[Federal Register Volume 66, Number 128 (Tuesday, July 3, 2001)]
[Proposed Rules]
[Pages 35155-35177]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-16661]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

49 CFR Part 171

[Docket No. RSPA-99-5013 (HM-229)]
RIN 2137-AD21


Hazardous Materials: Revisions to Incident Reporting Requirements 
and the Hazardous Materials Incident Report Form

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: RSPA is proposing revisions to the current incident reporting 
requirements of the Hazardous Materials Regulations and the hazardous 
materials incident report form, DOT Form F 5800.1. The major changes 
proposed by RSPA in this NPRM include: collecting more specific 
information on the incident reporting form; expanding reporting 
exceptions; expanding reporting requirements to persons other

[[Page 35156]]

than carriers; reporting undeclared shipments of hazardous materials; 
notifying shippers of incidents; and reporting non-release incidents 
involving bulk packages. The revisions are intended to increase the 
usefulness of data collected for risk analysis and management by 
government and industry and, where possible, provide relief from 
regulatory requirements.

DATES: Send your comments on or before October 1, 2001. To the extent 
possible, we will consider comments received after this date in making 
our decision on a final rule.

ADDRESSES: Address your comments to the Dockets Management System, U.S. 
Department of Transportation, Room PL 401, 400 Seventh St., SW, 
Washington, DC 20590-0001. You must identify the docket number, RSPA-
99-5013 (HM-229) at the beginning of your comments, and you should 
submit two copies of your comments. If you wish to receive confirmation 
that your comments have been received, include a self-addressed stamped 
postcard. You may also submit your comments and review all comments by 
accessing the Docket Management System website at http://dms.dot.gov. 
Click on ``Help and Information'' to obtain instructions for filing a 
document electronically.
    The Dockets Unit is located on the Plaza Level of the Nassif 
Building at the U.S. DOT at the above address. You may view public 
dockets between the hours of 9:00 a.m. and 5:00 p.m., Monday through 
Friday, except on Federal holidays. An electronic copy of this document 
may be downloaded from the Federal Register Electronic Bulletin Board 
Service at (202) 512-1661. Internet users may reach the Federal 
Register's home page at: http://www.nara.gov/nara/fedreg, the 
Government Printing Office's database at http://www.access.gpo.gov/su_docs, or the Office of Hazardous Materials Safety at http://rspa.dot.gov/rulemake.htm. You may obtain copies of DOT Form F 5800.1 
and the instruction booklet for completing DOT Form F 5800.1 at the 
Office of Hazardous Materials Safety's web site at

http://hazmat.dot.gov/spills.htm or
http://hazmat.dot.gov/ohmforms.htm#incidents.

FOR FURTHER INFORMATION CONTACT: Michael Johnsen or Diane LaValle, at 
the Office of Hazardous Materials Standards, telephone (202) 366-8553 
or Kevin Coburn, at the Office of Hazardous Materials Planning & 
Analysis, telephone (202) 366-4555, Research and Special Programs 
Administration.

SUPPLEMENTARY INFORMATION:

I. Background

    Quality data supporting causal, trend, and risk analysis is 
fundamental to an effective safety program. The importance of data to 
the hazardous materials transportation safety program was highlighted 
in both a ONE DOT Flagship Initiative on Hazardous Materials Handling/
Incidents (HazMat Flagship) and a recently completed Department-wide 
Hazardous Materials Program Evaluation (HMPE). The HazMat Flagship 
identifies the set of new and ongoing actions relating to hazardous 
materials transportation that has the greatest potential impact on 
safety and program operation and that benefits from a cooperative ONE 
DOT approach. Information on DOT's Flagship Initiatives can be found 
at: http://www.dot.gov/onedot/flagship.htm. The HMPE used a multi-modal 
team to conduct a Department-wide program evaluation to document and 
assess the effectiveness of the Department's hazardous materials 
transportation safety program. The team's final report can be found at: 
http://hazmat.dot.gov/hmpe.htm.
    The hazardous materials transportation safety program relies on DOT 
Form F 5800.1, Hazardous Materials Incident Report, to gather basic 
information on incidents that occur during transportation and that meet 
specified criteria as required in Sec. 171.16 of the Hazardous 
Materials Regulations (HMR; 49 CFR Parts 171-180). RSPA last revised 
this form in 1989. In 1999, we received roughly 17,500 incident 
reports. The Research and Special Programs Administration (RSPA, we) 
use the data and information reported by carriers to:
     Evaluate the effectiveness of the existing regulations and 
industry operating procedures;
     Determine the need for regulatory changes to cover 
changing transportation safety problems; and
     Identify major problem areas that should receive priority 
attention.
    In addition, both the government and industry use this information 
to chart trends, identify problems and training inadequacies, evaluate 
packagings, and assess ways to reduce releases.
    Although the current incident report form provides useful 
information and is generally recognized as being fundamentally sound, 
room for improvement exists. Both the HazMat Flagship initiative and 
the HMPE emphasized the need to obtain more accurate and complete data 
on incidents. We believe the opportunity exists to obtain better, more 
detailed information on events with potentially greater consequences; 
to provide more descriptive information to help determine root causes 
of events; to offer better linkages so that data can be coupled (for 
example, registration numbers and fire and police report numbers); and 
to better structure the report form to facilitate complete and accurate 
responses.
    Our experience using data generated by the current form has 
identified certain deficiencies. Rulemakings such as HM-225A, 
``Revision to Regulations Governing Transportation and Unloading of 
Liquefied Compressed Gases,'' and HM-213B, ``Safety Requirements for 
External Product Piping on Cargo Tanks Transporting Flammable 
Liquids,'' have demonstrated the difficulties involved with using DOT 
Form 5800.1 data to determine precise failure modes and causes. These 
rulemakings also underscore the unreliability of cost information and 
the need to update this and other data as better information becomes 
available after initial submission of the form in the time period 
prescribed by regulation.
    The National Transportation Safety Board (NTSB) has issued a number 
of recommendations related to data collection and processing developed 
during the course of their investigations. NTSB Recommendation H-92-6 
suggests establishment of a program to collect information necessary to 
identify patterns of cargo tank equipment failures, including the 
reporting of all accidents involving a DOT specification cargo tank. 
Revising DOT Form 5800.1 offers a viable way to implement this 
recommendation by enabling us to obtain a more complete profile of 
accident scenarios, including ``success stories,'' through which 
packaging integrity issues can be more thoroughly evaluated. We believe 
gathering such information on all bulk packagings involved in incidents 
where the packaging, appurtenances, or damage protection devices 
receive structural damage is a logical extension of this philosophy.
    Another example of an NTSB recommendation that can be implemented 
though revision to DOT Form 5800.1 is ensuring that there is formal 
feedback from carriers to shippers when an incident has occurred 
(recommendation R-89-52). The need for this latter recommendation is 
supported by FAA experience with shippers who have been unaware of 
packaging failures.
    In addition, the National Risk Assessment for Selected Hazardous 
Materials performed for RSPA by the

[[Page 35157]]

Argonne National Laboratory and the University of Illinois relied on 
incident data as a basic input into the study and recommended changes 
in a number of areas. Risk practitioners in government and industry 
offered suggestions for improved reporting of incident data in a white 
paper produced under the auspices of the Transportation Research Board.
    Undeclared hazardous materials shipments, particularly in the air 
mode, are a safety issue of high visibility and concern within the 
Department. This issue received significant attention in the HazMat 
Flagship and was recognized by the HMPE as an important area where 
better understanding of the frequency and impact of such shipments is 
essential. Data obtained through reporting of discoveries of such 
shipments, whether or not the material is released, can help in 
defining the extent of the problem and developing programs to mitigate 
the risk involved. DOT Form 5800.1 is an efficient way to capture this 
data. Such data, even though it represents only undeclared hazardous 
materials that are discovered rather than the full spectrum of 
undeclared hazardous material shipments, can play a significant role in 
monitoring trends and measuring the effects of efforts to reduce 
undeclared shipments.
    We are cognizant of the burden often imposed by regulatory 
requirements. As we develop proposed changes to the incident reporting 
requirements, we are seeking to minimize any additional burden 
associated with the revised requirements. For instance, we are 
proposing to add exceptions to reporting requirements for small 
releases of materials that pose the least hazard where sufficient data 
already exists to manage risk. Further, we believe certain data fields 
that ask for information that is obtainable from other sources can be 
deleted. Land use at the incident site is an example of the latter 
case.
    As part of early efforts to consider possible revisions and 
following a meeting between DOT and members of several trade 
associations concerning hazardous materials incident reporting, the 
Association of American Railroads sponsored a workgroup with segments 
of the transportation community to discuss the DOT Form F 5800.1 and 
reporting requirements of Secs. 171.15 and 171.16. The workgroup 
meetings were held during the winter of 1997-98. Participants included 
representatives of all four transportation modes and RSPA, shippers, 
container manufacturers, and labor. The workgroup drafted suggestions 
and submitted them to RSPA. We developed questions based on input from 
these meetings, the DOT modal agencies, and other concerned 
individuals, and on our own initiative.
    On March 23, 1999, we published an advance notice of proposed 
rulemaking (ANPRM; 64 FR 13943) that asked a series of questions 
regarding the need to change the current reporting requirements or the 
current incident report form. We received approximately 40 comments 
from industry associations, state and local governments, non-profit 
associations, and carriers. These comments are discussed in Section III 
of this preamble.

II. Current Requirements

    Currently, Sec. 171.15 requires carriers to immediately notify the 
National Response Center (NRC) after any incident that occurs during 
transportation in which, as a direct result of hazardous materials:
    (1) A person is killed;
    (2) A person receives injuries requiring hospitalization;
    (3) Estimated carrier or other property damage exceeds $50,000;
    (4) An evacuation of the general public occurs for one hour or 
more;
    (5) One or more major transportation arteries or facilities are 
closed for one hour or more;
    (6) The operational flight pattern or routine of an aircraft is 
altered;
    (7) Fire, breakage, spillage, or suspected radioactive 
contamination occurs involving shipments of radioactive material or 
infectious substances;
    (8) There has been a release of a marine pollutant in a quantity 
exceeding 450 L (119 gallons) for liquids or 400 kg (882 pounds) for 
solids; or
    (9) A situation exists of such a nature (e.g., a continuing danger 
to life exists at the scene of the incident) that, in the judgment of 
the carrier, it should be reported to the Department even though it 
does not meet any other immediate notification criteria.
    Carriers may report any of these incidents involving aircraft to 
the Federal Aviation Administration (FAA). In addition, certain 
incidents involving infectious substances must be reported to the 
Centers for Disease Control (CDC).
    Each carrier required to make a report under Sec. 171.15 is also 
required to complete DOT Form F 5800.1 in accordance with Sec. 171.16. 
Additionally, unless excepted, a carrier is required to submit DOT Form 
F 5800.1 for any incident occurring during transportation that results 
in an unintentional release of a hazardous material from its package or 
the discharge of any quantity of hazardous waste.
    We use the data and information reported by carriers to:
    (1) Evaluate the effectiveness of the existing regulations and 
industry operating procedures;
    (2) Determine the need for regulatory changes to cover changing 
transportation safety problems; and
    (3) Identify major problem areas that should receive priority 
attention.

In addition, both the government and industry use this information to 
chart trends, identify problems and training inadequacies, evaluate 
packagings, and assess ways to reduce releases.

    In considering how to update the incident report form, our primary 
objective is to ensure that useful information is captured in an 
efficient manner. We believe it is possible to improve the structure 
and format of the form to make it easier to understand and complete 
accurately. To reduce the reporting burden on persons responsible for 
completing the incident report, we believe certain existing fields that 
ask for information that is obtainable from other sources can be 
deleted. Land use at the incident site is an example. We also believe 
it is appropriate to add information in certain areas where it can help 
determine future program direction and support measures of program 
effectiveness. For example, a good description of packaging 
performance, documenting both failures and successes, helps us define 
future requirements. In addition, undeclared hazardous materials is a 
problem area of significant safety concern to DOT, and the ability to 
identify the frequency and source of such shipments is important in 
efforts to reduce their occurrence. A complete description of changes 
to the content of the form is provided in the following sections.

III. Summary of Issues, Comments and RSPA Proposals

    The major changes proposed by RSPA in this NPRM include:
    (1) collecting more specific information on the incident reporting 
form;
    (2) expanding reporting exceptions;
    (3) expanding reporting requirements to persons other than 
carriers;
    (4) reporting undeclared shipments of hazardous materials;
    (5) notifying shippers of incidents; and
    (6) reporting non-release incidents involving bulk packages.
    These and other proposals are discussed in detail in the following 
paragraphs.
    In the ANPRM, we posed 35 questions concerning possible revisions 
to DOT

[[Page 35158]]

Form F 5800.1 and the associated sections of the HMR. These 35 
questions are grouped into the following ten general issues:
    (1) Electronic filing
    (2) Revisions to the form
    (3) One-call reporting
    (4) Expansion of reporting requirements to persons other than 
carriers
    (5) Exceptions to incident reporting
    (6) Criteria for telephonic notification
    (7) Updates to reports
    (8) Reporting when no hazardous material is released during an 
incident
    (9) Undeclared shipments of hazardous materials that do not result 
in a release
    (10) Notifying shippers of incidents.
    1. Electronic filing. The ANPRM noted that we are considering 
optional filing of incident reports by facsimile (fax), electronic mail 
(e-mail), and the Internet, and asked for recommendations concerning 
implementation of an electronic filing option. Electronic filing of 
incident reports is consistent with the requirements of the Government 
Paperwork Elimination Act (GPEA), which generally mandates that, by 
October 2003, agencies accept electronic documents and electronic 
signatures for the transactions that they conduct with the public and 
regulated parties.
    All commenters support an electronic filing option. Commenters 
state that fax, e-mail, and Internet submissions should be available to 
facilitate reporting. However, commenters also state that electronic 
filing should be optional rather than mandatory.
    We agree that electronic filing of incident reports would reduce 
the reporting burden on industry and increase reporting flexibility. 
However, because of logistical difficulties, all means of electronic 
filing will not be immediately available. In this NPRM, we are 
proposing to accept incident reports by fax and e-mail. Concurrent with 
the continued development of this rulemaking action, we intend to 
develop a capability to receive incident report forms through 
additional electronic means, such as a web-based form and electronic 
file transfers.
    2. Revisions to the form. We received a number of comments 
concerning the format of the current DOT Form F 5800.1. Some commenters 
suggest that we develop a different form for each mode or packaging 
type. Commenters also state that an abbreviated form would be useful 
for reporting smaller incidents.
    We agree that more detailed information concerning specific modes 
of transportation or specific packaging types would improve our 
incident database. However, we believe that having more than one 
incident report form would be confusing to the regulated industry. 
Therefore, in this NPRM, we are proposing a single multi-section form. 
Reporting incidents on a single form will avoid confusion as to which 
form to submit. The proposed form includes ``General Incident 
Information,'' ``Consequences,'' and ``Packaging Information'' sections 
that would be completed by everyone reporting an incident. In addition, 
the proposed form includes modal or special information sections that 
would be completed only if certain conditions were met.
    In considering how to update the incident report form, our primary 
objective is to ensure that useful information is captured in an 
efficient manner. We believe it is possible to improve the structure 
and flow of the form to make it easier to understand and complete 
accurately. We are proposing to delete certain existing fields that ask 
for information that is obtainable from other sources or can be 
extrapolated from other fields. We believe the fields ``Is material a 
hazardous substance?,'' ``Was the RQ met?,'' and the ``Land Use and 
Community Type'' questions fall into this category. Similarly, the 
``Highway Type'' and ``Number of Lanes at a Vehicle Accident/Derailment 
site'' can be determined from other sources. In addition, the consignee 
name and address information and the type of labeling or placarding 
fields have been found to offer limited benefit to safety improvements, 
and we propose to remove them.
    Additional information in certain areas is needed to help determine 
future program direction and support measures of program effectiveness. 
Separate fields for information on packing group, hazardous wastes and 
toxic by inhalation materials would allow us to better identify the 
materials involved in incidents. Further, we believe the inclusion of 
cross-reference fields, such as the NRC report number and the Hazardous 
Materials registration number, will help broaden the ties the incident 
data has with other Federal hazardous materials data.
    We also believe gathering additional information on the types of 
persons who respond to incidents, the types of persons who are killed, 
injured or need to be evacuated, as well as how long evacuations or 
closures last, will contribute to incident risk analysis. The more 
detailed questions concerning air transport incidents and questions 
directed to specific types of packagings will allow for more focused 
review of where and how packages fail. Additionally, the ability to 
identify the frequency and source of undeclared hazardous materials 
shipments, an area of significant safety concern to DOT, is important 
to reducing their occurrence.
    We are also proposing to revise the packaging sections of the 
incident report form to eliminate duplicative and confusing formatting 
and to enable us to gather more specific packaging information. For 
example, we propose to replace check boxes to identify damage to 
packagings with failure codes specific to each packaging type. Use of 
failure codes was one of the recommendations coming from the 
Association of American Railroads workgroup discussed in Section I. Use 
of failure codes allows the preparer to select from a set of choices 
appropriate to the particular packaging type involved. Also, we believe 
use of terminology appropriate for the particular packaging type will 
help avoid confusion and ultimately make it easier for the preparer to 
complete the incident report.
    The expansion will add about 15 data fields to the basic incident 
information. We believe the benefits to be gained by collecting more 
detailed information will require only minimal additional time to 
report these mostly short yes/no or fill-in-the-blank fields. Further, 
we have reformatted the proposed incident report form to facilitate 
completion (e.g., more white space and a more logical flow from item to 
item). While this reformatting has added more pages to the form, we 
believe that this design will improve accuracy and make the form easier 
to complete.
    The draft of the form that appears in the appendix to this NPRM is 
for review of question format and content only and does not reflect the 
final layout of the actual form. We anticipate that the form layout 
will be similar to the most recent U.S. Census form, which included 
proper spacing for digital scanning and ease of use considerations.
    The proposed revised form is included as Appendix A to this NPRM. 
The proposed instructions for completing the form appear as Appendix B. 
We ask that reviewers of the proposed incident report form focus on the 
following questions related to the contents of the form: (1) are 
critical data elements missing that should be added?; (2) what data 
elements currently included on the form are candidates for 
elimination?; (3) do the failure codes accurately represent modes of 
packaging failure?; and (4) what are your suggestions for additional or 
more descriptive failure codes?

[[Page 35159]]

    3. One-call reporting. As provided by Sec. 171.15, certain 
incidents require immediate telephonic notification. Currently, except 
for incidents involving transportation by aircraft or releases of 
infectious substances, carriers are required to call the NRC. Notice 
involving air shipments of hazardous materials must be given to the 
nearest FAA Civil Aviation Security Office. Notification of incidents 
involving infectious substances may be made to the CDC rather than the 
NRC.
    In this NPRM, we are proposing to eliminate the separate telephonic 
notification requirement for air shipments and to require all air 
carriers to report incidents subject to Sec. 171.15(a) to the NRC. NRC 
would then make any subsequent notifications. NRC personnel are trained 
specifically as to which notification requirements pertain to which 
entities; thus, this change should result in more accurate notification 
to parties with a need to know. It should be noted that CDC continues 
to require telephonic notification for releases of infectious 
substances (etiologic agents). In another rulemaking (Docket No. RSPA-
98-3971, HM-226, 66 FR 6942, January 22, 2001), we are proposing to 
clarify that a written report of an incident involving an infectious 
substance that is reported by telephone to CDC must also be submitted 
to RSPA.
    4. Expansion of reporting requirements to persons other than 
carriers. Currently, the requirements for telephonic and written 
reporting of transportation incidents apply to carriers only. Operators 
of transportation facilities, such as marine terminals, who do not 
perform carrier functions are not required to report transportation 
incidents involving hazardous materials. Most commenters to the NPRM 
agree that the person in physical control of a hazardous material when 
an incident occurs during transportation should be responsible for 
reporting that incident. One commenter states that the person in 
control of a hazardous material during transportation would most likely 
be the person most knowledgeable about the circumstances surrounding 
the incident. Other commenters disagree, stating that confusion and 
duplicative reporting would likely result if incident reporting is 
required by persons other than carriers.
    We agree that the person in direct control of the hazardous 
material while it is being transported in commerce should report any 
incidents. Such a requirement would capture incidents that occur when a 
hazardous material is outside a carrier's direct possession, but while 
the material is still in transportation in commerce, such as while the 
material is being stored incident to movement at a transfer facility.
    Therefore, in this NPRM we are proposing to require each person in 
physical control of a hazardous material while it is in transportation 
in commerce to report any incident that occurs while the material is in 
his or her possession. For example, a temporary storage facility owner 
would have to report any event that meets the provisions of 
Secs. 171.15 or 171.16 and that occurs during the time that a hazardous 
material is stored incident to movement. Consistent with current HMR 
requirements, administrative determinations, and interpretations, 
storage incidental to movement is storage of a transport vehicle, 
freight container, or package containing a hazardous material between 
the time that a carrier takes possession of the hazardous material 
until it is delivered to its destination, as indicated on the shipping 
paper. We believe this proposal will provide more accurate and complete 
information regarding hazardous materials incidents. We estimate that 
extending reporting requirements to persons in physical control of a 
hazardous material during transportation would increase the number of 
incident reports by about 2,040 per year.
    In addition, we are proposing to revise Sec. 171.21 to require 
``the person responsible for reporting the incident,'' rather than the 
``carrier,'' to make available all records and information pertaining 
to the incident.
    5. Exceptions to incident reporting. Currently, the HMR provide 
exceptions to incident reporting for the following:
    (1) Consumer commodities;
    (2) Batteries, electronic storage, wet, filled with acid or alkali; 
and
    (3) Paint and paint-related materials when shipped in packagings of 
five gallons or less.
    In addition, hazardous materials prepared and transported as 
limited quantities in accordance with the HMR are excepted from 
incident reporting requirements. However, these exceptions do not apply 
to:
    (1) Incidents required to be reported under Sec. 171.15(a);
    (2) Incidents involving transportation aboard aircraft;
    (3) Materials in Packing Group I (except for consumer commodities); 
or
    (4) Incidents involving the transportation of hazardous waste.
    Most commenters support expansion of the current exceptions to 
incident reporting. One commenter suggests that exceptions be expanded 
to include all incidents involving loading and unloading where a small 
release occurs as a result of connecting and disconnecting hoses or 
transfer lines. Other commenters suggest that hazardous materials in 
smaller packagings (e.g., 5 gallons or less) be excepted from incident 
reporting.
    We agree that exceptions to incident reporting should be applicable 
to small amounts of most hazardous materials that fall into our lowest 
risk category of hazardous materials (PG III). We now have ample data 
from past incidents spanning over 20 years involving PG III hazardous 
materials in smaller packagings to warrant a reporting exception. 
Incident reporting should be focused on more substantial releases where 
the consequences of an incident may be significant.
    In this NPRM, we are proposing to except from incident reporting 
requirements hazardous materials incidents meeting all of the following 
criteria:
    (1) The shipment is not being offered for transportation or 
transported by air;
    (2) None of the criteria in Sec. 171.15(a) apply;
    (3) The material is not a hazardous waste;
    (4) The material is properly classed as--
    (i) ORM-D; or
    (ii) A packing Group III material in Class or Division 3, 4, 5, 
6.1, 8, or 9;
    (5) Each packaging has a capacity of less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids; and
    (6) The total aggregate release is less than 20 liters (5 gallons) 
for liquids or less than 30 kgs (66 pounds) for solids.
    (7) The material does not meet the definition of an undeclared 
hazardous material in Sec. 171.8.
    We are proposing to except small spills from the reporting 
requirements. We wanted only to require that an aggregate spill of 20 
liters (5 gallons) or over for liquids or 30 kg (66 pounds) or over for 
solids of otherwise excepted hazardous materials be reported. For 
example, if twelve 5-gallon containers of paint are spilled, no 
incident report would be required unless the aggregate amount of paint 
released from the twelve containers is over 5 gallons or one of the 
conditions in Sec. 171.15(a) is met. Based on reports received over the 
past five years, we expect that the proposed exceptions would reduce 
the total number of incident reports filed each year by about 5,000.
    In addition, we are proposing to clarify existing rules to except 
minimal amounts of hazardous materials

[[Page 35160]]

escaping: (1) due to disconnecting a loading or unloading line or from 
the operation of venting devices (for which venting is authorized); or 
(2) from the manual operation of seals in equipment such as pumps, 
compressors, and valves during the normal course of transportation if 
the release does not trigger any of the provisions for a telephonic 
notification described in Sec. 171.15 of this subpart and does not 
result in property damage.
    We are requesting comments regarding additional exceptions or 
alternative methods for excepting small spills from the reporting 
requirements. We may modify the proposed exception in response to such 
comments.
    6. Criteria for telephonic notification. Under current Sec. 171.15 
requirements, one of the criteria that triggers the requirement for 
immediate notification is property damage that exceeds $50,000. Most 
commenters agree that a monetary limit should not be used as a 
criterion for telephonic notification; they state that such a limit is 
arbitrary and has not been adjusted to reflect inflation. We agree and 
are proposing to remove the monetary criterion.
    We are also proposing to clarify the requirements for ``immediate 
notification'' by specifying that telephonic notification must be made 
as soon as practicable following the occurrence of an incident and in 
all instances within 12 hours after an event requiring notification. 
This eliminates confusion surrounding the term ``immediate 
notification.'' This proposed revision also responds to National 
Transportation Safety Board (NTSB) recommendation H-99-58 to provide a 
specific time period to report by telephone. We invite comments as to 
the appropriateness of this time period or a different time period 
(e.g., 2 hours, 4 hours, or 24 hours).
    In addition to the above, we propose to expand the telephonic 
notification reporting requirements to the person who has physical 
control of the material at the time of the transportation incident. 
Most commenters agree that the person in physical control of a material 
at the time of an incident should call the NRC.
    Commenters also suggest that incidents resulting in significant 
environmental damage and incidents involving certain high-hazard 
materials be added to the current criteria for telephonic notification. 
We believe that the current criteria requiring immediate telephonic 
notification are sufficient and are not proposing any additional 
criteria.
    7. Updates to reports. Commenters disagree about whether we should 
require updates to incident reports. Some commenters suggest that we 
develop criteria to identify when an incident report requires updating. 
Other commenters state that updates should be required when there is 
any change to an incident result.
    We believe that substantive changes to the outcome of an incident 
should be updated by submitting updates to the original DOT Form F 
5800.1 report. Updated information ensures the accuracy and quality of 
data we collect. In this NPRM, we propose to require updated incident 
reports for up to one year after the date of an incident for the 
following: (1) death resulting from injuries caused by a hazardous 
material; (2) corrections to the identification of the hazardous 
material or packaging information; and (3) certain updated damage costs 
as additional information becomes available. Cost information would be 
updated when: (1) costs not known at the time the report was filed 
became known; or (2) original damage/cost estimates were revised by 
more than $25,000. In some cases, certain costs (such as 
decontamination and cleanup) may not be known within 30 days of the 
incident's occurrence, and would not be included in the initial 
incident report. In other cases, some costs (such as property damage) 
may be significantly higher than the original estimate. We estimate 
that about 800 incidents reported each year would require an update.
    Under Sec. 171.21, persons required to report an incident are 
required to cooperate with any further investigation of that incident. 
In particular, incidents that we categorize as significant may require 
further investigation, or reports that are incomplete may require a 
follow-up.
    8. Reporting when no hazardous material is released during an 
incident. In the ANPRM, we asked whether the incident reporting 
requirements should be expanded to include certain incidents that do 
not result in release of a hazardous material. We suggested that such 
information could provide a broader base for risk management in more 
critical transportation situations and that additional information 
could be used to gauge the performance and integrity of certain 
packagings.
    Most commenters oppose data collection for an incident that does 
not result in a release of hazardous materials because of the increased 
reporting burden. We do not agree. We believe that certain incidents 
should be reported whether or not there is a release of hazardous 
material. The potential burden on operators is offset by the safety 
information that will be provided. For example, such reporting can 
provide information concerning packaging integrity, particularly the 
circumstances under which a packaging is able to withstand a collision 
or accident without releasing its contents. Thus, we are proposing to 
require an incident report when a bulk packaging (other than a tank car 
tank) has received structural damage to the lading retention system or 
damage that requires repair to systems intended to protect the lading 
retention even if no hazardous material is released. This responds to 
NTSB recommendation H-92-6, which requests that we collect information 
on cargo tanks involved in accidents with no release of a hazardous 
material. There is no need to collect such data for a tank car tank 
because this information is already required to be reported to the 
Federal Railroad Administration. We also propose to include Type B 
packagings (for radioactive materials) that have received structural 
damage that may adversely affect the packaging's ability to retain 
lading, even if no hazardous material is released, to gather 
statistical information compatible with our criteria for a significant 
incident.
    9. Undeclared shipments of hazardous materials that do not result 
in a release. Undeclared shipments, particularly when offered for 
transportation or transported by air, pose a significant safety problem 
because of the potential for improper packaging, handling, and failure 
to communicate the hazard. Emergency responders and transportation 
workers are unaware of the presence of undeclared hazardous materials. 
Certain hazardous materials that are forbidden for air transportation 
may make their way onto a passenger-carrying or cargo-only aircraft, 
and may inadvertently be handled in an unsafe manner by transportation 
workers. In a hazardous material release from an undeclared shipment, 
the crew does not know that a hazardous material is present or what 
response measures to take. Commenters support gathering information on 
undeclared shipments of hazardous materials that do not result in a 
release. However, the commenters are divided as to how we should gather 
this information. Some commenters state that a reporting requirement 
specific to undeclared hazardous materials would expose their companies 
to undue liability and possible enforcement actions for accepting an 
undeclared shipment. Other commenters state that this requirement would 
place carriers in an enforcement role.
    We believe that information on undeclared shipments should be

[[Page 35161]]

collected and that the incident report form is the most accessible 
method for collecting such data. In this NPRM, we are proposing to 
require an incident report when an undeclared shipment of hazardous 
materials is discovered. This requirement would apply to parties who 
are likely to discover undeclared shipments and who would benefit 
greatly from a reduction in such shipments, which is a goal of this 
rulemaking. Based on information provided by FAA, we anticipate that an 
increase of about 1,500 incident reports per year would result from 
this proposal.
    If persons filing these reports had no reason to believe that they 
were accepting hazardous materials, DOT would not hold them 
responsible. Parties filing these reports would be advising DOT of 
unsafe conditions; DOT would independently determine whether 
enforcement is appropriate.
    10. Notifying shippers of incidents. We propose to require the 
person responsible for completing an incident report to provide a copy 
of the report to the shipper whose packages were the subject of the 
report. The report would have to be provided within 30 days of the 
incident and may be provided in an electronic or written form. The 30-
day time period is consistent with the time required to submit the 
report to RSPA. This proposal responds to NTSB Recommendation R-89-52, 
which recommends requiring carriers reporting hazardous materials 
incidents under the provisions of Sec. 171.16 to notify shippers whose 
hazardous materials shipments are involved. NTSB is concerned that 
shippers are not receiving information about packages that are prone to 
failure during transportation. Since we are proposing to expand 
reporting requirements to persons other than carriers who have 
possession of a hazardous material while in transportation, the person 
required to report would also be required to notify the shipper of the 
packages involved in the incident.
    We believe that this shipper notification already often occurs; 
however, we request comments concerning the costs of, and need to 
create, a requirement to assure that shippers are notified when their 
packages are involved in incidents.

Miscellaneous Proposals

New Definitions
    We are proposing new definitions in Sec. 171.8 for ``unintentional 
release,'' and ``undeclared hazardous material shipment'' to assist in 
clarifying the regulations.
Hazardous Waste Manifest
    We are proposing removal of the requirement in Sec. 171.16 to 
attach a hazardous waste manifest to the incident report form when a 
release involves a hazardous waste. The proposed incident report form 
requires the hazardous waste manifest number to be reported and 
provides a field for entering the number. In addition, we are proposing 
to remove the requirements for: 1) an estimate of the quantity of waste 
removed from the scene; 2) the name and address of the facility to 
which it was taken; and 3) the manner of disposition of any removed 
waste. This information is already available as a result of EPA's 
hazardous waste manifest regulations; thus, continued reporting of this 
information to RSPA is unnecessary. Removing these requirements would 
eliminate reporting information that is obtainable through other 
sources.
Record Retention Location
    In this NPRM, we are proposing to require that the report be 
retained at either the reporter's principal place of business or other 
record retention site provided the report is available at the 
reporter's principal place of business within 24 hours of request. 
Currently, there is a provision in Sec. 171.16 that requires a person 
reporting an incident to retain a copy of the report for two years at 
the reporter's principal place of business or at another place that has 
been authorized under the terms of an approval. We are not aware of any 
approvals issued under this section. We believe this proposal would 
provide flexibility in maintaining records without the need for an 
approval from DOT.
Incidents at Registered Cargo Tank Facilities
    The Federal Motor Carrier Safety Administration (FMCSA) has 
notified RSPA of several fatalities that have occurred in registered 
cargo tank facilities during inspection and repair of DOT specification 
cargo tanks. In most cases, the cause of the incident was a failure to 
comply with the HMR requirements applicable to such operations 
(inadequate training programs, failing to clean and purge a tank before 
repair, etc.) Over the course of the last several years, FMCSA has 
attempted to gather anecdotal evidence to determine the frequency of 
these events. It appears that up to 10 fatalities a year may occur due 
to work on DOT specification cargo tanks. Because of the apparent 
frequency and severity of these incidents, we are interested in 
collecting information on these occurrences.
    We request comments regarding the following:
    1. Should we require the reporting of incidents that occur at 
registered cargo tank facilities during the inspection, testing and 
repair process?
    2. Is this information available from other sources, such as the 
Occupational Health and Safety Administration or state worker 
protection agencies?
    3. What incidents should be reported--only consequential incidents, 
such as those requiring telephonic reporting under Sec. 171.15, any 
release requiring reporting under Sec. 171.16, or some other criteria?
    4. Should we collect information on incidents that occur while work 
is performed on DOT specification cargo tanks, all specifications 
packages or all hazardous materials packages?
    Any action based on these questions would be considered in a future 
rulemaking.
State Notification
    In addition, we were contacted by a state official, who requested 
that we require incidents meeting the immediate notification criteria 
in Sec. 171.15 to be reported to the state in which the incident 
occurred. We do not believe that this is necessary. A state may require 
immediate, oral accident/incident reports for emergency response 
purposes. Further, any state may request that NRC notify it of 
incidents occurring within the state.

IV. Summary and Conclusion

    We are proposing, among others, the following changes to the 
current HMR reporting requirements and to DOT Form F 5800.1:
    (1) Reporting of incidents involving bulk packagings (other than 
tank car tanks) that receive structural damage that may adversely 
affect the packaging's ability to retain lading even when no hazardous 
material is released. (This includes Type B RAM packagings.)
    (2) Reporting discoveries of undeclared hazardous material 
shipments.
    (3) Updating incident reports when significant new information 
becomes available.
    (4) Requiring the person in physical control of a hazardous 
material during transportation to report an incident.
    (5) Excepting small releases of specified materials that pose the 
least hazard from reporting requirements.
    (6) Restructuring the form to utilize failure codes to obtain 
information on packaging failures.

[[Page 35162]]

    In addition, we are requesting specific comments in the following 
areas:
    (1) What changes should be made in report content (specific data 
elements) and in failure codes?
    (2) Are additional exceptions or alternative methods for excepting 
small spills from the reporting requirements appropriate?
    (3) Is a 12-hour maximum an appropriate standard for ``immediate'' 
telephonic reporting or is a different time period (e.g., 2 hours, 4 
hours, or 24 hours) warranted?
    (4) What would be the impact if the proposal to create a 
requirement assuring that shippers are notified (including possible 
telephonic notification) when their packagings are involved in 
incidents is adopted?
    (5) Should we require the reporting of incidents that occur at 
registered cargo tank facilities during the inspection, testing, and 
repair process? (Also see related questions in the previous section.)

V. Regulatory Analyses and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This proposed rule is not a significant regulatory action under 
Executive Order 12866 and, therefore, was not reviewed by the Office of 
Management and Budget. This proposed rule is not a significant 
regulatory action under the Regulatory Policies and Procedures of the 
Department of Transportation (44 FR 11034). A preliminary regulatory 
evaluation that considers various regulatory alternatives is available 
for review in the public docket.
    The costs of these proposed regulations identified in the 
regulatory evaluation are attributed to: (1) Expansion of reporting 
requirements to persons other than a carrier in possession of a 
hazardous material during transportation; (2) implementation of a 
requirement to update incident reports under certain conditions; (3) 
expansion of reporting requirements to incidents involving certain bulk 
packagings where no hazardous material is released; and (4) 
implementation of a requirement to report to the shipper that an 
incident has occurred. Reductions in the total costs associated with 
incident reporting requirements are attributed to implementation of an 
electronic filing option and expansion of current exceptions to the 
reporting requirements. The expected reductions in total costs 
generally offset the anticipated cost increases; thus, the proposals 
should result in only minimal increased costs of compliance.
    While it is difficult to estimate the net benefit resulting from 
this rulemaking, we believe that the proposed revisions to the incident 
reporting requirements will greatly enhance our ability to develop 
strategies to reduce the risks associated with the transportation of 
hazardous materials. The non-quantifiable benefits of the increase in 
data quality attributable to this rulemaking are expected to be far 
greater than the negligible cost increase to the regulated community.

B. Executive Order 13132

    This NPRM has been analyzed in accordance with the principles and 
criteria contained in Executive Order 13132 (``Federalism''). This 
proposed rule would preempt State, local, and Indian tribe requirements 
but does not propose any regulation that has substantial direct effects 
on the States, the relationship between the national government and the 
States, or the distribution of power and responsibilities among the 
various levels of government. Therefore, the consultation and funding 
requirements of Executive Order 13132 do not apply.
    The Federal hazardous materials transportation law, 49 U.S.C. 5101-
5127, contains an express preemption provision (49 U.S.C. 5125(b)) that 
preempts State, local, and Indian tribe requirements on certain covered 
subjects. Covered subjects are:
    (1) The designation, description, and classification of hazardous 
materials;
    (2) The packing, repacking, handling, labeling, marking, and 
placarding of hazardous materials;
    (3) The preparation, execution, and use of shipping documents 
related to hazardous materials and requirements related to the number, 
contents, and placement of those documents;
    (4) The written notification, recording, and reporting of the 
unintentional release in transportation of hazardous material; or
    (5) The design, manufacture, fabrication, marking, maintenance, 
recondition, repair, or testing of a packaging or container 
represented, marked, certified, or sold as qualified for use in 
transporting hazardous material.
    This proposed rule addresses covered subject item number 4 above 
and would preempt State, local, and Indian tribe written incident 
reporting requirements not meeting the ``substantively the same'' 
standard.
    Federal hazardous materials transportation law provides at 
Sec. 5125(b)(2) that, if DOT issues a regulation concerning any of the 
covered subjects, DOT must determine and publish in the Federal 
Register the effective date of Federal preemption. The effective date 
may not be earlier than the 90th day following the date of issuance of 
the final rule and not later than two years after the date of issuance. 
We propose that the effective date of Federal preemption be 180 days 
from publication of a final rule in this matter in the Federal 
Register.

C. Executive Order 13175

    This proposed rule has been analyzed in accordance with the 
principles and criteria contained in Executive Order 13175 
(``Consultation and Coordination with Indian Tribal Governments''). 
Because this proposed rule does not have tribal implications and does 
not impose substantial direct compliance costs, the funding and 
consultation requirements of the Executive Order do not apply.

D. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires an 
agency to review regulations to assess their impact on small entities 
unless the agency determines that a rule is not expected to have a 
significant impact on a substantial number of small entities. Based on 
the assessment in the final regulatory evaluation, I hereby certify 
that, while the final rule will affect a substantial number of small 
businesses, there will be no significant economic impact.
    Potentially affected small entities. The proposals in this NPRM 
will apply to persons in physical control of a hazardous material 
during transportation in commerce. Such persons primarily include motor 
carriers, air carriers, vessel operators, rail carriers, temporary 
storage facilities, and intermodal transfer facilities. Unless 
alternative definitions have been established by the agency in 
consultation with the Small Business Administration, the definition of 
``small business'' has the same meaning as under the Small Business Act 
(15 CFR Parts 631-657c). Therefore, since no such special definition 
has been established, RSPA employs the thresholds (published in 13 CFR 
121.201) of 1,500 employees for air carriers (NAICS Subgroup 481), 500 
employees for rail carriers (NAICS Subgroup 482), 500 employees for 
vessel operators (NAICS Subgroup 483), $18.5 million in revenues for 
motor carriers (NAICS Subgroup 484), and $18.5 million in revenues for 
warehousing and storage companies (NAICS Subgroup 493). Of the 
approximately 116,000 entities to which the proposals in this NPRM 
would

[[Page 35163]]

apply (104,000 of which are motor carriers), we estimate that about 90 
percent are small entities.
    Potential cost impacts. The NPRM proposal to expand reporting 
requirements to any person in physical possession of a hazardous 
material while it is being transported in commerce will primarily 
affect storage and intermodal transfer facilities. We estimate that 
expanding the reporting requirements will increase the number of 
incident reports submitted each year by about 2,040 reports, or about 
12 percent. Thus, the approximately 6,500 warehousing and storage 
entities subject to this requirement will incur total increased 
compliance costs of about $84,000 (about $13/year/company).
    The proposal to require updating of incident reports under certain 
conditions applies to all persons subject to the HMR incident reporting 
regulations. We estimate that this proposal will result in about 800 
updates to reports each year for a total annual cost to the 
approximately 116,000 transportation companies subject to this 
requirement of $4,800 (about 4 cents/year/company).
    The proposal to require reporting of certain incidents involving 
bulk packagings that do not result in a release of hazardous materials 
will apply to about 104,000 motor carriers. We estimate that this 
proposal will result in about 2,800 additional incident reports each 
year. Motor carriers will incur increased compliance costs of about 
$109,000 (about $1.05/year/company).
    The proposal to require reporting of undeclared shipments of 
hazardous materials discovered during transportation will apply to all 
persons subject to the HMR incident reporting regulations. We estimate 
that this proposal will result in an increase of 1,500 incident reports 
per year, with corresponding increased compliance costs of $57,600 
(about 50 cents/year/company).
    The proposal to require persons who are subject to the HMR incident 
reporting requirements to also report incidents to the hazardous 
material shipper will apply to all persons subject to the HMR incident 
reporting regulations. We estimate that this proposal will result in an 
increase in compliance costs of about $17,000 (about $1.20/year/
company).
    Potential cost savings. The proposals in the NPRM that will permit 
electronic filing of incident reports and expand the current exceptions 
from incident reporting requirements will offset the increased 
compliance costs described above. Taken together, the potential cost 
savings attributable to the proposals in this NPRM total about $276,000 
(about $2.40/year/company).
    Alternate proposals for small businesses. The Regulatory 
Flexibility Act suggests that it may be possible to establish 
exceptions and differing compliance standards for small businesses and 
still meet the objectives of the applicable regulatory statutes. 
However, given the importance of small business, as defined for 
purposes of the Regulatory Flexibility Act, in hazardous materials 
transportation, we do not believe that it would be possible to 
establish such differing standards and still accomplish the objectives 
of federal hazardous materials transportation law. The information 
provided in hazardous materials incident reports serves as the basis 
for critical RSPA safety functions, including identification of safety 
problems, regulations development, training programs, outreach efforts, 
and enforcement strategies. The risks posed by a hazardous material 
offered for transportation or transported by a small entity are the 
same as the risks posed by the same hazardous material when offered for 
transportation or transported by a large entity. Thus, it is entirely 
reasonable and appropriate for the HMR incident reporting requirements 
to apply equally to any person who offers for transportation or 
transports hazardous materials in commerce.
    Conclusion. Based on the above analysis, we certify that while the 
proposals in this NPRM will affect a significant number of small 
businesses or other small entities, there will be no substantial 
economic impact on the identified classes of small businesses. If your 
business or organization is a small entity and if adoption of some or 
all of the proposed provisions could have a significant economic impact 
on your operations, please submit a comment to explain how and to what 
extent your business or organization could be affected.

E. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995, no person is required to 
respond to a collection of information unless it displays a valid 
Office of Management and Budget (OMB) control number. Section 
1320.8(d), Title 5, Code of Federal Regulations requires that RSPA 
provide interested members of the public and affected agencies an 
opportunity to comment on information collection and recordkeeping 
requests. RSPA has a current information collection approval under OMB 
No. 2137-0039, Hazardous Materials Incident Reports, with 33,811 burden 
hours, $811,221.66 in annual costs, and 22,500 submitted incident 
reports per year. This information collection estimate, drafted in 
1998, accounted for a 40% increase in incident reporting due to 
inclusion of intrastate carriers required to report incidents under the 
HM-200 rulemaking docket. The actual rate of increase attributed to 
that rulemaking has not been fully realized.
    The average number of incident reports RSPA received for the years 
1997-2000 is about 17,300, and for the years 1995-2000 is about 16,000. 
Our regulatory evaluation for this proposed rule uses a base number of 
17,000 annual incident reports.
    The proposals in this NPRM would only change information collection 
requirements for the DOT Form F 5800.1 under Sec. 171.16--and not for 
telephonic notification requirements under Sec. 171.15.
    RSPA believes that this proposed rule may result in a modest 
increase in annual burden and costs. Even so, the estimated increase of 
an additional 810 reports per year proposed in this NPRM would result 
in total reports numbering far less than the 22,500 approved through 
our current information collection approval under OMB No. 2137-0039. 
Total estimated costs of written reports, including the estimated costs 
of this proposed rule, are also lower than the approved amount. The 
following figures are based on receiving 17,000 incident reports per 
year and only include estimates for written incident reports:
    Total Annual Respondents: 1,781.
    Total Annual Responses: 17,810.
    Total Annual Burden Hours: 23,746.
    Total Annual Burden Cost: $569,904.
    RSPA specifically requests comments on the information collection 
and recordkeeping burdens associated with developing, implementing, and 
maintaining these requirements for approval under this proposed rule.
    Requests for a copy of the information collection should be 
directed to Deborah Boothe, Office of Hazardous Materials Standards 
(DHM-10), Research and Special Programs Administration, Room 8102, 400 
Seventh Street, SW., Washington, DC 20590-0001, Telephone (202) 366-
8553.
    Written comments should be addressed to the Dockets Unit as 
identified in the ADDRESSES section of this rulemaking. Comments should 
be received prior to the close of the comment period identified in the 
DATES section of this rulemaking. Under the Paperwork Reduction Act of 
1995, no person is required to respond to an information collection 
unless it displays a valid OMB control number.

[[Page 35164]]

F. Regulation Identifier Number (RIN)

    A regulation identifier number (RIN) is assigned to each regulatory 
action listed in the Unified Agenda of Federal Regulations. The 
Regulatory Information Service Center publishes the Unified Agenda in 
April and October of each year. The RIN number contained in the heading 
of this document can be used to cross-reference this action with the 
Unified Agenda.

G. Unfunded Mandates Reform Act

    This rulemaking would not impose unfunded mandates under the 
Unfunded Mandates Reform Act of 1995. It would not result in costs of 
$100 million or more to either State, local, or tribal governments, in 
the aggregate, or to the private sector.

H. Environmental Assessment

    RSPA believes that the proposed changes to the incident reporting 
system would have no significant impact on the environment. The changes 
proposed in this NPRM should increase the quality of data collected on 
hazardous materials spills, thus probably increasing our ability to 
evaluate potential packaging problems that result in releases to the 
environment. Thus, the proposed revisions should produce a small net 
benefit to the environment by improving the data sources used in 
regulatory development. Therefore, we find that there are no 
significant environmental impacts associated with this proposed rule.

List of Subjects in 49 CFR Part 171

    Exports, Hazardous materials transportation, Hazardous waste, 
Imports, Reporting and record keeping requirements.

    In consideration of the foregoing, we propose to amend 49 CFR part 
171 as follows:

PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS

    1. The authority citation for part 171 continues to read as 
follows:

    Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.

    2. In Sec. 171.8 the following definitions are added in 
alphabetical order to read as follows:


Sec. 171.8  Definitions and abbreviations.

* * * * *
    Undeclared hazardous material means a hazardous material:
    (1) That is required to be described on a shipping paper in the 
manner required by subpart C of part 172 of this subchapter, but is 
offered for transportation with no indication on the shipping paper or 
other documentation that it is hazardous; or
    (2) That is excepted from the requirements of subpart C of part 172 
of this subchapter (e.g., a small quantity or ORM-D material as defined 
in Sec. 173.4 and 173.144, respectively) and is in a packaging that is 
not marked in the manner specified in this subchapter to indicate it 
contains a hazardous material.
* * * * *
    Unintentional release means the escape of a hazardous material from 
a package. This includes releases resulting from collision, packaging 
failures, human error, vandalism, negligence, improper packaging, or 
unusual conditions such as the operation of pressure relief devices as 
a result of over-pressurization, overfill or fire exposure. It does not 
include intentional releases, such as venting of packages, where 
allowed, and the intentional discharge of contents from packagings.
    3. Section 171.15 is revised to read as follows:


Sec. 171.15  Immediate notice of certain hazardous materials incidents.

    (a) When a hazardous materials incident occurs during 
transportation in commerce, each person in physical possession of the 
hazardous material must provide notice by telephone, as described in 
paragraph (b) of this section, as soon as practicable but no later than 
12 hours after the incident, to the DOT's National Response Center 
(NRC) on 800-424-8802 (toll free) or 202-267-2675 (toll call). Notice 
involving an infectious substance (etiologic agent) may be given to the 
Director, Center for Disease Control, U.S. Public Health Service, 
Atlanta, Ga., 800-232-0124 (toll free), in place of notice to the NRC. 
Each notice must include the following information:
    (1) Name of reporter;
    (2) Name and address of carrier represented by reporter;
    (3) Phone number where reporter can be contacted;
    (4) Date, time, and location of incident;
    (5) The extent of injury, if any;
    (6) Class or division, proper shipping name, and quantity of 
hazardous materials involved, if such information is available; and
    (7) Type of incident and nature of hazardous material involvement 
and whether a continuing danger to life exists at the scene.
    (b) A telephonic report is required when an incident occurs during 
the course of transportation in commerce (including loading, unloading, 
and temporary storage) and:
    (1) As a direct result of a hazardous material--
    (i) A person is killed;
    (ii) A person receives an injury requiring admittance to a 
hospital;
    (iii) The general public is evacuated for one hour or more;
    (iv) A transportation artery or facility is closed or shut down for 
one hour or more;
    (v) The operational flight pattern or routine of an aircraft is 
altered;
    (2) Fire, breakage, spillage, or suspected radioactive 
contamination occurs involving a radioactive material (see also 
Sec. 176.48 of this subchapter);
    (3) Fire, breakage, spillage, or suspected contamination occurs 
involving an infectious substance other than a diagnostic specimen or 
regulated medical waste;
    (4) There has been a release of a marine pollutant in a quantity 
exceeding 450 L (119 gallons) for a liquid or 400 kg (882 pounds) for a 
solid; or
    (5) A situation exists of such a nature (e.g., a continuing danger 
to life exists at the scene of the incident) that, in the judgment of 
the person in possession of the hazardous material, it should be 
reported to the NRC even though it does not meet the criteria of 
paragraph (b) (1), (2), (3) or (4) of this section.
    (c) Each person making a report under this section must also make 
the report required by Sec. 171.16.


    Note to Sec. 171.15: Under 40 CFR 302.6, EPA requires persons in 
charge of facilities (including transport vehicles, vessels, and 
aircraft) to report any release of a hazardous substance in a 
quantity equal to or greater than its reportable quantity, as soon 
as that person has knowledge of the release, to DOT's National 
Response Center at (toll free) 800-424-8802 or (toll) 202-267-2675.


    4. Section 171.16 is revised to read as follows:


Sec. 171.16  Detailed hazardous materials incident reports.

    (a) General. Each person in physical possession of a hazardous 
material during transportation at the time of a reportable incident 
must report the incident in writing on DOT Form F 5800.1 (Rev. XX/XX).
    (b) Reportable Incident. A reportable incident is one that occurs 
during the course of transportation (including loading, unloading, and 
temporary storage) in which--
    (1) Any of the circumstances set forth in Sec. 171.15(a) occurs;
    (2) There is an unintentional release of a hazardous material or 
any quantity of hazardous waste has been discharged during 
transportation;

[[Page 35165]]

    (3) A bulk packaging (other than a tank car tank) containing any 
hazardous material or a Type B packaging containing a Class 7 hazardous 
material receives structural damage to the lading retention system or 
damage that requires repair to a system intended to protect the lading 
retention system, even if there is no release of hazardous material; or
    (4) An undeclared hazardous material is discovered.
    (c) Updating the incident report. An incident report must be 
updated within one year of the incident if--
    (1) A death results from injury caused by a hazardous material;
    (2) There was a misidentification of the hazardous material or 
packaging information on the incident report;
    (3) Damage, loss or related cost that was not known when the 
initial report was filed becomes known; or
    (4) Damage, loss, or related cost changes by $25,000 or more.
    (d) Sending and retaining copies of the report. Each person 
reporting under this section must--
    (1) Send the report within 30 days of the date of discovery of the 
incident to the Information Systems Manager, DHM-63, Research and 
Special Programs Administration, Department of Transportation, 
Washington, DC 20590-0001; and, for incidents involving transportation 
by aircraft, also send a copy of the report to the FAA Civil Aviation 
Security Office nearest the location of the incident;
    (2) Retain a copy of the report, including electronically generated 
reports, for a period of two years at the reporter's principal place of 
business, or other record retention site if available at the reporter's 
principal place of business within 24 hours of request; and
    (3) Send a copy of the report to the person who offered the 
hazardous material for transportation within 30 days following 
discovery of the incident.
    (e) Exceptions. The requirements of paragraphs (a), (b), (c) and 
(d) of this section do not apply to--
    (1) Releases of minimal amounts of material released from manual 
operation of seals, pumps, compressors, valves, during connection or 
disconnection of loading or unloading lines or, for materials for which 
venting is authorized, from vents, provided the release does not 
require a telephone report under the provisions of Sec. 171.15 or 
result in property damage; or
    (2) Incidents involving the unintentional release of hazardous 
material when all of the following apply:
    (i) The material is not being offered for transportation or 
transported by air;
    (ii) None of the criteria in Sec. 171.15(a) apply;
    (iii) The material is not a hazardous waste;
    (iv) The material is properly classed as--
    (A) ORM-D; or
    (B) Class or Division 3, 4, 5, 6.1, 8, or 9 in Packing Group III;
    (v) Each packaging has a capacity of less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
    (vi) The total aggregate release is less than 20 liters (5 gallons) 
for liquids or less than 30 kgs (66 pounds) for solids; and
    (vii) The material does not meet the definition of an undeclared 
hazardous material.
    5. Section 171.21 is revised to read as follows:


Sec. 171.21  Assistance in investigations and special studies.

    (a) A shipper, carrier, packaging owner, packaging manufacturer or 
certifier, repair facility, or person associated with an incident under 
the provisions of Sec. 171.16 must--
    (1) Make all records and information pertaining to the incident 
available to an authorized representative or special agent of the 
Department of Transportation upon request.
    (2) Give an authorized representative or special agent of the 
Department of Transportation reasonable assistance in the investigation 
of the incident.
    (b) If an authorized representative or special agent of the 
Department of Transportation makes an inquiry of a person required to 
complete an incident report in connection with a study of incidents, 
the person shall--
    (1) Respond to the inquiry within 30 days after its receipt or 
within such other time as the inquiry may specify; and
    (2) Provide true and complete answers to any questions included in 
the inquiry.

    Issued in Washington, DC, on June 27, 2001 under the authority 
delegated in 49 CFR part 106.
Robert A. McGuire,
Associate Administrator for Hazardous Materials Safety.
BILLING CODE 4910-60-P

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Instructions for Completing the Hazardous Materials Incident 
Report--Department of Transportation Form F 5800.1

General Overview

Who Must Complete the Report?

    Any person in possession of a hazardous material during 
transportation, including loading, unloading and storage incidental to 
transportation, must report to the Department of Transportation (DOT) 
if there is:

     an unintentional release of a hazardous material from a 
packaging;
     any release of a hazardous waste from a packaging;
     a bulk packaging (other than a tank car tank) or Type B 
packaging (used for RAM) containing a hazardous material that (1) 
received structural damage to the lading retention system or damage 
that requires repair to a system intended to protect the lading 
retention system and (2) did not have a release;
     an undeclared shipment of a hazardous material; OR
     a condition that meets 49 CFR 171.15.

When Is a Release Not Required To Be Reported?

    You are not required to report a release of a hazardous material if 
ALL of the following apply:

     The shipment is not being offered for transportation or 
being transported by air;
     None of the criteria in Sec. 171.15(a) apply;
     The material is not a hazardous waste;
     The material is properly classed as an ORM-D or Class or 
Division 3, 4, 5, 6.1, 8, or 9 in Packing Group III;
     Each packaging has a capacity of less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids; and
     The total aggregate release is less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids.
     The material does not meet the definition of an undeclared 
hazardous material in Sec. 171.8.

    Also, you are not required to report releases of minimal amounts 
(e.g., a pint or less) of material released from the manual operation 
of seals of pumps, compressors, and valves, during the connecting or 
disconnecting of loading and unloading lines or, for materials for 
venting is authorized, from vents provided these releases do not result 
in property damage or trigger any of the telephonic notification 
requirements found in Sec. 171.15.

What Is the Purpose of the Report?

    The information you are providing in this report is fundamental to 
hazardous material transportation risk analysis and risk management by 
government and industry. It allows us to better understand the causes 
and consequences of hazardous material transportation incidents. The 
data is used to identify trends and provide basic program performance 
measures. It helps to demonstrate the effectiveness of existing 
regulations and to identify areas where changes should be considered. 
It also assists all parties, including industry segments and individual 
companies, in understanding the types and frequencies of incidents, 
what can go wrong, and possible measures that would prevent their 
recurrence. Your accurate and complete description of incidents can 
make a significant contribution to continual safety improvement through 
better regulations, cooperative partnerships, and individual efforts.

What Federal Regulation Requires Me To Submit the Report?

    The Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) 
require that certain types of incidents be reported to the Research and 
Special Programs Administration (RSPA). Section 171.15 requires an 
immediate telephonic report (within 12 hours) of certain types of 
hazardous materials incidents and a follow-up written report. Section 
171.16 requires a written report for certain types of hazardous 
materials incidents within 30 days. Each type of report is explained 
below.

What Definitions Should I Know in Order To Complete the Report?

    In order to accurately complete the report, you should be familiar 
with the following terms. These definitions and several others are 
contained in Sec. 171.8.
    Bulk packaging--a packaging, other than a vessel or a barge, 
including a transport vehicle or freight container, in which hazardous 
materials are loaded with no intermediate form of containment and which 
has:
    (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 (822 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 as defined in Sec. 173.115.
    Hazardous material--a substance or material, that has been 
determined to be capable of posing an unreasonable risk to health, 
safety and property when transported in commerce, and that has been so 
designated. The term includes hazardous substances, hazardous wastes, 
marine pollutants, and elevated temperature materials as defined in 49 
CFR, materials designated as hazardous under the provisions of 
Sec. 172.101, and materials that meet the criteria for hazard classes 
and divisions in Part 173.
    Hazardous substance--for the purposes of the HMR, a material, 
including its mixtures and solutions, that--
    (1) Is listed in Appendix A of Sec. 172.101;
    (2) Is in a quantity, in one package, that equals or exceeds the 
reportable quantity (RQ) listed in Appendix A to Sec. 172.101; and
    (3) When in a mixture or solution--
    (i) For radionuclides, conforms to paragraph 7 of Appendix A to 
Sec. 172.101.
    (ii) For other than radionuclides, is in a concentration by weight 
that equals or exceeds the concentration corresponding to the RQ of the 
material, as shown in the following table:

------------------------------------------------------------------------
                                           Concentration   Concentration
         RQ Pounds  (Kilograms)             by weight--     by weight--
                                              Percent           PPM
------------------------------------------------------------------------
5000 (2270).............................             10         100,000
1000 (454)..............................              2          20,000
100 (45.4)..............................            0.2           2,000
10 (4.54)...............................           0.02             200
1 (0.454)...............................          0.002              20
------------------------------------------------------------------------

    The term hazardous substance does not include petroleum, including 
crude oil or any fraction thereof which is not otherwise specifically 
listed or designated as a hazardous substance in Appendix A to 
Sec. 172.101, and the term does not include natural gas, natural gas 
liquids, or synthetic gas usable for fuel (or mixtures of natural gas 
and such synthetic gas).
    Hazardous waste--any material that is subject to the Hazardous 
Waste Manifest Requirements of the U.S. Environmental Protection Agency 
specified in 40 CFR Part 262.
    Marine pollutant--a material that is listed in Appendix B to 
Sec. 172.101 (the Hazardous Materials Table) (also see Sec. 171.4) and, 
when in a solution or mixture of one or more marine pollutants, is 
packaged in a concentration which equals or exceeds:
    (1) Ten percent by weight of the solution or mixture for materials 
listed in Appendix B; or

[[Page 35172]]

    (2) One percent by weight of the solution or mixture for materials 
that are identified as severe marine pollutants in Appendix B.
    Undeclared hazardous material--a hazardous material: (1) That is 
required to be described on a shipping paper in the manner required by 
subpart C of part 172 of this subchapter, but is offered for 
transportation with no indication on the shipping paper or other 
documentation that it is hazardous; or (2) for a hazardous material 
excepted from the requirements of subpart C of part 172 of this 
subchapter (e.g., a small quantity or ORM-D material as defined in 
Sec. 173.4 and 173.144, respectively) is not marked in the manner 
specified in this subchapter to indicate it contains a hazardous 
material.
    Unintentional release--the escape of a hazardous material from a 
package. This includes releases resulting from collision, packaging 
failures, human error, vandalism, negligence, improper packaging, or 
unusual conditions such as the operation of pressure relief devices as 
a result of over-pressurization, overfill or fire exposure. It does not 
include intentional releases, such as venting of packages, where 
allowed, and the intentional discharge of contents from packagings.

When Must I Make a Telephonic Report?

    Under Sec. 171.15, you must provide telephone notice within 12 
hours after the incident occurs when one of the following conditions 
occurs during the course of transportation and is a direct result of 
the hazardous material:

     a person is killed or hospitalized;
     the general public is evacuated for one hour or more;
     one or more major transportation arteries or facilities 
are closed for one hour or more;
     the operational flight plan or routine of an aircraft is 
altered;
     fire, breakage, spillage or suspected radioactive 
contamination occurs involving a radioactive material;
     fire, breakage, spillage or suspected contamination occurs 
involving an infectious substance (etiologic agent); or
     there is a release of a marine pollutant in a quantity 
exceeding 450 liters (119 gallons) for liquids or 400 kilograms (882 
pounds) for solids.

    You may decide that the situation should be reported even though it 
does not meet any of the above criteria.

What Telephone Number Do I Call To Report an Incident?

    You must call 800-424-8802 (toll-free) or 202-267-2675 (toll-call) 
to make a telephonic incident report. This is the number to the 
National Response Center, which is operated by DOT. If the incident 
involves an infectious substance, you may notify the Director, Center 
for Disease Control (CDC), U.S. Public Health Service, Atlanta, 
Georgia, 800-232-0124 (toll-free). This call must be made within 12 
hours of the events that trigger this requirement.

When Must I Submit a Written Report (DOT Form F 58001.)?

    Under Sec. 171.16, you must submit a written report within 30 days 
after any of the following:

     an incident that was reported by telephonic notice under 
Sec. 171.15;
     an unintentional release (see definitions) of a hazardous 
material during transportation including loading, unloading and 
temporary storage related to transportation;
     a hazardous waste is released;
     an undeclared shipment with no release is discovered; OR
     a bulk packaging (other than a tank car tank) or Type B 
packaging (used for RAM) containing a hazardous material that (1) 
received structural damage that may adversely affect the packaging's 
ability to retain lading and (2) did not have a release.

    You do not need to submit a written report for a release of a 
hazardous material from a package that meets ALL of the following:

     The shipment is not being offered for transportation or 
being transported by air;
     None of the criteria in Sec. 171.15(a) apply;
     The material is not a hazardous waste;
     The material is properly classed as an ORM-D or Class or 
Division 3, 4, 5, 6.1, 8, or 9 in Packing Group III;
     Each packaging has a capacity of less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids;
     The total aggregate release is less than 20 liters (5 
gallons) for liquids or less than 30 kg (66 pounds) for solids; and
     The material does not meet the definition of an undeclared 
hazardous material.

    Also, you are not required to report releases of minimal amounts of 
material released from the manual operation of seals of pumps, 
compressors, and valves, during the connecting or disconnecting of 
loading and unloading lines or, for materials for venting is 
authorized, from vents provided these releases do not result in 
property damage or trigger any of the telephonic notification 
requirements found in Sec. 171.15.
    A lading retention system consists of those items or equipment that 
provide containment of hazardous materials at some point during 
transportation, including loading and unloading. A cargo tank and 
associated piping and valves is an example of a lading retention 
system. Dents in a tank or damage requiring repair to an accident 
protection guarding the tank are examples of incidents that must be 
reported. Paint chips and scratches to either the tank or the accident 
protection are examples of incidents which do not require reporting.

How Long Do I Have To Complete the Written Report?

    You must submit your written report within 30 days of discovery of 
the incident. You must notify the shipper of the packages that are the 
subject of the report within 30 days of discovery.

How and Where Do I Submit My Completed Report?

    There are several ways to submit your report:
     You can mail paper copies of the report to: Information 
Systems Manager, DHM-63, Research and Special Programs Administration, 
U.S. Department of Transportation, Washington, DC 20509-0001.
     RSPA also provides a number of ways to submit the DOT Form 
F 5800.1 electronically.
     You may FAX your completed report to (202) XXX-XXXX
     You may complete the report over the internet through our 
secure website at:
     You may submit an electronic copy of your completed report 
to our e-mail address: [email protected]
     You may also submit bulk batches of the report through 
bulk file transfers.
    In addition, you must notify the shipper of the packages that were 
the subject of the incident report that an incident occurred involving 
their packages. This notification may be by phone, letter, e-mail,

Am I Required To Update The Information in the Report?

    Yes. You must use DOT Form F 5800.1 and check ``Supplemental 
(Follow-up) Report'' on question #2 to provide additional information 
after the initial report. You are required to

[[Page 35173]]

provide updates for up to one year after the initial filing if more 
information is gained or new developments arise concerning the 
following:

     A death results from injuries caused by a hazardous 
material;
     The person responsible for preparing the original report 
learns that there is a misidentification of the hazardous material or 
packaging information;
     Damage, loss or related costs that were not known at the 
time the report was filed become known; or
     Revised estimates of damages, losses, and related costs 
result in a change of $25,000 or more to original cost estimates, even 
if the original estimate was under $500.

How Long Must I Keep a Copy of the Report?

    You must keep a copy of each report or an electronic image of the 
report for two years after the date you submit it to RSPA.

Where Must I Keep a Copy of the Report?

    The report must be accessible through your company's principal 
places of business. You must be able to make the report available upon 
request to authorized representatives or a special agent of the 
Department within 14 hours of such a request.

How Can I Get a Blank Copy of the Form F 5800.1?

    There are a variety of sources for obtaining the Form F 5800.1. 
Please note that you are allowed to make unlimited photocopies of the 
form and distribute them.
     You may obtain limited copies of the form from the 
Information Systems Manager at the above address.
     You may download a copy of the form from our website at 
http://hazmat.dot.gov/spills.htm
     You may also fill out the Form F 5800.1 online through our 
secure web server at (location TBA)
     Our Fax on Demand service has copies of the instructions 
and the form. Call 1-800-467-4922 and choose the Fax on Demand option 
#2. You will want document #XXX

How Long Does it Take To Complete the Report?

    RSPA anticipates that it will take you approximately 1.6 hours to 
complete this report. This estimate includes the time it will take you 
to review the instructions, search your existing data sources for 
information, gather the required data, and complete and review the 
report.

How Can I Comment on the Length of Time Needed To Complete the Report 
or on the Amount of Information Required in the Report?

    You can send your comments on the report, and any suggestions you 
have for reducing the amount of time needed to complete the report, to 
the following address:
    (1) Information Systems Manager, Office of Hazardous Materials 
Transportation, DHM-63, Research and Special Programs Administration, 
U.S. Department of Transportation, Washington, DC 20509.
    Please verify that your information is accurate. Although the 
required information is generally available at the time of the 
incident, you may need to do some additional investigation in order to 
obtain all of the facts pertaining to deaths, injuries or damage 
amounts. If you submit complete and accurate information at the time 
you file the report, it will decrease the chance of your having to 
supply missing information to DOT at a later date. RSPA may follow-up 
on incomplete forms.

Instructions For 5800.1 Form

    Please print. Fill in all applicable blanks accurately to the best 
of your ability.

Part 1: Report Type

Item
    (1) This form is submitted to report: Check the box that describes 
why you are filling out this form. This will normally be ``a hazardous 
material incident.'' If you are reporting an undeclared shipment, check 
the corresponding box. If you are reporting a bulk packaging (other 
than a tank car tank) or a Type B packaging (used for RAM) containing a 
hazardous material that received structural damage to the lading 
retention system that may affect its ability to retain lading but does 
not release a hazardous material, check that appropriate box. You do 
not have to report tank car tanks receiving damage or de-railing where 
a release did not occur because the Federal Railroad Administration 
collects these incidents.
    (2) Indicate what type of report this is: If this is an initial 
report, check the ``initial report'' box. If this is a follow-up to a 
previous report, check the ``Supplemental (follow-up) Report'' box.

Part 2: General Incident Information

    (3), (4) Date & Time of incident: Enter the date and time the 
incident occurred. If you do not know the actual date and time, give 
the date and time you discovered the incident. Use 24-hour time for the 
incident time (e.g. ``2400'' for midnight, ``1200'' for noon, ``0747'' 
for 7:47 a.m., ``2115'' for 9:15 p.m.).
    (5) Enter National Response Center report number: If this incident 
was reported to the National Response Center (NRC), fill in the report 
number NRC assigned to the incident.
    (6) If you were required to fill out a report for a Federal DOT 
modal administration, enter the modal report number: If you were 
required to fill out a report for another federal DOT agency, such as 
the Federal Railway Administration or the Federal Motor Carrier Safety 
Administration, for this incident, please include the report number. 
This will facilitate our combination of information.
    (7) Location of Incident: Enter the geographic location of the 
incident (city, county, state, street, etc.). If you do not know the 
actual location where the incident occurred, give the location where it 
was discovered. If the incident occurred at an airport or rail yard, 
include the name of the facility. If the incident occurred on a body of 
water, include the name or river mile. If you do not know the street 
address, or if the incident occurred on a highway, you may include a 
description such as ``On I-70, 15 miles west of Baltimore, MD.''
    (8) Mode of Transportation: Enter the code that corresponds to the 
mode of transportation in which the incident occurred or was 
discovered. If the incident occurred or was discovered in a temporary 
storage area (e.g., a terminal or warehouse), check the box that 
corresponds to the mode by which the package was last transported.
    (9) Transportation Phase: Enter the code that describes where the 
incident occurred in the transportation system. In transit means the 
incident occurred or was first discovered while the package was in the 
process of being transported. Temporary storage is storage incident to 
transportation, such as at a terminal waiting for the next leg of 
transportation.
    (10) Carrier/Reporter: Provide the name, street address, Federal 
DOT number (if applicable), and hazmat registration number of the 
carrier or the person reporting the incident (if other than a carrier) 
in possession of the material when the incident occurred or was 
discovered.
    (11) Shipper/Offeror: Enter the information about the person or 
entity that originally offered for transportation the material or 
package involved in the incident.
    (12) Origin: Enter the origin of the shipment if the address is 
different than the shipper/offeror information entered in item #11.

[[Page 35174]]

    (13) Destination: Enter the final destination of the shipment 
involved in the incident.
    (14) through (19) Hazardous Material Description: Enter the 
shipping name, technical or trade name, hazard class or division, ID 
number, packing group and amount of material released. This information 
(except for the amount released) should be on the shipping paper as 
required in Sec. 172.202. Include units of measurements (examples: 115 
gallons, 69 tons)
    (20) Was the material shipped as a hazardous waste? Check the box 
yes if the material meets the definition of a hazardous waste in 
Sec. 171.8 (requires an EPA Uniform Hazardous Waste Manifest). Include 
the EPA Manifest number.
    (21) Is this a Toxic by Inhalation (TIH) material? If the material 
involved in the incident meets the definition of a Toxic by Inhalation 
material in Sec. 173.132, check the yes box and enter the Hazard Zone 
in the space provided.
    (22) Was the material shipped under an Exemption, Approval, or 
Competent Authority Certificate? If the shipment was shipped under an 
exemption, an approval, or a Competent Authority Certificate, check 
this box and provide the assigned number.
    (23) Was this an undeclared hazardous materials shipment? If this 
material was not indicated in any way to be a hazardous material even 
though it was required to be described as such on a shipping paper, or 
if the material would normally be excepted from the shipping paper 
requirements (such as a small quantity material) and does not have the 
required markings, it is considered an undeclared hazardous material 
shipment. If the material is an undeclared hazardous materials shipment 
intended or transported by air, and there was NOT a release, go to Part 
4. For all other situations, skip Part 4 and proceed with Part 5.

Part 3: Consequences

    (24) Result of Release: Check all boxes that describe what occurred 
during the incident or as a result of the incident. For example, in a 
situation where a truckload of 55 gallon drums of corrosive liquids 
overturns resulting in a release that contaminates a nearby wetlands 
and stream, the boxes ``Spillage'', ``Material Entered Waterway/Storm 
Sewer'' and ``Environmental Damage'' may apply.
    (25) Emergency Response: Check all boxes that correspond with any 
emergency response and cleanup crews that participated in resolving the 
incident. If a fire crew, EMS, or police unit responded to the 
incident, include the report number.
    (26) Damages: You are required to provide information on estimated 
damages if your damages exceed $500.00. This figure includes the cost 
of the material lost, property damage, vehicle damages, response costs, 
and clean-up costs. If you do not know these amounts at the time you 
complete the report, or the actual costs are revised by more than 
$25,000, you must submit a follow-up report after you determine the 
amounts. The following definitions explain each of the costs:
    Material Loss: Enter the value of material released and 
unrecoverable. Base this entry on the amount of material released 
multiplied by the unit value (e.g., price per gallon or price per 
pound) as listed on the shipper's invoice. If the invoice is not 
available, estimate the cost per unit using the shipper's basis.
    Carrier Damage: Enter the total value of damage incurred by the 
carrier. Major components include costs to repair the damaged vehicle 
and costs resulting from damage to cargo. If the vehicle is declared 
``totaled,'' enter the insured value of the vehicle. This entry should 
not include damage to other property or to vehicles owned by other 
persons.
    Property Damage: Enter the total value of costs resulting from 
damage to the property of others indirectly involved in the incident. 
These include: repair and replacement costs of other vehicles; repair 
and replacement costs to buildings and other fixed facilities; and 
restoration of open land beyond decontamination and cleanup.
    Decontamination/Cleanup Cost: This value is the sum of response, 
disposal, and remediation costs. Response costs are those costs 
incurred immediately after the incident, and include local emergency 
response from police and fire departments and emergency response teams, 
as well as costs incurred by the responsible party. Response costs also 
include costs to contain the hazardous material released. Disposal 
costs are those costs incurred to collect, transport, and ultimately 
dispose of all material collected during the response phase. 
Remediation costs are those costs incurred to restore the incident 
scene to its pre-incident state, and could include excavation, disposal 
and replacement of contaminated soil, pumping, treatment and re-
injection of contaminated groundwater, or absorption and disposal of 
hazardous material released into surface water.
    (27) A: Did the incident/accident cause or contribute to a human 
fatality? If a person was fatally injured in the incident/accident, 
check yes and indicate the number of fatalities which resulted directly 
from the hazardous material.
    B: Were there fatalities that did not result from the hazardous 
material? If the fatalities were not caused directly by the hazardous 
material, enter yes and the number of fatalities. An example: if a 
passenger car collided with a cargo tank carrying gasoline and the 
automobile driver was killed due to the collision, then the fatality 
was not caused by the hazardous material released. If, however, the 
accident resulted in the release of the gasoline and a resulting fire 
killed the driver, then the fatality was caused by the hazardous 
material
    (28) Did the hazardous material cause or contribute to a personal 
injury? Enter the number of persons injured by the hazardous material. 
Hospitalized means admitted to a medical facility, not treated and 
released from a facility where the person was never admitted. Non-
hospitalized individuals are those who may have received attention from 
medical personnel on-site or at a facility, but were not admitted to a 
medical facility. Indicate the number of employees, emergency 
responders (firefighters, police, medics, etc.) and members of the 
general public.
    (29) Did the hazardous material cause or contribute to an 
evacuation? Indicate if the incident required the evacuation or removal 
of persons from a specific area because of possible or actual contact 
with the hazardous materials involved in the incident. Separately 
specify the numbers of employees and members of the general public. 
Indicate the length of the evacuation.
    (30) Was a transportation artery or facility closed? If a road or 
transportation facility was closed due to the incident, indicate the 
duration (in hours) here.
    (31) Was the material involved in a crash or derailment? Indicate 
if the hazardous material was involved in a crash or derailment. 
Provide the estimated speed and weather conditions at the time of the 
crash, such as rain, blowing snow, sleet, iced roadway, sun glare, fog, 
dry pavement, high winds, etc. Indicate if the vehicle overturned or 
left the roadway or track.

Part 4: Air Incident Information

    This section is for incidents with packagings transported or 
intended for transportation by aircraft. If your package was not 
transported or intended to be transported by air, skip this section.
    (32) Was the shipment on a passenger aircraft? Indicate whether the 
shipment in question was on a commercial

[[Page 35175]]

passenger aircraft. If so, indicate if the material was located in a 
passenger's baggage, either in the cabin or baggage compartment, or if 
the material was tendered as cargo.
    (33) Where did the incident occur or where was the discrepancy 
discovered? Indicate where in the course of transportation the incident 
occurred or was discovered.
    (34) What phase(s) had the shipment already undergone prior to the 
incident? Check all boxes which indicate the various modes the shipment 
had undergone before the incident occurred or was discovered.

Part 5: Packaging Information

    (35) Packaging Type: Check the box that corresponds to the type of 
packaging involved in the incident. If there are multiple packaging 
types involved in an incident, reproduce Part 5 of the form and fill 
out this section for each of the packaging types. For example, if you 
have three different packaging types involved in the incident, you 
should fill out Part 5 three separate times (one for each packaging 
type). If the type of packaging it not represented, check the ``other'' 
box and enter a brief description such as ``non-specification bulk 
bin.''
    (36) Enter the appropriate failure codes (found at the end of this 
form or in the instructions). Be sure to enter the codes from the list 
corresponding to the particular packaging type checked above: The 
failure codes that are to be entered describe what failed on the 
packaging, how the packaging failed, and the cause(s) of the failure. 
The failure codes are located on pages 16 and 17 of these instructions, 
as well as on the back of the actual incident reporting form. Be sure 
to enter the code from the list that corresponds to the particular 
packaging type checked above (#35). More than one code may be entered 
to describe the cause of failure.
    (37) Provide the complete packaging identification markings, if 
available: Every specification packaging, UN or DOT, has a packaging 
identification printed or stamped on it or a plate attached to the 
packaging. Examples are provided on the form. Only fill out the second 
part if the marking is incomplete, destroyed, or unknown. Fill in the 
Outer and Inner packaging type and material of construction 
information, as appropriate. If the packaging is Non-bulk or 
Intermediate Bulk Container (IBC), use the codes below to enter the 
number or letter that applies for either Non-bulk or IBC packaging.

Non-bulk Packaging Identification Codes

Outer Packaging

Type

1 = Drum
2 = Wooden Barrel
3 = Jerrican
4 = Box
5 = Bag
6 = Composite Packaging

Material

A = Steel
B = Aluminum
C = Natural Wood
D = Plywood
E = Reconstituted Wood
F = Fiberboard
G = Plastic
H = Textile
I = Paper, multi-wall
J = Metal other than steel or aluminum
K = Glass, porcelain, or stoneware

Head Type

1 = Non-removable
2 = Removable

Inner Packaging

Type

1 = Bottle
2 = Can
3 = Box
4 = Bag
5 = Cylinder

Material

A = Metal (any type)
B = Glass, porcelain, or stoneware
C = Plastic
D = Fiberboard or cardboard
E = Wood (any type)

IBC Packaging Identification Codes

Material of Construction

1--Metal
2--Plastic
3--Composite
4--Fiberboard
5--Wooden
6--Flexible

    (38) Describe the packaging capacity and the quantity: Indicate the 
total capacity of the inner and outer packaging. Include the actual 
amount in the packaging, the number of packages in the shipment, and 
the number of packagings that failed. Please include the units of 
measurements (liters, gallons, pounds, cubic feet, etc.).
    (39) Provide packaging construction and test information, as 
appropriate: In the case of non-bulk packagings or IBCs enter the name 
of the packaging manufacturer or the symbol of the manufacturer only if 
complete identification markings were not provided in #37. Enter the 
date of manufacture and the serial number, if applicable. Enter the 
last test date if the packaging requires periodic testing. Also include 
the design pressure, shell thickness, head thickness, and service 
pressure if the failed packagings are of the type indicated in 
parenthesis after each question. If the packaging contained a valve, or 
other device that failed and resulted in a hazardous material release, 
enter the type, manufacturer, and model number.
    (40) If the packaging is for Radioactive Materials, complete the 
following: Complete this question only if you had a release of a 
radioactive material. Indicate the package category, the packaging 
certification, certification number, and which nuclides were present, 
the transportation index (TI), activity of the nuclides, and the 
critical safety index.

Part 6: Description of Events and Packaging Failure

    Please describe the events involved in the incident to allow us to 
get a better understanding of the incident. Include information that 
has not been collected elsewhere on this form, and include special 
scenarios, outstanding circumstances, or other information that 
provides a complete picture of the incident. Describe the sequence of 
events that led to the incident, the packaging failure (if any) and 
actions taken at the time of discovery. Submit photographs and diagrams 
when necessary for clarification. You may continue on additional sheets 
if necessary.

Part 7: Recommendations/Actions Taken to Prevent Future Incidents

    Describe any recommendations you have to improve the packaging, 
handling, or transportation of hazardous materials. You may continue on 
additional sheets if necessary.

Part 8: Preparer

    Provide the requested information. Make sure to check the box that 
describes the function you perform, either carrier, shipper, facility 
owner/operator, or other (and describe). Thank you for your time and 
effort in completing this form.

Failure Codes for Part 5 of Form DOT F 5800.1

Non-Bulk Packaging and Intermediate Bulk Containers (IBCs)

What Failed

101--Basic Material
102--Closure (e.g., cap or top)
103--Weld/Seam
104--Inner Packaging
105--Chime
106--Liner
107--Body (IBCs)
108--Inner Receptacle (IBCs)
109--Outer Frame (IBCs)
112--Pressure Relief Valve/Device
124--Hose (IBCs)

[[Page 35176]]

131--Gasket (IBCs)
133--Bolts (IBCs)
134--Cover (IBCs)
151--Lifting Features (IBCs)

How Failed

301--Punctured
302--Crushed
303--Cracked
304--Burst/Rupture
305--Torn Off/Damaged
306--Ripped/Torn
307--Abraded
308--Leaked
309--Vented
310--Gouged/Cut
312--Failed to Operate

Cause(s) of Failure

501--Dropped (less than 4 feet)
502--Dropped (over 4 feet)
503--Overfilled
504--Overpressurized
505--Fire, Temperature, or Heat
506--Freezing
507--Water
508--Vehicular Crash or Accident Damage
511--Inadequate Blocking and Bracing
513--Interior Corrosion
514--Exterior Corrosion
515--Abrasion
516--Too Much Weight on Package
517--Forklift Accident
518--Conveyer/Handling Equip. Mishap
519--Vandalizm
522--Defective Component/Device
524--Impact with Sharp or Protruding Object (e.g., nails)
527--Material Deterioration
528--Incompatible Product
534--Inadequate Training
535--Inadequate Procedures
537--Improper Preparation for Transportation
538--Human Error

Cylinders

What Failed

103--Weld/Seam
110--Cylinder Valve
112--Pressure Relief Valve/Device
135--Sidewall
136--Sidewall near Base
137--Neck/Shoulder

How Failed

301--Punctured
303--Cracked
304--Burst/Rupture
307--Abraded
308--Leaked
309--Vented
310--Cut/Gouged
312--Failed to Operate

Cause(s) of Failure

501--Dropped (less than 4 feet)
502--Dropped (over 4 feet)
504--Overpressurized
505--Fire, Temperature, or Heat
508--Vehicular Crash or Accident
511--Inadequate Blocking and Bracing
513--Interior Corrosion
514--Exterior Corrosion
515--Abrasion
517--Forklift Accident
518--Conveyer/Handling Equipment Mishap
519--Vandalism
520--Loose Closure/Component/Device
522--Defective Component/Device
524--Impact with Sharp or Protruding Object (e.g., nails)
528--Incompatible Product
534--Inadequate Training
535--Inadequate Procedures
538--Human Error

Portable Tanks

What Failed

103--Weld/Seam
106--Liner
109--Outer Frame
111--Safety Vent/Frangible Disc
112--Pressure Relief Valve/Device
113--Fusible Pressure Relief Device/Fusible Element
114--Vacuum Relief Valve
116--Check Valve
118--Inlet (Loading) Valve
119--Bottom Outlet Valve
124--Hose
125--Hose Adapter/Coupling
126--Loading/Unloading Line(s)
127--Pipings/Fittings
129--Flange
130--Threaded Connections
131--Gasket
133--Bolts
134--Cover
138--Tank Shell
139--Tank Head
140--Manway or Dome Cover
150--Lifting lug

How Failed

301--Punctured
302--Crushed
303--Cracked
304--Burst/Rupture
305--Torn Off/Damaged
306--Ripped/Torn
307--Abraded
308--Leaded
309--Vented
310--Cut/Gouged
311--Structural
312--Failed to Operate

Cause(s) of Failure

501--Dropped (less than 4 feet)
502--Dropped (over 4 feet)
503--Overfilled
505--Fire, Temperature, or Heat
508--Vehicular Crash or Accident
509--Rollover Accident
510--Derailment
511--Inadequate Blocking and Bracing
513--Interior Corrosion
514--Exterior Corrosion
515--Abrasion
519--Vandalism
520--Loose Closure/Component Device
521--Missing Component/Device
522--Defective Component/Device
528--Incompatible Product
529--Commodity Self-ignited, Initiating Event
530--Broken Component/Device
531--Misaligned Material/Component
534--Inadequate Training
535--Inadequate Procedures
536--Inadequate Maintenance
537--Improper Preparation for Transportation
538--Human Error

Bulk Tank Vehicles--Cargo Tank Motor Vehicles (CTMVs) and Tank Cars

What Failed

103--Weld/Seam
106--Liner
111--Safety Vent/Frangible Disc
112--Pressure Relief Valve/Device
113--Fusible Pressure Relief Device/Fusible Element
114--Vacuum Relief Valve
115--Excess Flow Valve
116--Check Valve
117--Remote Control Device
118--Inlet (Loading) Valve
119--Bottom Outlet Valve
120--Discharge Valve/Coupling
122--Vapor valve
124--Hose
125--Hose Adapter/Coupling
126--Loading/Unloading Line(s)
127--Piping/Fittings
128--Piping Shear Section (CTMVs)
129--Flange
130--Threaded Connections
131--Gasket
132--O-Rings/Seals
133--Bolts
134--Cover
138--Tank Shell
139--Tank Head
140--Manway or Dome Cover
141--Heater Coils
142--High Level Sensor
143--Fill Hole Cover
144--Gauging Device
145--Sample Line
146--Liquid Line
147--Thermometer Well
148--Washout
149--Sump

How Failed

301--Punctured
303--Cracked
304--Burst/Rupture
305--Torn Off/Damaged
307--Abraded
308--Leaked
309--Vented
310--Cut/Gouged
311--Structural
312--Failed to Operate

Cause(s) of Failure

503--Overfilled
505--Fire, Temperature, or Heat
508--Vehicular Crash or Accident
509--Rollover Accident
510--Derailment (Tank Cars)
513--Interior Corrosion
514--Exterior Corrosion
515--Abrasion
519--Vandalism
520--Loose Closure/Component/Device
521--Missing Component/Device
522--Defective Component/Device
527--Material Deterioration
528--Incompatible Product
529--Commodity Self-ignited, Initiating Event
530--Broken Component/Device
531--Misaligned Material/Component
532--Stub Sill Separation from Tank (Tank Cars)

[[Page 35177]]

533--Inadequate Accident Damage Protection
534--Inadequate Training
535--Inadequate Procedures
536--Inadequate Maintenance
537--Improper Preparation for Transportation
538--Human Error

Complete Listing--All Packaging Types

What Failed

101--Basic Material
102--Closure (e.g., cap or top)
103--Weld/Seam
104--Inner Packaging
105--Chime
106--Liner
107--Body
108--Inner Receptacle
109--Outer Frame
110--Cylinder Valve
111--Safety Vent/Frangible Disc
112--Pressure Relief Valve/Device
113--Fusible Pressure Relief Device/Fusible Element
114--Vacuum Relief Valve
115--Excess Flow Valve
116--Check Valve
117--Remote Control Device
118--Inlet (Loading) Valve
119--Bottom Outlet Valve
120--Discharge Valve/Coupling
122--Vapor valve
123--Liquid valve
124--Hose
125--Hose Adapter/Coupling
126--Loading/Unloading Line(s)
127--Piping/Fittings
128--Piping Shear Section
129--Flange
130--Threaded Connections
131--Gasket
132--O-Rings/Seals
133--Bolts
134--Cover
135--Sidewall
136--Sidewall near Base
137--Neck/Shoulder
138--Tank Shell
139--Tank Head
140--Manway or Dome Cover
141--Heater Coils
142--High Level Sensor
143--Fill Hole Cover
144--Gauging Device
145--Sample Line
146--Liquid Line
147--Thermometer Well
148--Washout
149--Sump
150--Lifting lug
151--Lifting Feaures

How Failed

301--Punctured
302--Crushed
303--Cracked
304--Burst/Rupture
305--Torn Off/Damaged
306--Ripped/Torn
307--Abraded
308--Leaked
309--Vented
310--Cut/Gouged
311--Structural
312--Failed to Operate

Cause(s) of Failure

501--Dropped (less than 4 feet)
502--Dropped (over 4 feet)
503--Overfilled
504--Overpressurized
505--Fire, Temperature, or Heat
506--Freezing
507--Water Damage
508--Vehicular Crash or Accident
509--Rollover Accident
510--Derailment
511--Inadequate Blocking and Bracing
513--Interior Corrosion
514--Exterior Corrosion
515--Abrasion
516--Too Much Weight on Package
517--Forklift Accident
518--Conveyer/Handling Equipment Mishap
519--Vandalism
520--Loose Closure/Component/Device
521--Missing Componet/Device
522--Defective Component/Device
524--Impact with Sharp or Protruding Object (e.g., nails)
527--Material Deterioration
528--Incompatible Product
529--Commodity Self-ignited, Initiating Event
530--Broken Component/Device
531--Misaligned Material/Component
532--Stub Sill Separation from Tank
533--Inadequate Accident Damage Protection
534--Inadequate Training
535--Inadequate Procedures
536--Inadequate Maintenance
537--Improper Preparation for Transportation
538--Human Error

[FR Doc. 01-16661 Filed 7-2-01; 8:45 am]
BILLING CODE 4910-60-P