[Federal Register Volume 69, Number 102 (Wednesday, May 26, 2004)]
[Rules and Regulations]
[Pages 30114-30132]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-11398]
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Part VI
Department of Transportation
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Research and Special Programs Administration
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49 CFR Part 171
Hazardous Materials: Revisions to Incident Reporting Requirements and
the Hazardous Materials Incident Report Form; Correction; Final Rule
Federal Register / Vol. 69, No. 102 / Wednesday, May 26, 2004 / Rules
and Regulations
[[Page 30114]]
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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; Correction
AGENCY: Research and Special Programs Administration (RSPA), DOT.
ACTION: Final rule; response to appeals and correction.
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SUMMARY: On December 3, 2003, RSPA published a final rule under Docket
No. RSPA-99-5013 (HM-229) to update and clarify requirements in the
Hazardous Materials Regulations applicable to incident reporting
requirements and the Hazardous Materials Incident Report (HMIR) DOT
Form F 5800.1. In response to appeals submitted by persons affected by
the December 3, 2003 final rule, this final rule amends certain
requirements, and makes minor editorial corrections. This final rule is
effective January 1, 2005. The effective date for the final rule
published on December 3, 2003 has been extended from July 1, 2004 to
January 1, 2005.
DATES: Effective Date: This final rule is effective on January 1, 2005.
The effective date for the final rule published on December 3, 2003 has
been extended from July 1, 2004 to January 1, 2005. Only the revised
DOT Form F 5800.1 (01-2004) specified in this final rule will be
accepted for incidents occurring on or after January 1, 2005. Filers
must use the previous DOT Form F 5800.1 (Rev 6/89) form for all
incidents up to and including December 31, 2004.
FOR FURTHER INFORMATION CONTACT: T. Glenn Foster, (202) 366-8553,
Office of Hazardous Materials Standards, Research and Special Programs
Administration, or Kevin Coburn, (202) 366-4555, Office of Hazardous
Materials Planning & Analysis, Research and Special Programs
Administration, U.S. Department of Transportation, 400 Seventh Street,
SW., Washington, DC 20590.
SUPPLEMENTARY INFORMATION:
I. Background
On December 3, 2003, the Research and Special Programs
Administration (RSPA, we) published a final rule under Docket HM-229
(68 FR 67746) revising incident reporting requirements of the Hazardous
Materials Regulations (HMR; 49 CFR Parts 171-180) and the Hazardous
Materials Incident Report Form DOT F 5800.1. Specifically, the final
rule:
Revised the hazardous materials incident report form;
Provided for electronic filing of incident reports;
Established one-call reporting of hazardous materials
incidents;
Expanded reporting requirements to persons other than
carriers;
Expanded reporting exceptions;
Provided criteria for telephonic notification;
Provided criteria for updates to incident reports;
Required reporting of undeclared shipments of hazardous
materials;
Required reporting of non-release incidents involving
cargo tanks;
Provided definitions of ``Undeclared Hazardous Material''
and ``Unintentional Release''; and
Eliminated redundant or unnecessary regulations. In
addition, the December 3 final rule revised the HMR to address three
recommendations from the National Transportation Safety Board (NTSB):
Consistent with NTSB Recommendation H-92-6, established 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, with or without a release of
hazardous materials.
Consistent with NTSB recommendation R-89-52, set forth
procedures being implemented to ensure there is feedback to shippers
when an incident has occurred.
Consistent with NTSB recommendation H-99-58, established a
specific time period for reporting incidents meeting criteria in Sec.
171.15 (telephonic notification).
II. Appeals
The following organizations and one individual submitted appeals to
the December 3, 2003 final rule, in accordance with 49 CFR Part 106:
The Air Transport Association (ATA-Air); the American Trucking
Associations (ATA-Trucking); the Association of American Railroads
(AAR); the National Propane Gas Association (NPGA); the National Tank
Truck Carriers, Inc. (NTTC); the Petroleum Transportation & Storage
Association (PTSA); and Mr. John V. Currie. The appellants expressed
concern about several revisions included in the final rule. In
addition, two appellants asked for a revision to the effective date of
the final rule. The issues raised by the appellants are discussed in
detail below.
A. Appeals Granted
Electronic Filing--The December 3 final rule revised Sec. 171.16
(b) to require each person reporting under this section to submit a
written or electronic HMIR to the Information Systems Manager at the
Research and Special Programs Administration. Mr. John Currie stated
that as drafted, Sec. 171.16(b)(1) could be interpreted to require
both the submission of a written and electronic HMIR. We agree that the
language is unclear and could lead to unnecessary submissions of
duplicate reports. Therefore, in this final rule, we are adding the
word ``or'' between the addresses for written and electronic submittal
of the HMIR to clarify that either a written or electronic report must
be submitted, not both.
Revised Hazardous Materials Incident Form DOT F 5800.1--The
December 3 final rule revised the HMIR Form DOT F 5800.1 and
instructions. AAR requested that RSPA reconsider eliminating certain
required information on the HMIR that AAR considers unnecessary and
difficult to obtain. AAR notes that, as drafted, the instructions
following Item 23 instruct the filer to skip Part III ``Packing
Information'' and proceed to Part IV, which AAR believes was not RSPA's
intent. However, if Part III is to be completed, AAR takes issue with
two points related to Item 28, found in Part III. The first point is
discussed here; the second point can be found under the ``Appeals
Denied'' section of this document.
Item 28 requires the identification of the manufacturer and model
number for any valve or device that failed on a tank car. AAR stated
that this poses a problem if the specification plates containing this
information are missing or obscured. The builder of the tank car may
not be able to provide this information on the HMIR if subsequent
owners or lessees have changed valves. Railroads would be compelled to
rely on the efforts of car owners for this information in order to
complete the required entry on the incident report form. This reliance
on an outside party could jeopardize the thirty-day filing requirement.
AAR believes RSPA should require this information to be clearly marked
on valves and other devices at all times, if RSPA determines it is
necessary.
We agree with AAR's comment regarding reference to the guidance
immediately following Item 23 of the HMIR. As drafted, the instructions
omit Part III and instruct the filer to proceed
[[Page 30115]]
directly to Part IV for a hazardous materials incident, or a
specification cargo tank 1,000 gallons or greater containing any
hazardous material that received structural damage to the lading
retention system that requires repair and did not have a release. This
was not our intent. One of our objectives is to acquire accurate and
complete data on incidents. In this final rule, we are removing the
supplemental guidance immediately following Item 23 from the HMIR.
We also agree with AAR's concern regarding reporting the
manufacturer and model number for any valve or device that failed on a
tank car. In this final rule, we are retaining the requirement to
specify the ``type'' of valve or device that failed during an incident.
However, we are amending the requirement to provide the manufacturer
and model number for any valve or device that failed on a tank to
include the words ``if present and legible.''
B. Appeals Denied
Effective Date of the Final Rule--The December 3, 2003 final rule
established the effective date of this rule as July 1, 2004. ATA-Air
and ATA-Trucking request RSPA to reconsider the July 1, 2004 effective
date. ATA-Air requests that RSPA allow carriers to begin complying with
the new rules (other than those applicable to discoveries of undeclared
hazardous materials) earlier than July 1, 2004. ATA-Air notes that many
companies have pre-established training schedules and could begin their
employees on the new requirements immediately. In addition, rather than
expecting employees to retain the new incident reporting information
for several months, the Association contends it would be beneficial to
apply the training immediately. The appellant sees no potential concern
if the carriers begin following the revised requirements earlier than
currently required.
ATA-Trucking recommends that RSPA delay the effective date for 12
months following the publication of guidance implementing the
electronic filing procedures and provide a three-month transitional
period for the new system. The appellant states industry bears
significant costs, including the revision of internal computer software
and employee training, whenever an information requirement is revised.
The appellant asserts the July 1, 2004 effective date would not provide
industry adequate time to train its employees. In addition, this
appellant notes the HM-229 NPRM called for the implementation of a
variety of electronic filing methods, including facsimile, electronic
mail, and internet-based filing options. The appellant states the final
rule does not provide for electronic filing. Instead, RSPA indicated
that it is ``in the process of developing the capability to allow
electronic submission of the form and bulk transfer, and will issue an
advisory notification upon completion.'' ATA-Trucking explains that,
``* * * depending upon the date electronic filing options go live,
motor carriers will have to train their employees on the new form and
then subsequently train them to implement the electronic filing
options.'' The appellant contends this ``* * * will force industry to
incur unnecessary training expenses.'' ATA-Trucking also believes
``there should be a period of time (i.e., three months) following the
effective date, where the use of the existing HMIR form would result in
a formal warning, rather than a notice of violation and civil
penalty.'' The appellant believes a provision by RSPA ``* * * would
help companies with multiple facilities train each potentially affected
person,'' thus avoiding situations of non-compliance. The appellant
notes that because most companies have already approved technical and
informational projects for 2004 and finalized their 2004 capital
budgets, it will be difficult to implement an informational change
before the 2005 budget year. RSPA does not agree that we have not
addressed electronic filing methods. We fully anticipate an operational
electronic system by the effective date of the final rule, which, as
previously stated, is the earliest date the revised form will be
accepted. RSPA also recognizes that filers of the revised incident
report may benefit from a tutorial phase for training purposes and
orientation, and anticipates an interactive incident report form on our
Web site prior to the effective date. This development will provide
accessibility by filers and downloading capabilities of the revised
form. In addition, RSPA is making available a dedicated facsimile phone
line to facilitate this alternate reporting option. We are
reconfiguring our computer software programs to accept electronic
submissions via the Web site, and providing an electronic version of
the form that can be completed, printed, and mailed or faxed to RSPA.
Finally, a bulk transfer system is being developed to allow for batch
transmittals of multiple incident reports. We reiterate that an
advisory notification will be issued upon completion and availability
of these alternate methods of incident report filing. We do not agree
that an immediate effective date, nor a delay of the effective date for
12 months following the publication of guidance implementing the
electronic filing procedures with a three-month transitional period for
the new system, is necessary, therefore these appeals are denied.
However, we are extending the effective date until January 1, 2005 to
provide companies with additional time for training and familiarization
with the new HMIR. We reiterate that only the revised DOT Form F 5800.1
(01-2004) specified in this final rule will be accepted for incidents
occurring on or after January 1, 2005. Filers must use the previous DOT
Form F 5800.1 (Rev 6/89) form for all incidents up to and including
December 31, 2004.
Expansion of Reporting Requirements to Persons other than
Shippers--The December 3 final rule revised the HMR to expand the
requirement to report incidents to the person in physical possession of
a hazardous material at the time an incident occurs during
transportation.
ATA-Trucking states that RSPA is ``* * * handcuffed by the
jurisdictional decisions made in connection with the HM-223
rulemaking'' and ``* * * has excluded unloading activities performed by
non-carrier personnel from the scope of the hazardous materials
incident reporting requirements.'' The appellant asserts that ``* * *
RSPA's decision to exclude activities performed by the consignee will
reduce the quantity of hazardous materials incident reports by RSPA.''
In addition, it states that ``* * * the quality of the information RSPA
receives will be impacted, as the data will be over-weighted with
packaging failures that occur during accidents, while the number of
reports received from packaging failures that occur under normal
conditions of transportation and are only discovered during the
unloading process will be artificially under-weighted.'' RSPA's ``* * *
decision to exempt consignees from the requirement to complete incident
reports undermines the fundamental purpose of the Hazardous Materials
Incident Reporting system, which is to collect meaningful data on the
performance of DOT packaging standards under conditions normally
incidental to transportation.'' ATA-Trucking recommends RSPA reconsider
this aspect of the final rule and expand the hazardous materials
incident reporting obligation to individuals responsible for the
unloading of hazardous materials.
We disagree. The reporting requirements found in Sec. Sec. 171.15
and 171.16 pertain to incidents that occur
[[Page 30116]]
during transportation, including storage incidental to transportation.
The issues posed by the appellant concern whether incidents involving
pre-transportation functions are reportable under Sec. Sec. 171.15 and
171.16. While pre-transportation functions, such as shipper loading
operations when a carrier is not present, are regulated under the HMR,
they have not been and are not subject to the incident reporting
requirements under this rulemaking because incidents related to pre-
transportation functions occur prior to the beginning of transportation
in commerce. Therefore, the status of reporting these pre-
transportation functions has not been changed by either the HM-229 or
HM-223 (68 FR 61905) final rules. Regarding our decision to exempt
consignees from incident reporting, we point out that consignees have
never been subject to incident reporting (except for consignees
unloading rail cars in accordance with Sec. 174.67). The
clarifications in HM-223 are consistent with our long-standing
interpretations of our statutory authority. In addition, we note that
carrier reports, including reports by carriers involved in unloading
hazardous materials at consignee facilities, are and have been
sufficient to enable us to receive accurate information about packaging
failures that occur during normal transportation operations. For these
reasons, the ATA-Trucking's appeal concerning the expansion of
reporting requirements to the person in physical possession of a
hazardous material at the time an incident occurs in transportation is
denied.
Reporting Non-Release Incidents Involving Cargo Tanks--The December
3 final rule requires an HMIR be submitted when a specification cargo
tank with a capacity of 1,000 gallons or greater containing any
hazardous material suffers 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. NTTC, ATA-Trucking, NPGA, and PTSA appealed this provision on
the basis that it: (1) Is vague; (2) removes the certainty of whether
to file an incident report; (3) could not be enforced in an equitable
manner; and (4) places carriers in a compliance trap. The appellants
recommend the provision either be deleted or modified to include a
statement referencing damage requiring test and inspection of cargo
tanks as set forth in Sec. 180.407(b).
NTTC contends a product could be loaded into a cargo tank that was
not designed for or otherwise suitable for the product, resulting in a
compromise of the lading retention system. In a second example, NTTC
describes a carrier driver relinquishing control of the cargo tank to a
shipper before the unit is staged for loading. Damage that may result
from these activities might not be discovered for a considerable amount
of time. NTTC does not believe RSPA addressed these concerns in the
final rule and reiterates them in its appeal to this rulemaking. NTTC
believes RSPA has unfairly and unwisely placed tank truck carriers in a
``compliance trap'' and wonders if tank truck operators will have to
perform `` * * * detailed internal and external inspections of all
lading retention systems after each `near-miss'?'' NTTC states RSPA
justified this requirement by relying on a decade-old report by the
NTSB (PB92-917220) and questions the relevancy of that report and
recommendations. NTTC states the NTSB report contains only data of so-
called ``rollover'' accidents involving cargo tank motor vehicles; all
of the incidents in the report involved releases of hazardous materials
in the environment and pertained to measurable specification shortages
on vehicles that have previously been addressed by RSPA and the Federal
Motor Carrier Safety Administration (FMCSA). NTTC states that if RSPA
truly believes ``accurate (`near miss' or `close call') data will
prevent safety gaps,'' as well as determine `` * * * how to allocate
limited funds of the regulated community to provide the greatest safety
benefits, RSPA would be remiss in not extending such reporting to all
specification packagings.'' As an alternative, NTTC suggests the
following modification: ``A specification cargo tank with a capacity of
1,000 gallons or greater containing any hazardous material is damaged
to the extent that it becomes subject to 49 CFR Sec. 180.407(b).''
ATA-Trucking states that in addition to `` * * * artificially
limiting the number of reports received from incidents discovered
during unloading, RSPA has expanded the number of reports it will
collect by expanding the incident reporting requirement to bulk cargo
tanks that suffer certain damage that does not result in a release of
hazardous materials.'' ATA-Trucking believes this ``standard for
reporting damage in the absence of a release is vague and will
potentially lead to instances of non-compliance.'' ATA-Trucking
supports the proposal crafted by NTTC. ATA-Trucking believes NTTC's
proposal `` * * * would create objective reporting criteria and reduce
instances of non-compliance resulting from the uncertainty of whether
to file an incident report'' * * * ATA-Trucking recommends RSPA
eliminate the tank truck operator's obligation to file a hazardous
materials report when no hazardous material has been released or in the
alternative, amend Sec. 171.16(a)(3) to reference Sec. 180.407(b) as
suggested by NTTC.
NPGA also `` * * * opposes the last portion of this provision and
believes the collection of this incident information will not provide
the type of data sought by RSPA that would result in increased
safety.'' NPGA believes this provision is `` * * * vague, fails to
provide the regulated parties the requisite certainty to enable
compliance, and will lead to inconsistent enforcement in the field.''
NPGA reminds RSPA of its comments during the rulemaking stage noting
the genesis of HM-229 was the HM-225A negotiated rulemaking between the
cargo tank industry and DOT. NPGA argues that more data is not better
data. NPGA notes RSPA's HM-229 preamble discussion `` * * * that such
reporting can provide information concerning packaging integrity.''
This final rule expands the incident database `` * * * to include
``near miss'' or ``close call'' incidents, which `` * * * have the
potential for significant consequences.'' NPGA believes the vagueness
of this regulation creates uncertainty as to when a report should be
filed. `` * * * Multiple instances of less serious damage could lead to
a form of damage considered more serious, thus necessitating a report
filing.'' NPGA recommends RSPA delete the phrase `` * * * even if there
is no release of hazardous material'' from Sec. 171.16(a)(3), and
modify the provision to reference Sec. 180.407(b) as suggested by
NTTC. NPGA contends this section `` * * * is much more familiar to the
industry and provides a form of criteria for filing reports that the
currently adopted provision lacks.''
PTSA states this provision is vague, will lead to uneven compliance
and inconsistent enforcement, and places a greater and unwarranted
compliance burden on small business petroleum marketers. According to
PTSA, `` * * * petroleum marketers are likely to incur undeserved civil
penalties and unjustified safety rating scores * * *'' PTSA states that
the ability for small business petroleum marketers to obtain certainty
of compliance is vital to ensure the safe transportation of hazardous
materials and maintain a competitive edge against larger hazardous
materials carriers with more compliance resources. PTSA believes the
information collected from non-
[[Page 30117]]
release incidents is subjective and disagrees with RSPA's belief that
information collected can provide valuable data on packaging integrity.
PTSA argues the terms ``near miss'' or ``close call'' in the preamble
are too ambiguous to provide any degree of certainty. PTSA believes
that `` * * * only engineering studies, under controlled conditions and
involving expert analysis can provide the objective information
regarding packaging integrity that RSPA seeks to collect.'' PTSA
recommends RSPA eliminate the requirement for reporting under Sec.
171.16(a)(3) involving incidents where no release occurs. If RSPA
chooses not to follow this recommendation, PTSA contends that a less
desirable, but more acceptable alternative would be to amend Sec.
171.16(a)(3) to reference Sec. 180.407(b) as suggested by NTTC.
RSPA disagrees with the appellants. We believe the revisions in
this final rule encompass and exceed the conditions in Sec. 180.407(b)
by requiring a more detailed accounting of incidents involving
hazardous materials, providing specific failure codes, expanding the
reporting requirements to persons other than carriers, and defining an
``undeclared hazardous material'' and ``unintentional release.'' We
rationalize that ``structural damage'' is any damage that causes a
person to ask the question implied in Sec. 180.407(b)(2)--was the
cargo tank damaged to an extent that its lading retention capability
may be affected? If the damage is sufficient to trigger the repair of
the cargo tank, an HMIR should be filed. Consequently, if the question
is answered affirmatively, testing and inspection are also required.
While RSPA recognizes that some judgment may still be involved, we do
not foresee this causing a significant number of new reports being
generated. In addition, such reporting will provide us with a better
idea of the number of cargo tanks involved in accidents with at least
some damage to the lading retention or lading protection system. As
noted in the December 3 final rule, information gathered on damage to
certified cargo tanks of 1,000 gallons or more that do not result in a
release will be analyzed over the next several years to determine its
usefulness in practice and if further rulemaking is necessary. As also
noted in the December 3 final rule, RSPA may address requiring
additional information for other bulk packagings in a future
rulemaking. For these reasons, the appeals of NTTC, ATA-Trucking, NPGA,
and PTSA regarding the reporting of non-release incidents involving
cargo tanks are denied.
Reporting Undeclared Shipments of Hazardous Materials--The December
3 final rule revised Sec. 171.16 to require a person who discovers an
undeclared hazardous material to submit an HMIR. ATA-Air requests
reconsideration of the new requirement ``* * * in light of the current
airport security environment, which did not exist during the comment
period * * *'' of the final rule. This appellant notes the
Transportation Security Administration (TSA) inspects checked baggage,
resulting in a dramatic increase in the volume of such discoveries, and
`` * * * the consumer-goods nature of most items found merits
consideration.'' ATA-Air states that the revised four-page HMIR is an
unnecessary burden and duplicates carriers' existing discrepancy
reporting obligations for the same items under 49 CFR Sec. 175.31.''
ATA-Air also stated that RSPA is required by the Paperwork Reduction
Act (PRA) `` * * * to avoid such complication and duplication,
particularly in view of carriers' dire financial circumstances and
sharply reduced staffing * * *'' in the wake of September 11, 2001. The
appellant disputes that the average number of incident reports from
1997-2000 is representative of current experience. The appellant stated
that RSPA's analysis cited under the PRA section in the final rule
preamble `` * * * should be updated to take into account the greatly
increased volume of discoveries stemming from TSA screening.'' ATA-Air
suggests RSPA defer implementation of this aspect of the rule until
these issues are resolved. ATA-Air recommends RSPA `` * * * convene an
advisory committee to bring together all stakeholders, including RSPA,
Federal Aviation Administration (FAA), ATA-Air, and the carriers, to
develop a workable solution to these issues.'' ATA-Air urges RSPA to ``
* * * re-open the comment period for this aspect of the final rule, and
revise the rule in accordance with those supplemental comments.''
RSPA agrees with the appellant that the potential for the
discoveries of undeclared shipments has greatly increased due to
heightened awareness of airport security following the tragic September
11, 2001 attacks. However, in Sec. 171.16(d)(3) of the December 3
final rule, we provided an exception from reporting hazardous material
discovered in an air passenger's checked or carry-on baggage during the
airport screening process. In addition, we acknowledge the potential
for burdensome and duplicative discrepancy reporting obligations and
refer the filer to Sec. 175.31 of the HMR for discrepancy reporting by
carriers. For these reasons, ATA-Air's appeal concerning the reporting
of undeclared shipments of hazardous materials is denied.
Requirements To Update the Incident Report--The December 3 final
rule amended the HMR to require that an HMIR must be updated within one
year of the date of occurrence of the incident whenever one or more of
the following occur: (1) A death results from injury caused by a
hazardous material; (2) there was a misidentification of the hazardous
material or package information on a prior incident report; (3) damage,
loss or related cost that was not known when the initial incident
report was filed becomes known; or (4) damage, loss, or related cost
changes by $25,000 or more, or 10% of the prior total estimate,
whichever is greater. ATA-Trucking requests that with the exception of
an incident that results in a death subsequent to the filing of the
report, RSPA reconsider the obligation to update the incident report.
The appellant states that although the preamble `` * * * references
comments filed by industry indicating a substantial burden associated
with this aspect of the final rule, RSPA has done little more than
quote from these comments.'' ATA-Trucking also stated ``RSPA performed
no analysis of the burden associated with this requirement or the
benefit of the update requirement (i.e., the number of updates that
would result in a material impact upon RSPA's analyses). Instead, RSPA
justified the update requirement with * * *'' two sentences. ATA-
Trucking asserts that ``RSPA has a legal obligation to analyze the
issue and discuss its conclusion in the final rule,'' and that RSPA ``
* * * failed to respond meaningfully to these comments.'' ATA-Trucking
recommends RSPA reconsider this requirement of the final rule by
narrowing the scope of updating requirements to instances where a death
occurs subsequent to the filing of an HMIR.
We disagree. RSPA believes the criteria outlined in the December 3
final rule to update an incident report are essential in monitoring the
results of hazardous materials incidents. By establishing a requirement
to report subsequent developments of hazardous materials incidents,
RSPA is better equipped to increase the accuracy of the incident
reporting database, highlight packaging shortcomings, and identify
deficiencies in the handling and transportation of hazardous materials.
In addition, we believe the factors necessary to warrant an additional
update are severe enough to demand their addition to the incident
report
[[Page 30118]]
database. For example, a carrier involved in an incident involving
black powder reported damages of $120,000, however, subsequent
evaluation by the Federal Highway Administration (FHWA) estimated costs
of $25 million in terms of impacts due to traffic delays. We believe
that better determinations of overall costs by carriers when filing the
initial HMIR will minimize the need for subsequent updated reports. We
disagree that an analysis of the burden associated with this
requirement or the benefit of the update requirement was not performed.
As previously stated in the December 3 final rule, we estimate
approximately 800 incidents reported each year would require an update
at a cost on average of $6.00 per company, or $4,800.00. An analysis of
the associated costs to update the approximately 800 incident reports
can be found in the regulatory evaluation as referenced under
``Executive Order 12866 and DOT Regulatory Policies and Procedure'' of
the ``Regulatory Analyses and Notices'' section of the December 3 final
rule, as well as the ``Potential Cost Impacts'' heading found under the
``Regulatory Flexibility Act'' of the December 3 final rule. For these
reasons, ATA-Trucking's appeal is denied.
Revised Hazardous Materials Incident Form DOT F 5800.1--The
December 3 final rule revised the HMIR and instructions. AAR requests
that RSPA reconsider certain required information on the HMIR that AAR
considers unnecessary and difficult to obtain. The appellant asserts
the shipper/offeror's hazardous materials registration number required
by Item 11 of the form is not readily available to carriers. The
appellant believes that ``* * * railroads will have difficulty
acquiring the shipper's registration number within the thirty (30) day
filing limit specified in Sec. 171.16(a),'' therefore, registration
numbers should be required on shipping papers if their inclusion is
viewed as necessary by RSPA. In addition, the appellant is concerned
that report numbers for reports filed by fire, police, and emergency
responders required by Item 31 of the form are not readily available,
and it does not perceive a need by RSPA for this information. The
appellant contends this lack of easily accessible information presents
another opportunity to exceed the thirty (30) day filing limit.
We disagree that the inclusion of the registration number of a
shipper/offeror as required in Item 11, and an emergency responder's
report number as required in Item 31 are unnecessary. This information
is vital to constructing a thorough and comprehensive database of
incident reports and subsequent responses by emergency personnel. This
cross-reference information provides RSPA with an enhanced capability
to identify the effectiveness of existing regulations and industry
operational procedures, focus on potential problems areas such as
training and the handling and transportation of hazardous materials,
improve analysis of hazardous materials incidents, and extend outreach
to shippers of incidents involving materials they have offered for
transportation. In addition, RSPA believes registration numbers can be
acquired from the shipper/offeror during the standard notification
between shippers and carriers that would normally follow in the
aftermath of a hazardous materials incident. Likewise, a fire, police,
or emergency responder report number can be obtained by the person in
physical possession of the shipment from the responder at the time of
an incident. For these reasons, AAR's petitions regarding Items 11 and
31 are denied.
AAR notes that, as drafted, the instructions following Item 23
instruct the filer to skip Part III ``Packing Information'' and proceed
to Part IV. The appellant does not believe this was RSPA's intention.
We agree, and address this issue under the ``Appeals Granted'' section
of this document. AAR further states that if Part III is to be
completed, it takes issue with two aspects of Item 28, found in Part
III of the form. The first point regarding reporting the manufacturer
and model number for any valve that failed on a tank car can be found
under the ``Appeals Granted'' section of this document. The second
point is discussed here. Item 28 requires a filer to indicate material
of construction, design pressure, shell thickness, and head thickness
as part of the packing construction and test information. AAR contends
the tank car specification is previously required to be supplied for
Item 26a; thus negating the need to provide the construction
information requirement of Item 28.
We do not agree with AAR's appeal regarding the request for
material of construction, design pressure, shell thickness, and head
thickness required by Item 28 of the incident report. While Item 26a
requires the identification markings of packagings, only the
specification requirements can be obtained, not the actual pressure or
thickness of an individual tank car. RSPA has determined that this
information is necessary to gauge the effectiveness of packagings in
the event of an incident, and can utilize this feedback to determine if
future rulemakings pertaining to packaging specifications and minimal
requirements are warranted. Therefore, AAR's petition to omit the
requirement to report material of construction, design pressure, shell
thickness, and head thickness in Item 28 is denied.
C. Clarification
A concerned industry member suggested that the definition of an
``undeclared hazardous material'' as revised in the December 3 final
rule could be interpreted to exclude a shipment described as ``freight
all kinds.'' This is not our intention. A key objective of this final
rule is to focus on defining and identifying undeclared hazardous
material shipments. Undeclared shipments are a high priority and
concern within the Department, especially in light of the increased
safety environment that has become prevalent following the September
11, 2001 attacks. Our intent in this rule is to discover undeclared
hazardous material shipments that have been buried or hidden in order
to prevent damage to property, loss of life, or lack of communication
to emergency responders. In that regard, we are amending the definition
of ``undeclared shipments'' in Sec. 171.8 to assist in further
clarifying the regulations as follows: Undeclared hazardous material
means a hazardous material that is: (1) Subject to any of the hazard
communication requirements in subparts C (Shipping Papers), D
(Marking), E (Labeling), and F (Placarding) of Part 172 of this
subchapter, or an alternative marking requirement in Part 173 of this
subchapter (such as Sec. Sec. 173.4(a)(10) and 173.6(c)); and (2)
offered for transportation in commerce without any visible indication
to the person accepting the hazardous material for transportation that
a hazardous material is present, on either an accompanying shipping
document, or the outside of a transport vehicle, freight container, or
package.
III. Regulatory Analyses and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule is not a significant action under section 3(f) of
Executive Order 12866 and was not reviewed by the Office of Management
and Budget. This final rule is not a significant action under the
Regulatory Policies and Procedures of the Department of Transportation.
The revisions adopted in this final rule do not alter the cost-benefit
analysis and conclusions contained in the Regulatory Evaluation
prepared for the December 3, 2003 final rule. The Regulatory Evaluation
is
[[Page 30119]]
available for review in the public docket for this rulemaking.
B. Executive Order 13132
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13132 (``Federalism''). This
final rule preempts 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 final rule addresses covered subject item number (4) above and
preempts state, local, and Indian tribe requirements not meeting the
``substantively the same'' standard. This final rule is necessary to
increase the usefulness of data collected for risk analysis and
management by government and industry and, where possible, provide
relief from regulatory requirements.
Federal hazardous materials transportation law provides at Sec.
5125(b)(2) that, if we issue 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.
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 on Indian tribal governments, and does not preempt
tribal law, the funding and consultation requirements of Executive
Order 13175 do not apply and a tribal summary impact statement is not
required.
D. Regulatory Flexibility Act, Executive Order 13272, and DOT
Procedures and Policies
The Regulatory Flexibility Act (5 U.S.C. 601-612) requires each
agency to analyze proposed regulations and assess their impact on small
businesses and other small entities to determine whether the proposed
rule is expected to have a significant impact on a substantial number
of small entities. The revisions adopted in this final rule do not
alter the cost-benefit analysis and conclusions contained in the
Regulatory Evaluation prepared for the December 3, 2003 final rule.
Based on the assessment in the regulatory evaluation, I certify that,
while this final rule applies to a substantial number of small
entities, the economic impact on those small entities is not
significant.
This final rule has been developed in accordance with Executive
Order 13272 (``Proper Consideration of Small Entities in Agency
Rulemaking'') and DOT's procedures and policies to promote compliance
with the Regulatory Flexibility Act to ensure that potential impacts of
final rules on small entities are properly considered.
E. Paperwork Reduction Act
This revisions adopted in this final rule do not alter the cost-
benefit analysis and conclusions contained in the regulatory evaluation
prepared for the December 3, 2003 final rule.
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 final rule does not impose unfunded mandates under the
Unfunded Mandates Reform Act of 1995. It does not result in costs of
more than $100 million or more to state, local, or tribal governments,
in the aggregate, or to the private sector, and is the least burdensome
alternative that achieves the objective of the rule.
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 in 49 CFR Part 171
Exports, Hazardous materials transportation, Hazardous waste,
Imports, Reporting and record keeping requirements.
0
In consideration of the foregoing, we are making the following
corrections to FR Doc. 03-29597, appearing on page 67746 in the Federal
Register of Wednesday, December 3, 2003:
PART 171--[CORRECTED]
0
1. On page 67758, in the third column and continuing on page 67759,
correct the definition for ``undeclared hazardous material'' to read as
follows:
Sec. 171.8 Definitions and abbreviations.
* * * * *
Undeclared hazardous material means a hazardous material that is:
(1) Subject to any of the hazard communication requirements in subparts
C (Shipping Papers), D (Marking), E (Labeling), and F (Placarding) of
Part 172 of this subchapter, or an alternative marking requirement in
Part 173 of this subchapter (such as Sec. Sec. 173.4(a)(10) and
173.6(c)); and (2) offered for transportation in commerce without any
visible indication to the person accepting the hazardous material for
transportation that a hazardous material is present, on either an
accompanying shipping document, or the outside of a transport vehicle,
freight container, or package.
* * * * *
0
2. On page 67759, in the third column, correct paragraph (b)(1) of
Sec. 171.16 to read as follows:
Sec. 171.16 Detailed hazardous materials incidents reports.
* * * * *
(1) * * *
(b) Providing and retaining copies of the report. Each person
reporting under this section must--
(1) Submit a written Hazardous Materials Incident Report to the
[[Page 30120]]
Information Systems Manager, DHM-63, Research and Special Programs
Administration, Department of Transportation, Washington, DC 20590-
0001, or an electronic Hazardous Material Incident Report to the
Information System Manager, DHM-63, Research and Special Programs
Administration, Department of Transportation, Washington, DC 20590-0001
at http://hazmat.dot.gov;
* * * * *
0
3. Beginning on page 67761, correct Attachment 1--Hazardous Materials
Incident Report, to read as set forth below.
Issued in Washington, DC, on May 14, 2004, under the authority
delegated in 49 CFR Part 1.
Samuel G. Bonasso,
Deputy Administrator, Research and Special Programs Administration.
BILLING CODE 4910-60-P
[[Page 30121]]
Attachment 1--Hazardous Materials Incident Report
Note: This attachment will not appear in the Code of Federal
Regulations.
[GRAPHIC] [TIFF OMITTED] TR26MY04.000
[[Page 30122]]
[GRAPHIC] [TIFF OMITTED] TR26MY04.001
[[Page 30123]]
[GRAPHIC] [TIFF OMITTED] TR26MY04.002
[[Page 30124]]
[GRAPHIC] [TIFF OMITTED] TR26MY04.003
BILLING CODE 4910-60-C
[[Page 30125]]
General Overview for Completing the Hazardous Materials Incident
Report--Department of Transportation Form F 5800.1
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 of the
HMR 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. (The full text of these sections is at
the end of the instructions.)
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.
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 certain conditions are met. This means that when the
conditions apply for completing the report, the entity having
physical control of the shipment is responsible for filling out and
filing Form DOT F 5800.1.
For example, if a shipper is carrying hazardous material, the
consignee is unloading the material and there is an incident
involving this material, the consignee is responsible for filling
out and filing the form. However, if the consignee is unloading the
hazardous material and causes a hazardous materials incident
involving a consignment intended for someone else, the shipper is
responsible for filling out and filing the form.
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. A complete list of definitions is
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.
Cargo tank--a bulk packaging which is:
(1) A tank intended primarily for the carriage of liquids or
gases and includes appurtenances, reinforcements, fittings, and
closures;
(2) Is permanently attached to or forms a part of a motor
vehicle, or is not permanently attached to a motor vehicle but
which, by reason of its size, construction, or attachment to a motor
vehicle, is loaded or unloaded without being removed from the motor
vehicle; and
(3) Is not fabricated under a specification for cylinders,
portable tanks, tank cars, or multi-unit tank car tanks.
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, elevated temperature materials, materials
designated as hazardous under the provisions of Sec. 172.101, the
Hazardous Materials Table (HMT), and materials that meet the
defining criteria for hazard classes and divisions in Part 173.
Hazardous substance--a material, including its mixtures and
solutions, that--
(1) Is listed in Appendix A to Sec. 172.101;
(2) Is in a quantity, in one package, which 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 which equals or exceeds the concentration corresponding to
the RQ of the material, as shown in the following table:
------------------------------------------------------------------------
Concentration by
weight
RQ pounds (kilograms) ----------------------
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, liquefied natural gas, or synthetic gas
useable 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 (also see Sec. 171.4) and, when in a solution or
mixture of one or more marine pollutants, is packaged in a
concentration that equals or exceeds:
(1) Ten percent by weight of the solution or mixture for
materials listed in Appendix B; or
(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--means a hazardous material that
is:
(1) Subject to any of the hazard communication requirements in
subparts C (Shipping Papers), D (Marking), E (Labeling), and F
(Placarding) of Part 172 of this subchapter, or an alternative
marking requirement in Part 173 of this subchapter (such as
Sec. Sec. 173.4(a)(10) and 173.6(c)); and
(2) Offered for transportation in commerce without any visible
indication to the person accepting the hazardous material for
transportation that a hazardous material is present, on either an
accompanying shipping document, or the outside of a transport
vehicle, freight container, or package.
Unintentional release--the escape of a hazardous material from a
package on an occasion not anticipated or planned. This includes
releases resulting from collision, package failures, human error,
criminal activity, negligence, improper packing, 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 releases, such as venting of packages, where allowed,
and the operational discharge of contents from packages.
Additionally, for purposes of reporting on this form, the
following definitions should be used:
Lading retention system--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. The cargo tank shell, associated piping, and valves are
an example of a lading retention system. Dents or damage to a tank
requiring repair to an accident protection system guarding the tank
are examples of incidents that must be reported. Paint chips and
scratches to either the tank or the accident protection system are
examples of incidents that do not require reporting.
Major transportation artery--a highway, main road or secondary
road but not a side street or dirt road. In the case of rail, any
rail line except a rail spur.
When Must I Submit a Written Report (DOT Form F 5800.1)?
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
[[Page 30126]]
and temporary storage related to transportation;
A hazardous waste is released;
An undeclared shipment with no release is discovered;
or
A specification cargo tank 1,000 gallons or greater
containing any hazardous materials 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.
To clarify the requirement for a report based on structural
damage to a specification cargo tank, the table below illustrates
some examples:
Examples To Clarify When To Report Structural Damage to a Specification
Cargo Tank
------------------------------------------------------------------------
Incident report required No incident report required
------------------------------------------------------------------------
Damage to an outlet valve that affects Handle broken or knocked off
seating and requires replacement. valve--but otherwise
undamaged.
Serious damage that, if worse, could Serious damage that, even if
have resulted in the loss of the worse, would not have resulted
contents of the cargo tank. Damage to in the loss of the contents of
outlet lines that contain hazardous the cargo tank. Damage to
materials during transportation is in outlet lines that are normally
this category. not charged during
transportation is in this
category.
Cargo tank damage that requires Minor damage that obviously
professional inspection or will not affect continuation
recertification to ensure it is of the cargo tank in service.
capable of meeting requirements.
Cargo tank damage that requires Cargo tank damage that requires
immediate or subsequent repair because repair for cosmetic reasons
of questions about cargo tank only.
integrity.
------------------------------------------------------------------------
When Is a Report Not Required?
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) applies;
The material is not a hazardous waste;
The material is properly classed as an ORM D, or a
Packing Group III material in Class or Division 3, 4, 5, 6.1, 8, or
9;
Each package has a capacity of less than 20 liters (5.2
gallons) for liquids or less than 30 kg (66 pounds) for solids;
The total aggregate release is less than 20 liters (5.2
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; AND
The shipment is an undeclared material discovered in an
air passenger's checked or carry-on baggage during the airport
screening process.
Also, you are not required to report releases of minimal amounts
of material (i.e., a pint or less) released from the manual
operation of seals of pumps, compressors, or valves, during the
connecting or disconnecting of loading and unloading lines, or, for
materials for which venting is authorized, from vents, provided
these releases do not result in property damage or trigger any of
the telephonic notifications requirements found in Sec. 171.15.
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;
A person receives an injury requiring admittance to a
hospital;
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 other than a diagnostic
specimen or regulated medical waste;
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; or
A situation exists of such a nature that in the
judgment of the person in possession of the hazardous material, it
should be reported to DOT's National Response Center even though it
does not meet the above criteria.
You may decide that the situation should be reported even though
it does not meet any of the above criteria.
Make sure that you request the NRC report number when you make
your telephonic report.
What Telephone Number Do I Call To Make an Immediate Notification
of a Hazardous Materials 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. This call must be made within 12 hours
of the events that trigger this requirement. If the incident
involves an infectious substance, you may notify the Director,
Center for Disease Control and Prevention (CDC), U.S. Public Health
Service, Atlanta, Georgia, toll-free at 800-232-0124. If a
discrepancy of a shipment intended for air is discovered following
its acceptance aboard aircraft, notify the nearest Federal Aviation
Administration Civil Aviation Security Office as soon as practical.
How Long Do I Have To Submit the Written Report?
You must submit your written report within 30 days of discovery
of the incident, Sec. 171.16(a).
Am I Required To Update the Information in the Report?
Yes. You must use DOT Form F 5800.1 and check the ``A
supplemental (follow-up) report'' box on question 2 to
provide additional information after the initial report. You are
required to provide updates for up to one year after the initial
filing if more information is gained or new developments arise
concerning the following, for example:
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 hazardous
material or package information;
Damage or 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, or 10% of the original cost
estimates, whichever is greater, even if the original estimate was
under $500.
How and Where Do I Submit My Completed Report?
You can mail paper copies of the report to the
Information Systems Manager, U.S. Department of Transportation,
Research and Special Programs Administration, Office of Hazardous
Materials Safety, DHM-63, Washington, DC 20590-0001; or
You can submit the report on-line at http://hazmat.dot.gov.
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 (Sec.
171.16(b)(3)).
Where Must I Keep a Copy of the Report?
The report must be accessible through your company's principal
place(s) of business. You must be able to make the report available
upon request to authorized representatives or a special agent of the
Department within 24 hours of such a request (Sec. 171.16(b)(3)).
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.
[[Page 30127]]
You may download a copy of the form from our Web site
at http://hazmat.dot.gov/spills.htm.
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.
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, U.S. Department of
Transportation, Research and Special Programs Administration, Office
of Hazardous Materials Safety, DHM-63, Washington, DC 20590-0001.
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 Form DOT F 5800.1
Please print. Fill in all applicable blanks accurately to the
best of your ability.
Part I: Report Type
(1) This is to report: Check the box that describes why you are
filling out this form. This will normally be ``A) A hazardous
material incident.'' If you are reporting an undeclared shipment
with no release, check the corresponding box, ``B).'' If you are
reporting an incident involving a cargo tank motor vehicle
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, ``C).''
(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 ``A supplemental (follow-up) report''
box. If you are using additional pages, check the ``Additional
Pages'' box.
Part II: 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 submitted a report to another Federal DOT agency,
enter the agency and report number: If you were required to fill out
a report for another federal DOT agency such as the Federal Railroad
Administration or the Federal Motor Carrier Safety Administration
for this incident, please include the agency and report number. This
will facilitate our combination of information.
(7) Location of Incident: Enter the geographic location of the
incident (city, county, state, and zip code). 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 and/or river mile. If you do not
know the street address, or if the incident occurred on a highway,
include a description such as ``On I-70, mile marker 240.''
(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 an in-
transit 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. In-transit storage is storage
incidental 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 entity who is reporting the incident (if other than a
carrier). The entity in physical possession of the material when the
incident occurred or was discovered must report the incident.
(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.
(13) Destination: Enter the final destination of the shipment
involved in the incident.
(14) through (19):
Hazardous Material Description: Enter the proper shipping name,
technical or trade name, hazard class or division, ID number,
packing group, and amount of material released. All of this
information, except the amount of material released, can be found on
the shipping papers that accompany the shipment, Sec. 172.202. When
indicating the amount of material released, include units of
measurements (examples: 115 gallons, 69 tons).
(20) Was the material shipped as a hazardous waste? Check the
``Yes'' box 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 the ``Yes'' box and provide the appropriate 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. Check the appropriate box.
Part III: Packaging Information
(24) Packaging Type: Check the box that corresponds to the type
of packaging involved in the incident. If more than one packaging
type was involved in an incident, reproduce Part III of the form and
fill out this section for each of the packaging types. For example,
if three different packaging types were involved in an incident,
fill out a separate Part III for each packaging type. If the type of
packaging is not represented, check the ``Other'' box and enter a
brief description such as ``non-specification bulk bin.''
(25) Enter the appropriate failure codes (found at the end of
the instructions): Enter the codes that describe what failed on the
packaging, how the packaging failed, and the cause(s) of the
failure. Be sure to enter the codes from the list that corresponds
to the particular packaging types checked above (24). Enter
the most important failure point in line 1. If there is a second
failure point, enter in line 2. If there are more than two failure
points, provide additional information in this format in Part VI.
The following explains the content of each line:
What Failed: You can enter up to 2 ``What Failed'' codes to
describe the part of the packaging that fails and was the immediate
cause of the release. Often, on a simple packaging, only one code
will be required. On more complex packaging, additional entries will
help identify where that failure occurred. The first entry should
designate the specific point of failure, followed by entries that
help identify where that failure occurred. For instance, a
deteriorated gasket on a pipe flange on the liquid line would have
failure code 121 for gasket entered first and failure code 118 for
flange entered second.
How Failed: Enter the ``Failure'' code that describes how the
corresponding part of the packaging failed. The primary way the
packaging failed should be entered first.
[[Page 30128]]
Cause(s) of Failure: Enter the ``Cause of Failure'' code that
describes what caused the corresponding part of the packaging to
fail in the way it did. The most probable or fundamental cause of
failure should be entered first.
If none of the codes on the list fit exactly, use the closest
matches and provide additional detail in Part VI. Also, if you
believe a better set of codes would be more descriptive of what
failed, how it failed, and the causes of failure, suggest them in
Part VII.
(26a) Provide the complete packaging identification markings, if
available: Every specification packaging, UN or DOT, has a packaging
identification printed or stamped on it or on a plate attached to
the packaging. Examples are provided on the form.
(26b) For Non-bulk, IBC, or non-specification packaging: Only
fill out 26b 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. For non-bulk, IBC or non-specification packaging provide
a description of the packaging in the space(s) provided.
Non-Bulk Packaging Identification Codes
Outer Packaging
Type
1 = Drum
2 = Wooden Barrel
3 = Jerrican
4 = Box
5 = Bag
6 = Composite Packaging
7 = Pressure receptacle
Material
A = Steel
B = Aluminum
C = Natural Wood
D = Plywood
F = Reconstituted Wood
G = Fiberboard
H = Plastic
L = Textile
M = Paper, multi-wall
N = Metal other than steel or aluminum
P = 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
(27) Describe the package capacity and the quantity: Enter the
total capacity of the inner and outer package. Also enter the actual
amount of hazardous material that was shipped in the package, the
number of packages in the shipment, and the number of packages that
failed. Please include the units of measurement (liter, gallons,
pounds, cubic feet, etc.)
(28) Provide package 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
26b. 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 valve or device
type, manufacturer (if present and legible), and model number (if
present and legible).
(29) If the package is for Radioactive Materials, complete the
following: Complete this question only if a radioactive material was
involved. Indicate the packaging category, the packaging
certification, certification number, and which nuclides were
present, the transportation index (TI), activity of the nuclides,
and the criticality safety index.
Part IV: Consequences
(30) Result of Incident: 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.
(31) 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.
(32) 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
damage, 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 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.
Response Cost: Enter the total value of response 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.
Remediation/Cleanup Cost: Enter the total value of the cost to
cleanup and remediate the site. Cleanup 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.
(33a) Did the hazardous material cause or contribute to a human
fatality? If a person was fatally injured by contact with the
hazardous material or its vapors or by a fire or explosion that
resulted from the hazardous material, check the ``Yes'' box and
enter the number of fatalities that resulted directly from the
hazardous material.
(33b) Were there human fatalities that did not result from the
hazardous material? If the fatalities were not caused directly by
the hazardous material, check the ``Yes'' box and enter 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 gasoline from the cargo tank and a resulting fire killed the
automobile driver, then the fatality was caused by the hazardous
material.
(34) Did the hazardous material cause or contribute to a
personal injury? If a person was injured by contact with the
hazardous material or its vapors or by a fire or explosion that
resulted from the hazardous material, check the ``Yes'' box and
enter the number of persons injured by the hazardous material.
Hospitalized means admitted to a medical facility, not treated
and released from a facility, such as a hospital emergency room,
where the person was never admitted to the hospital proper. Non-
hospitalized
[[Page 30129]]
individuals are those who may have received attention from medical
personnel on-site or at a facility (including hospital emergency
room), but were not admitted to a medical facility. Indicate the
number of injured employees, emergency responders (firefighters,
police, medics, etc.) and members of the general public.
(35) Did the hazardous material cause or contribute to an
evacuation? 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, check the
``Yes'' box. Separately specify the numbers of individuals from the
general public evacuated and number of employees of the facility or
workers in the area that were evacuated. Also provide the total
number of individuals evacuated. Indicate the duration of the
evacuation (in hours).
(36) Was a transportation artery or facility closed? If a road
or transportation facility was closed due to the incident, check the
``Yes'' box and indicate the duration (in hours) here.
(37) Was the material involved in a crash or derailment? Check
the ``Yes'' box if a 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 V: Air Incident Information
This section is for incidents with packagings transported or
intended for transportation by aircraft. If your packaging was not
transported or intended to be transported by air, skip this section.
(38) Was the shipment on a passenger aircraft? Indicate whether
the shipment in question was on a commercial passenger aircraft. If
so, indicate if the material was tendered (accepted for shipment) as
cargo, or was located in a passenger's baggage, either in the cabin
or baggage compartment.
(39) Where did the incident occur or where was the incident
discovered? Indicate where in the course of transportation the
incident occurred or was discovered.
(40) What phase(s) had the shipment already undergone prior to
the incident? Check all boxes that describe the transportation
phases the shipment went through before the incident occurred or was
discovered.
Part VI: Description of Events and Packaging Failure
Please describe the events involved in the incident to provide
us with 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 package 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 VII: Recommendations/Actions Taken To Prevent Future Incidents
Recommendations may be preliminary in nature, may suggest
actions by other parties, and may be subject to further
investigation, refinement, acceptance, or rejection. Often, it may
be beyond the ability of the preparer to offer recommendations, but
where such recommendations can be made they have the potential of
resulting in important improvements with safety benefits. For
instance, such information can help companies identify common
problems and alert the DOT to the need for additional measures such
as outreach or broad training needs. This information can also help
support regulatory changes.
Part VIII: Contact Information
Provide the name, title, telephone number, fax number, business
name and address, hazmat registration number and email address of
the contact person at your company who can answer questions about
the information provided on this form. Make sure to check the box
that describes the function of your firm: carrier, shipper, facility
owner/operator, or other. If ``Other'' is checked, describe the
function.
Instructions for Form DOT F 5800.1--Failure Codes for Part 3 of Form
DOT F 5800.1
Complete Listing--All Packaging Types
Code What Failed
101 Air Inlet
102 Auxiliary Valve
103 Basic Material
104 Body
105 Bolts or Nuts
106 Bottom Outlet Valve
107 Check Valve
108 Chime
109 Closure (e.g., Cap, Top, or Plug)
110 Cover
111 Cylinder Neck or Shoulder
112 Cylinder Sidewall--Near Base
113 Cylinder Sidewall--Other
114 Cylinder Valve
115 Discharge Valve or Coupling
116 Excess Flow Valve
117 Fill Hole
118 Flange
119 Frangible Disc
120 Fusible Pressure Relief Device or Element
121 Gasket
122 Gauging Device
123 Heater Coil
124 High Level Sensor
125 Hose
126 Hose Adaptor or Coupling
127 Inlet (Loading) Valve
128 Inner Packaging
129 Inner Receptacle
130 Lifting Feature
131 Lifting Lug
132 Liner
133 Liquid Line
134 Liquid Valve
135 Loading or Unloading Lines
136 Locking Bar
137 Manway or Dome Cover
138 Mounting Studs
139 O-Ring or Seals
140 Outer Frame
141 Piping or Fittings
142 Piping Shear Section
143 Pressure Relief Valve or Device--Non-Reclosing
144 Pressure Relief Valve or Device--Reclosing
145 Remote Control Device
146 Sample Line
147 Stub Still (Tank Car)
148 Sump
149 Tank Head
150 Tank Shell
151 Thermometer Well
152 Threaded Connection
153 Vacuum Relief Valve
154 Valve Body
155 Valve Seat
156 Valve Spring
157 Valve Stem
158 Vapor Valve
159 Vent
160 Washout
161 Weld or Seam
Code How Failed
301 Abraded
302 Bent
303 Burst or Ruptured
304 Cracked
305 Crushed
306 Failed to Operate
307 Gouged or Cut
308 Leaked
309 Punctured
310 Ripped or Torn
311 Structural
312 Torn Off or Damaged
313 Vented
Code Cause(s) of Failure
501 Abrasion
502 Broken Component or Device
503 Commodity Self-ignition
504 Commodity Polymerization
505 Conveyer or Material Handling Equipment Mishap
506 Corrosion--Exterior
507 Corrosion--Interior
508 Defective Component or Device
509 Derailment
510 Deterioration or Aging
511 Dropped
512 Fire, Temperature, or Heat
513 Forklift Accident
514 Freezing
515 Human Error
516 Impact with Sharp or Protruding Object (e.g., nails)
517 Improper Preparation for Transportation
518 Inadequate Accident Damage Protection
519 Inadequate Blocking and Bracing
520 Inadequate Maintenance
521 Inadequate Preparation for Transportation
522 Inadequate Procedures
523 Inadequate Training
524 Incompatible Product
525 Incorrectly Sized Component or Device
526 Loose Closure, Component, or Device
527 Misaligned Material, Component, or Device
528 Missing Component or Device
529 Overfilled
530 Overpressurized
[[Page 30130]]
531 Rollover Accident
532 Stub Sill Separation from Tank (Tank Cars)
533 Threads Worn or Cross Threaded
534 Too Much Weight on Package
535 Valve Open
536 Vandalism
537 Vehicular Crash or Accident Damage
538 Water Damage
General Non-bulk and IBCs
Code What Failed
103 Basic Material
104 Body
105 Bolts or Nuts
108 Chime
109 Closure (e.g., Cap, Top, or Plug)
110 Cover
119 Frangible Disc
120 Fusible Pressure Relief Device or Element
121 Gasket
125 Hose
128 Inner Packaging
129 Inner Receptacle
130 Lifting Feature
132 Liner
140 Outer Frame
143 Pressure Relief Valve or Device--Non-Reclosing
144 Pressure Relief Valve or Device--Reclosing
161 Weld or Seam
Code How Failed
301 Abraded
302 Bent
303 Burst or Ruptured
304 Cracked
305 Crushed
306 Failed to Operate
307 Gouged or Cut
308 Leaked
309 Punctured
310 Ripped or Torn
311 Structural
312 Torn Off or Damaged
313 Vented
Code Causes of Failure
501 Abrasion
503 Commodity Self-ignition
504 Commodity Polymerization
505 Conveyer or Material Handling Equipment Mishap
506 Corrosion--Exterior
507 Corrosion--Interior
508 Defective Component or Device
510 Deterioration or Aging
511 Dropped
513 Forklift Accident
514 Freezing
515 Human Error
516 Impact with Sharp or Protruding Object (e.g., nails)
517 Improper Preparation for Transportation
521 Inadequate Preparation for Transportation
522 Inadequate Procedures
523 Inadequate Training
529 Overfilled
530 Overpressurized
534 Too Much Weight on Package
535 Valve Open
536 Vandalism
537 Vehicular Crash or Accident Damage
538 Water Damage
Cylinders
Code What Failed
111 Cylinder Neck or Shoulder
112 Cylinder Sidewall--Near Base
113 Cylinder Sidewall--Other
114 Cylinder Valve
119 Frangible Disc
120 Fusible Pressure Relief Device or Element
122 Gauging Device
132 Liner
143 Pressure Relief Valve or Device--Non-Reclosing
144 Pressure Relief Valve or Device--Reclosing
161 Weld or Seam
Code How Failed
301 Abraded
303 Burst or Ruptured
304 Cracked
306 Failed to Operate
307 Gouged or Cut
308 Leaked
309 Punctured
313 Vented
Code Cause(s) of Failure
501 Abrasion
502 Broken Component or Device
503 Commodity Self-ignition
504 Commodity Polymerization
505 Conveyer or Material Handling Equipment Mishap
506 Corrosion--Exterior
507 Corrosion--Interior
508 Defective Component or Device
510 Deterioration or Aging
512 Fire, Temperature, or Heat
513 Forklift Accident
514 Freezing
515 Human Error
516 Impact with Sharp or Protruding Object (e.g., nails)
517 Improper Preparation for Transportation
519 Inadequate Blocking and Bracing
520 Inadequate Maintenance
521 Inadequate Preparation for Transportation
522 Inadequate Procedures
523 Inadequate Training
524 Incompatible Product
525 Incorrectly Sized Component or Device
526 Loose Closure, Component, or Device
527 Misaligned Material, Component, or Device
528 Missing Component or Device
529 Overfilled
530 Overpressurized
535 Valve Open
536 Vandalism
537 Vehicular Crash or Accident Damage
Portable Tanks
Code What Failed
105 Bolts or Nuts
106 Bottom Outlet Valve
107 Check Valve
108 Chime
109 Closure (e.g., Cap, Top, or Plug)
110 Cover
119 Frangible Disc
120 Fusible Pressure Relief Device or Element
121 Gasket
122 Gauging Device
125 Hose
127 Inlet (Loading) Valve
131 Lifting Lug
132 Liner
135 Loading or Unloading Lines
137 Manway or Dome Cover
140 Outer Frame
141 Piping or Fittings
143 Pressure Relief Valve or Device--Non-Reclosing
144 Pressure Relief Valve or Device--Reclosing
152 Threaded Connection
153 Vacuum Relief Valve
161 Weld or Seam
Code How Failed
301 Abraded
302 Bent
303 Burst or Ruptured
304 Cracked
305 Crushed
306 Failed to Operate
307 Gouged or Cut
308 Leaked
309 Punctured
310 Ripped or Torn
312 Torn Off or Damaged
313 Vented
Code Cause(s) of Failure
501 Abrasion
502 Broken Component or Device
503 Commodity Self-ignition
504 Commodity Polymerization
505 Conveyer or Material Handling Equipment Mishap
506 Corrosion--Exterior
507 Corrosion--Interior
508 Defective Component or Device
509 Derailment
510 Deterioration or Aging
511 Dropped
512 Fire, Temperature, or Heat
514 Freezing
515 Human Error
517 Improper Preparation for Transportation
520 Inadequate Maintenance
521 Inadequate Preparation for Transportation
522 Inadequate Procedures
523 Inadequate Training
524 Incompatible Product
525 Incorrectly Sized Component or Device
526 Loose Closure, Component, or Device
527 Misaligned Material, Component, or Device
528 Missing Component or Device
529 Overfilled
530 Overpressurized
531 Rollover Accident
536 Vandalism
537 Vehicular Crash or Accident Damage
Bulk Tank Vehicles--Cargo Tank Motor Vehicles (CTMV) and Tank Cars
Code What Failed
101 Air Inlet
105 Bolts or Nuts
106 Bottom Outlet Valve
107 Check Valve
110 Cover
115 Discharge Valve or Coupling
116 Excess Flow Valve
[[Page 30131]]
117 Fill Hole
118 Flange
119 Frangible Disc
120 Fusible Pressure Relief Device or Element
121 Gasket
122 Gauging Device
123 Heater Coil
124 High Level Sensor
125 Hose
126 Hose Adaptor or Coupling
127 Inlet (Loading) Valve
131 Lifting Lug
132 Liner
133 Liquid Line
134 Liquid Valve
135 Loading or Unloading Lines
136 Locking Bar
137 Manway or Dome Cover
138 Mounting Studs
139 O-Ring or Seals
141 Piping or Fittings
142 Piping Shear Section
143 Pressure Relief Valve or Device--Non-Reclosing
144 Pressure Relief Valve or Device--Reclosing
145 Remote Control Device
146 Sample Line
147 Stub Sill (Tank Car)
148 Sump
149 Tank Head
150 Tank Shell
151 Thermometer Well
152 Threaded Connection
153 Vacuum Relief Valve
154 Valve Body
155 Valve Seat
156 Valve Spring
157 Valve Stem
158 Vapor Valve
159 Vent
160 Washout
161 Weld or Seam
Code How Failed
301 Abraded
302 Bent
303 Burst or Ruptured
304 Cracked
305 Crushed
306 Failed to Operate
307 Gouged or Cut
308 Leaked
309 Punctured
310 Ripped or Torn
311 Structural
312 Torn Off or Damaged
313 Vented
Code Cause(s) of Failure
501 Abrasion
502 Broken Component or Device
503 Commodity Self-ignition
504 Commodity Polymerization
505 Conveyer or Material Handling Equipment Mishap
506 Corrosion--Exterior
507 Corrosion--Interior
508 Defective Component or Device
509 Derailment
510 Deterioration or Aging
511 Dropped
512 Fire, Temperature, or Heat
515 Human Error
517 Improper Preparation for Transportation
518 Inadequate Accident Damage Protection
519 Inadequate Blocking and Bracing
520 Inadequate Maintenance
521 Inadequate Preparation for Transportation
522 Inadequate Procedures
523 Inadequate Training
524 Incompatible Product
525 Incorrectly Sized Component or Device
526 Loose Closure, Component, or Device
527 Misaligned Material, Component, or Device
528 Missing Component or Device
529 Overfilled
530 Overpressurized
531 Rollover Accident
532 Stub Sill Separation from Tank (Tank Cars)
533 Threads Worn or Cross Threaded
536 Vandalism
537 Vehicular Crash or Accident Damage
Hazardous Materials Regulations 49 CFR Sections 171.15 and 171.16
Sec. 171.15--Immediate notice of certain hazardous materials
incidents.
(a) General. As soon as practical but no later than 12 hours
after the occurrence of any incident described in paragraph (b) of
this section, each person in physical possession of the hazardous
material must provide notice by telephone to the 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, Centers for Disease Control and
Prevention, 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 person 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) Reportable incident. A telephone report is required whenever
any of the following occurs during the course of transportation in
commerce (including loading, unloading, and temporary storage):
(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 major transportation artery or facility is closed or shut
down for one hour or more; or
(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) A release of a marine pollutant occurs 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) Written report. Each person making a report under this
section must also make the report required by Sec. 171.16 of this
subpart.
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.
Sec. 171.16--Detailed hazardous materials incident reports.
(a) General. Each person in physical possession of a hazardous
material at the time that any of the following incidents occurs
during transportation (including loading, unloading, and temporary
storage) must submit a Hazardous Materials Incident Report on DOT
Form F 5800.1 (01-2004) within 30 days of discovery of the incident:
(1) Any of the circumstances set forth in Sec. 171.15(b);
(2) An unintentional release of a hazardous material or the
discharge of any quantity of hazardous waste;
(3) A specification cargo tank with a capacity of 1,000 gallons
or greater containing any hazardous material suffers 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.
(b) Providing and retaining copies of the report. Each person
reporting under this section must--
(1) Submit a written Hazardous Materials Incident Report to the
Information Systems Manager, DHM-63, Research and Special Programs
Administration, Department of Transportation, Washington, DC 20590-
0001, or an electronic Hazardous Material Incident Report to the
Information System Manager, DHM-63, Research and Special Programs
Administration, Department of Transportation, Washington, DC 20590-
0001 at http://hazmat.dot.gov;
(2) For an incident involving transportation by aircraft, submit
a written or electronic copy of the Hazardous Materials Incident
Report to the FAA Security Field Office nearest the location of the
incident; and
(3) Retain a written or electronic copy of the Hazardous
Materials Incident Report for
[[Page 30132]]
a period of two years at the reporting person's principal place of
business. If the written or electronic Hazardous Materials Incident
Report is maintained at other than the reporting person's principal
place of business, the report must be made available at the
reporting person's principal place of business within 24 hours of a
request for the report by an authorized representative or special
agent of the Department of Transportation.
(c) Updating the incident report. A Hazardous Materials Incident
Report must be updated within one year of the date of occurrence of
the incident whenever:
(1) A death results from injury caused by a hazardous material;
(2) There was a misidentification of the hazardous material or
packaging information on a prior incident report;
(3) Damage, loss or related cost that was not known when the
initial incident report was filed becomes known; or
(4) Damage, loss, or related cost changes by $25,000 or more, or
10% of the prior total estimate, whichever is greater.
(d) Exceptions. Unless a telephone report is required under the
provisions of Sec. 171.15 of this part, the requirements of
paragraphs (a), (b), and (c) of this section do not apply to the
following incidents:
(1) A release of a minimal amount of material from--
(i) a vent, for materials for which venting is authorized;
(ii) the routine operation of a seal, pump, compressor, or
valve; or
(iii) connection or disconnection of loading or unloading lines,
provided that the release does not result in property damage.
(2) An unintentional release of hazardous material when:
(i) The material is properly classed as--
(A) ORM-D; or
(B) a Packing Group III material in Class or Division 3, 4, 5,
6.1, 8, or 9;
(ii) Each packaging has a capacity of less than 20 liters (5.2
gallons) for liquids or less than 30 kg (66 pounds) for solids;
(iii) The total aggregate release is less than 20 liters (5.2
gallons) for liquids or less than 30 kg (66 pounds) for solids; and
(iv) The material is not--
(A) offered for transportation or transported by aircraft,
(B) a hazardous waste, or
(C) an undeclared hazardous material.
(3) An undeclared hazardous material discovered in an air
passenger's checked or carry-on baggage during the airport screening
process. (For discrepancy reporting by carriers, see Sec. 175.31 of
this subchapter.)
[FR Doc. 04-11398 Filed 5-25-04; 8:45 am]
BILLING CODE 4910-60-P