Shipping papers

Scope

All carriers are required by the HMR to accompany each shipment of hazardous materials with properly prepared shipping papers. Any person who offers a shipment of hazardous materials for transport must describe the hazardous material on shipping papers in a specified manner.

Regulatory citations

• 49 CFR 107.620 — Recordkeeping requirements
• 49 CFR 172.200 — Applicability
• 49 CFR 172.201 — Preparation and retention of shipping papers
• 49 CFR 172.202 — Description of hazardous material on shipping papers
• 49 CFR 172.203 — Additional description requirements
• 49 CFR 172.204 — Shipper’s certification
• 49 CFR 172.205 — Hazardous waste manifest
• 49 CFR 172.602 — Emergency response information
• 49 CFR 172.604 — Emergency response telephone number
• 49 CFR 173.199 — Category B infectious substances
• 49 CFR 173.6 — The Materials of Trade Exception to the Hazardous Materials Regulations of the USDOT/PHMSa 1
• 49 CFR 174.26 — Notice to train crews
• 49 CFR 175.33 — Shipping paper and information to the pilot-in-command
• 49 CFR 176.30 — Dangerous cargo manifest
• 49 CFR 177.817 — Shipping papers

Key definitions

• None

Summary of requirements

The regulations provide general requirements as to shipping paper format and entries, as well as special documentation requirements for particular modes of transport.

Exceptions. As established in 172.200 and 173.6, shipping papers are not required for a material, unless it is a hazardous substance, hazardous waste, or marine pollutant, that:

• Has “A” in Column (1) of the Hazardous Materials Table, except when offered/transported by air;
• Has “W” in Column (1) of the Hazardous Materials Table, except when offered/transported by water;
• Is a limited quantity, except when offered/transported by aircraft or vessel;
• Before January 1, 2021, an ORM-D material when offered for transport by highway, rail, or vessel; or
• Is a Category B infectious substance prepared in accordance with 173.199.

In addition, shipping papers are not required for materials transported as Materials of Trade, as specified in 173.6.

Retention. Hazardous materials shipping papers must be retained. This may be a paper copy or an electronic image of the shipping paper. See Shipping Paper Retention for more information on this topic.

Hazardous/Non-hazardous materials. Whenever a shipping paper includes descriptions of both a hazardous material and a non-hazardous material, the description of the hazardous material must be:

• Entered first on the shipping papers, or
• Identified by an “X” or “RQ” (as appropriate) in a column designated “HM”, or
• Entered in a color that clearly contrasts with the non-hazardous entry.

Any of the above three methods may be used. The general intent of the regulations is that the shipping paper point out the fact that hazardous materials are listed and that the information can be quickly and easily identified in case of an emergency.

Note: On a reproduction of the shipping paper, the hazardous material description may be highlighted in a contrasting color.

Additional information. The shipping paper may contain additional information pertaining to the material. Unless otherwise permitted or required by the regulations, this information may be entered on the shipping paper provided:

• It is not inconsistent with the required description.
• It is placed after the basic description.

Describing hazardous materials. The description of hazardous materials on shipping papers must be as prescribed in the regulations. The description requirements are the same whether hazardous materials are alone or both hazardous and non-hazardous materials are entered on the papers.

Each hazardous material that will be offered for transport must be clearly described on the shipping paper using the applicable information from the Hazardous Materials Table. This shipping description must include the:

1. Identification Number (see Column 4 of the HMT).
2. Proper Shipping Name (see Column 2 of the HMT).
3. Hazard Class or Division Number (see Column 3 of the HMT).
4. Subsidiary Hazard Class(es) or Division Number(s) entered in parentheses.
5. Packing Group, if any (see column 5 of the HMT).
6. Total Quantity (by mass or volume or activity for Class 7 or net explosive mass for Class 1) and unit of measurement.
7. Number and Type of Packages.

Basic description. The first five (5) items — often referred to as the material’s basic description — must be shown in sequence, with no additional information interspersed unless authorized by the regulations. The identification number must include the letters “UN” or “NA” or “ID,” as appropriate. The packing group must be shown in Roman numerals and may be preceded by the letters “PG.”

Examples.

• UN1203, Gasoline, 3, PG II
• UN2359, Diallylamine, 3, (6.1, 8), II

The regulations allow that if a “technical name” is required, it may be entered between the proper shipping name and the hazard class or following the basic description.

Examples. UN 1760, Corrosive Liquid, n.o.s. (caprylyl chloride), 8, PG II or UN 1760, Corrosive Liquid, n.o.s., 8, PG II, (caprylyl chloride)

A modifier (such as “contains” or “containing”) and/or the percentage of the hazardous component may be included, if appropriate.

Example. UN1993, Flammable liquids, n.o.s. (contains Xylene, Benzene), 3, II

Total quantity. The total quantity of a hazardous material must be indicated. This can be by mass, volume, activity for Class 7, or net explosive mass for Class 1. The appropriate unit of measure must be included.

The total quantity is not required for hazardous material packaging containing only residue, for cylinders, and for bulk packages. However, some indication of total quantity must be shown for cylinders and bulk packagings.

Example. 10 cylinders or 1 cargo tank

The material’s total quantity — may be placed either before, after, or both before and after the basic description.

Examples:

• 1 box, 25 lbs., UN1133, Adhesives, 3, II
• UN1203, Gasoline, 3, II, 1 cargo tank
• 1 box, UN1133, Adhesives, 3, II, 25 lbs.

Number and type of packages. The number and type of packages must be indicated, such as 12 drums. The packaging specification number may be included in the description, such as 12 1H1 drums or 12 drums (1H1). Commonly accepted and recognizable abbreviations may be used for indicating packaging types, such as “cyl.” for cylinders.

Examples:

• 1 box, UN1133, Adhesives, 3, II, 25 lbs.
• UN1203, Gasoline, 3, II, 1 cargo tank
• 6 cyl., UN1002, Air compressed, 2.2

Shipper’s certification. Another required entry on the shipping paper is a certification by the shipper that the shipment is properly classed, described, packed, marked and labeled and in proper condition for transport by a particular mode.

Except for a hazardous waste, this “shipper’s certification,” is not required:

• When the hazardous material is offered for highway transport in a cargo tank supplied by the carrier, or
• When the material is transported by the shipper, operating as a private carrier — unless the material is to be reshipped or transferred from one carrier to another.

The shipper’s certification must be printed manually or mechanically on the shipping paper. The certification must be legibly signed by a principal, officer, partner, or employee of the shipper or his agent. The signature may be manual, by typewriter, or by other mechanical means. PHMSA, in explaining the signature requirements, has noted that a “pre-printed signature is deficient,” basically because such a signature is made before the conditions and acts actually exist to which the signature and certification apply.

The regulations specify the wording required for the shipper’s certification. There is a general certification, an alternate for air transport, and a specified statement for radioactive material to be shipped by passenger-carrying aircraft. See 172.204 for examples of these certifications.

Additional shipping paper notations.

• N.O.S. entries. For materials described by an n.o.s. or generic proper shipping name and identified with the letter “G” in Column (1) of the HMT, the technical name(s) of the hazardous component(s) must be entered in parentheses in association with the basic description. The word “contains” or “containing” may be used, as appropriate.
  
  Examples.
  • 3 boxes, UN1760, Corrosive liquid, n.o.s. (Fluoroboric acid), 8, III, 26 lbs.
  • 10 boxes, UN2924, Flammable liquid, corrosive, n.o.s., 3, II (contains Methanol, Potassium hydroxide), 50 lbs.

• Hazardous substances/Reportable quantities. If the name of the hazardous substance is not identified in the proper shipping name, one of the following must be provided in parentheses in association with the basic description.
  • Name of the hazardous substance, or
  • A waste code, if appropriate to identify the hazardous substance.
  Example. 10 bags, NA3077, Environmentally Hazardous Substance, solid, n.o.s. (Chlorpyrifos), 9, III, RQ, 400 lbs.
  
  For hazardous substances the letters “RQ” must be entered before or after the basic description, or in the column designated “HM.”

• Limited quantities. When a shipping paper is required for a material being shipped as a limited quantity, the words “Limited Quantity” or the abbreviation “Ltd. Qty.” must be entered following the basic description.Example. 1 box, UN1230, METHANOL, 3, II, Ltd. Qty., 0.25 gal.

• Poisonous materials.
  • For Division 6.1 Packing Group I or II or Division 2.3 materials — if the technical name of the component that makes the material a 6.1 or 2.3 is not included in the shipping name, the technical name must be entered in parentheses in association with the basic description.
  • For materials which are poisonous by inhalation, the words “Poison-Inhalation Hazard” or “Toxic-Inhalation Hazard,” followed by “Zone A, B, C, or D” for gases, or “Zone A or B” for liquids, as appropriate, must be entered after the shipping description. The word “Poison” or “Toxic” need not be repeated if it appears in the shipping description. Example. 1 drum, UN1754, Chlorosulfonic acid, Poison-Inhalation Hazard Zone B, 8, I, 405 lbs.

• Residues. In most cases, shipping papers must accompany empty packagings (that contain residue) that have not been cleaned/purged of hazardous material or refilled with a non-hazardous material. See 173.29 for exceptions.
  
  When a tank car contains the residue of a hazardous material the words “RESIDUE: LAST CONTAINED” must be located on the shipping paper immediately before or after the basic shipping description, OR immediately preceding the proper shipping name.
  
  Packagings (other than tank cars) containing the residue of a hazardous material may include the words “RESIDUE: Last Contained” immediately before or after the basic shipping description on the shipping paper.
  Examples.
  • 1 TANK CAR, RESIDUE: LAST CONTAINED UN1203, GASOLINE, 3, II
  • 1 TANK CAR, UN1203, RESIDUE: LAST CONTAINED GASOLINE, 3, II
  • 1 Drum, RQ, NA2762, Aldrin, 6.1, II, RESIDUE: Last Contained
• Marine pollutants. For materials which are marine pollutants, the words “Marine Pollutant” must be entered in association with the basic description. In addition, if the name of the component that makes a material a marine pollutant is not identified in the proper shipping name, it must be added in parentheses in association with the basic description. If two or more components are involved, the two components most predominantly contributing to the marine pollutant designation must be listed.
• Elevated-temperature materials. For materials which are elevated —temperature materials the word “HOT” must immediately precede the proper shipping name — if the fact that the material is an elevated-temperature material is not disclosed in the proper shipping name.
• DOT-special permits. For shipments made under a special permit, the notation “DOT-SP” followed by the appropriate special permit number must be located on the shipping paper near the description to which it applies.
• Additional documentation (Rail). A carrier by rail may not accept a hazardous materials shipment unless it is accompanied by properly prepared shipping papers. A crew member of the train transporting the hazmat shipment must have a copy of the shipping papers in his possession. Only the initial carrier must receive and retain a copy of the shippers certification required by 172.204.

Notice to train crews. The train crew must have a document that reflects the current position in the train of each rail car containing a hazardous material. The train crew must update the document to indicate changes in the placement of a rail car within the train. For example, the train crew may update the document by handwriting on it or by appending or attaching another document to it.

Notification of pilot-in-command. The operator of an aircraft carrying a hazardous material must give the pilot-in-command the following information, in writing, prior to departure:

• Proper description of the material — including proper shipping name, hazard class, identification number, and any other information required to be included with the description.
• Total number of packages.
• Net quantity or gross weight of each package, except those containing Class 7 materials.
• Location of packages aboard the aircraft.
• Confirmation that no damaged or leaking packages have been loaded on the aircraft.
• For Class 7 (radioactive) materials, the number of packages, overpacks, or freight containers, their category, transport index (if applicable), and their location aboard the aircraft.
• Date of the flight.
• Telephone number of a person not aboard the aircraft from whom the information contained in the notification can be obtained.
• Confirmation that the package must be carried on cargo aircraft only if transport aboard passenger-carrying aircraft is forbidden.
• An indication (when applicable) that a hazardous material is being carried under terms of a special permit/exemption.

A copy of each notification of pilot-in-command, and electronic image thereof, or the information contained therein must be retained for 90 days at the airport of departure or the operator’s principal place of business.

Additional documentation (Water). A carrier by water vessel may not accept a shipment of hazardous materials unless the material has been properly described on the shipping papers and the shipper has certified that the packages have been properly prepared for shipment under the HMR. For import and export shipments that will not be transported by rail, air, or highway, the shipper may use the usual shipper’s certification statement – or certify that the hazardous material is properly classed, labeled, marked, described and packaged in accordance with the IMDG Code.

Dangerous cargo manifest. A dangerous cargo manifest, list or stowage plan must be prepared for vessel transport of hazardous materials. This document must be on or near the vessel’s bridge, except when docked in a U.S. port. When in a U.S. port, this document may be kept in the vessel’s cargo office or another location designated by the master of the vessel, provided that a sign is placed beside the designated holder on or near the vessel’s bridge indicating the location of the document. Each carrier who transports or stores hazardous materials aboard a vessel must retain a copy of the dangerous cargo manifest, list or stowage plan for one year.

The individual who supervises the preparation of the manifest, list or stowage plan must ensure the accuracy of the information and so certify by affixing his signature and noting the date of preparation on the document. A second signature is also required by the master or a licensed deck officer designated by the master. This signature acknowledges the correctness of the data on the manifest, list or stowage plan.

The following information is required on the dangerous cargo manifest, list or stowage plan:

• Name of vessel and official number (or in the absence of an official number, the international radio call sign).
• Nationality of vessel.
• Shipping name and identification number of each hazardous material, as listed in U.S. Hazardous Materials Regulations or the IMDG Code.
• An emergency response telephone number.
• Number and description of packages.
• Gross weight for each type of packaging.
• Classification of the hazardous material as listed in U.S. Hazardous Materials Regulations or the IMDG Code.
• Any additional notations or descriptions required by 172.203 of the U.S. Hazardous Materials Regulations.
• Stowage location of the hazardous material on board.

Additional documentation (Highway). Unless excepted by the regulations, a carrier by highway may not transport a hazardous material unless the shipment is accompanied by a properly prepared shipping paper.

Shipping paper accessibility (Highway). The driver of a vehicle transporting hazardous materials and each carrier using such vehicles must ensure that the hazardous materials shipping papers are readily available to, and recognizable by, authorities in the event of an accident or required inspection.

The following specific requirements are for hazardous materials shipping papers accompanying a shipment of hazardous materials:

• If a hazardous materials shipping paper is carried with any other papers, it must be clearly distinguished by either distinctively tabbing it or by having it appear first;
• When the driver is at the vehicle controls, the hazardous materials shipping paper must be within immediate reach, when the driver is restrained by the lap belt;
• The hazardous materials shipping paper must be either readily visible to a person entering the driver’s compartment, or in a holder that is mounted on the inside of the door on the driver’s side of the vehicle;
• When the driver is not at the vehicle controls, the hazardous materials shipping paper must be in a holder mounted on the inside of the driver’s door, or on the driver’s seat in the vehicle.

Interlining with rail. Whenever a motor carrier offers or delivers a freight container or transport vehicle to a rail carrier for further transport, the motor carrier must add these entries to the shipping paper accompanying the shipment of hazardous materials:

• A description of the freight container or transport vehicle;
• The type of placard affixed to the freight container or transport vehicle.

Proof of registration. Motor carriers subject to the registration requirements must carry, onboard each vehicle transporting a hazardous material requiring registration:

• A copy of the carriers’ current Certificate of Registration; or
• Another document bearing the registration number identified as the “U.S. DOT Hazmat Reg. No.”

For more information on the registration program see Registration program.

Emergency response information. Emergency response information specific to the hazardous materials being transported must be presented on the shipping paper or in a separate document in conjunction with the shipping paper. The following information is required, as a minimum:

• Description of the hazardous material;
• Immediate hazards to health;
• Risks of fire or explosion;
• Immediate precautions to take 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; and
• Preliminary first aid measures.

See Emergency response information for more information on this topic.

Emergency response telephone number. An emergency response telephone number must be entered immediately after the description of the hazardous material, or it may be entered once on the shipping paper in a clearly visible location and indicated that it is for emergency response information. This second option can be used only if the telephone number applies to each hazardous material entered on the shipping paper.

See Emergency Response Telephone Number for more information on this topic.