[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  

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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