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2. General Awareness / Familiarization

3. General Awareness/Familiarization Objectives
Upon completion of this presentation, you will be able to:
Recognize the general layout of the Code of Federal Regulations and Hazardous Materials Regulations.
Identify where definitions and abbreviations are located.
Identify the purpose and applicability of the DOT Hazardous Materials Regulations (HMR).
Recognize enforcement and penalties.
Determine DOT hazmat communications.

4. Evolution of Regulations
Transportation regulations started over 200 years ago. The main concern back then was the safe transportation of explosives & shock-sensitive materials, primarily by rail.
As time moved on, other modes of transportation emerged, such as by vessel, highway, & aircraft. As more materials were identified as hazardous, new regulations were needed to help us safely transport these potentially dangerous materials.

5. DOT Purpose
Hazardous materials transportation is primarily regulated by the US Department of Transportation (DOT).
The DOT’s purpose is to protect persons, property, and the environment from the risks of hazardous material (hazmat) transportation.
The DOT regulations establish requirements for identifying, packaging, loading, & transporting hazmat, & communicating the hazards of these materials to others for the following types of transportation:

6. Rail & Air – Transportation Types
Transportation by rail:
Transportation by Air:

7. Water & Highway – Transportation Types
Transportation by water:
Transportation by highway:

8. Code of Federal Regulations (CFR)
Regulations are codified in The Code of Federal Regulations (CFR).
The CFR consists of 50 different Titles assigned to various government agencies, such as, Labor, Environment, Agriculture, Defense, and Transportation.
The CFR is laid out in the following way:
Title; Subtitles; Chapters; Subchapters; Parts; Subparts; Sections; Paragraphs; Subparagraphs; Sub-subparagraphs; Etc.

9. Structure of the HMR Title 49 = Transportation.
Subtitle B = Other Regulations Relating to Transportation.
Chapter I = Pipeline and Hazardous Materials Safety Administration (PHMSA), Department of Transportation.
Subchapter C = Hazardous Materials Regulations (HMR).
The US DOT Hazardous Materials Regulations (HMR) are found in Title 49, CFR, Subchapter C, Parts 171 – 180.

10. Example – Structure of the HMR
US DOT Regulations are most commonly cited as Parts and Sections:
49 CFR Part.Section(Paragraph)(Subparagraph)(Etc.)
For example:
49 CFR = Title
= Part Number
= Section Number
(c) = Paragraph (First Order)
(c)(11) = Subparagraph (Second Order)
(c)(11)(iv) = Sub-subparagraph (Third Order)
(c)(11)(iv)(A) = Sub-sub-subparagraph (Fourth Order).

11. HMR (Subchapter C) Parts
The HMR (Subchapter C) contains the following Parts:
Part 171 – General Information, Regulations, & Definitions
Part 172 – Hazardous Materials Table (HMT), Special Provisions, Hazardous Materials Communication, Emergency Response Information, & Training Requirements
Part 173 – Shipper’s General Requirements for Shipments & Packagings
Part 174, 175, 176, & 177 – Carriage by Rail, Aircraft, Vessel, & Public Highway, respectively
Part 178 – Specification for Packagings
Part 179 – Specification for Tank Cars
Part 180 – Continuing Qualification & Maintenance of Packagings

12. Federal Register
The best way to keep yourself up-to-date with the latest CFR regulations is by subscribing and having the free electronic Federal Register (FR) ed to you. Monday – Saturday, except national holidays, the Federal Register is printed which contains Advance Notice of Proposed Rule Makings (ANPRM), Notice of Proposed Rule Makings (NPRM), Final Rules, Interim Final Rules, and Direct Final Rules.
To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to and select “Online mailing list archives”, “FEDREGTOC-L” “Join or leave the list (or change settings)”; and then follow the instructions.
To read transportation changes, open up your Federal Register , go to “Transportation Department”, click on “Pipeline and Hazardous Materials Safety Administration” and click on either TEXT or PDF to read the Rule or Proposed Rule.
The latest regulations are also available on DOT’s/PHMSA’s website at: or

13. Rules of Construction
Unless the context requires otherwise, the below words have the following meaning in the 49 CFR:
Singular = Plural;
Masculine = Feminine;
Must = Shall = May Not = No Person May = Mandatory = Required;
Should = Recommendatory, but not required;
May = Allowed, but not required;
Includes is used as a word of inclusion not limitation .
171.9

14. Definitions and Abbreviations
Many definitions and abbreviations are located in 49 CFR
Always check definitions and abbreviations even if you think you know what the meaning is.
For example:
Hazardous Material, Non-bulk packaging, N.O.S., ORM, Overpack, Package.
171.8

15. Packagings & Pre-Transportation Functions – HMR Applicability
The Hazardous Materials Regulations (HMR) apply to each person who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests a packaging or a component of a packaging that is represented, marked, certified, or sold as qualified for use in the transportation of a hazardous material in commerce.
The Hazardous Materials Regulations (HMR) apply to each person who offers a hazardous material for transportation in commerce, causes a hazardous material to be transported in commerce, or transports a hazardous material in commerce and who performs or is responsible for performing a pre-transportation function.
4G/X30/S/13 USA/1234AC UN
171.1(a) & 171.1(b) (continued)

16. Pre-Transportation Functions – HMR Applicability
Pre-transportation functions include, but are not limited to, the following:
Determining the hazard class of a hazardous material (hazmat).
Selecting a hazardous materials packaging or filling a hazardous materials packaging, including a bulk packaging.
Securing a closure on a filled or partially filled hazardous materials package or container or on a package or container containing a residue of a hazardous material.
Marking and labeling a package to indicate that it contains a hazardous material.
Preparing a shipping paper, providing and maintaining emergency response information, or reviewing a shipping paper to verify compliance with the HMR or international equivalents.
171.1(b)

17. Transportation Functions – HMR Applicability
The Hazardous Materials Regulations (HMR) apply to transportation of a hazardous material in commerce and to each person who transports a hazardous material in commerce.
Transportation of a hazardous material in commerce begins when a carrier takes physical possession of the hazardous material for the purpose of transporting it and continues until the package containing the hazardous material is delivered to the destination indicated on a shipping document, package marking, or other medium, or, in the case of a rail car, until the car is delivered to a private track or siding.
For a private motor carrier, transportation of a hazardous material in commerce begins when a motor vehicle driver takes possession of a hazardous material for the purpose of transporting it and continues until the driver relinquishes possession of the package containing the hazardous material at its destination and is no longer responsible for performing functions subject to the HMR with respect to that particular package.
171.1(c) (continued)

18. Transportation Functions – HMR Applicability
Transportation of a hazardous material in commerce includes the following:
Movement,
Loading incidental to movement of a hazardous material,
Unloading incidental to movement of a hazardous material, and
Storage incidental to movement of a hazardous material
171.1(c)

19. HMR Applicability
Any person who performs an activity in support of a hazardous material (hazmat) being transported in commerce (for example, classifying, describing, packaging, marking, labeling, preparing a shipping paper, transporting, etc.) must fulfill his/her responsibilities in accordance with the DOT requirements.
Shipping Paper
171.2

20. HMR Applicability The HMR applies to all shipments of:
Hazardous materials;
Hazardous wastes;
Hazardous substances;
Marine pollutants; &
Elevated temperature materials.
In addition, the HMR takes precedence over all other agencies during transportation activities.

21. Commerce
Hazmat transportation by highway or rail is in commerce only when some part of the transportation follows or crosses a public way.
If, for instance, hazmat movement is totally within the confines of an industrial facility, then this ordinarily is not in transportation & not subject to the HMR.
In addition, hazmat transport for personal, non-commercial use is not considered to be in commerce.
171.1(d) (continued)

22. On-Site “vs.” Off-Site On-site: Off-site:
Shipments made in public restricted access areas (usually by road blocks, guard gates and fences) are considered on-site.
Off-site:
Shipments made in public access areas (where the public has open, unrestricted access) are considered off-site.
171.1(d)

23. HMR Enforcement
The following agencies enforce the Hazardous Materials Regulations (HMR):
The Pipeline & Hazardous Materials Safety Administration (PHMSA),
Federal Motor Carrier Safety Administration (FMCSA),
Federal Railroad Administration (FRA),
Federal Aviation Administration (FAA),
Coast Guard (USCG).

24. DOT Penalties DOT compliance is mandatory.
There are two categories of penalties:
Civil; and
Criminal.
&

25. Civil Penalties
Civil penalties apply to people who knowingly or unknowingly violate the Hazardous Material Regulations (HMR):
The maximum civil penalty is $55,000 per day, per incident ($110,000 if death, serious illness or severe injury to any person or substantial destruction of property occurs).
The minimum civil penalty is $250 ($495 for training violations).
NOTE: Ignorance is not an excuse. You must know what you’re doing at all times.
& 171.1(g)

26. Criminal Penalties
Criminal penalties apply to people who knowingly violate or willfully or recklessly violate the Hazardous Material Regulations (HMR):
The maximum criminal penalty for an individual is $250,000 per day, per incident.
The maximum criminal penalty for an organization is $500,000 per day, per incident.
And/or 5 years in jail (10 years if death or bodily injury to any person).
& 171.1(g)

27. Hazardous Materials are Transported Everyday
Hazardous materials are shipped each day:
There are over 4 billion tons transported each year.
There are over 1.2 million shipments each day.
With so many shipments each day, it is no wonder why we have so many incidents/accidents.
On average, there are about 15,000 reported incidents/accidents each year.

28. Hazardous Material Related Accidents/Incidents Occur Each Day
There are vehicle accidents.
For example:
TK Audio Trucking
1203
Randy & Tony’s Bulk Transporters

29. Hazardous Material Related Accidents/Incidents Occur Each Day
There are spills.
For example:
There are leaks.
For example:

30. Hazardous Material Related Accidents/Incidents Occur Each Day
There are loading mishaps.
For example:
There are explosions.
For example:
OUCH.

31. Materials are Classified Based on Their Hazard Characteristics
There are 9 UN hazard classes:
Explosives;
Gases (Flammable, Nonflammable, & Toxic);
Flammable Liquids;
Flammable Solids; Spontaneously Combustibles, & Dangerous When Wet;
Oxidizers & Organic Peroxides;
Toxic (Poisonous) & Infectious Substances;
Radioactive Materials;
Corrosives; &
Miscellaneous Materials

32. Specification Packagings
DOT-3AA 2015
1234
XYZ AB
31H/Y/01 13/
USA/1234AC/
3600/1200 UN
4G/X30/S/13 USA/1234AC
1A1/X1.8/250/13 USA/1234AC U N
All hazardous materials must be packaged in specification packaging, unless excepted. For most specification packagings, you will see the letters “UN” or “DOT” on the outside of the packaging.
NOTE: Limited Quantities & ORM-D materials do not require UN specification packaging.
For example:

33. Standard Hazmat Communications
Most hazardous materials in transportation are required to be identified by communications that must appear on the package, shipping paper, and transport vehicle (the truck).
Paint UN L
4G/X30/S/13 USA/1234AC UN
To: ABC Company 123 Main St. Chicago, IL 60601
Marking & Labeling
From: Infotrac Inc. 200 N. Palmetto St. Leesburg, FL 34748
Shipping Papers
Placarding
X UN1263, Paint, 3, II
1 L
1 Box

34. Shipping Papers
Hazardous material shipping papers help communicate the hazards of the materials located in a package. Hazmat shipping papers contain general description info, such as:
Sequential page numbering;
Shipper/Receiver’s Name & Address;
Number and Type of Packaging;
Hazmat Description:
Basic Description (Identification Number, Proper Shipping Name, hazard class (subsidiary hazard class), packing group)
Additional Information (RQ, Ltd. Qty., etc.)
Quantity & Unit;
Emergency Response Information;
Certification, Signature, and Date.
Shipping Paper
To:
1 Drum
UN1790, Hydrofluoric Acid, 8 (6.1), PG II, RQ
55 Gallons
Joe Shipper 01/01/2013
I hereby declare that ………..
Page 1 of 2
From:
24-Hour Number:
Part 172, Subpart C

35. Marking
31H/Y/01 13/
USA/1234AC/
3600/1200 UN
1760
Markings identify the contents in the package & provide emergency responders with information which can help assist them in identifying the material & appropriate emergency response actions.
Some common markings include:
Proper Shipping Name
Identification Number
Shipper/Receiver’s Name & Address
Specification Packaging Code
Technical Names
Special Permits (Exemptions)
Orientation Arrows
Inhalation Hazard RQ
For example:
4G/X30/S/13 USA/1234AC UN
To: ABC Company 123 Main St. Chicago, IL 60601
Paint UN L
From: Infotrac Inc N. Palmetto St. Leesburg, FL 34748
Part 172, Subpart D

36. Labeling
DOT Hazard Class/ Division Label(s) help communicate the hazards within a given package based on the hazardous material’s characteristics.
For example:
Corrosive Liquid, Flammable, N.O.S.
UN2920
(Phosphoric Acid, Toluene)
Net Quantity: L
1H1/X1.8/250/13 USA/1234AC U N
Month: 1
From: Infotrac Inc. 200 N. Palmetto St. Leesburg, FL 34748
To: ABC Company 123 Main St. Chicago, IL 60601
Part 172, Subpart E

37. Placarding
Placards may be required to be displayed on transport vehicles carrying hazardous materials:
Like marking, labeling, & shipping papers, placards further help communicate the hazards of the materials located in the transport vehicle.
For example: OR
Part 172, Subpart F

38. Segregation & Separation
When transporting hazardous materials, sometimes the packages in the vehicle must be properly segregated and separated.
Separation means that the materials will not co-mingle.
Otherwise, an extremely dangerous situation could be created.
1H2/X250/S/13
USA/1234AC U N
Nickel nitrate UN2725
Sodium hydroxide solution UN1824
1H1/X1.8/250/13
USA/1234AC U N
Sodium hydroxide solution UN1824
1H1/X1.8/250/13
USA/1234AC U N
Sodium hydroxide solution UN1824
1H1/X1.8/250/13
USA/1234AC U N
Sodium hydroxide solution UN1824
1H1/X1.8/250/13
USA/1234AC U N

39. General Awareness/Familiarization Summary
The CFR and HMR have a specific layout.
Definitions and abbreviations are located in
The purpose and applicability of the HMR are found in
Enforcement and penalties are found in Part 107, Subpart D & 171.1(g).
DOT hazmat communications (shipping papers, marking, labeling, & placarding) are found in Part 172.

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