a function that requires trained HazMat Employees.

Q. Is it even necessary for the destination facility (aka: the receiver) to sign the HazMat shipping paper?

A. No. The regulations for preparation and retention of HazMat shipping papers §172.201 require the shipper to retain a copy for at least two years. At 177.817(f) the carrier is instructed to retain a copy for at least one year. There is no requirement for the destination facility (sometimes identified as the consignee) to retain a copy at all and as a matter of fact, they may never get one!

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That did it!

A simple question. A simple answer. But a complex explanation. Make certain you have identified everyone at your company who has a direct effect on the safe transportation of hazardous materials. If they do, they are likely a HazMat Employee. And if they are, they must receive initial (within 90 days) and recurrent (within three years) HazMat Employee training.

FAQ: How do I maintain social distancing when exchanging HazMat shipping papers?

Under the Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA), no physical contact between parties is required during the creation, review, certification, and exchange of shipping papers created to accompany consignments of hazardous materials (HazMat).

Shipping papers may be exchanged by any of the following methods:

  • Attach the document to a clipboard, place it on a table, and step away while the paper is signed.
  • Send the document via email or other means of electronic transmission.

Q: Does that second bullet point, “send the document via email or other means of electronic transmission.” mean an electronic version of the shipping paper will suffice and the driver does not require a paper copy in his/her possession during transportation?

A: No. The language of USDOT/PHMSA’s notice is unclear and can be misleading. The HMR at 49 CFR 172.201(a)(5) allow for an electronic shipping paper only for consignments of HazMat transported by rail and §177.817(e) requires the driver of the motor vehicle to maintain a paper copy of the shipping paper when the HazMat is in transportation. I believe what USDOT/PHMSA means here is that a shipper may prepare a shipping paper and email it to the carrier who may then print, sign as a representative of the shipper (this is discussed later in the notice), and maintain a paper copy during transportation.

Social Distancing Sign

Photo by LOGAN WEAVER on Unsplash

What about the shipper’s certification statement?

§172.204(d) of the HMR indicates the shipper’s certification on a shipping paper,

Must be legibly signed by a principal, officer, partner, or employee of the shipper or his agent; and may be legibly signed manually by typewriter, or by other mechanical means.

The person signing the shipper’s certification statement may be an agent of the shipper, this may be an employee of the carrier.  The driver may sign the certification statement as an agent of the shipper if he/she has direct knowledge that the materials are in proper condition for transportation (LOI 11-0201).

The shipper may request a person – e.g., the driver – to sign the shipping paper on its behalf.  This request may be made verbally or in writing and may be transmitted electronically (e.g., text message or email).

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Using the methods outlined above, it is possible for shippers and carriers to satisfy the safety requirements of the HMR while maintaining appropriate social distancing

Read the notice from USDOT/PHMSA on the HazMat Shipping Paper and Social Distancing

Q&A: Is a UOM required as part of the shipping description on a hazardous material shipping paper?

A question from within the regulated community, August 8, 2017.  Sent from a contact form on my website:

I have a rather easy question but I would like some clarification.  Our company transports HM for a customer and I noticed something that looks a little off on their pre-printed HM BOL’s.  They list no Unit of Measure (e.g., 1 Tanker) however they list a volume in gallons before the HM description, for example: # of gallons – UN1170, Ethyl Alcohol, 3, PGII.

Per CFR §172.202(a)(5) it appears their BOL is printed incorrectly as it does no have a UOM.  Can this method be used and still remain in compliance with regulation?

My training tells me it should listed in this manner: 1 Tanker – UN1170 Ethyl Alcohol 3 PGII. # of gallons. Am I correct?

Regards,

My reply that same day:

Thank you for contacting me.  I will try to answer your question.  Please see below.

  • Per 49 CFR 172.202(a)(5) the total quantity of HazMat on a shipping paper (e.g. bill of lading) must be indicated by mass or volume and must include an indication of the unit of measure.
  • Per §172.202(a)(5)(iii) the following are excepted from the above requirement:  Bulk packages, provided some indication of the total quantity is shown.  e.g. “1 cargo tank” or “2 IBCs”.  In other words, the total quantity and UOM of a HazMat is not required for a tanker (aka: cargo tank).
  • Per §172.202(c)(1) the total quantity of the material must appear before or after, or both before and after the basic description.  Abbreviations may be used for UOM.
In sum:
  • The total quantity in gallons is not required on a shipping paper for a bulk packaging such as a tanker truck.  An indication of the total quantity e.g. “1 cargo tank” will suffice.
  • If a total quantity is displayed then a unit of measure must be displayed as well.  It is a violation to display the quantity in gallons and not have the unit of measure.

The safest thing to to is to remove the total quantity and unit of measure and go with just the indication of total quantity: “1 cargo tank” either before or after the basic description.

I hope this helps.

Please don’t hesitate to contact me with any other questions.

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But he still had some questions for me (08.08.17):

Relating your explanation below to my customers pre-printed HM BoL’s, it appears since they use a UOM in gallons on their pre-printed BoL’s they will need to hand write the total quantity (1 Tanker) after the basic description.  Will this meet compliance if done this way?

And I had a reply (08.08.17):

Please see below:

  • The total quantity in gallons is not required for a tanker.  Simply “1 tanker” will suffice for both the total quantity and the number and type of packaging.
  • If a total quantity in gallons is used it must also include the UOM.
  • If the BoL already displays the total quantity in gallons and the UOM then all that is required is the number and type of packaging.  In that case “1 tanker” will suffice.  The number and type of packaging can be displayed before or after the basic description.

I hope that answers your question?  If still unclear perhaps I will understand better if you email me a scanned copy of the BoL with the relevant information.

Interested in site specific training at your site that covers this topic, and more!

Ask me about my Onsite Training

Questioner did just what I requested and sent me a copy of the bill of lading:

I really appreciate your assistance.  I have attached a copy of the information in question.

Having the BoL in question in front of me was very helpful.  I now had a final answer ready:

I understand better now.  Unless I am missing something, the BoL does indicate the total quantity with the UOM.  The placement before the basic description is acceptable.  It is, however, lacking the number and type of packages required by §172.202(a)(7).  As you indicated earlier, this can be added after the basic description as “1 cargo tank”.

I hope THAT answers your question.

That was the answer he needed (08.09.17):

Daniel,

Thank you for your assistance, your guidance has helped.

Contact me with any questions you may have about the transportation of hazardous materials by air, highway, vessel, or rail

International and Domestic

Daniels Training Services, Inc.

815.821.1550

Info@DanielsTraining.com

https://www.danielstraining.com/

Q&A: Who is Required to Sign the Shipping Paper for a Hazardous Material?

A question from a regular inquisitor regarding the Hazardous Material Regulations (5.17.16):

Good morning.
Question- We generate our own manifest or shipping papers for both hazardous and non hazardous loads.
We produce our own chemicals and ship/carry them to job sites.
That being the case, is the driver/employee required to sign the manifest?

My reply that same day:

Thank you for contacting me.  I’ll try to answer your question below:

  • A signature or certification is not required from the driver/carrier on a HazMat shipping paper.  Your company is the carrier of the HazMat since you transport it in commerce.
  • 49 CFR 172.204 requires a signature certification from the shipper of a hazardous material (your company is also the shipper of the HazMat since you offer it for transportation).

However…

  • 49 CFR 172.204(b)(1)(ii) includes an exception from the requirement for a shipper certification if the shipper is acting as a private carrier (i.e. transporting its own HazMat) and the HazMat will not be reshipped or transferred to another carrier.
In sum, based on what you described, your HazMat shipping paper does not require a signature or certification from either the shipper or the carrier (your company is both of these).
Once again a simple, but important, question is answered and the business of HazMat transportation can continue:
Thanks again.
Not included in my correspondence but helpful:

Contact me with any questions you may have about the transportation of hazardous materials by air, highway, vessel, or rail

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Required Information on the Bill of Lading

Unless excepted by regulation, the transportation of a hazardous material in commerce will require the use of a shipping paper.  (Read my article:  What is a Shipping Paper?)    49 CFR 172, Subpart C contains the requirements of the Pipeline and Hazardous Materials Safety Administration (PHMSA) for a shipping paper accompanying a HazMat Shipment.  However, the shipment of a HazMat may be subject to the regulations of more than just the PHMSA.  If that is the case, then your shipping paper must be completed in a way that ensures compliance with all applicable regulations.  The purpose of this article is to describe the requirements of the Federal Motor Carrier Safety Administration (FMCSA) for including information on a Bill of Lading. (more…)

Hazardous Material Shipping Paper Retention and Recordkeeping Requirements

Unless exempted by regulation, all shipments of hazardous materials must be accompanied by a shipping paper, the basic requirements for which are provided at 49 CFR 172, Subpart C.  All persons involved in the transportation of a hazardous material, including a hazardous waste, should be familiar with these regulations particularly the requirements for HazMat shipping paper retention and recordkeeping found at §172.201(e):

Retention and Recordkeeping. Each person who provides a shipping paper must retain a copy of the shipping paper required by § 172.200(a), or an electronic image thereof, that is accessible at or through its principal place of business and must make the shipping paper available, upon request, to an authorized official of a Federal, State, or local government agency at reasonable times and locations. For a hazardous waste, the shipping paper copy must be retained for three years after the material is accepted by the initial carrier. For all other hazardous materials, the shipping paper must be retained for two years after the material is accepted by the initial carrier. Each shipping paper copy must include the date of acceptance by the initial carrier, except that, for rail, vessel, or air shipments, the date on the shipment waybill, airbill, or bill of lading may be used in place of the date of acceptance by the initial carrier. A motor carrier (as defined in § 390.5 of subchapter B of chapter III of subtitle B) using a shipping paper without change for multiple shipments of one or more hazardous materials having the same shipping name and identification number may retain a single copy of the shipping paper, instead of a copy for each shipment made, if the carrier also retains a record of each shipment made, to include shipping name, identification number, quantity transported, and date of shipment.

The objective of this article is to better explain the terms used in the above regulation and inform persons involved in the transportation of hazardous materials their requirements to retain copies of shipping papers for hazardous materials under the regulations of the US DOT.  The regulations of the US EPA for shipments of hazardous waste differ in some ways from those of the US DOT.  These differences will be referenced below, but a more complete explanation of the record retention requirements of the US EPA will have to wait until a later article.

Lets take  a look at some of the key terms used in the above paragraph to better understand the retention requirements for hazardous material shipping papers.

“Each person who provides…”

This limits the applicability of this regulation to just the Shipper of the hazardous material (aka:  The Offeror, or the Person who Offers).  The requirements of this regulation do not apply to the Carrier or to the Receiver of the hazardous material, both of whose regulatory responsibilities are explained later.

“…must retain a copy…”

This clearly establishes the requirement to retain a copy of the shipping paper.

“…required by §172.200(a)…”

§172.200(a) establishes the applicability for all of Subpart C – of which this paragraph is a part – to shipments of hazardous materials.  Unless specifically exempted by regulation a shipping paper will be required for a shipment of a hazardous material.  And, as indicated in §172.200(a) it is the responsibility of “each person who offers a hazardous material for transportation”, aka:  The Shipper, to describe the hazardous material on the shipping paper.

“…or an electronic image thereof…”

An electronic image of the shipping paper is acceptable for retention provided the other requirements of this subpart are met.  So, you may scan or copy your shipping papers and save them electronically on a computer or other hardware as long as the other requirements of this paragraph are met.

The US EPA regulations for the retention of a hazardous waste manifest at 40 CFR 262.40(a) do not specifically indicate an electronic image of a manifest as an acceptable copy for recordkeeping purposes.  However, this US EPA document:  Interpretation and Findings Regarding Safety-Kleen Corp.’s Automated Manifest Record Storage System does state that an electronic copy of a signed manifest, if it meets all other regulatory requirements, would be acceptable to the US EPA.

It is important to note that while electronic images of the shipping paper are accepted by US DOT for recordkeeping, they are not an acceptable replacement of the shipping paper while the hazardous material is in transportation (LOI 04-0207).

“…that is accessible at or through its principal place of business…”

The regulations provide some flexibility as to where, and thus how, the shipping papers are retained.  The actual records (paper or electronic) might be at your principal place of business, or they might be stored elsewhere but available from your principal place of business.  No matter where they are stored, don’t fail to comply with the next requirement.

“…and must make the shipping paper available, upon request…at reasonable times and locations…”

No matter where they are stored, or how (paper or electronic), you must provide HazMat shipping paper records when requested by authorized officials.  What is a reasonable time and location?  4:45pm on a Friday?  7:30am on a Monday?  I think it will depend on the authorized official.  Even without this regulation I have found it best during any agency inspection to give them the documents they request as quickly as you can.  It demonstrates cooperation and professionalism on your part and it gets them off your property faster.

“For hazardous waste…three years…accepted by the initial carrier…”

This is an instance where US DOT has revised its regulations for the transportation of a hazardous material to encompass the regulations of the US EPA for the transportation of a hazardous waste.  Under US DOT regulations these regulations apply to a Shipper, similar US EPA regulations refer to the same person as a generator, the requirements are the same.  US EPA requires persons handling a hazardous waste in transportation to retain a copy of the manifest as follows:

  • Generator:  Three years from the date the hazardous waste is accepted  by the initial transporter [40 CFR 262.40(a)].  This matches the US DOT requirement of a Shipper found in this paragraph.
  • Transporter:  Three years from the date the hazardous waste is accepted by the initial transporter [40 CFR 263.22(a)].  This differs from the US DOT requirement of 1 year for a Carrier (see below).
  • Treatment Storage and Disposal Facility:  Three years from the date of delivery of the hazardous waste [40 CFR 264.71(a)(2)(v)].  This differs greatly from the US DOT which has no record retention requirement for those who solely receive a hazardous material.
“For all other hazardous materials…retained for two years…”

If the shipment is not a hazardous waste, then only the regulations of the US DOT are applicable.  In that case, a copy of the shipping paper must be retained for two years from the date the HazMat is accepted by the initial carrier.  Remember that these regulations apply only to a shipper of a hazardous material.  A carrier of a hazardous material is required to retain a copy of the shipping paper for one year after after the material is accepted by the carrier [49 CFR 177.817(f) and (LOI 09-0285)].  A person who receives a shipment of a hazardous material has no record retention requirement  and indeed is not required to receive a copy of the shipping paper at all (unless it is a hazardous waste).

“Whatever happened to 375 days?” You may ask.  Well, prior to enactment of the Hazardous Materials Safety and Security Reauthorization Act of 2005 (effective date of January 9, 2006) the mandatory retention period of a hazardous material shipping paper for both shippers and carriers was 375 days.  However, after January 9, 2006 it became two years for a shipper and one year for a carrier (LOI 06-0025).

“…must include the date of acceptance…”

This makes sense since the mandated time period for shipping paper retention begins on the date of acceptance by the initial carrier.

“…except that, for rail, vessel, or air shipments…”

A slight exception for the date of acceptance is allowed for shipments by rail, vessel, or air.

“A motor carrier…using a shipping paper without change…”

Referred to as a “Permanent” Shipping Paper, this aspect of the regulation deserves its own article, and so I did:  Using a “Permanent” Shipping Paper for the Transportation of Hazardous Materials.

That is a summary of the regulation, please contact me if you do not find the answers to your questions.  I initially thought this would be an easy article to write, but it just kept getting more complicated as I dug into it (I find that happens often with the regulations).  In later articles I will look more in-depth into the following:

  • Record retention requirements for Carriers of hazardous materials.
  • Signed by hand vs. manual signature on a shipping paper and a hazardous waste manifest.
  • Electronic transmission of the uniform hazardous waste manifest.
  • Record retention requirements for generators of hazardous waste.

The transportation of a hazardous waste is subject to the regulations of both the US EPA and the US DOT.  That is why I include the training required by both agencies in one day of training either at Public Seminars or Onsite Training.

Please contact me for a free consultation of your training needs.

The Hazardous Materials Description on a Shipping Paper

In an earlier article I explained that a shipping paper may be used for shipments of both hazardous and non-hazardous materials.  I also identified the different forms a shipping paper may take, such as:  uniform hazardous waste manifest, bill of lading, and others.  Though it may appear in many forms, if used for the transportation of a hazardous material (HazMat) all shipping papers must contain a hazardous materials description.  The Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA) mandate the information that must be included in the hazardous materials description.  These regulations can be found in the HMR at 49 CFR 172.202.  A hazardous materials description must include the following:

  1. The identification number shown in column 4 of the Hazardous Materials Table.
  2. The proper shipping name shown in column 2 of the Hazardous Materials Table.
  3. The hazard class or division number.
  4. The Packing Group.
  5. Unless transported by air, the total quantity of HazMat by mass or volume.  There are other requirements for transportation by air explained further at §172.202(a)(6).
  6. The number and type of packages.

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§172.203 identifies additional description requirements that must be included as part of the hazardous materials description, if applicable:

  1. Special Permits.
  2. Limited Quantities.
  3. Hazardous Substances.
  4. Radioactive Material.
  5. Empty Packagings.
  6. Transportation by Air.
  7. Transportation by Rail.
  8. Transportation by Highway (applicable to anhydrous ammonia and liquefied petroleum gas only).
  9. Transportation by Water.
  10. Technical Names for “n.o.s.” and Other Generic Descriptions.
  11. Marine Pollutants.
  12. Poisonous Materials.
  13. Elevated Temperature Materials.
  14. Organic Peroxides and Self-Reactive Materials.
  15. Liquefied Petroleum Gas (LPG).

Package for UN1057 LighterYou may include additional information about the hazardous material on the shipping paper provided it is consistent with the required description.  You must take care not to include so much additional information that the purpose of the shipping paper:  the communication of the potential hazards of the material, are lost.

§172, Subpart C also identifies other information that must be included on a shipping paper:

  1. Emergency response telephone number [§172.201(d)].
  2. The shipper’s certification (§172.204).

Contact me with any questions you may have about the transportation of hazardous materials by air, highway, vessel, or rail

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The purpose of the hazardous materials description on a shipping paper is to inform anyone who comes in contact with the shipment of the potential hazards associated with it.  The hazardous materials description does no good, however, if your HazMat Employees are not trained in the ways to interpret that information.  My training gives your employees (and you) the tools and the knowledge to perform their jobs safely and in compliance with the regulations.

What is a Shipping Paper?

A Shipping Paper is defined at 49 CFR 171.8 as:

Shipping paper means a shipping order, bill of lading, manifest or other shipping document serving a similar purpose and prepared in accordance with subpart C of part 172 of this chapter.

So what is it, exactly…?  A bill of lading?  A Uniform Hazardous Waste Manifest?  A shipping order?  A shipping document?  Half a page of scribbled lines?

Yes to all.

As far as the USDOT/PHMSA (the Pipeline and Hazardous Materials Safety Administration, the administration within US DOT responsible for hazardous material transportation) is concerned a shipping paper is a document whose purpose is to provide information about a material (hazardous or non-hazardous) when in transportation.  The USDOT/PHMSA doesn’t care (their own words) what the shipping paper looks like, what format is used, or whether it is printed by machine or by hand.

Now, if you are transporting (a carrier) or offering for transport (a shipper) a hazardous material (HazMat) in commerce, then the USDOT/PHMSA requires the shipping paper to meet its requirements at 49 CFR, Subpart C.  Even in this case, the USDOT/PHMSA does not require a specific type or form of shipping paper.  You may create your own, even write one up by hand, as long as it meets the requirements of §172, Subpart C.

There are some hazardous material shipments that require a specific type of shipping paper; such as the transportation of a hazardous waste for which the US Environmental Protection Agency (USEPA) requires a Uniform Hazardous Waste Manifest.  Or a bill of lading which is required pursuant to the regulations (49 CFR 375.505) of the Federal Motor Carrier Safety Administration (FMCSA, another administration within the US DOT).  In both cases however, the use of a specific form is required by an agency other than the USDOT/PHMSA.

Contact me with any questions you may have about the transportation of hazardous materials by air, highway, vessel, or rail

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Whatever its appearance, the regulations of §172, Subpart C are specific about what information must be included on a hazardous material shipping paper.  My HazMat Employee training covers these requirements and where you must go to get the information.  Contact me to discuss your HazMat transportation requirements.

Exemptions From the Requirement to use a Shipping Paper When Transporting a Hazardous Material

Believe it or not, there are times when a shipping paper is not required for the transportation of a hazardous material in commerce.  Since it is the responsibility of the Shipper to describe the hazardous material on the shipping paper, your awareness of this exclusion is important.  The regulations for the applicability of the shipping paper to the transportation of a hazardous material are found at 49 CFR 172.200 and explained below.  (more…)

The Top Six Hazardous Material Transportation Violations

The Pipeline and Hazardous Materials Safety Administration (PHMSA) within the US DOT is tasked with enforcing the nations hazardous materials transportation regulations across all modes of transportation.  The unannounced inspections of its agents of the regulated community, ie. shippers, receivers, and transporters of hazardous materials, just like you; has been found to turn up a relatively stable crop of violations.  This article contains a descriptive list of the top six violations found by the PHMSA.

One thing these violations have in common (especially the first five) are their frequent applicability throughout the HazMat transportation industry.  If you ship or receive any hazardous materials at all, including hazardous waste, then you have a good chance of being subject to the first five of these potential violations.  The sixth one depends on the quantity and type of hazardous material you offer for shipment.

The source of the information for this list is a PHMSA Workshop I attended in St. Louis in August of 2011.  The trainers, who were all active PHMSA inspectors, reported that this list was determined from inspections completed by the Administration within the previous year.  I’m sure that the ranking of these violations may shuffle over the years, but it is my opinion that the violations listed below will always be near the top.

The top six violations of the Hazardous Material Regulations found during inspections by agents of the PHMSA are:

  1. Improper HazMat Employee training record documentation:  An important distinction must be made here, the violation is not due to failure to complete training (see #2) or failure to document the training, but failure to properly document HazMat Employee training.  49 CFR 172.704(d) explains exactly what must be done in order to document the training in a form acceptable to the PHMSA.
  2. Failure to train HazMat Employees:  Not unexpectedly, failure to provide initial and recurrent training for all HazMat Employees as specified in 49 CFR 172.704(c) is right at the top of the list.  If you ship or receive a hazardous material (ie. paint, resin, solvent, cleaners, fuel, corrosives, etc.) in commerce, then your HazMat Employees must be trained and tested within 90 days of new hire or change in employment (supervised by a trained employee during those 90 days), and receive full training at least once every three years thereafter.
  3. Improper marking and labeling of HazMat packages in shipment:  With millions of tons of hazardous materials in transportation every day, it is no surprise that many packages of HazMat are found to be labeled and marked improperly.  The exact nature of each violation will differ for each shipment, however, whatever the violation they all have one solution:  an understanding of the Hazardous Material Regulations (HMR) and how they apply to the hazardous materials you as the shipper are offering for shipment.  It is the requirement of the shipper, not the transporter of the HazMat, to ensure it is properly marked, labeled, and the correct packaging is in the proper condition for shipment.  If you aren’t sure of your responsibility as a shipper, just read the certification statement near your signature the next time you sign a shipping paper.  Which brings us to…
  4. Errors on the shipping paper:  Every shipment of a hazardous material must be accompanied by a shipping paper.  For a commercial product the shipping paper may be known as a Bill of Lading.  For a shipment of a hazardous waste it must be a Uniform Hazardous Waste Manifest.  Whatever the name, it is the responsibility of the shipper to ensure the shipping paper is completed properly.  As in #3 above, whatever the cause of the violation, the solution is a thorough understanding of the HMR, the hazardous material – or hazardous waste – you are offering for shipment, and what information about the hazardous material is required to be documented on the shipping paper.
  5. Not registered with the PHMSA as a shipper or carrier of hazardous materials:  In my experience providing HazMat Employee training I have found it to be quite common that employers are not aware of their requirement to register annually with the PHMSA.  I will have to save a more thorough explanation for another day as the criteria determining registration can be technical, but know that if you transport or offer for transport a hazardous material, including a hazardous waste, in a quantity that requires the vehicle to be placarded then you must register with the PHMSA.  More information about the PHMSA registration requirements can be found here.
  6. No Security Plan:  Since 2003 a person must complete a security plan if they transport or offer for transportation a type and quantity of HazMat subject to the regulation.  The current version of the applicability determination for the security plan can be found at 49 CFR 172.800(b).  “Current” because on October 1, 2010, the applicability determination was revised to better address real security threats and remove from regulation small amounts of HazMat not thought to be a potential security threat.  The requirements for Security Plan content were changed at that time as well.  If your determination of Security Plan applicability was completed prior to 2010 you may wish to check the regulations again to see if you are still subject.  If you were not aware of this regulation, please check the applicability determination now to confirm your responsibility.  More information about completing the Security Plan can be found on the PHMSA Security website.

There you have it, The Magnificant Six; which of these violations could an inspector find at your facility?  And while we’re talking about inspectors, keep in mind that it is not just the PHMSA which conducts inspections of shippers of hazardous materials.  If your HazMat is ever transported by an applicable method:  Air, rail, highway, or vessel; you may find your facility inspected by the Federal Aviation Administration, the Federal Railroad Administration, the Federal Motor Carrier Safety Administration, or the Coast Guard.  Fines for these violations can quickly go into the thousands of dollars each; much more than the cost of a one day training session that covers all of the above and more.

Avoiding the violations and fines for all of the above, and more not listed here, begins with proper training of all of your HazMat Employees.  Proper training will not only completely eliminate #’s1 & 2 as a potential violation, it will give you the knowledge and tools to avoid #’s 3+ for years to come.