2137-0572 Justification HM-231

Department of Transportation

Office of the Chief Information Officer

Supporting Statement

Testing Requirements for Non-Bulk Packaging

(Expiration date: March 31, 2010)

Introduction

This is to request the Office of Management and Budget’s (OMB) renewed three-year approved clearance for the information collection entitled, “Testing Requirements for Non-Bulk Packaging (Formerly Testing Requirements for Packaging)” under OMB Control No. 2137-0572, which is currently due to expire on March 31, 2010.

Part A. Justification.

1. Circumstances that make collection of information necessary.

This is a request for renewal without change of an existing approval under OMB No. 2137-0572, applicable to the Hazardous Materials Regulations (HMR; 49 CFR Parts 100-180). This information collection supports the Departmental Strategic Goal for Safety.

The HMR are promulgated in accordance with U.S.C. 5110, the Federal hazardous materials transportation law. This information collection is being submitted at this time because of: (1) its upcoming expiration date; (2) comments received in response to HM-231 Notice of Proposed Rulemaking (NPRM) entitled “Miscellaneous Packaging Amendments;” and (3) expiration of first-year start-up burden for the HM-224B Final Rule entitled “Transportation of Compressed Oxygen, Other Oxidizing Gases and Chemical Oxygen Generators on Aircraft.”

The strength and integrity of non-bulk packaging is established by a series of performance tests which the packaging must either pass or be capable of passing before it is authorized for the carriage of hazardous materials; hence, the term “performance-oriented packaging standards.” The goal is to promote safety in transport through the use of better materials classification and packaging through performance-oriented packaging.

The Director, Office of Hazardous Materials Safety requires proof, through testing, that packagings meet specified requirements as permitted in § 178.601(l). Manufacturers are required to keep records of design qualification tests and periodic retests, and to make records available for inspection upon request. The format of these records is left to the discretion of the individual manufacturers. The test records must be maintained at each facility where packagings are produced for at least two years following testing. Section 178.2 requires that manufacturers notify, in writing, persons to whom packagings are transferred of any specification requirements that have not been met at the time of transfer and of any actions which need to be taken to comply with specification requirements. Subsequent distributors, as well as manufacturers, must provide the written notification. Copies of the notifications must be retained by the manufacturer and each transferee of the packaging for at least one year.

2. How, by whom, and for what purpose is the information used.

Performance-oriented packaging standards allow packaging manufacturers and shippers more flexibility in selecting more economical packagings for their products, customizing the design of packagings to better suit the transportation environment that they will encounter, encourage technological innovations, decrease packaging costs, and significantly reduce the need for exemptions.

3. Extent of automated information collection.

The burden has been made as simple as possible. The information requested is necessary to ensure safe operation. Information is considered critical in making evaluations and assuring safe transport, loading and unloading of RAM. The Government Paperwork Elimination Act directs agencies to allow the option of electronic filing and recordkeeping by October 2003, when practicable. Electronic filing and recordkeeping is authorized; however, the Pipeline and Hazardous Materials Safety Administration (PHMSA) does not require these records to be submitted to us, so is not practicable.

4. Efforts to identify duplication.

There is no duplication, as the information is unique to specific situations.

5. Efforts to minimize the burden on small businesses.

Because this information is unique, similar information is unavailable. This information collection provides affected entities, including small businesses, the opportunity to allow packaging manufacturers and shippers more flexibility in selecting more economical packagings for their products, customizing the design of packagings to better suit the transportation environment that they will encounter, encourage technological innovations, decrease packaging costs, and significantly reduce the need for special permits or exemptions. The collection of this information is reviewed periodically to ensure that the requirements involving safety in the transportation of hazardous materials are kept to the necessary standards to protect all parties involved.

5. Impact of less frequent collection of information.

These requirements are necessary to ensure that packaging containing hazardous materials are meeting prescribed safety standards for transportation in commerce.

7. Special circumstances.

This collection of information is generally conducted in a manner consistent with the guidelines in 5 CFR 1320.5 (d)(2).

8. Compliance with 5 CFR 1320.8.

PHMSA published a Notice of Proposed Rulemaking (NPRM) under Docket No. PHMSA-06-25736 (HM-231) in the Federal Register [71 FR 52107] on September 1, 2006. This current information collection, OMB Control no. 2137-0572, was included because of proposals to: (1) clarify closure instruction requirements; and (2) to require shippers to retain packaging closure instructions. Prior to this NPRM, a person transferring a packaging to a shipper or distributor must furnish a copy of the closure instructions; however, there was no requirement for the shipper to retain the documentation. In response to the NPRM, we received comments that requiring detailed closure instructions would be costly and burdensome. We also received comments indicating that retention of closure instructions is not a common practice, as we had previously assumed, and would also be burdensome.

PHMSA published a Final Rule in the Federal Register on February 2, 2010 [75 FR 5376], in which we explained that commenters were not correct in assuming that the proposed language requiring packagings to be closed “in the same manner” as when the package design type was tested was a new requirement, but, rather, a longstanding regulatory requirement. We explained that the proposed revision was intended to clarify that packaging closure methods must be “consistent and repeatable,” but need not necessarily require instruments such as a torque wrench. Therefore, to respond to commenters’ concerns, provide additional flexibility, and to mitigate any additional burden or compliance costs, in the Final Rule, we clarified the language in § 178.2 to specify that any closure method is authorized, provided it is measurable and repeatable. We also amended § 178.2 to clarify that information required in this section, including closure instructions, may be transmitted using electronic means instead of, or in addition to, written notification. We further explained that such electronic means of notification may include emailed transmissions or transmission on a CD or similar device. To address commenters’ concerns that retention of closure instructions would be burdensome, in the Final Rule, we revised § 173.22 to reduce the required retention period and to allow several cost-effective methods for retention. For example, a shipper may maintain closure instructions in an electronic format or as part of a package of guidance material for hazmat employees who are responsible for filling and closing packagings. Further, the closure instructions need not be maintained in the precise format or wording provided by the manufacturer. If a shipper identifies a more effective way to communicate closure instructions to its hazmat employees—such as through graphical or pictorial depictions, step-by-step instructions, simplified wording, or similar methods—a shipper may do so provided the substance of the closure instructions is retained. The closure instructions should be retained in a format that will ensure that each hazmat employee responsible for closing the packaging to which the instructions apply understands the instructions and can apply them consistently. Finally, to capture the vast majority or current packaging manufacturers’ practices and to virtually eliminate any additional burden, we also adopted an exception from this requirement for closure instructions that are permanently embossed or printed on the packaging.

9. Payments or gifts to respondents.

There is no payment or gift to respondents associated with this collection of information.

10. Assurance of confidentiality.

None of the data collected contain personally identifiable information (PII) or business confidential information. Therefore, no guarantees of confidentiality are provided to applicants.

11. Justification for collection of sensitive information.

Not applicable. Information is not of a sensitive nature.

12. Estimate of burden hours for information requested.

Estimate of Annual Burden:

Total annual number of respondents: 5,010

Total annual responses: 15,500

Total annual burden hours: 32,500

Total annual burden costs: $812,500

Current annual responses: 15,500

Expiration of HM-224B first-year start-up: 0

Additional responses resulting from HM-231: 0

Total revised annual responses: 15,500

Current annual burden hours: 32,500

Expiration of HM-224B first-year start-up: -2,500

Addition of HM-224B subsequent year hours: 150

Additional hours resulting from HM-231: 2,350

Total revised annual burden hours: 32,500

Current annual burden costs: $812,500

Expiration of HM-224B first-year start-up: -$62,500

Addition of HM-224B subsequent year costs: $3,750

Additional costs resulting from HM-231: $58,750

Total revised annual burden costs: $812,500

Estimate of Annual Responses:

Estimate of annual responses prior to HM-224B and HM-231 Final Rule changes:

It is estimated that 5,000 packaging firms will take approximately 2 hours to test and record an average of 3 packaging design types each year. The design type may be for a single packaging, or a series of packagings made to the same design. Therefore, a test record is not required to be completed for each packaging, but of each design.

5,000 packaging firms x 3 packaging design types =

5,000 x 3 =

15,000 annual responses.

HM-224B Final Rule changes:

It is estimated that approximately 10 packaging firms will take approximately 5 hours to test and record an average of 50 packaging design types each year for the first year, and, approximately 3 packaging design types thereafter. The design type may be for a single packaging, or a series of packagings made to the same design. Therefore, a test record is not required to be completed for each packaging, but of each design.

10 packaging firms x 50 packaging design types =

10 x 50 =

500 additional annual responses.

HM-231 Final Rule changes:

It is estimated that approximately 3% of the 15,500 total responses, or 470 responses, will be affected by the closure instructions-related requirements specified in HM-231. These requirements will not increase the total number of responses, as they have been previously accounted for. However, these requirements will increase the total burden hours and costs.

Estimate of Annual Burden Hours:

Current annual burden hours: 32,500 hours

Expiration of HM-224B first-year start-up hours: -2,500 hours

Addition of HM-224B subsequent year hours: 150 hours

Addition of HM-231 burden hours: 2,350 hours

Revised annual burden hours: 32,500 hours

Estimate of annual burden hours prior to HM-224B and HM-231 Final Rule changes:

It is estimated that 5,000 packaging firms will take approximately 2 hours to test and record an average of 3 packaging design types each year. The design type may be for a single packaging, or a series of packagings made to the same design. Therefore, a test record is not required to be completed for each packaging, but of each design.

5,000 packaging firms x 3 packaging design types x 2 hours to test and record =

5,000 x 3 x 2 =

30,000 annual burden hours.

HM-224B Final Rule changes:

Docket HM-224 Final Rule, published in January, 2007, required that compressed oxygen and packages of chemical oxygen generators be placed in an outer packaging that meets certain flame penetration and thermal resistance requirements when transported aboard an aircraft. This packaging requirement required package design testing and recordkeeping in order to increase the level of safety associated with transportation of these materials aboard aircraft.

It is estimated that approximately 10 packaging firms will take approximately 5 hours to test and record an average of 50 packaging design types each year for the first year, and, approximately 3 packaging design types thereafter. The design type may be for a single packaging, or a series of packagings made to the same design. Therefore, a test record is not required to be completed for each packaging, but of each design.

10 packaging firms x 50 packaging design types x 5 hrs to test and record =

10 x 50 x 5 =

2,500 annual burden hours (first year).

10 packaging firms x 3 packaging design types x 5 hrs to test and record =

10 x 3 x 5 =

150 annual burden hours (subsequent years).

HM-231 Final Rule changes:

Docket HM-231 Final Rule is amending packaging requirements in the Hazardous Materials Regulations to enhance compliance flexibility, improve clarity, and reduce regulatory burdens. Specifically, we are revising several packaging related definitions; adding provisions to allow more flexibility when preparing and transmitting closure instructions, including conditions under which closure instructions may be transmitted electronically; adding a requirement for shippers to retain packaging closure instructions; incorporating new language that will allow for a practicable means of stenciling the “`UN” symbol on packagings; and clarifying a requirement to document the methodology used when determining whether a change in packaging configuration requires retesting as a new design or may be considered a variation of a previously tested design. This final rule also incorporates requirements for construction, maintenance, and use of Large Packagings.

It is estimated that approximately 470 responses will take approximately 5 hours to prepare, transmit, and retain closure instructions.

470 responses x 5 hrs to prepare, transmit, and retain closure instructions =

470 x 5 =

2,350 annual burden hours.

Estimate of cost of annual burden hours:

Current Annual Burden Costs: $ 812,500

Expiration of HM-224B start-up costs: -$ 62,500

Addition of HM-224B subsequent costs: $ 3,750

Addition of HM-231 burden costs: $ 58,750

Revised annual burden costs: $ 812,500

Estimate of annual burden costs prior to HM-224B and HM-231 Final Rule changes:

An estimated 5,000 packaging firms will spend approximately $25 per hour x 2 hours complying with testing and recordkeeping requirements for an average of 3 packaging designs each year.

5,000 packaging firms x $25 per hour x 2 hours x 3 design types =

5,000 x $25 x 2 x 3 =

$750,000.00 annual burden cost (subsequent years).

HM-224B Final Rule changes:

It is estimated that 10 packaging firms will spend approximately $25 per hour x 5 hours to comply with testing and recordkeeping requirements for an average of 50 packaging design types the first year.

10 packaging firms x $25 per hour x 5 hours x 50 design types =

10 x $25 x 5 x 50 =

$62,500 annual burden cost (first year).

Thereafter, 10 packaging firms will spend $25 per hour x 5 hours complying with testing and recordkeeping requirements for an average of 3 packaging design types thereafter.

10 packaging firms x $25 per hour x 5 hours x 3 design types =

10 x $25 x 5 x 3 =

$3,750 annual burden cost (subsequent years).

HM-231 Final Rule changes:

It is estimated that 470 responses will require approximately 5 hours to prepare, transmit, and retain closure instructions at approximately $25 per hour.

470 responses x 5 hrs x $25 per hour =

470 x 5 x $25 =

$58,750 annual burden cost.

Estimate of total annual costs to respondents.

There is no cost burden to respondents except those identified in item 12 above.

Estimate of cost to the Federal government.

There is no cost to the Federal government.

Explanation of program changes or adjustments.

The change in burden is the result of the expiration of first-year burden associated with the HM-224B Final Rule and the incorporation of revisions resulting from the HM-231 Final Rule.

Publication of results of data collection.

There is no publication for statistical use and no statistical techniques are involved.

Approval for not displaying the expiration date of OMB approval.

Approved OMB number is prominently displayed in the text of 49 CFR 171.6.

Exceptions to certification statement.

There is no exception to PHMSA’s certification of this request for information collection approval.

Attachments:

Part B. Collections of Information Employing Statistical Methods.

This information collection does not employ statistical methods.

1. Describe potential respondent universe and any sampling selection method to be used.

There is no potential respondent universe or any sampling selection method being used.

2. Describe procedures for collecting information, including statistical methodology for stratification and sample selection, estimation procedures, degree of accuracy needed, and less than annual periodic data cycles.

There are no procedures for collecting information, including statistical methodology for stratification and sample selection, estimation procedures, degree of accuracy needed, and less than annual periodic data cycles.

3. Describe methods to maximize response rate.

There are no methods to maximize the response rate.

4. Describe tests of procedures or methods.

There are no tests of procedures or methods.

5. Provide name and telephone number of individuals who were consulted on statistical aspects of the information collection and who will actually collect and/or analyze the information.

There were no individuals consulted on statistical aspects of this information collection.