DOE Guidance for Self-Reporting Non-Incident HMR Violations 
(effective date 7/18/2022 )

This guidance applies only to DOE elements or persons working under contract to DOE elements

DOE elements means programs, operations offices, field/site offices, and other organizational units of the Department of Energy, excluding those of the National Nuclear Security Administration.  The list of DOE elements is here.  (link to DOE Directives website).

On June 6, 2022 the DOE PCP Manager requested an interpretation and/or guidance from DOT General Counsel regarding self-reporting violations of the Hazardous Materials Regulations (HMR) that are not intentional and do not meet the incident reporting criteria of §§171.15 and 171.16 but are nonetheless violations listed in Appendix A to 49 CFR Part 107, Subpart D subject to fines. 

For example, if a shipment inadvertently exceeded the activity limits of §173.431 for a Type A package and the transportation functions (§171.1) were completed without incident then how should the HMR violation be reported to DOT?  According to Appendix A to 49 CFR Part 107, Subpart D, the baseline fine for offering in excess of a Type A quantity of a Class 7 material in a Type A packaging may be $15,000. 

On July 5, 2022 DOT General Counsel and a Transportation Specialist hosted a video call with the DOE PCP Manager and Docket Manager for additional information.  On July 14, 2022 , the DOT Transportation Specialist reported, by email, after speaking with their counsel’s office, there is nothing in the HMR about self-reporting potential violations; consequently, DOT will not be issuing an official interpretation letter on this topic since there is no interpretation of the regulations at play.

Since the HMR does not address self-reporting violations that are not intentional and do not meet the incident reporting criteria of §§171.15 and 171.16, DOE Order 232.2A Chg 1 (MinChg), (opens pdf) (or latest revision), OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS INFORMATION, is sufficient for reporting and documenting these violations. 

For questions or comments contact DOE PCP Manager, Dr. Shuler, (301) 903-5513, james.shuler@em.doe.gov