[Federal Register Volume 67, Number 134 (Friday, July 12, 2002)]
[Rules and Regulations]
[Pages 46123-46129]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-17566]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

49 CFR Parts 172, 174, 175, 176, and 177

[Docket No. RSPA-01-10568 (HM-207B)]
RIN 2137-AC64


Hazardous Materials: Retention of Shipping Papers

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

ACTION: Final rule.

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SUMMARY: RSPA is amending the Hazardous Materials Regulations to 
require shippers and carriers to retain a copy of each hazardous 
material

[[Page 46124]]

shipping paper, or an electronic image thereof, for a period of 375 
days after the date the hazardous material is accepted by a carrier.

EFFECTIVE DATE: This final rule is effective on August 12, 2002.

FOR FURTHER INFORMATION CONTACT: Deborah Boothe of the Office of 
Hazardous Materials Standards, (202) 366-8553, Research and Special 
Programs Administration, U.S. Department of Transportation.

SUPPLEMENTARY INFORMATION:

I. Background

    The Hazardous Materials Regulations (HMR; 49 CFR parts 171-180) 
require a person who offers a hazardous material for transportation in 
commerce to describe the hazardous material on a shipping paper in the 
manner required in 49 CFR part 172, subpart C. A paper copy of the 
shipping paper must accompany a hazardous material during 
transportation. A shipping paper includes ``a shipping order, bill of 
lading, manifest or other shipping document serving a similar purpose 
and containing the information required by Secs. 172.202, 172.203 and 
172.204.'' 49 CFR 171.8 (definition of ``shipping paper''). A hazardous 
waste manifest ``may be used as the shipping paper'' if it contains all 
the information required by part 172, subpart C. 49 CFR 172.205(h).
    Since 1980, generators and transporters of hazardous waste have 
been required to retain a copy of the hazardous waste manifest ``for 
three years from the date the waste was accepted by the initial 
carrier.'' 49 CFR 172.205(e)(5), adopted in RSPA's May 22,1980 final 
rule, 45 FR 34560, 34698. See also regulations of the U.S. 
Environmental Protection Agency at 40 CFR 262.40(a), 263.22(a).
    In 1994, Congress amended the Federal hazardous material 
transportation law (Federal hazmat law) to require that, after a 
hazardous material ``is no longer in transportation,'' each offeror and 
carrier of a hazardous material must retain the shipping paper ``or 
electronic image thereof for a period of 1 year to be accessible 
through their respective principal places of business.'' 49 U.S.C. 
5110(e), added by Pub. L. 103-311, Title I, Sec. 115, 108 Stat. 1678 
(Aug. 26, 1994). That section also provides that the offeror and 
carrier ``shall, upon request, make the shipping paper available to a 
Federal, State, or local government agency at reasonable times and 
locations.''
    On September 12, 2001, the Research and Special Programs 
Administration (RSPA, we) issued a notice of proposed rulemaking (NPRM) 
to amend the HMR to conform with Sec. 5110(e) (66 FR 47443). We 
proposed to add a new Sec. 172.201(e) and amend Secs. 174.24, 175.30, 
176.24, and 177.817 to require each shipper and carrier to retain a 
copy of the shipping paper, or an electronic image thereof, for a 
period of 375 days after the date a hazardous material is offered for 
transportation by the shipper and accepted by the carrier. An 
electronic image includes an image transmitted by a facsimile (FAX) 
machine, an image on the screen of a computer, or an image generated by 
an optical imaging machine. In order to facilitate compliance with and 
enforcement of the requirement, we proposed that the copy include the 
date that the shipment is accepted for transportation by the initial 
carrier. We further proposed to require the shipping paper copy or its 
electronic image to be accessible at or through the principal place of 
business of each person required to prepare or maintain it during 
transportation.
    Except for hazardous waste manifests, see 49 CFR 172.205(a), the 
HMR do not require a shipping paper to be in any specific form or 
format. We understand that different types of documents are used by 
offerors of hazardous material to meet the requirement to describe the 
hazardous material on a ``shipping paper.'' Some private motor carriers 
use the same shipping paper for multiple shipments of a hazardous 
material. Typically, these permanent shipping papers are used by 
private motor carriers who transport a single hazardous material on a 
regular basis over an extended period, such as one cargo tank of 
gasoline. However, permanent shipping papers may also be utilized by 
common or contract carriers. In the NPRM, we proposed to permit 
operators to retain a single copy of such permanent shipping papers for 
the period in which the shipping paper is used and 375 days thereafter, 
provided that the operator also retains a record of each shipment made 
under the shipping paper.

II. Discussion of Comments

    We received 16 written comments. The commenters included a 
university, utility companies, shippers, carriers, and representatives 
from industry associations representing a broad spectrum of businesses 
that offer hazardous materials for transportation or transport 
hazardous materials in commerce. Most commenters generally support the 
intent of the proposal to require a copy of the shipping paper or an 
electronic image thereof to be retained for 375 days after the date the 
initial carrier accepts the hazardous materials for transportation. One 
commenter suggests that we implement a system for tracking hazardous 
materials shipments. Other commenters suggest revisions to the NPRM 
proposals related to the shipping paper retention period, acceptance 
date, permanent shipping papers, mode-specific requirements, retention 
at principal place of business, and proposed legislative changes to the 
current shipping paper requirement in the Federal hazmat law.

A. Shipment Tracking System

    Florida International University (FIU) suggests we require shippers 
and carriers to implement a tracking system that would show the exact 
date when transportation ends. According to FIU,

    ``With a better tracking system, shippers and carriers will be 
able to know when the shipment departs and when it arrives at its 
final destination. We think there should be a document or form, 
which should be created for the original carrier, all intermediate 
carriers (if any), and the final carrier who receives the cargo. 
This form should be returned to the previous carrier and originating 
location electronically notifying the shipment's arrival and 
condition. By doing this, it will ensure the tracking of the dates 
and time it takes exactly to arrive to each destination (if going 
through more than one destination). With a better tracking system it 
would even be convenient to make the original carrier responsible 
and liable for knowing at any given time the current location, final 
destination, and final date of transportation. All this, of course, 
in addition to keeping records of the materials. All second hand 
carriers should electronically report all information to the first 
carrier.''

We disagree. For purposes of this rulemaking, a complicated and 
expensive tracking system of the type suggested by FIU is not 
necessary. Nor do we agree that a second shipping document would help 
achieve the goals of this rulemaking. The current shipping paper 
requirement, modified as proposed in the NPRM, is adequate to assure 
implementation of the shipping paper retention requirement in Federal 
hazmat law. Further, an additional form would result in an unacceptable 
increase in paperwork burden on the regulated industry.

B. 375-Day Retention Period

    The NPRM proposed to require shipping papers to be retained for 375 
days (one year plus 10 days) for consistency with the statutory 
requirement that shipping papers be retained for one year after 
transportation ends. Over 95 percent of hazardous materials shipments 
are

[[Page 46125]]

delivered within 10 days after they are offered to a carrier. Most 
commenters support the proposed 375-day period for retention of 
shipping papers. However, one commenter, the Institute of Makers of 
Explosives (IME), stated the retention requirement should be ``1 year'' 
as stated in the law. IME states that ``* * * delivery may not take 
place within 10 days in all cases. While as a whole most hazardous 
materials shipments may be delivered within 10 days (largely because of 
the preponderance of flammable liquid deliveries), across different 
hazard classes and types of carriers the `10-day' delivery date is 
going to vary widely. For simplicity, the retention requirement should 
be simply, as stated in the law, `1 year.' '' We disagree. The current 
statutory requirement is for shipping papers to be retained for one 
year after a shipment is ``no longer in transportation.'' A regulatory 
requirement to retain shipping papers for one year is not consistent 
with the statutory requirement. A requirement to retain shipping papers 
for 375 days accommodates most shipment delivery times. In this final 
rule, we are adopting the 375-day retention period as proposed.

C. Acceptance Date

    Several commenters object to the proposal to require shipping 
papers to include the date the shipment is accepted by the initial 
carrier. The Association of American Railroads (AAR) notes that for 
rail transportation, ``the date on railroad shipping papers (waybills) 
is the date a shipment has been offered for transportation, i.e., when 
the shipper has notified a railroad the shipment is ready to be picked 
up by the railroads. That date may or may not be the actual date a 
shipment is picked up by a railroad. It is common practice for a 
railroad to pick up a shipment one or more days after it is ready for 
transportation. Consequently, the railroads oppose the proposed 
requirement that the date of actual acceptance be placed on shipping 
papers. It would take substantial investment in computer reprogramming 
and changes in railroad procedures to use the date of actual receipt of 
a shipment on shipping papers.'' The Fertilizer Institute (TFI) 
requests clarification of the meaning of ``date of acceptance.'' TFI 
states, ``[W]hen shipments are presented for transportation, a 
signature generally is required on the Bill of Lading (BOL). We assume 
that the signature and date on the BOL will establish the `date of 
acceptance' and trigger the retention period. * * * However, the date 
of shipment and the date of acceptance are not always the same. This is 
especially true for rail shipments. A BOL may be sent electronically to 
the railroad many hours, sometimes days, prior to the arrival of the 
train crew who accepts a shipment. RSPA should specify how the 
retention period is triggered in this situation.'' It was not our 
intention in the NPRM to require shippers and carriers to implement new 
systems for preparing and dating shipping documentation. We agree with 
AAR and TFI that the shipping paper retention requirements should be 
sufficiently flexible to accommodate current rail transportation 
practices. In this final rule, the shipping paper requirements for rail 
shipments permit the date on the shipping paper to be the date a 
shipper notifies the rail carrier that a shipment is ready for 
transportation, as indicated on the waybill or bill of lading, as an 
alternative to the date the shipment is picked up, or accepted, by the 
carrier.
    IME is concerned that a shipper may not always know when the 
carrier accepts a shipment, especially rail shipments. IME suggests 
that requiring both the shipper and carrier to date the shipping paper 
on the date the carrier accepts the shipment may not be the best 
approach. IME recommends ``the date be keyed to when the shipper 
`prepares the shipping paper' instead * * * This would also reduce the 
compliance burden, as the initial carrier does not have to add a 
subsequent `acceptance' date.'' We disagree. A shipper may prepare 
shipping papers well in advance of offering a shipment for 
transportation. The date of acceptance of a shipment by a carrier more 
closely approximates the actual beginning of transportation and is, 
thus, consistent with the current statutory requirement for retention 
of shipping papers for one year after transportation ends. As stated 
above, for rail shipments, this final rule permits the date on a 
shipping paper to be the date the carrier is notified that a shipment 
is ready for transportation as an alternative to the date the carrier 
picks up, or accepts, the shipment. This revision to the NPRM proposal 
should help to minimize the compliance burden on shippers and carriers.
    The Agricultural Retailers Association (ARA) opposes inclusion of 
the acceptance date on shipping papers, as proposed. ARA states, ``This 
proposal appears to be arbitrary and capricious. There will be a cost 
involved to change recordkeeping systems that are based on one year and 
without apparent benefit economically or safety-wise.'' We disagree. 
The proposed 375-day retention period begins from the date a shipment 
is offered and accepted by the initial carrier for transportation. This 
is the same date that the three-year retention period for hazardous 
waste manifests starts. Well over 95 percent of hazardous materials 
shipments are delivered within 10 days after they are offered to a 
carriers. Therefore, for these shipments, our proposal to begin the 
375-day retention period on the date a shipment is offered and accepted 
by the initial carrier is consistent with the statutory requirement for 
retention of shipping documents for one year after transportation ends.
    AAR suggests that we require only the last modified version of the 
shipping paper to be retained. AAR states that ``shipping papers can be 
changed multiple times in the course of a shipment. Reasons for 
changing shipping papers include: substitution of the scale weight for 
the initial estimate of the weight; diversion or reconsignment of a 
shipment; and addition of switching information. There is no reason to 
keep versions of shipping papers that have been superseded.'' Provided 
the shipment notification date or date of acceptance is on the shipping 
paper, we agree that the current railroad practice to retain the last 
modified version of the shipping paper is acceptable for retention 
purposes proposed under this rulemaking.

D. Permanent Shipping Papers

    Most commenters support the NPRM proposal as it applies to 
permanent shipping papers. However, three commenters oppose the 
proposal to require shippers to retain a record of each shipment made 
under a permanent shipping paper. SRP, an electric system operator and 
provider, and the Utility Solid Waste Activities Group (USWAG) state, 
``RSPA's proposal to require maintenance of a running record of each 
shipment made under a `permanent shipping paper' goes above and beyond 
statutory requirements and existing regulatory practice to create a 
redundant recordkeeping obligation with little apparent value.'' SRP 
further states that `` this requirement would significantly impact our 
workload, again with no gain from a transportation safety aspect.''
    We disagree that the requirement to retain a copy of a daily record 
of the shipments made under a permanent shipping paper increases the 
recordkeeping burden. We also disagree that maintenance of a running 
record of each shipment made under a ``permanent shipping paper'' goes 
above and beyond statutory requirements and existing regulatory 
practice. It is our understanding that retention of this type

[[Page 46126]]

of information on a daily basis is standard business practice for 
inventory and tax purposes, and therefore, does not pose an additional 
recordkeeping burden. The federal hazmat law requires a shipping paper 
to be retained for each hazardous materials shipment. Thus, a 
requirement to maintain a record of each shipment made under a 
permanent shipping paper is entirely consistent with the statute.

E. Mode-Specific Requirements

    United Parcel Service (UPS) suggests that proposing to delete the 
second sentence of Sec. 175.30(a)(2), which requires only the 
originating aircraft operator to retain a copy of the shipping paper, 
poses a new problem concerning the shipper's certification required by 
Sec. 172.204. According to UPS, the current regulations for air, motor, 
and rail carriers allow for the shipper's certificate to be delivered 
to the originating operator. This provision continues in the 
regulations applicable to the surface modes that are proposed in this 
rulemaking. UPS states that ``by proposing to delete the current 
sentence focused on the originating aircraft operator, RSPA has 
proposed to require that the certification be delivered to every and 
all air carriers involved in the movement of a specific shipment. This 
requirement has the potential to impose a significant burden on 
operators who rely on close partnerships with dedicated charter air 
carriers to extend their delivery networks and may use streamlined 
documentation to furnish the required hazardous materials information 
to those partner carriers.'' UPS indicates a need for uniformity in 
application of the HMR for each mode. We agree that the application of 
the shipper's certification should be uniform as it applies to the 
modes. In this final rule, we revised Sec. 175.30(a)(2) to indicate 
that the initial air carrier will receive the shipper's certification 
in accordance with provisions in Sec. 172.204.
    The Fertilizer Institute (TFI) requests clarification of the 
proposed language in Sec. 176.24(a). TFI is concerned that ``RSPA may 
have unintentionally narrowed the scope of exceptions to shipping paper 
requirements. Currently, this section references only the exceptions to 
shipping paper requirements specified in Sec. 172.200(b). Section 
173.315(m) also contains exceptions from shipping paper requirements 
under certain conditions. We strongly recommend that RSPA omit 
references to specific CFR sections and simply reference exceptions to 
shipping paper requirements in general.'' We did not intend to 
eliminate the current exception from shipping paper requirements for 
hazardous materials shipped in accordance with Sec. 173.315(m) or any 
other exceptions stated elsewhere in the HMR. In this final rule we 
have modified the language for clarity.
    The American Trucking Associations suggest that the proposed 
revisions to Sec. 177.817(a) relieve a motor carrier from the 
responsibility to carry a copy of the shipping paper with the shipment 
on the motor vehicle. We agree that the proposed language should be 
clarified, and have done so in this final rule. The American Trucking 
Associations further suggest that the proposed revisions to 
Sec. 177.817(a) require a shipper's certification on all copies of the 
shipping paper instead of the initial carrier's copy. We disagree. 
Section 177.817(b) addresses a shipper certification on a shipping 
paper offered to an initial carrier. Paragraph (b) of Sec. 177.817 is 
unchanged in this final rule.

F. Principal Place of Business

    Several commenters say that requiring shipping papers to be 
accessible at or through a central location or principal place of 
business, and to be ``immediately available'' upon request to 
authorized officials may cause problems. According to the Dangerous 
Goods Advisory Council (DGAC; formerly the Hazardous Materials Advisory 
Council), ``* * * production plants or other shipping points have the 
original signed documents. Copies, or electronic images thereof, can be 
transferred to a central location but not instantaneously as implied in 
the proposal.'' DGAC suggested that the proposal be modified to require 
shipping papers to be ``immediately available to shipping/origination 
points or available within 48 hours at a central location'' in order to 
recognize a common industry practice of batch processing of documents 
for electronic transmission. Similarly, the Air Transport Association 
states that 
``* * * air carriers principal places of business must include all 
airport locations where the carrier operates, as carriers normally 
maintain shipping paper record files at the origin station. Requiring 
air carriers to maintain a storage or a data base for shipping papers 
at a headquarters office location would not appear feasible or 
desirable.'' We disagree with the commenters. The proposal does not 
require duplicate sets of shipping records to be maintained at various 
locations. The proposal requires copies of shipping papers or 
electronic images of shipping papers to be immediately available at a 
company's principal place of business. With facsimile machines and 
email capabilities, companies can transmit copies of shipping papers 
from shipping locations to a principal place of business very quickly. 
A 48-hour period is not necessary to fax or email a copy of a shipping 
document. An authorized official will need to see a copy while he or 
she is on the premises conducting an inspection, not 48 hours later. 
The proposal is adopted in this final rule.
    The Air Transport Association also expressed concern with the 
wording in the NPRM that allows retention of an ``electronic image'' of 
a shipping paper. According to the Air Transport Association, an image 
is not the same as an electronic record of the information on the 
shipping paper. The wording ``electronic image'' is taken directly from 
the Federal hazmat law. As we explained in the NPRM, an electronic 
image includes an image transmitted by a facsimile machine, an image on 
the screen of a computer, or an image generated by an optical imaging 
machine. The Air Transport Association's suggestion that we revise the 
proposal to permit retention of an electronic record of the information 
on the shipping paper is not consistent with the statutory requirement.

G. Three-Year Retention (HMTA Re-authorization)

    Two commenters note that the Administration's proposed legislation 
to re-authorize the hazardous materials transportation safety program 
requires retention of shipping papers for three years. Both commenters 
are opposed to the proposal in the re-authorization legislation. The 
bill is currently under consideration by the Congress. At such time as 
the legislation becomes law, we will address any revisions to the 
current shipping paper retention requirements.

III. Regulatory Analyses and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    This final rule is not considered a significant regulatory action 
under Executive Order 12866 and, was not reviewed by the Office of 
Management and Budget. This final rule is not considered significant 
under the regulatory policies and procedures of the Department of 
Transportation (44 FR 11034).
    This final rule implements a statutory requirement that has been in 
effect since 1994. We do not anticipate any additional costs on 
offerors and carriers of hazardous materials, and, preparation of a 
regulatory evaluation is not warranted.

[[Page 46127]]

B. Executive Order 13132

    This final rule has been analyzed in accordance with the principles 
and criteria contained in Executive Order 13132 (``Federalism''). 
Federal hazardous materials transportation law preempts any State, 
local, or Indian tribe requirement on the preparation, execution, and 
use of shipping documents related to hazardous materials that is not 
substantively the same as this final rule, 49 U.S.C. 5125(b)(1)(B), but 
this final rule does not have 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. The consultation and funding requirements of Executive 
Order 13132 do not apply.
    Federal hazardous materials transportation law, 49 U.S.C. 5101-
5127, contains an express preemption provision (49 U.S.C. 5125(b)) 
preempting 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 final rule addresses covered subject item 3 above and preempts 
state, local, and Indian tribe requirements not meeting the 
``substantively the same'' standard. This final rule is necessary to 
assure that the HMR requirements for retention of shipping papers are 
consistent with Federal hazardous materials transportation law.
    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. 
The effective date of federal preemption of this final rule is 90 days 
from publication of this final rule in the Federal Register.

C. Executive Order 13175

    This final 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 final rule 
does not have tribal implications, does not impose substantial direct 
compliance costs, and is required by statute, the funding and 
consultation requirements of Executive Order 13175 do not apply.

D. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires an 
agency to assess the impact of its regulations 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. This final rule 
implements a statutory requirement that has been in effect since 1994. 
This final rule will not impose additional costs on offerors and 
carriers of hazardous material. I hereby certify that, while the final 
rule applies to a substantial number of small entities, there will not 
be a significant economic impact on those small businesses.

E. Unfunded Mandates Reform Act of 1995

    This final rule imposes no mandates and thus does not impose 
unfunded mandates under the Unfunded Mandates Reform Act of 1995.

F. Paperwork Reduction Act

    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. No new burdens are proposed under this final rule. RSPA 
has a current information collection approval under OMB No. 2137-0034, 
``Shipping Papers and Emergency Response Information'' which includes 
the shipping paper retention requirement in the burden estimates.

G. 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.

H. Environmental Assessment

    This final rule does not affect packaging or hazard communication 
requirements for shipments of hazardous materials transported in 
commerce. We find that there are no significant environmental impacts 
associated with this final rule.

List of Subjects

49 CFR Part 172

    Hazardous materials transportation, Hazardous waste, Labeling, 
Markings, Packaging and containers, Reporting and recordkeeping 
requirements.

49 CFR Part 174

    Hazardous materials transportation, Radioactive materials, Railroad 
safety.

49 CFR Part 175

    Air Carriers, Hazardous materials transportation, Radioactive 
materials, Reporting and recordkeeping requirements.

49 CFR Part 176

    Hazardous materials transportation, Maritime carriers, Radioactive 
materials, Reporting and recordkeeping requirements.

49 CFR Part 177

    Hazardous materials transportation, Motor carriers, Radioactive 
materials, Reporting and recordkeeping requirements.


    In consideration of the foregoing, we are amending 49 CFR Parts 
172, 174, 175, 176, and 177, as follows:

PART 172--HAZARDOUS MATERIALS TABLE, SPECIAL PROVISIONS, HAZARDOUS 
MATERIALS COMMUNICATIONS, EMERGENCY RESPONSE INFORMATION, AND 
TRAINING REQUIREMENTS

    1. The authority citation for part 172 continues to read as 
follows:


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

    2. In Sec. 172.201, the section heading is revised and a new 
paragraph (e) is added to read as follows:


Sec. 172.201  Preparation and retention of shipping papers

* * * * *
    (e) Each person who provides the shipping paper must retain a copy 
of the shipping paper required by Sec. 172.200(a), or an electronic 
image thereof, that is accessible at or through its principal place of 
business and must make the shipping paper immediately available, upon 
request, to an authorized official of a Federal, State, or local 
government

[[Page 46128]]

agency at reasonable times and locations. For a hazardous waste, the 
shipping paper copy must be retained for three years after the material 
is accepted by the initial carrier. For all other hazardous materials, 
the shipping paper copy must be retained for 375 days after the 
material is accepted by the initial carrier. Each shipping paper copy 
must include the date of acceptance by the initial carrier, except 
that, for rail shipments, the date on the shipment waybill or bill of 
lading may be used in place of the date of acceptance by the initial 
carrier. A motor carrier (as defined in Sec. 390.5 of Subchapter B of 
Chapter III of Subtitle B) that uses a shipping paper without change 
for multiple shipments of a single hazardous material (i.e., one having 
the same shipping name and identification number) may retain a single 
copy of the shipping paper, instead of a copy for each shipment made, 
if the carrier also retains a record of each shipment made, to include 
shipping name, identification number, quantity transported, and date of 
shipment.

PART 174--CARRIAGE BY RAIL

    3. The authority citation for part 174 continues to read as 
follows:


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

    4. Section 174.24 is revised to read as follows:


Sec. 174.24  Shipping papers.

    (a) A person may not accept a hazardous material for transportation 
or transport a hazardous material by rail unless that person receives a 
shipping paper prepared in accordance with part 172 of this subchapter, 
unless the material is excepted from shipping paper requirements under 
this subchapter. Only an initial carrier within the United States must 
receive and retain a copy of the shipper's certification as required by 
Sec. 172.204 of this subchapter. This section does not apply to a 
material that is excepted from shipping paper requirements by this 
subchapter.
    (b) Each person receiving a shipping paper required by this section 
must retain a copy or an electronic image thereof, that is accessible 
at or through its principal place of business and must make the 
shipping paper immediately available, upon request, to an authorized 
official of a Federal, State, or local government agency at reasonable 
times and locations. For a hazardous waste, each shipping paper copy 
must be retained for three years after the material is accepted by the 
initial carrier. For all other hazardous materials, each shipping paper 
copy must be retained for 375 days after the material is accepted by 
the initial carrier. Each shipping paper copy must include the date of 
acceptance by the initial carrier. The date on the shipping paper may 
be the date a shipper notifies the rail carrier that a shipment is 
ready for transportation, as indicated on the waybill or bill of 
lading, as an alternative to the date the shipment is picked up, or 
accepted, by the carrier.

PART 175--CARRIAGE BY AIRCRAFT

    5. The authority citation for part 175 continues to read as 
follows:


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

    6. In Sec. 175.30, paragraph (a)(2) is revised to read as follows:


Sec. 175.30  Accepting and inspecting shipments

    (a) * * *
    (1) * * *
    (2) Described and certified on a shipping paper prepared in 
duplicate in accordance with part 172 of this subchapter or as 
authorized by Sec. 171.11 of this subchapter. Each person receiving a 
shipping paper required by this section must retain a copy or an 
electronic image thereof, that is accessible at or through its 
principal place of business and must make the shipping paper 
immediately available, upon request, to an authorized official of a 
federal, state, or local government agency at reasonable times and 
locations. For a hazardous waste, each shipping paper copy must be 
retained for three years after the material is accepted by the initial 
carrier. For all other hazardous materials, each shipping paper copy 
must be retained for 375 days after the material is accepted by the 
carrier. Each shipping paper copy must include the date of acceptance 
by the carrier. Only an initial carrier must receive and retain a copy 
of the shipper's certification as required by Sec. 172.204 of this 
subchapter.
* * * * *

PART 176--CARRIAGE BY VESSEL

    7. The authority citation for part 176 continues to read as 
follows:


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

    8. Section 176.24 is revised to read as follows:


Sec. 176.24  Shipping papers

    (a) A person may not accept a hazardous material for transportation 
or transport a hazardous material by vessel unless that person has 
received a shipping paper prepared in accordance with part 172 of this 
subchapter, unless the material is excepted from shipping paper 
requirements under this subchapter.
    (b) Each person receiving a shipping paper required by this section 
must retain a copy or an electronic image thereof, that is accessible 
at or through its principal place of business and must make the 
shipping paper immediately available, upon request, to an authorized 
official of a Federal, State, or local government agency at reasonable 
times and locations. For a hazardous waste, each shipping paper copy 
must be retained for three years after the material is accepted by the 
initial carrier. For all other hazardous materials, each shipping paper 
copy must be retained for 375 days after the material is accepted by 
the carrier. Each shipping paper copy must include the date of 
acceptance by the carrier.

PART 177--CARRIAGE BY PUBLIC HIGHWAY

    9. The authority citation for part 177 continues to read as 
follows:

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


    10. In Sec. 177.817, paragraph (a) is revised and new paragraph (f) 
is added, to read as follows:


Sec. 177.817  Shipping papers

    (a) General requirements. A person may not accept a hazardous 
material for transportation or transport a hazardous material by 
highway unless that person has received a shipping paper prepared in 
accordance with part 172 of this subchapter, unless the material is 
excepted from shipping paper requirements under this subchapter. A 
carrier may not transport a hazardous material unless it is accompanied 
by a shipping paper prepared in accordance with part 172 of this 
subchapter.
* * * * *
    (f) Retention of shipping papers. Each person receiving a shipping 
paper required by this section must retain a copy or an electronic 
image thereof, that is accessible at or through its principal place of 
business and must make the shipping paper immediately available, upon 
request, to an authorized official of a Federal, State, or local 
government agency at reasonable times and locations. For a hazardous 
waste, the shipping paper copy must be retained

[[Page 46129]]

for three years after the material is accepted by the initial carrier. 
For all other hazardous materials, the shipping paper copy must be 
retained for 375 days after the material is accepted by the carrier. 
Each shipping paper copy must include the date of acceptance by the 
carrier. A motor carrier (as defined in Sec. 390.5 of Subchapter B of 
Chapter III of Subtitle B) that uses a shipping paper without change 
for multiple shipments of a single hazardous material (i.e., one having 
the same shipping name and identification number) may retain a single 
copy of the shipping paper, instead of a copy for each shipment made, 
if the carrier also retains a record of each shipment made, to include 
shipping name, identification number, quantity transported, and date of 
shipment.

    Issued in Washington, DC, on July 8, 2002, under authority 
delegated in 49 CFR part 1.
Ellen G. Engleman,
Administrator.
[FR Doc. 02-17566 Filed 7-11-02; 8:45 am]
BILLING CODE 4910-60-P