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Registering As An Offeror or Transporter of Hazardous Materials |
U.S. DEPARTMENT OF TRANSPORTATION
PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION
Hazardous Materials Registration Program
Instructions & Helps for Filing Form DOT F 5800.2 over the Internet
Registration Year 2008 - 2009
Click on the underlined words to go to the section:
You may also click on any underlined word in this document to see the definition or explanation. Clicking on Internet addresses will take you to those sites.
Fees for 2008-2009
The fees for registration year 2006-2007 and following were established in a Final Rule published in the Federal Register on January 9, 2003: $275 for one year, $525 for two years, and $775 for three years for small businesses and not-for-profit organizations, and $1,000 for one year, $1,975 for two years, and $2,950 for three years for all other registrants. Click here to see a Fee Table of the applicable fees for all available registration period and business category combinations.
Registration Statement Form
The Registration Statement (Form DOT F 5800.2) can be printed from either of these links (note that the form can be filled out on-line, printed, and mailed):
Please also note:
- Prior years. The Hazardous Materials Registration Program has been in effect since the 1992-1993 registration year. Your company must register for prior years if (1) it engaged in activities that required registration during those years, and (2) it failed to register. Click here for
further information on past years.
- Each "person" must register. The Hazardous Materials Registration requirements apply to a "person," which includes each separate corporation, partnership, or association, as well as a sole proprietorship. Registration is not required for each vehicle that you operate or for each facility or terminal operated by a single "person." See the discussion of "Person" below.
Background and Uses of the Fee
Under the federal hazardous material transportation law (49 U.S.C. 5101 et seq.), offerors and transporters of certain types and quantities of hazardous materials, including hazardous wastes, are required to file a registration statement with the U.S. Department of Transportation and to pay an annual fee. This program began in 1992 and is administered by the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration (PHMSA). The registration regulations are found at 49 CFR 107.601-107.620.
The fee provides funds for grants distributed to states and Indian tribes for hazardous materials emergency response planning and training through the Hazardous Materials Emergency Preparedness Grants Program. Your fee is helping communities prepare for hazardous materials incidents or other emergencies that may occur.
Register before July 1, 2008, or before engaging in any of the activities
requiring registration,* whichever is later. You must have the DOT certificate and registration number before you offer or transport hazardous materials. You will receive a new registration number for each properly completed registration statement you submit.
INSTRUCTIONS FOR REGISTERING OVER THE INTERNET
If you are not already at the Hazardous Materials Electronic Services page, you can access the on-line registration service at:
https://hazmatonline.phmsa.dot.gov/services
This page offers links to four Office of Hazardous Materials electronic services. You can register with the Hazardous Materials Registration Program, order hazardous materials training materials and publications, pay civil fines and penalties, or pay for FOIA requests by clicking on the appropriate link. Choosing civil fines and penalties or FOIA requests will take you to external Internet sites and you will lose anything you may have placed in your shopping cart. You should complete the payment for any items in the shopping cart before leaving this site to use either of these services.
To register, click on “HAZMAT
Registration Applications.”
Registration Services Page
The main Hazardous Materials Registration page allows you to choose five services:
- Initial allows you to register a company for the first time. If you need to register an unregistered company for more than one registration period during the on-line session, we recommend that you submit the first application as an Initial registration and make payment by credit/debit card. Once you have done this, you may use the Renewal option to submit additional applications, which will save you time and effort by using the information supplied on the first application to fill in most of any subsequent statement. Payment by ACH (electronic check) will not allow you to use the renewal option until after the payment has been confirmed (usually the next business day, but sometimes a day or two later).
- Renewal allows you to register your company if it has registered in the past, using the information supplied in the record for the latest registration period to pre-populate most of the form.
- Amendment allows you to make changes to your company’s previously submitted registration for the most recent registration period. You are required by regulation to notify us of changes to the company name and address within 30 days. You may also correct omissions or errors in that most recent registration. For your protection, these changes are reviewed and validated before they are recorded in the company record, usually within two working days.
- Company Look-up allows you to view summary information about a company by entering a company name (or part of the name), a previous registration number, the postal code, a USDOT Number or an MC/MX Number. This option does not allow you to directly proceed to a renewal or amendment.
- ACH Verification allows you to verify that an ACH (electronic check) payment has been completed. If you chose to pay for a registration by ACH (electronic check), you may return to this site and use this option to obtain your registration number and certificate after the payment has been verified by the banking system. This usually happens the next business day, but may take one or two additional days. An e-mail with the certificate attached as a .pdf file will be sent to you confirming the payment after the payment has been reported to us.
Registration
Periods
You may register for a one, two, or three year registration period for years beginning with the 2000-2001 registration year through the submission of a single registration statement and the payment of the appropriate fees. The current one-year registration period, 2008-2009, runs from July 1, 2008, through June 30, 2009; the two-year period, 2008-2010, runs from July 1, 2008, through June 30, 2010; and the three-year period, 2008-2011, runs from July 1, 2008, through June 30, 2011. Multiple-year registrations for registration years 1992-1993 through 1999-2000 are not permitted.
1. Initial Registrations
If you choose Initial registration, you will be taken to a page that requests the information that determines the fee that you will pay. This information consists of: the beginning and ending dates of the registration period you wish to register for, the North American Industry Classification System (NAICS) code for the primary business activity of your company, whether the company meets the U. S. Small Business Administration’s (SBA) size standard for a small business, and whether the company is a not-for-profit organization, that is, an organization exempt from taxation under 26 U.S.C. 501(a). Links to a search engine for the NAICS code descriptions and the current SBA list of size standards are provided on the page. A link to a table of the registration fees for all possible combinations of registration periods and business categories is also provided at the bottom of the page. See also the definition of Small Business below. A table of the most frequently reported NAICS codes and their SBA size standards is provided below.
You are also asked to choose the country of your mailing and physical addresses on this page. Companies with addresses in the 50 US states, American Samoa, the District of Columbia, Guam, the Northern Mariana Islands, Puerto Rico, and the Virgin Islands should choose “USA” – these are all considered “states” by the DOT and these names will all be found in the State list on the next page. Other US territories or possessions are found in the list of countries provided here. The information gathered on this page will be automatically entered onto the registration statement form that is displayed next.
2. Renewal Registrations
If you choose Renewal registration, you will be taken to a page that requests information to identify your company. Searches by an existing registration number are recommended, but you may also search by the company name (or a distinctive part of it), by the postal code, by a USDOT number, or an MC/MX number. Searches by company name will look for the exact string of characters you enter. If your search does not locate your company, try a shorter or longer string of characters or a postal code search. A list of companies with each company’s most recent registration number will be displayed. Clicking on "Details" will show you basic information about the company, including a complete list of registrations recorded for the company. The company name, address, and identifiers can not be edited on this page (you can make corrections on the next page). The information that determines the fee (the beginning and ending date of the registration period, the NAICS code, the SBA business size designation, and the non-for-profit status) is requested below the company information. Your previous responses to these questions will be displayed here, but may be corrected if necessary. The previously reported Mailing and Physical Address Country will also be displayed. If you need to change a Country, please note that companies with addresses in the 50 US states, American Samoa, the District of Columbia, Guam, the Northern Mariana Islands, Puerto Rico, and the Virgin Islands should choose “USA” – these are all considered “states” by the DOT and these names will all be found in the drop-down list of States on the next page. Other US territories or possessions are found in this page’s list of countries. If you need to correct a previously submitted NAICS code, see the helps provided in the section above for “Initial Registrations.”
If a previous registration for your company cannot be identified, you must enter the registration as an Initial registration.
COMPLETING A REGISTRATION STATEMENT (INITIAL
OR RENEWAL)
If you chose Initial registration, you must complete the form that is presented on this page. If you chose Renewal, most of this form will be automatically filled in with the information in the record on file for the most recent registration period. You can correct or add any information on this page other than the Registration Date Range, the Business Category and Fee information, the current Registration # (the number for the latest registration period), and the mailing and physical address Country, which have been inserted from the responses you supplied on the previous page. If you need to correct the Registration Date Range, Business Category, or Country information, use your Internet browser’s Back button to return to the previous page, click on the Reset button at the bottom of the page, and re-enter the years, business category, and country information before clicking on the Next button.
Identifying Information
1. Type of Registration: The type of Registration and the Current Registration # (if the type is Renewal or Amendment) will be filled in by the program.
2 and 3. Name and
Address of Registrant: Enter your business name and the mailing address of the principal place of business. If your physical address is different from the mailing address, supply the physical address in the indicated places. If your company
is operating under a "Doing Business As" (DBA) name, you may use
whichever of the names is most appropriate for your business. A certificate of registration
displaying this name, and any necessary correspondence, will be mailed to the mailing address entered here.
The country you entered on the previous page will be displayed.
If you indicated a mailing address in the United States, Canada,
or Mexico, the State/Province/Territory box will provide a drop-down
list of the states/provinces in the indicated country. The District
of Columbia, Puerto Rico, American Samoa, Guam, the Northern Mariana
Islands, and the Virgin Islands are listed as USA States in accordance
with the Department of Transportation’s official definition of “state.” If
your mailing address is in a country other than the USA, Canada,
or Mexico, and a state, province, or territory is an integral part
of the address, you can enter it into the box provided.
4. Registrant’s USDOT Number, MC/MX Number, or Railroad Alphabetic Code: If you have any of these identification numbers, enter them. If you do not have one or more of these numbers, leave the corresponding space blank. To verify a USDOT number or MC/MX number (the “operating authority”, formerly the ICC number), click on the link provided to the Federal Motor Carrier Safety Administration's (FMCSA) SAFER company snapshot service. That site can also be use to obtain either of these numbers: click on "FMCSA Registration & Updates" under "FMCSA Services."
5. Mode(s) Used to Transport Hazardous Materials: Mark all the ways you moved hazardous materials during the calendar year ending last December. If you are a carrier, mark only the mode(s) you used to transport hazardous materials. If you are a shipper or other offeror, mark all modes used to transport shipments offered by your company.
6. Business Category: The Business Category questions will be automatically filled in from the responses you provided on the previous page.
7. Registration Period: The registration period you designated on the previous page will be displayed.
8. Registration Fees: The appropriate fee for the registration period and the business category you specified will be displayed.
The one-year fee for registration years 1992-1993 through 1999-2000 is $300, regardless of business category. Only single-year registrations are permitted for these years.
For registration periods beginning with the 2000-2001 year and later, the registration fee is determined by the number of years you requested (one, two, or three), the business category, and the fee established for the years and category. For 2000-2001, 2001-2002, and 2002-2003, the business category depends on whether your company qualifies as an SBA small business. Starting with 2003-2004, it also depends on whether or not your company is a not-for-profit organization, that is, an organization exempt from taxation under 26 U.S.C. 501(a).
A link to the table of the appropriate fees for all possible year and business category combinations is provided on the statement page.
9. Hazardous Materials Activities: Prior-Year Survey Information: Use this part of the form to record your hazardous materials activities during the calendar year ending December 31 of the year preceding the beginning year of the registration period you indicated - the “prior” year. For example, if you are registering for the 2008-2009 registration period, report on activities your company engaged in between January 1 and December 31, 2007. Even if you engaged in none of the hazardous materials activities described here during that year, if you intend to do so this year you must register and pay the appropriate fee (mark category G).
Item 9 defines six categories of hazardous materials activities that require registration. Mark each category that your company engaged in during the prior calendar year. Shipments of materials included in Categories A, B, C, D, or E should not also be included in Category F, even though in most instances such shipments require placarding. For instance, if your only hazardous materials activity is carrying more than 55 lbs. of Division 1.1 explosives, you should mark only Category B, not B and F. If, however, your only activity is shipping hazardous materials in quantities that require placarding that are not included in Categories A through E, mark only Category F. If you carry both shipments of more than 55 lbs. of Division 1.1 explosives and shipments of hazardous materials not included in Categories A through E, not in bulk packagings, of more than 1,000 lbs. but less than 5,000 lbs., you would mark both Categories B and F. If you are registering for a year prior to 2000-2001, you should not mark Category F even if you engaged in that activity during the applicable prior calendar year. Activity in Category F requires registration only beginning with Registration Year 2000-2001.
For each of the categories A, B, C, D, E, or F that you marked, also indicate whether you handled the hazardous material as a Shipper, Carrier, or Other. Check as many as apply. "Other" should be marked by persons other than the shipper or carrier who perform or are responsible for performing any of the pre-transportation functions required by the hazardous materials regulations. This includes freight forwarders, agents, freight consolidators, etc.
Below the six categories of activities there is a list of the U.S. states and territories. Indicate the abbreviation for each state or territory in which you engaged in any of the six categories of activities.
If you checked "carrier," mark all states in which you operated as a carrier of that category of hazardous material. If you checked "shipper" or "other," mark only those states from which you offered hazardous materials - you need not indicate states to which or through which the materials were transported. Registrants operating in all of the "lower 48" states may mark "48 Contiguous States." (This excludes Alaska, Hawaii, the District of Columbia, and our five territories, which must be marked individually, if appropriate).
Remember, if you did not engage during the prior year in any of the activities described in categories A through F, check category G.
9. Certification of Information: Your name in item 10 certifies that the information on this form is true, accurate, and complete. BE ADVISED that false statements may violate the law (18 U.S.C. 1001). The person whose name is given should be an appropriate representative of the registrant. Correspondence regarding registration, including the certificate of registration and next year's form and instructions, will be addressed to this individual. The e-mail address provided here will be used only for purposes directly related to PHMSA’s hazardous materials safety programs, including the registration program.
PRINT THE STATEMENT
You are required to keep a copy of your registration statement and registration certificate for three years at your principal place of business. Before leaving the statement page you should use your Internet browser’s Print function to print the statement. You can then click on the Add To Cart button.
PAYMENT AND CERTIFICATE
After completing the registration statement, you will be taken to a Shopping Cart page, which lists your completed items. You can use the View/Edit option to return to a shopping cart item and review or correct information. If you edit an item, be sure to click on the Update Cart Item button at the bottom of the statement page to record the changes. You can use the Delete option on the Shopping Cart page to remove an item from your shopping cart.
If you want to register for another registration period or for another company, you may use the Purchase Another Registration button. Or you may proceed to the payment page by choosing either the Check Out Using Credit/Debit Card button or the Check Out Using ACH (Electronic Check) button. Choosing to pay by credit or debit card will enable you to print a certificate after a successful credit or debit card payment. Payment can be made by debit card only if the debit card displays a VISA or MasterCard logo. ACH payments usually take one business day to clear through the banking system, but may take one or two additional days. A registration number and a certificate will not be produced until the payment has been verified. Whether payment is by credit/debit card or by ACH, an e-mail confirming the order will be sent to the e-mail address you provide on the payment page. When payment is made by credit card, this e-mail will contain a copy of the certificate in .pdf format. When payment is made by ACH, the e-mail will confirm that a registration statement has been submitted. A second e-mail will be sent after the payment has been verified to confirm that the payment has been completed and this e-mail will contain a copy of the certificate in .pdf format.
After you have been taken to the appropriate secure payment page, enter the required information, including an e-mail address, and click on Submit Payment.
If the payment information has been processed promptly, you will be taken to a Thank You page. If payment was made by credit or debit card, this page will display an Order Number, the company name(s), the registration period(s), and the newly issued Registration Number(s). Clicking on View/Print will display the registration certificate, which you can print for your records and use. An e-mail confirming the order, with a copy of the certificate(s) in .pdf format, will be sent to the e-mail address you supplied on the payment page. A certificate will also be mailed to the name and address provided on the statement in several days.
If payment was made by ACH, the Thank You page will not display a registration number, but it will include an Order Number, the company name(s), and the registrations period(s). An e-mail confirming the submission of a registration statement will be sent to the e-mail address given on the payment page. This e-mail will contain the Order Number, the company name(s), the registration period(s), and the associated fee(s). When the ACH payment has been verified (usually the next business day after the submission but possibly one or two days later), an e-mail with a copy of the certificate in .pdf format will be sent to the e-mail address you supplied on the payment page. For ACH payments, you can return to the main Hazardous Materials Registration page and use the ACH Verification service to check whether payment has been verified and a certificate is available (see the section on ACH Verification).
Occasionally there is a delay in processing the payment information. If this should occur, a message that the payment is taking longer than expected will be displayed. You will be advised that we will resubmit the payment later, and an e-mail confirming the payment, with the registration certificate attached if payment is made by credit or debit card, will be sent after the payment is successful. If the payment is not successful, an e-mail will be sent informing you that the payment failed and giving you a link to a page from which you can re-enter your payment information.
3. Amending Your Registration
You must amend your registration statement within 30 days if there is a change in your company's name or principal place of business.
You can amend your company’s previously submitted registration for the most recent registration period by selecting the Amendment option on the Registration Services Page. You can search for your company by entering the company name (or a distinctive part of it), a previous registration number, the postal code, the USDOT number, or the MC/MX number. A list of companies will be displayed. Clicking on the Details button beside a company name will display a summary of that company’s registration history. Clicking on the Amend button at the bottom of the page will take you to a registration statement page with the information supplied from the record of the most recent registration period. You may make corrections or additions on this page. You can not alter the beginning and ending dates of the registration period, the Small Business designation, or the Not-for-Profit Organization designation, since these items determine the appropriate fee. For your protection, the changes you make will be reviewed and verified before they are entered into our database; you may be contacted about these changes. This will usually take two to three business days. A paper certificate will be mailed to the address in the revised record if you have changed any information that is printed on the certificate. You may also return to the site and use the Company Look-up service to print the revised certificate in two or three business days.
Please note that if you are going to submit a renewal registration at the same time that you need to report a change of company name or address, these changes can be made on the renewal alone and will be incorporated into the company’s record in our database. There is no fee for filing an amendment through the Internet.
4. Company Look-up
A company search option is offered for those who may wish to see a summary of a company’s registration history. You may search for a company by company name (or a distinctive part of it), registration number, postal code, USDOT number, or MC/MX number. A list of companies will be presented. Clicking on the Details button beside a company name will produce a summary of the company’s history. Clicking on View/Print next to a particular registration number will produce a copy of the registration certificate if you have the Adobe Acrobat Reader. This option does not allow you to proceed directly to a Renewal or Amendment.
5. ACH Verification
Using ACH (Electronic Check) as the method of payment usually takes one business day for the banking system to verify that the payment has been completed but may take one or two additional days. If you use ACH to pay for a registration, you may return to the site to check on the status of your payment by choosing the ACH Verification service. You will be taken to a page that requests you to enter your Order Number, which is found on the e-mail confirmation of the order, and on the Thank You page displayed after you submitted your ACH account information. When the payment has been verified, an e-mail will be sent to the e-mail address you supplied on the payment page. The e-mail will inform you that payment has been completed, and a copy of the certificate in .pdf format will be attached. A certificate will also be mailed.
GETTING HELP
If you have problems registering
over the Internet, please call 617-494-2545 or 202-366-4484 and
ask to speak to someone about registering over the Internet.
ABOUT THE PROGRAM
Who Must Register?
You must register if you are a person who offers for transportation or transports in
commerce a shipment containing any of the following categories of hazardous materials (including hazardous wastes):
- A highway route controlled quantity of a Class 7 (radioactive) material, as defined in 49 CFR
173.403. A “highway route controlled quantity” may be shipped by highway, rail, air, or water.
- More than 25 kilograms (55 pounds) of a Division 1.1, 1.2, or 1.3 (explosive) material (see 49 CFR 173.50) in a motor vehicle, rail car, or freight container.
- More than one liter (1.06 quarts) per package of a “material extremely toxic by inhalation” (that is, a “material poisonous by inhalation” that meets the criteria for “hazard zone A” as specified in 49 CFR 173.116(a) for gases or 173.133(a) for liquids).
- A hazardous material (including hazardous wastes) in a bulk packaging having a capacity equal to or greater than 13,248 liters (3,500 gallons) for liquids or gases or more than 13.24 cubic meters (468 cubic feet) for solids. Please note that persons who offer or transport hazardous materials that do not require placarding (that is, Class 9 materials) in a bulk packaging with a capacity greater than 3,500 gallons or 468 cubic feet, must register.
- A shipment in other than a bulk packaging of 2,268 kilograms (5,000 pounds) gross weight or more of one class of hazardous materials (including hazardous wastes) for which placarding of a vehicle, rail car, or freight container is required for that class.
- A quantity of hazardous material that requires placarding.The offering and transporting of hazardous materials by farmers in direct support of their farming operations are excepted from this category of activities requiring registration. See the section on requirements for farmers below.
Since the beginning of the program in 1992, activities in Categories A through E above have required registration by law. Category F was added by regulation beginning with the 2000-2001 registration year.
Exceptions: The following are specifically excepted by statute or regulation from the registration requirements:
- Agencies of the federal government.
- Agencies of states.
- Agencies of political subdivisions of states.
- Indian tribes.
- Employees of those entities listed in [A], [B], [C], or [D] who offer or transport hazardous materials as part of their official duties.
- Hazmat employees, including the owner-operator of a motor vehicle that transports hazardous materials in commerce if that vehicle, at the time of those activities, is leased to a registered motor carrier under a 30-day or longer lease as prescribed in 49 CFR Part 376 or an equivalent contractual relationship.
- A person who offers hazardous materials for transportation to the United States from locations outside of the United States, when that person
- is domiciled outside the United States, in a country that does not impose registration or a fee on U.S. companies for offering hazardous materials into that country, and
- does not transport hazardous materials to, within, or from the United States in the types and quantities that require registration.
- A farmer who offers or transports only hazardous materials that are used in direct support of his or her farming operations and who is not engaged in activities included in Categories A through E described in “Who Must Register” above.
A farmer must register if he or she:
- Offers or transports hazardous materials that require placarding that are not in direct support of his or her farming operation. For example, a farmer who offers or transports home heating fuel for commercial purposes in quantities requiring placarding must register.
- Offers or transports for any purpose any of the hazardous materials included in Categories A through E of “Who Must Register” above. For example, a farmer who transports 55 lbs or more of a Division 1.1 explosive, even if the explosive is to be used in direct support of his farming operations, must register.
Clarifications: The HMR apply to persons who offer for transportation or transport by highway, rail, water, or air. Water transportation does not include hazardous materials loaded or carried on board a vessel without benefit of containers or labels and received and handled by the vessel carrier without mark or count. This type of shipment, for which the vessel is the container, such
as LNG or oil tanker vessels, is under the authority of the U.S. Coast Guard (now part of the Department of Homeland Security).
You must also register if you engage in any of the activities discussed in “Who Must Register” above, and you are:
- A merchant vessel carrier transporting, transiting, or transhipping hazardous materials within 12 miles of the U.S. coast; or
- A federal, state, or local government contractor.
Requirements for Hazardous Waste Generators: All hazardous wastes subject to the Hazardous Waste Manifest Requirements of the U.S. Environmental Protection Agency (EPA) are hazardous materials. A hazardous waste generator must register if you meet the requirements identified above in “Who Must Register
Placarding:
Summary of Placarding Requirements
The hazardous materials placarding requirements are found in 49 CFR Part 172,
Subpart F.
The requirements are summarized as follows:
- Except for Division 6.2 and Class 9 materials, any quantity of a hazardous
material offered for transportation or transported in a bulk packaging
requires placarding.
- For materials offered for transportation or transported in a nonbulk
packaging the quantity that requires placarding depends on whether the
material is in a class or division included in Table 1 or Table 2 below:
Table 1 (Placard any quantity)
| Hazard Class or Division |
Placard Name |
| 1.1 .......................................................... |
EXPLOSIVES 1.1 |
| 1.2 .......................................................... |
EXPLOSIVES 1.2 |
| 1.3 .......................................................... |
EXPLOSIVES 1.3 |
| 2.3 .......................................................... |
POISON GAS |
| 4.3 .......................................................... |
DANGEROUS WHEN WET |
5.2 (Organic peroxide, Type B, liquid or
solid, temperature controlled) ........... |
ORGANIC PEROXIDE |
| 6.1 (Materials Poisonous by Inhalation) ....... |
POISON INHALATION HAZARD |
| 7 (Radioactive Yellow III label only) ..... |
RADIOACTIVE |
Table 2 (Placard when the aggregate gross weight of
hazardous materials is 1,001 pounds or more)
| Hazard Class or Division |
Placard Name |
| 1.4 .......................................................... |
EXPLOSIVES 1.4 |
| 1.5 .......................................................... |
EXPLOSIVES 1.5 |
| 1.6 .......................................................... |
EXPLOSIVES 1.6 |
| 2.1 .......................................................... |
FLAMMABLE GAS |
| 2.2 .......................................................... |
NON-FLAMMABLE GAS |
| 3 .......................................................... |
FLAMMABLE |
| Combustible Liquid .................................. |
COMBUSTIBLE |
| 4.1 .......................................................... |
FLAMMABLE SOLID |
| 4.2 .......................................................... |
SPONTANEOUSLY COMBUSTIBLE |
| 5.1 .......................................................... |
OXIDIZER |
5.2 (Other than organic peroxide, Type B,
liquid or solid, temperature
controlled) ....................................... |
ORGANIC PEROXIDE |
6.1 (Other than material poisonous by
inhalation) ............................. |
POISON |
| 6.2 (Infectious substance) ........................ |
NONE |
| 8 .......................................................... |
CORROSIVE |
| 9 .......................................................... |
CLASS 9 (placard not required for
domestic transportation) |
| ORM-D ................................................. |
NONE |
Note: The following materials are excepted from the placarding requirements: infectious substances; hazardous materials classed as ORM-D; hazardous materials authorized to be offered for transportation as Limited Quantities when identified as such on shipping papers; hazardous materials prepared in accordance with 49 CFR 173.13; hazardous materials which are packaged as small quantities under the provisions of 49 CFR 173.4; combustible liquids in non-bulk packagings (see 49 CFR 172.500(b)); and materials offered or transported under the "materials of trade" exception (see 49 CFR 173.6).
Definitions of Terms Used in the Registration Program
Most of the following definitions are based on the definitions supplied in the hazardous materials regulations at 49 CFR 171.8.
Bulk Packaging:
A bulk packaging is a packaging, other than a vessel or a barge, with (1) a maximum capacity greater than 450 liters (119 gallons) as a receptacle for a liquid; (2) a maximum net mass greater than 400 kilograms (882 pounds) and a maximum capacity greater than 450 liters (119 gallons) as a receptacle for a solid; or (3) a water capacity greater than 454 kilograms (1000 pounds) as a receptacle for a gas.
The distinction between bulk and non-bulk packagings is important in determining whether the placarding requirements apply (click here to see a summary of the placarding requirements). All shipments that require placarding also require registration. Hazardous materials (particularly Class 9 hazardous wastes) that do not require placarding but are transported in bulk packagings with capacities greater than 3,500 gallons or 468 cubic feet require registration under category D. However, shipments of hazardous materials that do not require placarding (for example, Class 9 materials), placed in bulk packagings with capacities less than 3,500 gallons or 468 cubic feet, do not require registration.
It is important to note that the use of bulk packagings requires registration no matter how small the quantity of hazardous materials actually offered or transported. For example, persons who have hazardous waste picked up in tank trucks, and persons who return unpurged tank trucks or rail tank cars from which they have unloaded hazardous materials so that the tanks still contain residues of hazardous materials when returned, must register under the provisions of Category F (or Category D if the material is a Division 6.2 or Class 9 material).
Calendar Year:
Although the registration year extends from July 1 of a year through June 30 of the following year, a calendar year is used to report activity in item 9 of the registration statement, “Prior-Year Survey Information.” This calendar year is the twelve-month period (January 1 through December 31) immediately preceding the beginning date of the registration year (or years) for which you are filing the registration statement. You are asked to supply information on your activities in calendar year 2007 on the statement submitted for 2008-2009 (or 2008-2010, or 2008-2011). The use of the preceding calendar year in reporting activity provides a definite and verifiable (rather than speculative) basis for this section of the form.
Farmer:
The term “farmer” means a person engaged in the production or raising of crops, poultry, or livestock.
Highway Route Controlled Quantity:
The criteria for determining whether a shipment of radioactive material is a “highway route controlled quantity” are found in 49 CFR 173.403, which further references 49 CFR 173.435. Please note that any shipment of a “highway route controlled quantity” of a radioactive material, whether by highway, rail, air, or water, subjects the offeror and carrier to the registration requirement. If you think you are an offeror or carrier of highway route controlled quantities, please review the defining criteria carefully. Shipments of highway route controlled quantities must be specifically identified as such by the offeror on the shipping papers (see 49 CFR 172.203(d)(4)).
Modes of Transportation:
The four modes of transportation that are covered under the Hazardous Materials Regulations, including the registration requirement, are highway, rail, air, and water. Highway transportation includes all interstate, intrastate, and foreign shipments that meet the registration criteria and are not specifically excepted by regulation. Water transportation does not include hazardous materials loaded or carried on board a vessel without benefit of containers or labels and received and handled by the vessel carrier without mark or count. This type of shipment, for which the vessel is the container, such as LNG or oil tanker vessels, falls under the authority of the U.S. Coast Guard, now part of the Department of Homeland Security.
Not-for-Profit Organization:
A Not-for-Profit Organization is an organization exempt from taxation under 26 U.S.C. 501(a). This category of registrant was first established for the 2003-2004 registration year. Not-for-profit organizations registering for years before 2003-2004 must pay the fee appropriate to the SBA size category (small or not-small) according to the SBA size standard established for the NAICS code of its primary business activity.
Person:
A person is defined by federal hazardous material law as including an individual, firm, copartnership, corporation, company, association, joint-stock association, including any trustee, receiver, assignee, or similar representative thereof, or government, Indian tribe, or agency or instrumentality of any government or Indian tribe when it offers hazardous materials for transportation in commerce or transports hazardous materials to further a commercial enterprise.
Person who Offers or Offeror:
A person who offers or offeror is any person who performs or is responsible for performing any pre-transportation function required by the hazardous materials regulations or who tenders or makes the hazardous material available to a carrier for transportation in commerce.
Pre-Transportation Functions:
A pre-transportation function is any function specified in the hazardous materials regulations that is required to assure the safe transportation of a hazardous material in commerce, including but not limited to: (1) determining the hazard class of a hazardous material; (2) selecting a hazardous materials packaging; (3) filling a hazardous materials packaging, including a bulk packaging; (4) 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; (5) marking a package to indicate that it contains a hazardous material; (6) labeling a package to indicate that it contains a hazardous material; (7) preparing a shipping paper; (8) providing and maintaining emergency response information; (9) reviewing a shipping paper to verify compliance with the hazardous materials regulations or international equivalents; (10) for each person importing a hazardous material into the United States, providing the shipper with timely and complete information as to the hazardous materials regulations requirements that will apply to the transportation of the material within the United States; (11) certifying that a hazardous material is in proper condition for transportation in conformance with the requirements of the hazardous materials regulations; (12) loading, blocking, and bracing a hazardous materials package in a freight container or transport vehicle; (13) segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo; and (14) selecting, providing, or affixing placards for a freight container or transport vehicle to indicate that it contains a hazardous material. These functions are enumerated in 49 CFR 171.1(b) and 171.8.
Shipment:
The term “shipment” as used in the registration regulations means the offering or loading of hazardous material at one loading facility using one transport vehicle, or the transport of that transport vehicle (see 49 CFR 107.601(c)).
Small Business:
A person is a “small business” if its size does not exceed the size standard established by the U.S. Small Business Administration (SBA) in 13 CFR 121 for the primary commercial activity of the person (company).
Since the 2000-2001 registration year, the amount of the annual registration fee has depended on whether the registering company meets the SBA size standard for a small business. The SBA assigns a size standard, which is expressed, with a few exceptions, either as the number of employees or as the gross annual receipts of the company, for each industry group. In registration years 2000-2001, 2001-2002, and 2002-2003, we used the SBA size standard assigned to the Standard Industrial Classification (SIC) code for each industry group identified in the SIC system. In a rulemaking published in the Federal Register on September 16, 2002, (67 FR 58343) we adopted the SBA’s use of the North American Industry Classification System (NAICS) codes as the basis for establishing size standards. You are to report the NAICS code that represents the major business activity of the registering company and use this code to determine whether your company qualifies as a small business. A representative list of the NAICS code and the current size standard for the most frequently reported hazardous materials industry groups is supplied here. If your industry group is not included in this list, visit the SBA's complete list of current size standards by NAICS code.
The NAICS system was revised by the Office of Management and Budget in 2007 (referred to as NAICS 2007), which has been adopted by the SBA. If you do not know your NAICS code, visit the U. S. Bureau of the Census a complete table of the NAICS 2007 codes, with links to fuller 2007 NAICS definitions for each of the codes.
The Census NAICS 2007 table provides a search box. Enter a descriptive word or phrase. You may have to enter alternative words to find the appropriate code. The search box searches only the NAICS titles, not the descriptions. You may also enter a NAICS code in the search box to see the definition of that code. Once you determine which NAICS code is appropriate to your major business activity, you will need to go the SBA’s table of size standards to find the size standard appropriate for the NAICS code.
The SBA Office of Size Standards Internet site provides other useful information on the SBA size standards. You may also call the appropriate SBA field office for assistance in determining your company’s industry group and its size standard:
AREA I - Boston, MA 616-565-5622
CT, MA, ME, NH, NJ, NY, RI, VT, PR, Virgin Islands
AREA II - (Philadelphia, PA 215-580-2766
DC, DE, MD, PA, VA, WV
AREA III – Atlanta, GA 404-331-7587
AL, FL, GA, KY, MS, NC, SC, TN
AREA IV – Chicago, IL 312-353-7674
IN, IA, IL, KS, MI, MN, MO, ND, NE, OH, SD, WI
AREA V – Dallas, TX 817-684-5303
AR, CO, LA, NM, OK, TX
AREA VI – San Francisco, CA 415-744-6844
AK, AZ, CA, HI, ID, MT, NV, OR, UT, WA, WY, Guam
With a few exceptions, the size standard is either the number of employees or the gross annual receipts. The number of employees is defined by SBA as being the average number of employees (including all individuals employed on a full-time, part-time, temporary, or other basis) employed during the pay periods in the preceding twelve months. See 13 CFR 121.106 for the applicable SBA definition.
Gross annual receipts is defined by SBA at 13 CFR 121.104. “Receipts” generally means “total income” (or in the case of a sole proprietorship, “gross income”) plus the “cost of goods sold” as these terms are defined or reported on Internal Revenue Service (IRS) federal tax returns. The term, however, excludes net capital gains or losses, taxes collected for and remitted to a taxing authority if included in gross or total income, and proceed from the transactions between a concern and its domestic or foreign affiliates (if also excluded from gross or total income on a consolidated return filed with the IRS). If your company has been in business for three or more years, the “annual receipts” is the receipts over its last three completed fiscal years divided by three. For companies in existence less than three years, the “annual receipts” is calculated by taking the receipts for the period the company has been in business divided by the number of weeks in business, multiplied by 52.
Whether annual receipts or number of employees is the size standard established for your industry group, you should consider the receipts or number of employees for the person required to register to determine whether your company (person) must pay the fee for a “Small Business” or “Not a Small Business.” The person required to register may pay the fee appropriate for a small business even though it may be part of an “entity” (which includes affiliates) that the SBA does not consider a small business concern for its purposes.
The SBA periodically adjusts its size standards to reflect changes in industry characteristics. Almost all revisions to the size standards increase the number of employees or annual receipts that a company may have in order to qualify as a small business. The SBA recognizes only the current size standards for determining small business status.
Transportation:
Transportation means the movement of property and loading, unloading, or storage incidental to the movement (49 U.S.C. 5102(13)).
OTHER REQUIREMENTS
Registration Deadline
The completed 2008-2009 (or 2008-2010 or 2008-2011) registration statement and payment must be submitted before July 1, 2008, or before engaging in any of the activities requiring registration, whichever is later.
Recordkeeping Requirements
Copies of the registration statement and the certificate of registration must be kept for three years at your principal place of business and must be available for inspection. Motor carriers and vessel operators must also have on board a copy of the current certificate of registration, or another document bearing the current year's registration number identified as the "U.S. DOT Hazmat Reg. No." Every truck or truck tractor or vessel you use for the transportation of a hazardous material that meets the registration criteria must have this proof of registration on board.
FMCSA Hazardous Materials Safety Permits
Highway carriers of certain types of hazardous materials are required to obtain a Hazardous Materials Safety Permit from the Federal Motor Carrier Safety Administration (FMCSA). Some (but not all) of the activities that require a highway carrier to register with PHMSA also require the carrier to obtain a safety permit from FMCSA. All companies that are required to have an FMCSA Safety Permit are required to have a PHMSA Registration. Some highway carriers will need only a PHMSA registration. For further information on the FMCSA Hazardous Materials Safety Permit requirements, go to http://www.fmcsa.dot.gov/safety-security/hazmat/hm-permitting.htm.
State Registrations
Some states have hazardous materials registration or permitting programs that may also apply to you. Registration with PHMSA does not replace state requirements.
Hazardous Materials Security Plans
Companies that are required to register are also required to have written security plans that include a risk assessment and measures to address personnel security, unauthorized access, and en route security. Companies that are required to have security plans must also provide security training to all hazmat employees. This training is one element of the training required for all hazmat employees in 49 CFR 172.704. For further information, visit the Hazmat Security Internet site.
Hazardous Materials Incident Reports
A person in possession of hazardous materials at the time of an incident during transportation which results in serious consequences must immediately report the incident (see 49 CFR 171.15). These incidents and others require the filing of a detailed incident report within 30 days of the incident (see 49 CFR 171.16). The detailed incident report may be filed electronically.
If You Have Failed To Register For Past Years
Companies that failed to register for previous years in which they engaged in activities that required registration must register for those years and pay the appropriate fee.
If you engaged in any of the hazardous materials activities in categories A through E in registration years before 2000-2001, or if you engaged in any of the activities in categories A through F in registration years 2000-2001 through 2007-2008, but did not register, you must do so now. Registrations for all prior year registration periods are available through the on-line registration service. A complete table of possible periods and the appropriate fees is available. Be very careful to enter the proper beginning and ending year of the registration period at the beginning of the Internet registration process.
If you have never registered before, we recommend that you use the Initial Registration option to complete a statement and proceed to pay by credit or debit card to establish a registration record in the database. You can then use the Renewal Registration option to file any necessary additional registrations.
Complete the "Activities" and "States" sections of item 9 of the registration statement to reflect the type of activities you conducted and the states in which you conducted them during the calendar year preceding the beginning date of the registration period for which the statement is being filed. For example, if you are filing for the 2007-2008 registration year, report the activities you engaged in, and the states in which you offered or transported hazardous materials, between January 1 and December 31, 2006.
Penalties For Failure To Register
The requirement to register with DOT is based on a federal law. The enforcement of this requirement is conducted cooperatively by federal, state, and local agencies. Federal, state, or local officials may impose penalties for failing to register or failing to meet the recordkeeping requirements.
SOURCES OF INFORMATION
For Copies of this Brochure and Registration Forms:
For Questions About the Hazardous Materials Regulations including Registration:
Call the Hazardous Materials Information Center at 1-800-467-4922.
E-mail your question to INFOCNTR@dot.gov
For Questions About the SBA Size Standards:
For Information on NAICS 2007 Codes:
For Information on the HMEP Grants Program:
For the Status of your Registration Submission:
Registering Through the Internet:
Register through the Internet at http://phmsa.dot.gov/hazmat/register.
If you need assistance or encounter problems with the Internet registration process, call 617-494-2545 or 202-366-4484, and ask for Internet registration support.
Electronic Version of the Hazardous Materials Program Regulations:
To Obtain a U.S. DOT or MC/MX
Number:
Call the local Federal Motor Carrier Safety Administration's (FMCSA) office (usually in your state capitol). See the list of FMCSA field offices at http://www.fmcsa.dot.gov/about/contact/offices/fieldoffs.htm.
The application for a US DOT or MC/MX number can be filed electronically at http://www.safersys.org/.
Select "FMCSA Registration & Updates" under "FMCSA Services."
USDOT and MC/MX numbers can be verified at that same site by selecting "Company
Snapshot" under "FMCSA Searches".
For Information on the FMCSA Hazardous Materials Safety Permit Requirements:
Visit the FMCSA Hazardous Materials Safety Permits site at http://www.fmcsa.dot.gov/safety-security/hazmat/hm-permitting.htm.
For information on the Hazardous Materials Security Plan Requirements:
Visit the Hazardous Materials Transportation Security site at http://phmsa.dot.gov/hazmat/security.
For Information about Hazardous Materials Safety:
The Office of Hazardous Materials Safety's Internet homepage contains extensive information on the transportation of hazardous materials. Please visit our site at http://phmsa.dot.gov/hazmat.
Selected Small Business Adminstration Size Standards by NAICS Industry Codes
NOTE: If your primary industry group does not appear below, check the SBA Internet site by clicking here for the complete listing of NAICS codes and size standards.
| NAICS |
NAICS U.S. Industry Title |
Size Standards in
Number of Employees OR Millions of Dollars |
|
Sector 11 – Agriculture, Forestry, Fishing and Hunting |
| Subsector 115 – Support Activities for Agriculture and Forestry |
| 115112 |
Soil Preparation, Planting, and Cultivating |
$6.5 |
| Sector 21 – Mining, Quarrying, and Oil and Gas Extraction |
|
Subsector 211 – Oil and Gas Extraction |
| 211111 |
Crude Petroleum and Natural Gas Extraction |
500 |
| 211112 |
Natural Gas Liquid Extraction |
500 |
| Subsector 213 - Support Activities for Mining |
| 213112 |
Support Activities for Oil and Gas Operations |
$6.5 |
| Sector 22 – Utilities |
| Subsector 221 – Utilities |
| 221112 |
Fossil Fuel Electric Power Generation |
See Footnote 1 |
| 221122 |
Electric Power Distribution |
See Footnote 1 |
| 221210 |
Natural Gas Distribution |
500 |
|
Sector 23 - Construction |
|
Subsector 237 - | |