2137-0034 Supporting Statement for HM-224I

Department of Transportation

Office of the Chief Information Officer

Supporting Statement

Hazardous Materials Shipping Papers and Emergency Response Information

(Expiration Date: May 31, 2022)

Introduction

This is to request approval from the Office of Management and Budget (OMB) for a renewal with revision of the information collection titled, “Hazardous Materials Shipping Papers and Emergency Response Information,” under OMB Control No. 2137-0034. This information collection is currently due to expire on May 31, 2022. The Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) require that shipping papers and emergency response information accompany each shipment of hazardous materials in commerce. The United States Senate Subcommittee on Surface Transportation and Merchant Marine Infrastructure, Safety, and Security recommended that additional Federal requirements mandating retention of shipping papers be imposed in order to facilitate the law enforcement community’s documentation of violations. Subsequently, the Hazardous Materials Transportation Authorization Act of 1994 (HMTAA), Public Law 103-311, amended the 49 U.S.C. to require shippers and carriers to retain copies of each shipping paper accessible through their respective principal places of business, for two years, and one year, respectively. Amendment to § 5110 (e) was self-executing as of August 26, 1994.

This information collection is being revised based on PHMSA’s interim final rule (IFR) published on March 6, 2019, titled “Hazardous Materials: Enhanced Safety Provisions for Lithium Batteries Transported by Aircraft (FAA Reauthorization Act of 2018).” PHMSA anticipates that the revisions made in this IFR will increase the number of fully regulated lithium battery shipments, which will mean that there will be an increase in the number of shipping papers as the number of notice to the pilot in command. This increase is being reflected in this information collection notice.

Part A. Justification:

1. Circumstances that make collection of information necessary

This is a request for a renewal with change of an existing information collection for information requirements pertaining to shipping papers and emergency response information under the HMR. This information collection supports the Departmental Strategic Goal for Safety. These regulations are promulgated under the Federal hazardous material transportation law, 49 U.S.C. 5101-5128.

Shipping papers and emergency response information are a basic communication tool for the transportation of hazardous materials. Section 171.8 defines a shipping paper as a shipping order, bill of lading, manifest, or other shipping document serving a similar purpose and containing the information required by §§ 172.202, 172.203, and 172.204. A shipping paper with emergency response information must accompany most hazardous materials shipments and be readily available at all times during transportation. It serves as the principal source of information regarding the presence, identification, and quantity of hazardous materials, as well as relevant emergency response procedures. It also serves as the source of information necessary to comply with other requirements, e.g., correctly placing and configuring rail cars in a shipment; preventing poisons from being loaded alongside foodstuffs; ensuring the separation of incompatible hazardous materials; and limiting the amount of radioactive materials that may be transported in a vehicle or aircraft. Shipping papers and emergency response information serve as a means of notifying transport workers that hazardous materials are present. Most importantly, shipping papers serve as a principal means of identifying hazardous materials during transportation emergencies. Firefighters, police, and other emergency response personnel are trained to obtain the Department of Transportation (DOT) shipping papers and emergency response information when responding to hazardous materials transportation emergencies. The availability of accurate information concerning hazardous materials being transported significantly improves response efforts in these types of emergencies.

It is necessary that hazardous materials and emergency response information be displayed on shipping papers in a uniform manner to ensure accuracy and consistency. The HMR requires that when hazardous materials and non-hazardous materials are described on the same shipping paper, the hazardous materials be entered first, entered in a color that clearly contrasts with any description of materials not subject to the requirements, or identified with an "x" in an HM column.

Experience has shown that some shipping papers may contain many different items in a shipment. To require emergency response personnel to sort through multiple entries to determine which hazardous materials are present, in an emergency situation, would cause serious delays in making proper determinations concerning the mitigation of the accident. Therefore, shipping paper requirements include emergency response information along with the standard information that must be communicated on shipping papers.

Uniformity of national and international hazardous materials transportation regulations is critical to enhance safety and facilitate trade. Consistency between U.S. and international regulations helps to assure the safety of international hazardous materials transportation through a better understanding of the regulations, an increased level of industry compliance, the smooth flow of hazardous materials from their points of origin to their points of destination, and consistent emergency response in the event of a hazardous materials incident. Many shippers find that consistency in requirements aids their understanding of what is required, thereby permitting them to more easily comply with the regulations when shipping hazardous materials in international commerce.

To facilitate the safe and efficient transportation of hazardous materials in international commerce, the HMR, with certain limitations, permit both domestic and international shipments of hazardous materials to be offered for transportation and transported under provisions of the International Civil Aviation Organization’s Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO TI), the International Maritime Dangerous Goods Code (IMDG Code), the Canadian Transportation of Dangerous Goods Regulations (TDG Regulations), and the International Atomic Energy Agency Safety Standards Series: Regulations for the Safe Transportation of Radioactive Material (IAEA Regulations), as appropriate.

In addition, when shipping hazardous materials via aircraft, a Notice to the Pilot in Command (NOPIC) is required, in accordance with § 175.33. The NOPIC includes information about the flight, number of packages being transported on the aircraft, the destination, emergency response information, as well as a copy of the shipping paper.

Docket HM-224I: “Hazardous Materials: Enhanced Safety Provisions for Lithium Batteries Transported by Aircraft (FAA Reauthorization Act of 2018)”

On March 6, 2019, PHMSA published an Interim Final Rule (IFR) titled “Hazardous Materials: Enhanced Safety Provisions for Lithium Batteries Transported by Aircraft (FAA Reauthorization Act of 2018)” [84 FR 8006; HM‑224I]. This IFR prohibited the transport of lithium ion cells and batteries as cargo on passenger aircraft; required lithium ion cells and batteries to be shipped at not more than a 30 percent state of charge aboard cargo-only aircraft when not packed with or contained in equipment; and limited the use of alternative provisions for small lithium cell or battery shipments to one package per consignment. The IFR did not restrict passengers or crew members from bringing personal items or electronic devices containing lithium cells or batteries aboard aircraft, or restrict cargo-only aircraft from transporting lithium ion cells or batteries at a state of charge exceeding 30 percent when packed with or contained in equipment or devices.

PHMSA anticipates an increase in this information collection due to an increase in the number of fully regulated shipments of lithium batteries. When fully regulated, these shipments will require shipping papers and NOPIC. Therefore, PHMSA is reflecting this increase in this information collection statement.

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

The shipping paper is considered a basic hazard communication tool when transporting hazardous materials by all modes of transport. For example, it is the mechanism by which an aircraft operator knows the nature and potential of hazardous cargo on board the aircraft. It informs railroad employees of the potential hazards of the cargo and is the primary means of communicating information required to properly place and handle cars within trains. Shipping papers communicate information on cargo compatibility to motor carrier personnel and emergency responders, and advise vessel masters where hazardous material cargo should be stowed to assure compatibility and accessibility. Consequences which could result from not having the required information on shipping papers include, but are not limited to:

1. Co-mingling of hazardous materials in a shipment that could react chemically and cause explosion, fire, poison gas emissions, or other types of reactions in the event of a container failure or accident.

2. Contamination of foodstuffs and feed by poisons being shipped on the same transport vehicle.

3. Shipment of radioactive materials in a single transport vehicle in quantities which could exceed criticality safety controls, resulting in excessive exposure to vehicle operators/crew or passengers, or with non-radioactive materials (such as x-ray film) that could be contaminated by the radiation emitted from packages of radioactive materials.

4. Shipment of hazardous materials in quantities greater than authorized to be carried in passenger-carrying vehicles.

5. Shipment of forbidden materials aboard passenger-carrying aircraft, the release of which could cause death or illness among passengers and crew due to contamination of, or structural damage to, an aircraft.

6. Injury, death, and/or severe environmental damage due to lack of accurate emergency response communication information.

7. Incorrect emergency response procedures, e.g., firefighters may attempt to extinguish burning materials that are water-reactive with water, leading to catastrophic consequences.

3. Extent of automated information collection

PHMSA continues to update the HMR to ensure that the burden has been made as simple as possible. DOT's emphasis for shipping paper requirements is that the information be displayed consistently and be easily recognizable. Any document, meeting the definition of a shipping paper in § 171.8 and the requirements in Subpart C and G of Part 172, used in the normal course of business, is considered a shipping paper. The Government Paperwork Elimination Act directs agencies to allow the option of electronic filing and recordkeeping by October 2003, when practicable. To ensure consistency and to be immediately available for emergency responders in the event of an incident, shipping papers are not authorized in electronic form. However, PHMSA does not restrict the use of electronic forms in addition to paper copies. Additionally, PHMSA does not require every shipping paper to be submitted to us.

4. Efforts to identify duplication

PHMSA has done its due diligence to identify that the shipping paper and emergency response information requirements do not duplicate any other documentation system for identifying hazardous materials transported in commerce. PHMSA requires that shipping papers include certain hazardous material and emergency response information, but it does not require the use of a specific form. If the required information is presented on a form required by another Federal agency, PHMSA authorizes the use of that form. For instance, PHMSA and the Environmental Protection Agency (EPA) coordinated on the hazardous waste manifest requirements to avoid duplication. EPA agreed that PHMSA regulations prevail for carriers of hazardous wastes, and it revised its manifest requirements so that the entries required to comply with both EPA hazardous waste requirements and PHMSA shipping paper and emergency response information requirements could be made on one document.

To a limited degree, some of the information required on the shipping papers is already available through required markings on the outside of packages. However, it would be very difficult to accomplish effective communication for emergency response and compliance with various transportation requirements by using only the markings on packages. In most cases, the packages are not visible during transportation and would not provide the same benefit as the shipping paper and emergency response information in ensuring effective communication.

5. Efforts to minimize the burden on small businesses

Unless specifically excepted in the HMR, shipping papers and emergency response information must be prepared by all persons offering hazardous materials for transportation. Because the benefits to safety outweigh a reduction in small business burden, the applicability of shipping paper and emergency response information is based on the hazardous materials transported, and not business size.

6. Impact of less frequent collection of information

This is a one-time requirement each time a hazardous material shipment is offered for transportation in commerce. The impact of not collecting this information would be the loss of information essential to emergency responders.

7. Special circumstances

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

1. It is not possible to eliminate or shorten the information required by the HMR for shipping papers and still provide the information necessary for emergency response personnel, carriers, and transport workers.

2. Shipping papers are already required to be retained by other Federal and state requirements, and therefore, are not considered duplicative. PHMSA has no discretion regarding this requirement.

3. Hazardous materials shipping paper and emergency response information is also required when transporting hazardous materials in international commerce.

8. Compliance with 5 CFR 1320.8

PHMSA published an Interim Final Rule under Docket No. PHMSA‑2016‑0014 [84 FR 8006] on March 6, 2019, requesting public comments this increase in burden. PHMSA received 23 sets of comments to the IFR, but did not receive any related to this information collection. PHMSA plans to publish a final rule under this docket number.

9. Payments or gifts to respondents

There is no payment or gift provided 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. 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. Estimates of burden hours for information requested

Total Number of Respondents	Total Number of Annual Responses	Total Annual Burden Hours	Total Annual Salary Costs	Total Burden Cost
260,150	177,267,452	4,604,387	$115,586,183	$0

It is estimated that approximately 260,000 shippers/carriers of hazardous materials (including hazardous waste and hazardous substances) will prepare an average of 674 shipping papers and emergency response information annually for a total of 175,262,735 shipping papers (260,000 respondents x 674 shipping papers/respondent). This reflects an increase of 28,242 shipments generated from publication of the IFR. Each shipping paper, with emergency response information, will take approximately 1.6 minutes to prepare for approximately 4,599,426 annual burden hours (175,262,735 shipping papers x 1.6 minutes/shipping paper). This reflects an increase of 741 burden hours generated from the publication of the IFR. PHMSA estimates it costs approximately $24.77/hour in salary costs¹ for a total of $113,941,851 (4,599,426 burden hours x $24.77/hour). However, PHMSA estimates there is no out-of-pocket expenses for the shipping paper burden.

Information Collection	Sections	Number of Respondents	Annual Number of Responses per Respondent	Total Annual Responses	Minutes per Response	Total Burden Hours	Salary Cost per Hour	Total Salary Cost	Total Burden Cost
Hazardous Materials Shipping Papers & Emergency Response Information	172.200, 172.201, 172.202, 172.204, 172.505, 172.600, 172.602, 172.604	260,000	674	175,262,735	1.6	4,599,426	$24.77	$113,941,851	$0

It is estimated that approximately 150 pilots will be required to sign a NOPIC and will sign an average of 13,364.78 NOPICs each year, for a total of 2,004,717 NOPIC signatures (150 respondents x 13,364.78 NOPIC/respondent). This reflects an increase of 28,242 shipments generated from publication of the IFR. Each NOPIC will take approximately 11 seconds to sign for approximately 5,961 annual burden hours (2,004,717 NOPICs x 11 seconds/NOPIC). This reflects an increase of 471 burden hours generated from publication of the IFR. PHMSA estimates it costs approximately $275.84/hour in salary costs² for a total of $1,644,331 (5,961 burden hours x $275.84/hour). However, PHMSA estimates there is no out-of-pocket expenses for the shipping paper burden.

Information Collection	Sections	Number of Respondents	Number of Responses	Total Responses	Seconds per Response	Total Burden Hours	Salary Cost per Hour	Total Salary Cost	Total Burden Cost
Notice of Pilot in Command	175.33	150	13,364.78	2,004,717	11	5,961	$275.84	$1,644,331	$0

13. Estimate of total annual costs to respondents

There is no anticipated out-of-cost expenses, as identified in question 12.

14. Estimate of annualized cost to the Federal Government

There is no additional cost to the Federal Government.

15. Reasons for change in burden

The burdens under this OMB control number are being revised due to regulatory changes associated with an interim final rule (IFR) issued by PHMSA on March 6, 2019. The IFR aligns the Hazardous Materials Regulations with current international standards for the transportation of lithium batteries. PHMSA expects that based on the changes made in the IFR, there will be an increase in number of fully regulated shipments. These shipments will require shipping papers and NOPICs, where it was previously not required. Therefore, PHMSA has accounted for this increase in burden in this request.

16. Plans for tabulation, statistical analysis and publication

There is no publication of this information collection including for statistical use, and no statistical techniques are involved.

17. Display of expiration date of OMB Approval

The information collection OMB number is prominently displayed in 49 CFR 171.6 as “Control Numbers under the Paperwork Reduction Act.”

18. Exceptions to certification statement

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

1 Occupation labor rates based on 2018 Occupational and Employment Statistics Survey (OES) for “Office Clerks, General (43-9061).” https://www.bls.gov/oes/current/oes439061.htm The hourly mean wage for this occupation ($16.92) is adjusted to reflect the total costs of employee compensation based on the BLS Employer Costs for Employee Compensation Summary, which indicates that wages for civilian workers are 68.3 percent of total compensation (total wage = wage rate/wage % of total compensation).

2 BLS Occupational Employment and Wages, May 2018: 53-2011 Airline Pilots, Copilots, and Flight Engineers, the mean annual wage is $169,560 (https://www.bls.gov/oes/current/oes532011.htm).  Federal regulations set the maximum work hours and minimum requirements for rest between flights for most pilots. Airline pilots fly an average of 75 hours per month, therefore the hourly mean wage rate is $188.40 = $169,560/(75 hours/month x 12 months). The hourly mean wage ($188.40) is also adjusted to reflect the total costs of employee compensation based on the BLS Employer Costs for Employee Compensation Summary, which indicates that wages for civilian workers are 68.3 percent of total compensation (total wage = wage rate/wage % of total compensation).

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