[Federal Register Volume 62, Number 13 (Tuesday, January 21, 1997)]
[Rules and Regulations]
[Pages 2970-2977]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-1398]
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DEPARTMENT OF TRANSPORTATION
Research and Special Programs Administration
49 CFR Parts 107 and 171
[Docket No. HM-207F; Amdt. Nos. 107-40; 171-152]
RIN 2137-AC96
Hazardous Materials Regulations; Penalty Guidelines
AGENCY: Research and Special Programs Administration (RSPA), DOT.
ACTION: Final rule.
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SUMMARY: In this final rule, RSPA is increasing the maximum civil
penalty, from $25,000 to $27,500, for a knowing violation of Federal
hazardous materials transportation law or the Hazardous Materials
Regulations. RSPA is also publishing revised baseline assessments for
frequently cited violations of the Hazardous Materials Regulations, in
order to provide the regulated community and the general public with
more current information on RSPA's hazardous material penalty
assessment process. These revisions to RSPA's baseline penalty
assessments consider the increase in the maximum civil penalty to
$27,500.
EFFECTIVE DATE: This rule is effective January 21, 1997.
FOR FURTHER INFORMATION CONTACT: John J. O'Connell, Jr., Office of
Hazardous Materials Enforcement, (202) 366-4700; or Edward H.
Bonekemper, III, Office of the Chief Counsel, (202) 366-4400, Research
and Special Programs Administration, U.S. Department of Transportation,
400 Seventh Street, SW., Washington, DC 20590-0001.
SUPPLEMENTARY INFORMATION:
I. Increase in Maximum Penalty
Under Section 4 of the Federal Civil Penalties Inflation Act of
1990 (the Act), 28 U.S.C. 2461 note, as amended by the Debt Collection
Improvement Act of 1996 (Pub. L. 104-134), all Federal agencies must
adjust civil penalties they administer to consider the effects of
inflation. These adjustments were to be made no later than October 23,
1996, and must be made at least once every 4 years thereafter, and must
be published in the Federal Register. A formula for determining the
amount of a periodic adjustment in civil penalty amounts is set forth
in Section 5 of the Act; however, the 1996 amendment provided that the
initial adjustment may not exceed 10 percent. Any increased civil
penalty amount applies only to violations that occur after the date the
increase takes effect.
The Credit and Debt Management Division of the Department of the
Treasury's Financial Management Service has calculated that the new
maximum civil penalty for a knowing violation of the Federal hazardous
material transportation law, 49 U.S.C. 5101 et seq. or the Hazardous
Materials Regulations (HMR), 49 CFR Parts 171-180, is $27,500. To carry
out the statutory mandate, RSPA is adding a new Sec. 171.1(c) to the
HMR specifying that the maximum civil penalty for violations of the
Federal hazardous materials transportation law or the HMR, that occur
after January 21, 1997, is $27,500. RSPA is also amending the
references to the maximum civil penalty in Sec. 107.329 and Appendix A
to Part 107, subpart D, to set forth the increased maximum civil
penalty applicable to violations that occur after January 21, 1997. In
a future rulemaking, RSPA will propose changes to other sections of the
HMR that refer to the maximum civil penalty.
There is no change in the statutory minimum $250 civil penalty for
a knowing violation of the Federal hazardous material transportation
law or HMR.
II. Revisions to Civil Penalty Baseline Guidelines
On March 6, 1995, RSPA published its hazardous material
transportation enforcement civil penalty guidelines as Appendix A to 49
CFR Part 107, subpart D, in response to a request contained in Senate
Report 103-150 that accompanied the Department of Transportation and
Related Agencies Appropriations Act of 1994. See Docket No. HM-207D, 60
FR 12139. Publication of these guidelines provides the regulated
community and the general public with information concerning the manner
in which RSPA generally begins its hazmat penalty assessment process
and the types of information that respondents in enforcement cases
should provide to justify reduction of proposed penalties.
At that time, RSPA explained that its enforcement personnel and
attorneys use these guidelines as a partial means of determining a
baseline civil penalty for selected violations of the HMR or the
Federal hazardous material transportation law. RSPA also explained that
the penalty guidelines are periodically updated and were being
published as they existed on January 18, 1995. As a general statement
of agency policy and practice, these guidelines are informational,
impose no requirements, are not finally determinative of any issues or
rights, and do not have the force of law. For a further discussion of
the nature and RSPA's use of these penalty guidelines, as a statement
of agency policy for which no notice of proposed rulemaking is
necessary, please see the preamble of the March 6, 1995 final rule. 60
FR 12139-40.
This final rule publishes revisions that RSPA has made to the List
of Frequently Cited Violations, and their baseline assessments, since
publication of the penalty guidelines in March 1995. These revisions to
Part II of the guidelines were the result of an overall review RSPA
conducted of its penalty
[[Page 2971]]
guidelines during the past year. These revisions consider the increase
in the maximum civil penalty to $27,500, in accordance with the Federal
Civil Penalties Inflation Adjustment Act of 1990, as amended by the
Debt Collection Improvement Act of 1996, as discussed above.
RSPA has also changed many of the baseline assessments in an effort
to more appropriately reflect the risks posed by, and the likely
consequences of, the particular violation of the HMR. For example, the
range of penalties applicable to shipping a hazardous material in an
unauthorized packaging has been restated as three different numbers for
materials in Packing Group I, II, and III, respectively, with the
greatest baseline amount for a Packing Group I material in order to
reflect the greater hazards posed by that material. Similarly, RSPA has
increased the baseline assessment for certain violations that increase
the likelihood of a failure of a compressed gas cylinder, with
catastrophic results (such as the failure to condemn a cylinder with
excessive permanent expansion), while penalties for some violations
that appear to have no effect on the actual performance of a cylinder
(such as illegible markings) have been reduced. In a few instances
where the baseline assessment is stated as a range (e.g., $5,000 to
$10,000), the factors generally considered in determining an amount
within that range are indicated within the description of the violation
(e.g., the length of time that a continuing violation has lasted).
Otherwise, RSPA generally uses the middle of the range for the
``normal'' type of violation.
RSPA has also revised, added, deleted or combined individual
violations from the List of Frequently Cited Violations, as considered
appropriate, in order to make the guidelines a more useful device for
both the public and RSPA personnel. Citations to sections of the HMR
were supplied for certain violations, and the wording ``Various''
(rather than ``N/A'') is being used when a generally stated violation
may be covered by more than one section of the HMR (e.g., the testing
requirements applicable to the manufacture of each different DOT
specification cylinder are contained in different sections of 49 CFR
Part 178). The table has also been reorganized to place offeror
violations together, and references to violations of the regulations
concerning manufacture and use of packagings have been revised to
reflect the fact that, after October 1, 1996, non-bulk packagings
manufactured to DOT specifications are no longer authorized (unless
filled before October 1, 1996) in place of packagings that must meet
the performance-oriented packaging standards adopted in RSPA's
rulemaking Docket No. HM-181 and located in 49 CFR Part 178, subpart M.
See 49 CFR 171.14(a)(2).
RSPA created and uses these penalty guidelines to promote
consistency and provide a standard for imposing similar penalties in
similar cases. When a violation not described in the guidelines is
encountered, RSPA often determines a baseline assessment by analogy to
a similar violation in the guidelines. However, as emphasized in Parts
III and IV of the guidelines, the baseline assessments are only the
starting point for assessing a penalty for a violation. Because no two
cases are identical, rigid use of the guidelines would produce
arbitrary results and, most significantly, would ignore the statutory
mandate to consider several specific assessment criteria set forth in
49 U.S.C. 5123 and 49 CFR 107.331. Therefore, regardless of whether or
not the guidelines are used to determine a baseline amount for a
violation, RSPA enforcement and legal personnel must apply the
statutory assessment criteria to all relevant information in the record
concerning any alleged violation and the apparent violator.
Consideration of these criteria often warrants a final penalty that is
less or greater than the initial baseline assessment.
These penalty guidelines remain subject to revision, and, in any
particular case, RSPA's Office of Hazardous Materials Enforcement
(OHME) and Office of the Chief Counsel will use the version of the
guidelines in effect at the time a matter is referred by OHME for
possible issuance of a notice of probable violation. Questions
concerning RSPA's penalty guidelines and any comments or suggested
revisions may be addressed to the persons identified above, in FOR
FURTHER INFORMATION CONTACT.
Rulemaking Analyses and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule is not considered a significant regulatory action
under section 3(f) of Executive Order 12866 and, therefore, was not
reviewed by the Office of Management and Budget. This rule is not
significant under the Regulatory Policies and Procedures of the
Department of Transportation (44 FR 11034). The economic impact of this
final rule is minimal to the extent that preparation of a regulatory
evaluation is not warranted.
B. Executive Order 12612
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 12612 (``Federalism'').
Because this final rule carries out a statutory mandate without
interpretation and revises an informational appendix without imposing
any requirements, preparation of a federalism assessment is not
warranted.
C. Regulatory Flexibility Act
I certify that this final rule will not have a significant economic
impact on a substantial number of small entities. This rule applies to
shippers and carriers of hazardous materials, some of which are small
entities; however, there is no economic impact on any person who
complies with Federal hazardous materials law and the HMR.
D. Paperwork Reduction Act
There are no new information requirements in this final rule.
E. Regulation Identifier Number (RIN)
A regulation identifier number (RIN) is assigned to each regulatory
action listed in the Unified Agenda of Federal Regulations. The
Regulatory Information Service Center publishes the Unified Agenda in
spring and fall of each year. The RIN contained in the heading of this
document can be used to cross-reference this action with the Unified
Agenda.
List of Subjects
49 CFR Part 107
Administrative practices and procedure, Hazardous materials
transportation, Packaging and containers, Penalties, Reporting and
recordkeeping requirements.
49 CFR Part 171
Exports, Hazardous materials transportation, Hazardous Waste,
Imports, Incorporation by reference, Penalties, Reporting and
recordkeeping requirements.
In consideration of the foregoing, 49 CFR Chapter I is amended as
follows:
PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
1. The authority citation for part 107 is revised to read as
follows:
Authority: 49 U.S.C. 5101-5127, 44701; 49 CFR 1.45 and 1.53;
Pub. L. 101-410 Sec. 4 (28 U.S.C. 2461 note); Pub. L. 104-134
Sec. 31001.
Sec. 107.329 [Amended]
2. In Sec. 107.329 (a) and (b), the parenthetical phrase ``($27,500
for a
[[Page 2972]]
violation occurring after January 21, 1997)'' is added after
``$25,000.''
3. Appendix A to subpart D of part 107 is amended by replacing the
List of Frequently Cited Violations (Part II) to read as follows:
Appendix A--[Amended]
Appendix A to Subpart D of Part 107--Guidelines for Civil Penalties
* * * * *
II. List of Frequently Cited Violations
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Violation description Section or cite Baseline assessment
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PART 107--REQUIREMENTS
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Failure to register as a 107.608............. $1,000 +, $500 each
carrier or shipper of add'l year.
hazardous material.
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PART 171--REQUIREMENTS
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Failure to give immediate 171.15.............. $3,000.
telephone notice of a
reportable hazardous
materials incident.
Failure to file a DOT 5800.1 171.16.............. $500 to $2,500.
Hazardous Materials
Incident Report within 30
days following an
unintentional release of
hazardous materials in
transportation.
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PART 172--REQUIREMENTS
------------------------------------------------------------------------
Shipping Papers (Sec.
172.200--172.205):
Failure to execute a 172.201............. $3,000 to $6,000.
shipping paper for a
shipment of hazardous
materials.
Failure to follow one or 172.201(a)(1)....... $1,200.
more of the three
approved formats for
listing hazardous
materials on a shipping
paper.
Failure to include a 172.202............. $800 to $1,600.
proper shipping name in
the shipping
description or using an
incorrect proper
shipping name.
Failure to include a 172.202............. $1,000 to $2,000.
hazard class/division
number in the shipping
description.
Using an incorrect 172.202.............
hazard class/
identification number.
-that does not .................. $800,
affect
compatibility
requirements.
-that affects .................. $3,000 to $6,000.
compatibility
requirements.
Failure to include an 172.202............. $1,000 to $2,000.
identification number
in the shipping
description.
Using an incorrect 172.202.............
identification number.
-that does not .................. $800,
change the response
information.
-that changes the .................. $3,000 to $6,000.
response
information.
Using a shipping 172.202............. $800.
description that
includes additional
unauthorized
information (extra or
incorrect words).
Using a shipping 172.202............. $500.
description not in
required sequence.
Using a shipping 172.202.............
description with two or
more required elements
missing or incorrect.
-such that the .................. $3,000.
material is
misdescribed.
-such that the .................. $6,000.
material is
misclassified.
Failure to include the 172.202(c).......... $400.
total quantity of
hazardous material
covered by a shipping
description.
The letters ``RQ'' are 172.203(c)(2)....... $500.
not used in the
shipping description to
identify materials that
are hazardous
substances.
Using a shipping 172.203(d).......... $2,000 to $4,000.
description for Class 7
(radioactive) material
that fails to contain
the required additional
entries, or contains
incorrect information
for these additional
entries.
Failure to include a 172.203(k).......... $1,000.
required technical name
in parentheses for a
listed generic or
``nos'' material.
Failure to list an 172.203(a).......... $800.
exemption number in
association with the
shipping description.
Failure to include the 172.204(a).......... $1,000.
required shipper's
certification on a
shipping paper.
Failure to execute the 172.204............. $800.
required shipper's
certification on a
shipping paper.
Emergency Response
Information Requirements
(Sec. 172.600--172.604):
Providing or listing 172.602.............
incorrect emergency
response information
with or on a shipping
paper.
-no significant .................. $800,
difference in
response.
-significant .................. $3,000 to $6,000.
difference in
response.
Failure to include an 172.604............. $2,600.
emergency response
telephone number on a
shipping paper.
Failure to have the 172.604............. $1,300.
emergency response
telephone number
monitored while a
hazardous material is
in transportation or
listing multiple
telephone numbers
(without specifying the
times for each) that
are not monitored 24
hours a day.
Listing a fraudulent 172.604............. $2,600 to $4,200.
emergency response
telephone number on a
shipping paper.
Listing an incorrect or 172.604............. $1,300.
non-working emergency
response telephone
number on a shipping
paper.
Failure to provide 172.604............. $1,300.
required technical
information when the
listed emergency
response telephone
number is contacted.
Package Marking Requirements
(Sec. 172.300--172.338):
Failure to mark the 172.301(a).......... $800 to $1,600.
proper shipping name on
a package or marking an
incorrect shipping name
on a package.
[[Page 2973]]
Failure to mark the 172.301(a).......... $1,000 to $2,000.
identification number
on a package.
Marking a package with 172.301(a)..........
an incorrect
identification number.
-that does not .................. $800,
change the response
information.
-that changes the .................. $3,000 to $6,000.
response
information.
Failure to mark the 172.301(a).......... $3,000 to $6,000.
proper shipping name
and identification
number on a package.
Marking a package with 172.301(a)..........
an incorrect shipping
name and identification
number.
-that does not .................. $1,500 to $3,000.
change the response
information.
-that changes the .................. $3,000 to $6,000.
response
information.
Failure to include the 172.301(c).......... $1,000.
required technical
name(s) in parentheses
for a listed generic or
``no'' entry.
Failure to mark a 172.312............. $2,500 to $3,500.
package containing
liquid hazardous
materials with required
orientation marks.
Package Labeling
Requirements (Sec. 172.400-
172.450):
Failure to label a 172.400............. $5,000.
package..
Placing a label that 172.400............. $5,000.
represents a hazard
other than the hazard
presented by the
hazardous material in
the package..
Placing a label on a 172.401(a).......... $800.
package that does not
contain a hazardous
material..
Placing a label on Class 172.403............. $5,000.
7 (radioactive)
material that
understates the proper
label category..
Placing a label on Class 172.403(g).......... $2,000 to $4,000.
7 (radioactive)
material that fails to
contain, or has
erroneous, entries for
the name of the
radionuclide(s),
activity, and transport
index..
Placing a label not 172.407(c).......... $800.
conforming to size
requirements on a
package..
Placing a label on a 172.406(a).......... $800.
different surface of
the package than, or
far away from, the
proper shipping name..
Placing a label that 172.407(d).......... $600 to $2,500.
does not meet color
specification
requirements on a
package (depending on
the variance)..
Failure to place a 172.402............. $500 to $2,500.
required subsidiary
label on a package..
Failure to provide an 172.411............. $2,500.
appropriate class or
division number on a
label..
Placarding Requirements
(Sec. 172.500-172.560):
Failure to properly 172.504............. $1,000 to $9,000.
placard a freight
container or vehicle
containing hazardous
materials when Table 1
is applicable..
Failure to properly 172.504............. $800 to $7,500.
placard a freight
container or vehicle
containing hazardous
materials when Table 2
is applicable..
Training Requirements (Sec.
172.700-172.704):
Failure to train hazmat 172.702.............
employees in the three
required areas of
training.
-more than 10 hazmat .................... $2,400 and up.
employees..
-10 hazmat employees .................... $1,500 and up.
or less..
Failure to train hazmat 172.702.............
employees in any one of
the three required
areas of training.
-more than 10 hazmat .................... $800 and up.
employees..
-10 hazmat employees .................... $500 and up.
or less..
Failure to maintain 172.704.............
training records.
-more than 10 hazmat .................... 800 and up.
employees..
-10 hazmat employees .................... $500 and up.
or less..
------------------------------------------------------------------------
PART 173--REQUIREMENTS
------------------------------------------------------------------------
Overpack Requirements (Sec.
173.25)
Failure to mark an 173.25(a)(4)........ $3,000.
overpack with a
statement indicating
that the inside
packages comply with
prescribed
specifications when
specification packaging
is required..
Reconditioner Requirements
(Sec. 173.28):
Representing, marking, 173.28(c) & (d)..... $6,000 to $10,800.
or certifying a drum as
a reconditioned UN
standard packaging,
when the drum did not
meet a UN standard..
Marking an incorrect 173.28(b)(2)(ii)....
registration number on
a reconditioned
packaging.
-incorrect number... .................... $800.
-fraudulent use of .................... $7,200.
another
reconditioner's
number..
Failure to properly 173.28(b)(2)(i).....
conduct alternate
leakage test.
-improper test...... .................... $2,000.
-no test at all..... .................... $4,000.
Representing, marking, 173.28(d)........... $500.
or certifying a drum as
altered from one
standard to another,
when the drum had not
actually been altered..
Portable and IM Tank
Requirements (Secs.
173.32(e), 173.32c,
173.315)
Offering hazardous 173.32(a)(1), $3,500 to $7,000.
materials for 173.315(a),
transportation in a DOT Applicable
specification or Exemption.
exemption portable tank
which is out of test..
Offering an IM portable 173.32c(c).......... $3,500.
tank for transportation
that has not been
hydrostatically tested
within the last 2\1/2\
years per 173.32b(a)..
Offering an IM portable 173.32c(c).......... $3,500.
tank for transportation
that has not been
visually inspected in
last five years per
173.32b(b)..
[[Page 2974]]
Offering an IM portable 173.32c(c).......... $7,000.
tank for transportation
that has not been
visually or
hydrostatically tested
as required, or failing
to remove the safety
relief valves during
testing..
Offering a hazardous 173.32c(g)..........
material for
transportation in an IM
portable tank equipped
with bottom outlets,
when the material
contained is prohibited
from being offered in
this type of packaging.
-Packing Group II... .................... $7,000.
-Packing Group III.. .................... $5,000.
Failure to provide the 173.32c(k).......... $6,000 to $12,000.
required outage for a
shipment of hazardous
materials, that results
in the release of
hazardous materials..
Offering a hazardous 173.32(e)(3), $3,000.
material for 173.32b(d).
transportation in an
DOT, exemption, or IM
portable tank which
fails to bear markings
that it has been
properly retested..
Cylinder Retesters (Secs.
173.23, 173.34, and
173.302):
Failure to remark as DOT 173.23(c)........... $600.
3AL an aluminum
cylinder manufactured
under a former
exemption..
Certifying or marking as 173.34.............. $800.
retested a
nonspecification
cylinder.
Marking a cylinder in or 173.34(c)(1)........ $6,000 to $10,800.
on the sidewall area
when not permitted by
the applicable
specification.
Failure to maintain 173.34(e)........... $800.
legible markings on a
cylinder.
Failure to perform 173.34(e)........... $2,100 to $5,200.
hydrostatic retesting
at the minimum of 5/3
times the service
pressure, or at the
minimum specified test
pressure.
Failure to conduct a 173.34(e)(1)........ $2,100 to $5,200.
complete visual
external and internal
examination.
Failure to have a 173.34(e)(1)(i)..... $4,000.
retester's
identification number
(RIN).
Failure to have current 173.34)(e)(1)(i).... $2,000.
authority due to
failure to renew a
retester's
identification number.
Failure to have a 173.34(e)(1)(i)..... $7,200.
retester's
identification number
and marking another RIN
on a cylinder.
Marking a RIN before 173.34(e)(1)(ii).... $800.
successfully completing
a hydrostatic retest.
Requalifying a DOT 173.34(e)(1)(ii).... $4,200 to $10,400.
cylinder without
performing the visual
inspection or
hydrostatic retest.
Performing hydrostatic 173.34(e)(3)........ $2,100 to $5,200.
retesting without
demonstrating the
accuracy of the testing
equipment.
Failure to hold 173.34(e)(3)........ $3,100.
hydrostatic test
pressure for 30 seconds
or sufficiently longer
to allow for complete
expansion.
Failure to perform a 173.34(e)(3)........ $3,100.
second retest, after
equipment failure, at a
pressure of 10% more or
100 psi more, whichever
is less (includes
exceeding 90% of test
pressure prior to
conducting a retest).
Failure to condemn a 173.34(e)(4)........ $10,000.
cylinder with permanent
expansion of 10% or
greater (5% for certain
exemption cylinders);
failure to condemn
cylinders with evidence
of internal or external
corrosion, denting,
bulging, or rough usage.
Marking an FRP cylinder Applicable Exemption $6,000 to $10,800.
with steel stamps in
the FRP area of the
cylinder such that the
integrity of the
cylinder is compromised.
Failure to keep complete
and accurate records of
cylinder reinspection
and retest.
--No records kept... .................... $4,000.
--Incomplete or 173.34(e)(5)........ $1,000 to $3,000.
inaccurate records.
Improper marking of the 173.34(e)(5)........ $800
RIN or retest date on a
cylinder.
Marking a DOT 3HT 173.34(e)(13) (iv).. $6,000 to $10,800.
cylinder with a steel
stamp other than a low-
stress steel stamp.
Marking a ``+'' sign on 173.302(c)(3)....... $3,000 to $4,000.
a cylinder without
determining the average
or maximum wall stress,
by calculation or
reference to CGA
Pamphlet C-5.
Representing, marking, 171.2(c), Applicable $2,000 to $6,000.
or certifying a Exemption.
cylinder as meeting the
requirements of an
exemption, when the
cylinder was not
maintained or retested
in accordance with the
exemption.
Rebuilder Requirements (Sec.
173.34):
Representing a DOT-4 173.34(l)........... $6,000 to $10,800.
series cylinder as
meeting the
requirements of the
Hazardous Materials
Regulations without
being authorized to do
so by the Associate
Administrator for
Hazardous Materials
Safety.
Offeror Requirements
(General):
Offering a hazardous Various.............
material for
transportation in an
unauthorized non-UN
standard or
nonspecification
packaging (includes the
failure to comply with
the terms of an
exemption authorizing
the use of a
nonstandard or
nonspecification
packaging).
--Packing Group I .................... $9,000.
(includes Sec. 172
504 Table 1
materials).
--Packing Group II.. .................... $7,000.
-Packing Group III.. .................... $5,000.
Offering a hazardous 178.3(a), 178.503(a) $3,600.
material for
transportation in a
packaging that has
successfully been
tested to an applicable
UN standard, but is not
marked with the
required UN marking.
Offering a hazardous 173.24(b)...........
material for
transportation in a
packaging that leaks
during conditions
normally incident to
transportation.
--Packing Group I .................... $12,000.
(includes Sec.
172.504 Table 2
materials).
--Packing Group II.. .................... $9,000.
--Packing Group III. .................... $6,000.
Overfilling a package so 173.24(b)...........
that the effectiveness
is substantially
reduced.
--Packing Group I .................... $9,000.
(includes Sec.
172.504 Table 1
materials).
--Packing Group II.. .................... $6,000.
--Packing Group III. .................... $3,000.
Offering a hazardous 171.14..............
material for
transportation after
October 1, 1996, in an
unauthorized non-UN
standard packaging
marked as manufactured
to a DOT specification.
[[Page 2975]]
--packaging meets .................... $3,000.
DOT specification.
--packaging does not .................... $5,000 to $9,000.
meet DOT
specification.
Offeror Requirements (Class
1--Explosives):
------------------------------------------------------------------------
Failing to mark the 172.320............. $1,200.
``EX'' approval number
on a package containing
an explosive.
Offering an unapproved 173.54 and 173.56(b)
explosive for
transportation.
--Div 1.3 & 1.4 .................... $5,0000 to $10,000.
fireworks meeting
the chemistry
requirements (both
quantity and type)
of APA Standard 87-
1.
--all other .................... $10,000 to $27,500.
explosives
(including
forbidden
explosives).
Offering a leaking or 173.54(c)........... $10,000 to $27,500.
damaged package of
explosives for
transportation.
Offeror Requirements (Class
7--Radioactive Materials):
Offering a DOT 173.415(a), 173.461.
specification 7A
packaging without
maintaining complete
documentation of tests
and an engineering
evaluation or
comparative data.
-tests and .................... $8,400.
evaluation not
performed.
-complete records .................... $2,000 to $5,000.
not maintained.
Offering a Type B 173.416(b),
packaging without 173.471(d).
holding a valid NRC
approval certificate.
-never having .................... $2,500.
obtained one.
-holding an expired .................... $1,000.
certificate.
Offering a limited 177.421(d).......... $5,000 and up.
quantity of radioactive
materials without
marking the inner (or
single) packaging
``Radioactive.''
Offering low specific 173.425(b)(9) & $800.
activity (LSA) (c)(7).
radioactive materials
consigned as exclusive
use without providing
instructions for
maintenance of
exclusive use shipment
controls.
Offering a package that 173.441............. $10,000 and up.
exceeds the permitted
limits for surface
radiation or transport
index.
Offering a package 173.443............. $5,000 and up.
without determining the
level of removable
external contamination,
or that exceeds the
limit for removable
external contamination.
Storing packages of 173.447(a).......... $5,000 and up.
radioactive material in
a group with a total
transport index more
than 50.
Offering special form 173.476(a) & (b).... $2,500.
radioactive materials
without maintaining a
complete safety
analysis or Certificate
of Competent Authority.
Offeror Requirements
(Cylinders):
Offering a compressed 173.301(c).......... $4,200 to $10,400.
gas for transportation
in a cylinder that is
out of test.
Failure to check each 173.303(d).......... $5,000.
day the pressure of a
cylinder charged with
acetylene that is
representative of that
day's compression,
after the cylinder has
cooled to a settled
temperature, or failure
to keep a record of
this test for at least
30 days.
Offering a limited 173.306(a)(3), (h).. $1,500 to $6,000.
quantity of a
compressed gas in a
metal container for the
purpose of propelling a
nonpoisonous material
and failing to heat the
cylinder until the
pressure is equivalent
to the equilibrium
pressure at 130 deg. F,
without evidence of
leakage, distortion, or
other defect.
------------------------------------------------------------------------
PART 178--REQUIREMENTS
------------------------------------------------------------------------
Third-Party Packaging
Certifiers (General):
Issuing a certification 1171.2(e), $500 per item.
that directs the 1178.2(b),
packaging manufacturer 178.3(a),
to improperly mark a 178.503(a).
packaging (e.g., steel
drum to be marked UN
4G).
Manufacturers (General):
Failure to insure a 178.601(b)..........
packaging certified as
meeting the UN standard
is capable of passing
the required
performance testing.
--Packing Group I .................... $10,800.
(includes Sec.
172.504 Table 1
materials).
--Packing Group II.. .................... $8,400.
--Packing Group III. .................... $6,000.
Certifying a packaging 178.601(d)..........
as meeting a UN
standard when design
qualification testing
was not performed.
--Packing Group I .................... $10,800.
(includes Sec. 172
504 Table 2
materials).
--Packing Group II.. .................... $8,400.
--Packing Group III. .................... $6,000.
Failure to conduct 178.601(e).......... $2,000 to $10,800.
periodic retesting on
UN standard packaging
(depending on length of
time and Packing Group).
Failure to properly ....................
conduct testing for UN
standard packaging
(e.g., testing with
less weight than marked
on packaging; drop
testing from lesser
height than required;
failing to condition
fiberboard boxes before
design test).
--design 178.601(d).......... $2,000 to $10,800.
qualification
testing.
--periodic retesting 178.601(e).......... $500 to $10,800.
[[Page 2976]]
Marking, or causing the 178.2(b), 178.3(a), $7,200.
marking of, a packaging 178.503(a)(8).
with the symbol of a
manufacturer or
packaging certifier
other than the company
that actually
manufactured or
certified the packaging.
Failure to maintain 178.601(1)..........
testing records.
--design .................... $1,000 to $5,000.
qualification
testing.
--periodic retesting .................... $500 to $2,000.
Improper marking of UN 178.503............. $500 per item.
certification.
Manufacturing DOT 171.14
specification packaging
after October 1, 1994
that is not marked as
meeting a UN
performance standard.
--if packaging does .................... $3,000.
meet DOT
specification.
--if packaging does .................... $6,000 to $10,800.
not meet DOT
specification.
Manufacturing Requirements--
Drums
Failure to properly 178.604(b)(1)
conduct production
leakproofness test.
--improper testing.. 173.28.............. $2,000.
--no testing .................... $2,000 to $10,800.
performed.
Manufacturing Requirements--
Cylinders
Manufacturing, Various............. $7,500 to $15,000.
representing, marking,
certifying, or selling
a DOT high-pressure
cylinder that was not
inspected and verified
by an approved
independent inspection
agency.
Failure to have a Various............. $800.
registration number or
failure to mark the
registration number on
the cylinder.
Marking another Various............. $7,200.
company's number on a
cylinder.
Failure to mark the date 178 65-14........... $3,000.
of manufacture or lot
number on a DOT-39
cylinder.
Failure to have a Various............. $5,000.
chemical analysis
performed in the US for
a material manufactured
outside the US/failure
to obtain a chemical
analysis from the
foreign manufacturer.
Failure to meet wall Various............. $7,500 to $15,000.
thickness requirements.
Failure to heat treat Various............. $5,000 to $15,000.
cylinders prior to
testing.
Failure to conduct a Various............. $2,500 to $6,200.
complete visual
internal examination.
Failure to conduct a Various............. $2,500 to $6,200.
hydrostatic test, or
conducting a
hydrostatic test with
inaccurate test
equipment.
Failure to conduct a Various............. $7,500 to $15,000.
flattening test.
Failure to conduct a 178.65-11........... $5,000 to $15,000.
burst test on a DOT-39
cylinder.
Failure to have Various............. $7,500 to $15,000.
inspections and
verifications performed
by an inspector.
Failure to maintain a Various.............
required inspector's
reports.
--no reports at all. .................... $5,000.
--incomplete or .................... $1,000 to $4,000.
inaccurate reports.
------------------------------------------------------------------------
Other Requirements
------------------------------------------------------------------------
Carrier Requirements:
Transporting packages of 177.834(a) & (g).... $3,000.
hazardous materials
that have not been
secured against
movement within the
vehicle.
Transporting explosives 177.835(i).......... $5,200.
in a motor vehicle
containing metal or
other articles or
materials likely to
damage such explosives
or any package in which
they are contained,
without segregating in
different parts of the
load or securing them
in place in or on the
motor vehicle and
separated by bulkheads
or other suitable means
to prevent such damage.
Transporting railway 171.2(b)............ $7,000.
track torpedoes outside
of flagging kits, in
violation of E-7991.
Transporting Class 7 177.842(a)......... $5,000 and up.
(radioactive) material
having a total
transport index more
than 50.
Transporting Class 7 177.842(b)......... $5,000 and up.
(radioactive) material
without maintaining the
required separation
distance.
Failing to comply with 171.2(b)............
requirements of an
exemption authorizing
the transportation of
Class 7 (radioactive)
material having a total
transport index more
than 50.
-failure to have the .................... $5,000.
radiation survey
record required by
Paras. 7(f),
8(b)(3).
-failure to have .................... $500 each.
other accompanying
documents required
by para. 8(b).
-other violations of .................... $5,000 and up.
Paras. 7 and 8.
Exemptions:
Offering or transporting 171.2(a), (b), (c), $1,000 + $500 each
hazardous materials, or Various. add'l year.
otherwise performing a
function, covered by an
exemption after
expiration of the
exemption.
------------------------------------------------------------------------
[[Page 2977]]
4. In Appendix A to subpart D of part 107, under the section
entitled ``Penalty Increase for Multiple Counts'' (Section IV.C.), the
parenthetical phrase ``($27,500 for a violation occurring after January
21, 1997)'' is added after ``$25,000.'
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
5. The authority citation for part 171 is revised to read as
follows:
Authority: 49 U.S.C. 5101-5127, 44701; 49 CFR 1.45 and 1.53;
Pub. L. 101-410, Sec. 4 (28 U.S.C. 2461 note); Pub. L. 104-134,
Sec. 31001.
6. In Sec. 171.1, as revised in the final rule under Docket No. HM-
200 on January 8, 1997 (62 FR 1215), new paragraph (c) is added to read
as follows:
Sec. 171.1 Purpose and scope.
* * * * *
(c) Any person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder,
subchapter A, an exemption issued under subchapter A, of this
subchapter, is liable for a civil penalty of not more than $25,000
($27,500 for a violation that occurs after January 21, 1997) and not
less than $250 for each violation. When the violation is a continuing
one and involves the transporting of hazardous materials or the causing
of them to be transported or shipped, each day of the violation
constitutes a separate offense. Any person who knowingly violates
Sec. 171.2(g) of this subchapter or willfully violates a provision of
the Federal hazardous material transportation law or an order or
regulation issued thereunder shall be fined under Title 18, United
States Code, or imprisoned for not more than 5 years, or both.
Issued in Washington, DC on January 14, 1997, under authority
delegated in 49 CFR part 1.
Kelley S. Coyner,
Deputy Administrator.
[FR Doc. 97-1398 Filed 1-17-97; 8:45 am]
BILLING CODE 4910-60-P
