Statutory Regulations

Coast Guard, DHS

§ 101.305

Subpart B—Maritime Security
(MARSEC) Levels
§ 101.200

MARSEC Levels.

(a) MARSEC Levels advise the maritime community and the public of the
level of risk to the maritime elements
of the national transportation system.
Ports, under direction of the local
COTP, will respond to changes in the
MARSEC Level by implementing the
measures specified in the AMS Plan.
Similarly, vessels and facilities required to have security plans under
part 104, 105, or 106 of this subchapter
shall implement the measures specified
in their security plans for the applicable MARSEC Level.
(b) Unless otherwise directed, each
port, vessel, and facility shall operate
at MARSEC Level 1.
(c) The Commandant will set (raise
or lower) the MARSEC Level commensurate with risk, and in consideration
of any maritime nexus to any active
National Terrorism Advisory System
(NTAS) alerts. Notwithstanding the
NTAS, the Commandant retains discretion to adjust the MARSEC Level when
necessary to address any particular security concerns or circumstances related to the maritime elements of the
national transportation system.
(d) The COTP may raise the MARSEC
Level for the port, a specific marine
operation within the port, or a specific
industry within the port, when necessary to address an exigent circumstance immediately affecting the
security of the maritime elements of
the transportation in his/her area of responsibility. Application of this delegated authority will be pursuant to
policies and procedures specified by the
Commandant.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2013–0397, 78 FR 39173,
July 1, 2013]

§ 101.205

[Reserved]

Subpart C—Communication
(Port—Facility—Vessel)
§ 101.300 Preparedness
tions.

communica-

(a) Notification of MARSEC Level
change. The COTP will communicate

any changes in the MARSEC Levels
through a local Broadcast Notice to
Mariners, an electronic means, if available, or as detailed in the AMS Plan.
(b) Communication of threats. When
the COTP is made aware of a threat
that may cause a transportation security incident, the COTP will, when appropriate, communicate to the port
stakeholders, vessels, and facilities in
his or her AOR the following details:
(1) Geographic area potentially impacted by the probable threat;
(2) Any appropriate information identifying potential targets;
(3) Onset and expected duration of
probable threat;
(4) Type of probable threat; and
(5) Required actions to minimize
risk.
(c) Attainment. (1) Each owner or operator of a vessel or facility required to
have a security plan under parts 104 or
105 of this subchapter affected by a
change in the MARSEC Level must ensure confirmation to their local COTP
the attainment of measures or actions
described in their security plan and
any other requirements imposed by the
COTP that correspond with the
MARSEC Level being imposed by the
change.
(2) Each owner or operator of a facility required to have a security plan
under part 106 of this subchapter affected by a change in the MARSEC
Level must ensure confirmation to
their cognizant District Commander
the attainment of measures or actions
described in their security plan and
any other requirements imposed by the
District Commander or COTP that correspond with the MARSEC Level being
imposed by the change.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended at 68 FR 60472, Oct. 22, 2003]

§ 101.305

Reporting.

(a) Notification of suspicious activities.
An owner or operator required to have
a security plan under part 104, 105, or
106 of this subchapter shall, without
delay, report activities that may result
in a transportation security incident to
the National Response Center at the
following toll free telephone: 1–800–424–
8802, direct telephone 202–267–2675, or
TDD 202–267–4477. Any other person or

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§ 101.310

33 CFR Ch. I (7–1–13 Edition)

entity is also encouraged to report activities that may result in a transportation security incident to the National Response Center.
(b) Notification of breaches of security.
An owner or operator required to have
a security plan under parts 104, 105, or
106 of this subchapter shall, without
delay, report breaches of security to
the National Response Center via one
of the means listed in paragraph (a) of
this section.
(c) Notification of transportation security incident (TSI). (1) Any owner or operator required to have a security plan
under part 104 or 105 of this subchapter
shall, without delay, report a TSI to
their local COTP and immediately
thereafter begin following the procedures set out in their security plan,
which may include contacting the National Response Center via one of the
means listed in paragraph (a) of this
section.
(2) Any owner or operator required to
have a security plan under part 106 of
this subchapter shall, without delay,
report a TSI to their cognizant District
Commander and immediately thereafter begin following the procedures set
out in their security plan, which may
include contacting the National Response Center via one of the means
listed in paragraph (a) of this section.
(d) Callers to the National Response
Center should be prepared to provide as
much of the following information as
possible:
(1) Their own name and contact information;
(2) The name and contact information of the suspicious or responsible
party;
(3) The location of the incident, as
specifically as possible; and
(4) The description of the incident or
activity involved.
[USCG–2003–14792, 68 FR 39278, July 1, 2003, as
amended by USCG–2004–18057, 69 FR 34925,
June 23, 2004; USCG–2005–21531, 70 FR 36349,
June 23, 2005; USCG–2006–25150, 71 FR 39208,
July 12, 2006; USCG–2008–0179, 73 FR 35009,
June 19, 2008]

§ 101.310 Additional
communication
devices.
(a) Alert Systems. Alert systems, such
as the ship security alert system required in SOLAS Chapter XI–2, Regula-

tion 6 (Incorporated by reference, see
§ 101.115), may be used to augment communication and may be one of the communication methods listed in a vessel
or facility security plan under part 104,
105, or 106 of this subchapter.
(b) Automated Identification Systems
(AIS). AIS may be used to augment
communication, and may be one of the
communication methods listed in a
vessel security plan under part 104 of
this subchapter. See 33 CFR part 164 for
additional information on AIS device
requirements.

Subpart D—Control Measures for
Security
§ 101.400 Enforcement.
(a) The rules and regulations in this
subchapter are enforced by the COTP
under the supervision and general direction of the District Commander,
Area Commander, and the Commandant. All authority and power
vested in the COTP by the rules and
regulations in this subchapter is also
vested in, and may be exercised by, the
District Commander, Area Commander,
and the Commandant.
(b) The COTP, District Commander,
Area Commander, or Commandant may
assign the enforcement authority described in paragraph (a) of this section
to any other officer or petty officer of
the Coast Guard or other designees authorized by the Commandant.
(c) The provisions in this subchapter
do not limit the powers conferred upon
Coast Guard commissioned, warrant, or
petty officers by any other law or regulation, including but not limited to 33
CFR parts 6, 160, and 165.
§ 101.405 Maritime Security (MARSEC)
Directives.
(a)(1) When the Coast Guard determines that additional security measures are necessary to respond to a
threat assessment or to a specific
threat against the maritime elements
of the national transportation system,
the Coast Guard may issue a MARSEC
Directive setting forth mandatory
measures. Only the Commandant or
his/her delegee may issue MARSEC Directives under this section. Prior to
issuing a MARSEC Directive, the Commandant or his/her delegee will consult

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§ 153.105

33 CFR Ch. I (7-1-14 Edition)

(t) Sorbent means materials essentially inert and insoluble used to remove oil from water through a variety
of sorption mechanisms. Examples include straw, expanded perlite, polyurethane foam, reclaimed paper fibers,
and peat moss.
(u) Such quantities as may be harmful
means those quantities of oil and any
hazardous substances determined in accordance with the provisions of section
311(b)(4) of the Act.
NOTE: Regulations that relate to such
quantities as may be harmful of oil are published in 40 CFR Part 110. Regulations that
relate to such quantities as may be harmful
(reportable quantities) of hazardous substances are published in 40 CFR Part 117 and
also listed in 40 CFR Part 302.

(v) United States means the States,
the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, and the
Trust Territory of the Pacific Islands.
(w) Vessel means every description of
watercraft or other artificial contrivance used, or capable of being used, as
a means of transportation on water
other than a public vessel.
[CGD 84-067, 51 FR 17965, May 16, 1986, as
amended by CGD 88-052, 53 FR 25121, July 1,
1988; CGD 96-026, 61 FR 33665, June 28, 1996;
CGD 97-023, 62 FR 33363, June 19, 1997; USCG2002-12471, 67 FR 41333, June 18, 2002; USCG2008-0179, 73 35014, June 19, 2008]

§ 153.105 FWPCA delegations and redelegation.
The delegations and redelegations
under the Federal Water Pollution
Control Act (FWPCA) [33 U.S.C. 1321 et
seq.] are published in § 1.01-80 and § 1.0185, respectively, of this chapter.
[CGD 91-225, 59 FR 66485, Dec. 27, 1994]

§ 153.107

[Reserved]

§ 153.109

CERCLA delegations.

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The delegations under the Comprehensive Environmental Response,
Compensation, and Liability Act of
1980 (CERCLA) are published in § 1.01-70
of this chapter.
[CGD 83-009, 49 FR 575, Jan. 5, 1984]

Subpart B—Notice of the Discharge of Oil or a Hazardous
Substance
§ 153.201

Purpose.

The purpose of this subpart is to prescribe the manner in which the notice
required in section 311(b)(5) of the Act
is to be given and to list the government officials to receive that notice.
§ 153.203 Procedure for the notice of
discharge.
Any person in charge of a vessel or of
an onshore or offshore facility shall, as
soon as they have knowledge of any
discharge of oil or a hazardous substance from such vessel or facility in
violation of section 311(b)(3) of the Act,
immediately notify the National Response Center (NRC), U.S. Coast Guard,
2100 2nd St., SW., Stop 7238, Washington, DC 20593-7238, toll free telephone
number: 800-424-8802, direct telephone:
202-267-2675, or Fax: 202-267-1322. If direct reporting to the NRC is not practicable, reports may be made to the
Coast Guard or EPA predesignated OSC
for the geographic area where the discharge occurs. All such reports shall be
promptly relayed to the NRC. If it is
not possible to notify the NRC or the
predesignated OSC immediately, reports may be made immediately to the
nearest Coast Guard unit, provided
that the person in charge of the vessel
or onshore or offshore facility notifies
the NRC as soon as possible. A report
made under this section satisfies the
reporting requirements of § 151.15 of
this chapter and of 46 CFR 4.05-1, if required under that provision.
NOTE: Geographical jurisdiction of Coast
Guard and EPA OSC’s are specified in the applicable Regional Contingency Plan. Regional Contingency Plans are available at
Coast Guard District Offices and EPA Regional Offices as indicated in Table 2. Addresses and telephone numbers for these offices are listed in Table 1.
[CGD 84-067, 51 FR 17966, May 16, 1986, as
amended by CGD 88-052, 53 FR 25121, July 1,
1988; USCG-2000-6927, 70 FR 74675, Dec. 16,
2005; USCG-2006-25150, 71 FR 39209, July 12,
2006; USCG-2008-0179, 73 FR 35014, June 19,
2008; USCG-2010-0351, 75 FR 36284, June 25,
2010]

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Environmental Protection Agency

Pt. 264

(2) The final rail transporter must
keep a copy of the signed manifest (or
the shipping paper if signed by the designated facility in lieu of the manifest)
for a period of three years from the
date the hazardous waste was accepted
by the initial transporter.
NOTE: Intermediate rail transporters are
not required to keep records pursuant to
these regulations.

(d) A transporter who transports hazardous waste out of the United States
must keep a copy of the manifest indicating that the hazardous waste left
the United States for a period of three
years from the date the hazardous
waste was accepted by the initial
transporter.
(e) The periods of retention referred
to in this Section are extended automatically during the course of any unresolved enforcement action regarding
the regulated activity or as requested
by the Administrator.
[45 FR 33151, May 19, 1980, as amended at 45
FR 86973, Dec. 31, 1980]

§ 263.31

Discharge clean up.

A transporter must clean up any hazardous waste discharge that occurs
during transportation or take such action as may be required or approved by
Federal, State, or local officials so that
the hazardous waste discharge no
longer presents a hazard to human
health or the environment.

PART 264—STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS
WASTE
TREATMENT,
STORAGE, AND DISPOSAL FACILITIES
Subpart A—General

Subpart C—Hazardous Waste
Discharges

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Hazardous Materials Regulations, Materials Transportation Bureau, Department of Transportation, Washington,
DC 20590.
(d) A water (bulk shipment) transporter who has discharged hazardous
waste must give the same notice as required by 33 CFR 153.203 for oil and hazardous substances.

§ 263.30 Immediate action.
(a) In the event of a discharge of hazardous waste during transportation,
the transporter must take appropriate
immediate action to protect human
health and the environment (e.g., notify local authorities, dike the discharge area).
(b) If a discharge of hazardous waste
occurs during transportation and an official (State or local government or a
Federal Agency) acting within the
scope of his official responsibilities determines that immediate removal of
the waste is necessary to protect
human health or the environment, that
official may authorize the removal of
the waste by transporters who do not
have EPA identification numbers and
without the preparation of a manifest.
(c) An air, rail, highway, or water
transporter who has discharged hazardous waste must:
(1) Give notice, if required by 49 CFR
171.15, to the National Response Center
(800–424–8802 or 202–426–2675); and
(2) Report in writing as required by
49 CFR 171.16 to the Director, Office of

Sec.
264.1 Purpose, scope and applicability.
264.2 [Reserved]
264.3 Relationship to interim status standards.
264.4 Imminent hazard action.

Subpart B—General Facility Standards
264.10 Applicability.
264.11 Identification number.
264.12 Required notices.
264.13 General waste analysis.
264.14 Security.
264.15 General inspection requirements.
264.16 Personnel training.
264.17 General requirements for ignitable,
reactive, or incompatible wastes.
264.18 Location standards.
264.19 Construction quality assurance program.

Subpart C—Preparedness and Prevention
264.30 Applicability.
264.31 Design and operation of facility.
264.32 Required equipment.
264.33 Testing and maintenance of equipment.
264.34 Access to communications or alarm
system.
264.35 Required aisle space.
264.36 [Reserved]
264.37 Arrangements with local authorities.

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§ 264.53

40 CFR Ch. I (7–1–13 Edition)

home) of all persons qualified to act as
emergency coordinator (see § 264.55),
and this list must be kept up to date.
Where more than one person is listed,
one must be named as primary emergency coordinator and others must be
listed in the order in which they will
assume responsibility as alternates.
For new facilities, this information
must be supplied to the Regional Administrator at the time of certification, rather than at the time of permit application.
(e) The plan must include a list of all
emergency equipment at the facility
(such as fire extinguishing systems,
spill control equipment, communications and alarm systems (internal and
external), and decontamination equipment), where this equipment is required. This list must be kept up to
date. In addition, the plan must include the location and a physical description of each item on the list, and
a brief outline of its capabilities.
(f) The plan must include an evacuation plan for facility personnel where
there is a possibility that evacuation
could be necessary. This plan must describe signal(s) to be used to begin
evacuation, evacuation routes, and alternate evacuation routes (in cases
where the primary routes could be
blocked by releases of hazardous waste
or fires).
[45 FR 33221, May 19, 1980, as amended at 46
FR 27480, May 20, 1981; 50 FR 4514, Jan. 31,
1985; 71 FR 16903, Apr. 4, 2006; 75 FR 13005,
Mar. 18, 2010]

§ 264.53

Copies of contingency plan.

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A copy of the contingency plan and
all revisions to the plan must be:
(a) Maintained at the facility; and
(b) Submitted to all local police departments, fire departments, hospitals,
and State and local emergency response teams that may be called upon
to provide emergency services.
[Comment: The contingency plan must be
submitted to the Regional Administrator
with Part B of the permit application under
part 270, of this chapter and, after modification or approval, will become a condition of
any permit issued.]
[45 FR 33221, May 19, 1980, as amended at 48
FR 30115, June 30, 1983; 50 FR 4514, Jan. 31,
1985]

§ 264.54 Amendment
plan.

of

contingency

The contingency plan must be reviewed, and immediately amended, if
necessary, whenever:
(a) The facility permit is revised;
(b) The plan fails in an emergency;
(c) The facility changes—in its design, construction, operation, maintenance, or other circumstances—in a
way that materially increases the potential for fires, explosions, or releases
of hazardous waste or hazardous waste
constituents, or changes the response
necessary in an emergency;
(d) The list of emergency coordinators changes; or
(e) The list of emergency equipment
changes.
[45 FR 33221, May 19, 1980, as amended at 50
FR 4514, Jan. 31, 1985; 53 FR 37935, Sept. 28,
1988]

§ 264.55

Emergency coordinator.

At all times, there must be at least
one employee either on the facility
premises or on call (i.e., available to
respond to an emergency by reaching
the facility within a short period of
time) with the responsibility for coordinating all emergency response
measures. This emergency coordinator
must be thoroughly familiar with all
aspects of the facility’s contingency
plan, all operations and activities at
the facility, the location and characteristics of waste handled, the location
of all records within the facility, and
the facility layout. In addition, this
person must have the authority to
commit the resources needed to carry
out the contingency plan.
[Comment: The emergency coordinator’s responsibilities are more fully spelled out in
§ 264.56. Applicable responsibilities for the
emergency coordinator vary, depending on
factors such as type and variety of waste(s)
handled by the facility, and type and complexity of the facility.]

§ 264.56

Emergency procedures.

(a) Whenever there is an imminent or
actual emergency situation, the emergency coordinator (or his designee
when the emergency coordinator is on
call) must immediately:

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pmangrum on DSK3VPTVN1PROD with CFR

Environmental Protection Agency

§ 264.56

(1) Activate internal facility alarms
or communication systems, where applicable, to notify all facility personnel; and
(2) Notify appropriate State or local
agencies with designated response roles
if their help is needed.
(b) Whenever there is a release, fire,
or explosion, the emergency coordinator must immediately identify the
character, exact source, amount, and
areal extent of any released materials.
He may do this by observation or review of facility records or manifests,
and, if necessary, by chemical analysis.
(c) Concurrently, the emergency coordinator must assess possible hazards
to human health or the environment
that may result from the release, fire,
or explosion. This assessment must
consider both direct and indirect effects of the release, fire, or explosion
(e.g., the effects of any toxic, irritating, or asphyxiating gases that are
generated, or the effects of any hazardous surface water run-off from
water or chemical agents used to control fire and heat-induced explosions).
(d) If the emergency coordinator determines that the facility has had a release, fire, or explosion which could
threaten human health, or the environment, outside the facility, he must report his findings as follows:
(1) If his assessment indicates that
evacuation of local areas may be advisable, he must immediately notify appropriate local authorities. He must be
available to help appropriate officials
decide whether local areas should be
evacuated; and
(2) He must immediately notify either the government official designated as the on-scene coordinator for
that geographical area, or the National
Response Center (using their 24-hour
toll free number 800/424–8802). The report must include:
(i) Name and telephone number of reporter;
(ii) Name and address of facility;
(iii) Time and type of incident (e.g.,
release, fire);
(iv) Name and quantity of material(s)
involved, to the extent known;
(v) The extent of injuries, if any; and
(vi) The possible hazards to human
health, or the environment, outside the
facility.

(e) During an emergency, the emergency coordinator must take all reasonable measures necessary to ensure
that fires, explosions, and releases do
not occur, recur, or spread to other
hazardous waste at the facility. These
measures must include, where applicable, stopping processes and operations,
collecting and containing release
waste, and removing or isolating containers.
(f) If the facility stops operations in
response to a fire, explosion, or release,
the emergency coordinator must monitor for leaks, pressure buildup, gas
generation, or ruptures in valves,
pipes, or other equipment, wherever
this is appropriate.
(g) Immediately after an emergency,
the emergency coordinator must provide for treating, storing, or disposing
of recovered waste, contaminated soil
or surface water, or any other material
that results from a release, fire, or explosion at the facility.
[Comment: Unless the owner or operator can
demonstrate, in accordance with § 261.3(c) or
(d) of this chapter, that the recovered material is not a hazardous waste, the owner or
operator becomes a generator of hazardous
waste and must manage it in accordance
with all applicable requirements of parts 262,
263, and 264 of this chapter.]

(h) The emergency coordinator must
ensure that, in the affected area(s) of
the facility:
(1) No waste that may be incompatible with the released material is treated, stored, or disposed of until cleanup
procedures are completed; and
(2) All emergency equipment listed in
the contingency plan is cleaned and fit
for its intended use before operations
are resumed.
(i) The owner or operator must note
in the operating record the time, date,
and details of any incident that requires implementing the contingency
plan. Within 15 days after the incident,
he must submit a written report on the
incident to the Regional Administrator. The report must include:
(1) Name, address, and telephone
number of the owner or operator;
(2) Name, address, and telephone
number of the facility;
(3) Date, time, and type of incident
(e.g., fire, explosion);

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§ 264.70

40 CFR Ch. I (7–1–13 Edition)

(4) Name and quantity of material(s)
involved;
(5) The extent of injuries, if any;
(6) An assessment of actual or potential hazards to human health or the environment, where this is applicable;
and
(7) Estimated quantity and disposition of recovered material that resulted from the incident.
[45 FR 33221, May 19, 1980, as amended at 50
FR 4514, Jan. 31, 1985; 71 FR 16903, Apr. 4,
2006; 75 FR 13005, Mar. 18, 2010]

Subpart E—Manifest System,
Recordkeeping, and Reporting
§ 264.70

Applicability.

(a) The regulations in this subpart
apply to owners and operators of both
on-site and off-site facilities, except as
§ 264.1 provides otherwise. Sections
264.71, 264.72, and 264.76 do not apply to
owners and operators of on-site facilities that do not receive any hazardous
waste from off-site sources, nor to owners and operators of off-site facilities
with respect to waste military munitions exempted from manifest requirements under 40 CFR 266.203(a). Section
264.73(b) only applies to permittees who
treat, store, or dispose of hazardous
wastes on-site where such wastes were
generated.
(b) The revised Manifest form and
procedures in 40 CFR 260.10, 261.7,
264.70, 264.71. 264.72, and 264.76, shall not
apply until September 5, 2006. The
Manifest form and procedures in 40
CFR 260.10, 261.7, 264.70, 264.71. 264.72,
and 264.76, contained in the 40 CFR,
parts 260 to 265, edition revised as of
July 1, 2004, shall be applicable until
September 5, 2006.
[70 FR 10821, Mar. 4, 2005]

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§ 264.71

Use of manifest system.

(a)(1) If a facility receives hazardous
waste accompanied by a manifest, the
owner, operator or his/her agent must
sign and date the manifest as indicated
in paragraph (a)(2) of this section to
certify that the hazardous waste covered by the manifest was received, that
the hazardous waste was received except as noted in the discrepancy space
of the manifest, or that the hazardous

waste was rejected as noted in the
manifest discrepancy space.
(2) If a facility receives a hazardous
waste shipment accompanied by a
manifest, the owner, operator or his
agent must:
(i) Sign and date, by hand, each copy
of the manifest;
(ii) Note any discrepancies (as defined in § 264.72(a)) on each copy of the
manifest;
(iii) Immediately give the transporter at least one copy of the manifest;
(iv) Within 30 days of delivery, send a
copy of the manifest to the generator;
and
(v) Retain at the facility a copy of
each manifest for at least three years
from the date of delivery.
(3) If a facility receives hazardous
waste imported from a foreign source,
the receiving facility must mail a copy
of the manifest and documentation
confirming EPA’s consent to the import of hazardous waste to the following address within thirty (30) days
of delivery: Office of Enforcement and
Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division (2254A), Environmental Protection Agency, 1200
Pennsylvania Avenue, NW., Washington, DC 20460.
(b) If a facility receives, from a rail
or water (bulk shipment) transporter,
hazardous waste which is accompanied
by a shipping paper containing all the
information required on the manifest
(excluding the EPA identification numbers, generator’s certification, and signatures), the owner or operator, or his
agent, must:
(1) Sign and date each copy of the
manifest or shipping paper (if the
manifest has not been received) to certify that the hazardous waste covered
by the manifest or shipping paper was
received;
(2) Note any significant discrepancies
(as defined in § 264.72(a)) in the manifest or shipping paper (if the manifest
has not been received) on each copy of
the manifest or shipping paper.
[Comment: The Agency does not intend that
the owner or operator of a facility whose
procedures under § 264.13(c) include waste
analysis must perform that analysis before
signing the shipping paper and giving it to

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§ 171.12a

49 CFR Ch. I (10–1–13 Edition)

of ‘‘DOT’’, a cylinder marked ‘‘CTC’’
which otherwise bears the same markings that would be required of the specified ‘‘DOT’’ cylinder may be used; and
(D) Transport of the cylinder and the
material it contains is in all other respects in conformance with the requirements of this subchapter (e.g.
valve protection, filling requirements,
operational requirements, etc.).
(5) Class 1 (explosive) materials. When
transporting Class 1 (explosive) material, rail and motor carriers must comply with 49 CFR 1572.9 and 1572.11 to the
extent the requirements apply.
(6) Primary lithium batteries and cells.
Packages containing primary lithium
batteries and cells that meet the exception in § 172.102, Special Provision 188
or 189 of this subchapter must be
marked ‘‘PRIMARY LITHIUM BATTERIES—FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT’’ or ‘‘LITHIUM METAL BATTERIES—FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT.’’ The provisions of this paragraph do not apply to packages that
contain 5 kg (11 pounds) net weight or
less of primary lithium batteries cells
that are contained in or packed with
equipment.
(b) Shipments to or from Mexico. Unless
otherwise excepted, hazardous materials shipments from Mexico to the
United States or from the United
States to Mexico must conform to all
applicable requirements of this subchapter. When a hazardous material
that is a material poisonous by inhalation (see § 171.8) is transported by highway or rail from Mexico to the United
States, or from the United States to
Mexico, the following requirements
apply:
(1) The shipping description must include the words ‘‘Toxic Inhalation Hazard’’ or ‘‘Poison-Inhalation Hazard’’ or
‘‘Inhalation Hazard’’, as required in
§ 172.203(m) of this subchapter.
(2) The material must be packaged in
accordance with requirements of this
subchapter.
(3) The package must be marked in
accordance with § 172.313 of this subchapter.
(4) Except as provided in paragraph
(e)(5) of this section, the package must
be labeled or placarded POISON GAS or

POISON INHALATION HAZARD, as
appropriate, in accordance with subparts E and F of this subchapter.
(5) A label or placard that conforms
to the UN Recommendations (IBR, see
§ 171.7) specifications for a ‘‘Division
2.3’’ or ‘‘Division 6.1’’ label or placard
may be substituted for the POISON
GAS or POISON INHALATION HAZARD label or placard required by
§§ 172.400(a) and 172.504(e) of this subchapter on a package transported in a
closed transport vehicle or freight container. The transport vehicle or freight
container must be marked with identification numbers for the material, regardless of the total quantity contained in the transport vehicle or
freight container, in the manner specified in § 172.313(c) of this subchapter
and placarded as required by subpart F
of this subchapter.
[Amdt. 171–111, 55 FR 52472, Dec. 21, 1990]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 171.12, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 171.12a
§ 171.14

[Reserved]
[Reserved]

Subpart B—Incident
Notification, BOE
and Authorization

Reporting,
Approvals

§ 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) or online at http://
www.nrc.uscg.mil. 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;

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Pipeline and Hazardous Materials Safety Admin., DOT
(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 § 176.48 of this subchapter);
(3) Fire, breakage, spillage, or suspected contamination occurs involving
an infectious substance other than a
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;
(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
paragraphs (b)(1), (2), (3) or (4) of this
section; or
(6) During transportation by aircraft,
a fire, violent rupture, explosion or
dangerous evolution of heat (i.e., an
amount of heat sufficient to be dangerous to packaging or personal safety
to include charring of packaging, melting of packaging, scorching of packaging, or other evidence) occurs as a direct result of a battery or battery-powered device.
(c) Written report. Each person making a report under this section must

§ 171.16

also make the report
§ 171.16 of this subpart.

required

NOTE TO § 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.
[68 FR 67759, Dec. 3, 2003, as amended at 72
FR 55684, Oct. 1, 2007; 74 FR 2233, Jan. 14, 2009;
74 FR 53186, Oct. 16, 2009; 76 FR 43525, July 20,
2011]

§ 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 § 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;
(4) An undeclared hazardous material
is discovered; or
(5) A fire, violent rupture, explosion
or dangerous evolution of heat (i.e., an
amount of heat sufficient to be dangerous to packaging or personal safety
to include charring of packaging, melting of packaging, scorching of packaging, or other evidence) occurs as a direct result of a battery or battery-powered device.
(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, PHH–60, Pipeline and Hazardous Materials Safety

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