PROGRAMMANAGEMENT

REVIEWTask16

PeriodofReview(JAN-MARCH)

5/26/2016

Hazardous MaterialsIncident Reporting

PresentedbyYolandaY.Braxton,MPA- DataOperationsCoordinator

PHMSA– OfficeofHazardousMaterialsSafetySoutheastAssociationofRailShippers2017SpringMeeting

March29,2017

Overview– PHMSAVisionandMission

DOT5800.1IncidentReportOverview

DataOperations– InnovationInMotion

Trends&Statistics

ISO9001:2015

Questions

Agenda

PHMSAMission&Vision

PHMSA’svisionistobecomethemost

innovativetransportationsafetyorganizationinthe

world

PHMSA’smissionistoprotectpeopleandtheenvironmentbyadvancingthesafetransportationofenergyandotherhazardousmaterialsthatareessentialtoourdailylives.

PHMSAMission&Vision

Incidents“Think before you” ship!”

WhatisanIncident?

An unintentional releaseof a hazardous material or discharge of hazardous waste; a cargo tank with a capacity of 1,000 gallons or greater containing any hazardous material that suffers structural damage to the lading retention system; or an undeclared hazardous material.

WhenisaDOT5800.1Formrequired?§ 49 CFR Parts 171-180 requires certain types of incidents

be reported.§ Section 171.15 requires an immediate telephonic report

be filed within 12 hours of certain hazmat incidents.1. Apersoniskilled

2. Injuryrequiringadmittancetothehospital3. Evacuationofgeneralpublicforonehourormore

4. Oneormoremajortransportationarteriesareclosedforonehourormore5. Operationalflightplanisaltered

6. Fire,breakage,spillageinvolvingradioactivematerial7. Fire,breakage,spillageinvolvinganinfectioussubstance

8. Releaseofmarinepollutantinaquantityexceeding450litersforliquidor400kilogramsforsolids

WhenisaDOT5800.1Formrequired?• Section 171.16 requires that a 5800.1 report be submitted

within 30 days of discovery of any of the following:

1. An incident that was reported under 171.15

2. An unintentional release of a hazardous material during transportation

3. Release of a hazardous waste

4. Undeclared shipment with no release is discovered

5. A Specification Cargo Tank 1,000 gallons or greater containing hazardous materials that received structural damage to the lading

retention system and did not have a release.

Howisa5800.1Formfiled?• Paper forms can be submitted via postal mail or email using a fillable

Adobe Acrobat file• Electronic submissions can be submitted via PHMSA’S Website utilizing

the online fillable form or authorized entities using extensible mark-up language (XML) files, which is a set of rules for encoding documents in machine-readable form

WhatDataDoWeCollectViathe5800.1?

w Who,What,Where,andWhenw Characteristicsoftherelease:

• Material• Packaging• HazardCommunication• Handling

w Complianceandnon-compliancew Consequencesw Causation

Whomustcompletethe5800.1Form?

§ If a hazmat incident occurs, any entity in possession of the hazmat during transportation – including loading, unloading and storage incidental to transportation – must report the incident if certain conditions are met.

§ The Entity having physical control of the shipment is responsible for completion and submission of DOT Form 5800.1

• Carrier• Shipper• Facility• Other

•OHMSDataOperationsProcessonaverageabout18,000incidentreportsperyear.• Eachofthesereportsgoes

througharigorousqualitycontrol

process.

•TheNewIncidentReportingSystemwillbuildintothesystembusiness

rulesthatcurrentlyaremanuallymonitored.

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

2010 2011 2012 2013 2014 2015PaperReports 6,949 6,027 5,650 6,499 6,796 5,055OnlineReports 4,861 4,679 4,833 8,649 6,471 4,515XMLReports 3,829 5,053 3,752 5,365 4,844 3,247

Nub

erofInciden

ts

DOT5800.1'sCompletedBySource2010-2015

IncidentReportingProcessing

IncidentReportingProcessingNotSoSimple

Underreporting/MissingInformation

ProjectGoal:ImplementanewReportingSystemwithmodernizedcapabilitiesthatprovidefurther

automationandimprovedefficienciesanduserexperienceforstakeholders

ProjectApproachAgileApproachtoDevelopment10WeekDiscoveryPhase

§Multiplerequirementsvalidationworkingsessions§Conceptdiscussions§GapAnalysis§BaselineRequirementsList§HighLevelDesign§ProjectImplementationPlan

3WeekSprints§Planned15Iterations(cycles)of3weekseach§Identifypriorities,buildplan,implementandtest§Demotoelicitapproval,recommendationsandchanges

ReleaseFY17

Plan

Implement

Test

Demo

StakeholdersImpacted

TheNewIncidentReportingSystembenefitsbothinternalandexternalstakeholders.Internallyitprovidesimprovedprocessflowandautomation.Externallyitprovidesa

betteruserexperience.Allstakeholdersbenefitfromimproveddataquality.

• Multiplereportsforasingleincident

Ø Eliminatetheneedformultiplereportsforasingleincident

• BusinessRuleslimited,leadingtoconflictingdatapoints

Ø BusinessRuleValidationsØ DataQualityImprovements

• LimitedAbilitytoprovidesupportingdocumentation

Ø Fullabilitytouploadsupportingdocumentation

• Abandon/IncompleteReports

Ø Systemgeneratedemailnotification(7,14,21days)

• Lineardataprocessingthatcanleadtobottlenecks

Ø ImprovedProcessFlow

• UserGuidanceisseparatedocument

Ø Built-inGuidanceØ TooltipØ Help– InstructionBooklet

• Compliancewith171.16

Ø Systemgeneratedemailnotification(11monthsafterdateofincident)

Currentvs.FutureReportingCapabilities

Lineardataprocessingthatcanleadtobottlenecks

ImprovedProcessFlow

X X X

Currentvs.Future

Current– UserGuidance

UserGuidanceisaseparatedocument

Future– UserGuidance/ToolTips

Future– BusinessRuleValidation

Future– BusinessRuleValidation

Future– Multiples/Incident

Shipper

Commodity

Package

Future- HardValidationMessage

ClickFix

NewIncidentReportingSystem…ü MAP-21– ITModernization

ü ReduceGovernmentresourcesbydecreasingprocessingtime

ü Alignswithagencystrategicgoals

ü Enforcesdatacorrectnessanddatacompleteness,whileallowinguserstoprovideasmuchinformationaspossible

ü EnhancestheInternalandExternaluserexperiencebysimplifyingtheprocessandimprovingefficiencies

ü IntegrateswithotherPHMSAportalbasedsystems(SpecialPermits,CaseManagement,HIP)

InSummary

• Comprehensive• Intuitive• Modern• Flexible

InSummary

Identify

AssessMonitor

Manage

• Identify keyhazards,riskfactorsandissues

• Monitortoensurecompliance,coursecorrectionandcontinuousimprovement

• Manage theriskthroughimplementationofstrategiesandcommunicationwithstakeholders

• Assess theriskassociatedwitheachfactoranddevelopmitigationstrategies

OnlyselectStateifyouaresearchingforinformationonone

particularstate

Ifyouarenotsearchingforaspecificincident,you

mayenteradaterangetoviewacertainamountofmonths/yearsofdata

Selectoneormoremodesifyouwanttofilteryourresultstoshow

incidentsonly forthatmode.*Note:Toviewallmodes,leavethisfield

blank.

Trends and Statistics

Trends and Statistics

Youcanexport“allfields”orthe“mostrequestedfields”.

Onceexported,resultswillbeexportedtoanExcelspreadsheet.

Incident Report StatisticsAvailable Reports

§ Yearly Incident Summary Reports

• Casualty Classification

• Transportation Phase

• Incidents by Results

• Incidents Cause by Mode

• Incident by Hazard Class

• Incidents by Commodity Rank

• Undeclared Incidents by State

• Bulk Containers

• Incidents by State

• Serious Incidents Map

§ 10 Year Incident Summary Reports

• All Incidents

• Accident/Derailment Incidents

• RAM Incidents

• Waste Incidents

• Serious Incidents (Old definition)

• Serious Incidents (Current definition)

• Undeclared Incidents

• Bulk Incidents

• Non-Bulk Incidents

Incident Report Statistics

Benefits

§ Easy navigation

§ Up-to-date data

§ Graphs that can be changed by individual users

§ Ability to sort columns and filter reports (yearly summary reports only)

§ Ability to download data into Excel, PowerPoint, etc.

§ Map displaying total # of serious incidents by each state

Data Operations Innovation In Motion – Achieving ISO 9001

ISO9001:2015describesthecriteriaforaQualityManagementSystem(QMS)togiveyourorganizationthequalitysystemsthatwillprovidethefoundationtobettercustomersatisfaction,staffmotivationandcontinualimprovement.

ISO9001Provides

STRUCTUREOFISO9001STANDARD

TheelementsoftheISO9001standardarestructuredinaccordancewiththePlan– Do– Check– Actcycletohelptofocusprocessesandobjectivestowarddesired

improvement.

Data OperationsInnovation In Motion – Achieving ISO 9001

PHMSAOHMSDataOperationsisoneoftheFewGovernmentAgenciesVoluntarilyImplementinga

QualityManagementSystem

• ISO-9001 Certification for a Data Operations Quality Management System (QMS) – Standardizes processes and procedures in a

systematic approach– Based on the principles of strong customer

focus, top management engagement, the process approach, and continual improvement.

– QMS targets and minimizes risks related to non-standard procedures & practices, staff competencies, accountability, resource issues, oversight, and quality assurance.

– OHMS expects this effort to improve processing times and efficiencies, resource use, stakeholder satisfaction, and data quality and consistency.

Data Operations Innovation In Motion – Achieving ISO 9001

Data Operations Innovation In Motion – Achieving ISO 9001

Reference Materials – Take Away

Reference Materials – Take Away

Incident Contact Information

§ Hazardous Materials Information Center• 800-647-4922

§ Yolanda Braxton, MPAData Operations CoordinatorOffice of Hazardous Materials Safety Division of Program DevelopmentYolanda.Braxton@dot.gov202-366-0460

§ General Email Inquiries• HM Requests@dot.gov

Questions