Last updated on December 6th, 2021 at 10:18 pm
Title 49 – Transportation–Volume 2
Subtitle B – Other Regulations Relating to Transportation
CHAPTER I – PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
SUBCHAPTER A – HAZARDOUS MATERIALS AND OIL TRANSPORTATION
PARTS 100-104 [RESERVED]
PART 105 – HAZARDOUS MATERIALS PROGRAM DEFINITIONS AND GENERAL PROCEDURES
Subpart A – Definitions
§ 105.5 Definitions.
(a) This part contains the definitions for certain words and phrases used throughout this subchapter (49 CFR parts 105 through 110). At the beginning of each subpart, the Pipeline and Hazardous Materials Safety Administration (“PHMSA” or “we”) will identify the defined terms that are used within the subpart – by listing them – and refer the reader to the definitions in this part. This way, readers will know that PHMSA has given a term a precise meaning and will know where to look for it.
(b) Terms used in this part are defined as follows:
Approval means a written authorization, including a competent authority approval, issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, to perform a function for which prior authorization by the Associate Administrator is required under subchapter C of this chapter (49 CFR parts 171 through 180).
Associate Administrator means Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration.
Competent Authority means a national agency that is responsible, under its national law, for the control or regulation of some aspect of hazardous materials (dangerous goods) transportation. Another term for Competent Authority is “Appropriate authority” which is used in the International Civil Aviation Organization’s (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Air. The Associate Administrator is the United States Competent Authority for purposes of 49 CFR part 107.
Competent Authority Approval means an approval by the competent authority that is required under an international standard (for example, the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air and the International Maritime Dangerous Goods Code). Any of the following may be considered a competent authority approval if it satisfies the requirement of an international standard:
(1) A specific regulation in subchapter A or C of this chapter.
(2) A special permit or approval issued under subchapter A or C of this chapter.
(3) A separate document issued to one or more persons by the Associate Administrator.
Federal hazardous material transportation law means 49 U.S.C. 5101 et seq.
File or Filed means received by the appropriate PHMSA or other designated office within the time specified in a regulation or rulemaking document.
Hazardous material means a substance or material that the Secretary of Transportation has determined is capable of posing an unreasonable risk to health, safety, and property when transported in commerce, and has designated as hazardous under section 5103 of Federal hazardous materials transportation law (49 U.S.C. 5103). The term includes hazardous substances, hazardous wastes, marine pollutants, elevated temperature materials, materials designated as hazardous in the Hazardous Materials Table (see 49 CFR 172.101), and materials that meet the defining criteria for hazard classes and divisions in part 173 of subchapter C of this chapter.
Hazardous Materials Regulations or HMR means the regulations at 49 CFR parts 171 through 180.
Indian tribe has the same meaning given that term in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b).
Person means an individual, firm, copartnership, corporation, company, association, or joint-stock association (including any trustee, receiver, assignee, or similar representative); or a government or Indian tribe (or an agency or instrumentality of any government or Indian tribe) that transports a hazardous material to further a commercial enterprise or offers a hazardous material for transportation in commerce. Person does not include the following:
(1) The United States Postal Service.
(2) Any agency or instrumentality of the Federal government, for the purposes of 49 U.S.C. 5123 (civil penalties) and 5124 (criminal penalties).
(3) Any government or Indian tribe (or an agency or instrumentality of any government or Indian tribe) that transports hazardous material for a governmental purpose.
Political subdivision means a municipality; a public agency or other instrumentality of one or more States, municipalities, or other political body of a State; or a public corporation, board, or commission established under the laws of one or more States.
Preemption determination means an administrative decision by the Associate Administrator that Federal hazardous materials law does or does not void a specific State, political subdivision, or Indian tribe requirement.
Regulations issued under Federal hazardous material transportation law include this subchapter A (parts 105-110) and subchapter C (parts 171-180) of this chapter, certain regulations in chapter I (United States Coast Guard) of title 46, Code of Federal Regulations, and in chapters III (Federal Motor Carrier Safety Administration) and XII (Transportation Security Administration) of subtitle B of this title, as indicated by the authority citations therein.
Special permit means a document issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, under the authority of 49 U.S.C. 5117 permitting a person to perform a function that is not otherwise permitted under subchapter A or C of this chapter, or other regulations issued under 49 U.S.C. 5101 et seq. (e.g., Federal Motor Carrier Safety routing requirements).
State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other territory or possession of the United States designated by the Secretary.
Transports or Transportation means the movement of property and loading, unloading, or storage incidental to the movement.
Waiver of Preemption means a decision by the Associate Administrator to forego preemption of a non-Federal requirement – that is, to allow a State, political subdivision or Indian tribe requirement to remain in effect. The non-Federal requirement must provide at least as much public protection as the Federal hazardous materials transportation law and the regulations issued under Federal hazardous materials transportation law, and may not unreasonably burden commerce.
Subpart B – General Procedures
§ 105.15 Defined terms used in this subpart.
The following defined terms (see subpart A of this part) appear in this subpart: Approval; Federal hazardous material transportation law; Hazardous material; Hazardous materials regulations; Indian tribe; Preemption determination; Special permit; State; Transportation; Waiver of preemption
Obtaining Guidance and Public Information
§ 105.20 Guidance and interpretations.
(a) Hazardous materials regulations. You can obtain information and answers to your questions on compliance with the hazardous materials regulations (49 CFR parts 171 through 180) and interpretations of those regulations by contacting PHMSA’s Office of Hazardous Materials Safety as follows:
(1) Call the Hazardous Materials Information Center at 1-800-467-4922 (in Washington, DC, call (202) 366-4488). The Center is staffed from 9 a.m. through 5 p.m. Eastern time, Monday through Friday except Federal holidays. After hours, you can leave a recorded message and your call will be returned by the next business day.
(2) E-mail the Hazardous Materials Information Center at [email protected].
(3) Obtain hazardous materials safety information via the Internet at http://www.phmsa.dot.gov.
(4) Send a letter, with your return address and a daytime telephone number, to: Standards and Rulemaking Division, Pipeline and Hazardous Materials Safety Administration, Attn: PHH-10, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(b) Federal hazardous materials transportation law and preemption. You can obtain information and answers to your questions on Federal hazardous materials transportation law, 49 U.S.C. 5101 et seq., and Federal preemption of State, local, and Indian tribe hazardous material transportation requirements, by contacting PHMSA’s Office of the Chief Counsel as follows:
(1) Call the office of the Chief Counsel at (202) 366-4400 from 9 a.m. to 5 p.m. Eastern time, Monday through Friday except Federal holidays.
(2) Access information from the Office of the Chief Counsel via the Internet at http://www.phmsa.dot.gov.
(3) Send a letter, with your return address and a daytime telephone number, to: Office of the Chief Counsel, Pipeline and Hazardous Materials Safety Administration, Attn: PHC-10, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(4) Contact the Office of the Chief Counsel for a copy of applications for preemption determinations, waiver of preemption determinations, and inconsistency rulings received by PHMSA before February 1, 1997.
§ 105.25 Reviewing public documents.
PHMSA is required by statute to make certain documents and information available to the public. You can review and copy publicly available documents and information at the locations described in this section.
(a) DOT Docket Management System. Unless a particular document says otherwise, the following documents are available for public review and copying at the Department of Transportation’s Docket Management System, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001, or for review and downloading through the Internet at http://www.regulations.gov.
(1) Rulemaking documents in proceedings started after February 1, 1997, including notices of proposed rulemaking, advance notices of proposed rulemaking, public comments, related
(2) Applications for special permits numbered DOT-E or DOT-SP 11832 and above. Also available are supporting data, memoranda of any informal meetings with applicants, related
(3) Applications for preemption determinations and waiver of preemption determinations received by PHMSA after February 1, 1997. Also available are public comments,
(b) Office of Pipeline and Hazardous Materials Safety Administration’s Office of Hazardous Materials Safety. (1) You may obtain documents (e.g., proposed and final rules, notices, letters of clarification, safety notices, DOT forms and other documents) by contacting the Hazardous Materials Information Center at 1-800-467-4922 or through the Internet at http://www.phmsa.dot.gov.
(2) Upon your written request, we will make the following documents and information available to you:
(i) Appeals under 49 CFR part 107 and PHMSA’s decisions issued in response to those appeals.
(ii) Records of compliance order proceedings and PHMSA compliance orders.
(iii) Applications for approvals, including supporting data, memoranda of any informal meetings with applicants, and decisions granting or denying approvals applications.
(iv) Applications for special permits numbered below DOT-E or DOT-SP 11832 and related background information are available for public review and copying at the Office of Hazardous Materials Safety, Approvals and Permits Division, U.S. Department of Transportation, PHH-30, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(v) Other information about PHMSA’s hazardous materials program required by statute to be made available to the public for review and copying and any other information PHMSA decides should be available to the public.
(3) Your written request to review documents should include the following:
(i) A detailed description of the documents you wish to review.
(ii) Your name, address, and telephone number.
(4) Send your written request to: Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, Attn: PHH-1, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
§ 105.26 Obtaining records on file with PHMSA.
To obtain records on file with PHMSA, other than those described in § 105.25, you must file a request with PHMSA under the Freedom of Information Act (FOIA) (5 U.S.C. 552). The procedures for filing a FOIA request are contained in 49 CFR part 7.
§ 105.30 Information made available to the public and request for confidential treatment.
When you submit information to PHMSA during a rulemaking proceeding, as part of your application for special permit or approval, or for any other reason, we may make that information publicly available unless you ask that we keep the information confidential.
(a) Asking for confidential treatment. You may ask us to give confidential treatment to information you give to the agency by taking the following steps:
(1) Mark “confidential” on each page of the original document you would like to keep confidential.
(2) Send us, along with the original document, a second copy of the original document with the confidential information deleted.
(3) Explain why the information you are submitting is confidential (for example, it is exempt from mandatory public disclosure under the Freedom of Information Act, 5 U.S.C. 552 or it is information referred to in 18 U.S.C. 1905).
(b) PHMSA Decision. PHMSA will decide whether or not to treat your information as confidential. We will notify you, in writing, of a decision to grant or deny confidentiality at least five days before the information is publicly disclosed, and give you an opportunity to respond.
Serving Documents
§ 105.35 Serving documents in PHMSA proceedings.
(a) Service by PHMSA. We may serve the document by one of the following methods, except where a different method of service is specifically required:
(1) Registered or certified mail.
(i) If we serve a document by registered or certified mail, it is considered served when mailed.
(ii) An official United States Postal Service receipt from the registered or certified mailing is proof of service.
(iii) We may serve a person’s authorized representative or agent by registered or certified mail, or in any other manner authorized by law. Service on a person’s authorized agent is the same as service on the person.
(2) Personal service.
(3) Publication in the
(4) Electronic service. (i) Service by electronic means if consented to in writing by the party to be served.
(ii) For all special permits and approvals actions, electronic service is authorized.
(b) Service by others. If you are required under this subchapter to serve a person with a document, serve the document by one of the following methods, except where a different method of service is specifically required:
(1) Registered or certified mail.
(i) If you serve a document by registered or certified mail, it is considered served when mailed.
(ii) An official United States Postal Service receipt from the registered or certified mailing is proof of service.
(iii) You may serve a person’s authorized representative or agent by registered or certified mail or in any other manner authorized by law. Service on a person’s authorized agent is the same as service on the person.
(2) Personal service.
(3) Electronic service.
(i) In a proceeding under § 107.317 of this subchapter (an administrative law judge proceeding), you may electronically serve documents on us.
(ii) Serve documents electronically through the Internet at http://www.regulations.gov.
§ 105.40 Designated agents for non-residents.
(a) General requirement. If you are not a resident of the United States but are required by this subchapter or subchapter C of this chapter to designate a permanent resident of the United States to act as your agent and receive documents on your behalf, you must prepare a designation and file it with us.
(b) Agents. An agent, also known as “agent for service of process”:
(1) May be an individual, a firm, or a domestic corporation.
(2) May represent any number of principals.
(3) May not reassign responsibilities under a designation to another person.
(c) Preparing a designation. Your designation must be written and dated, and it must contain the following information:
(1) The section in the HMR that requires you to file a designation.
(2) A certification that the designation is in the correct legal form required to make it valid and binding on you under the laws, corporate bylaws, and other requirements that apply to designations at the time and place you are making the designation.
(3) Your full legal name, the principal name of your business, and your mailing address.
(4) A statement that your designation will remain in effect until you withdraw or replace it.
(5) The legal name and mailing address of your agent.
(6) A declaration of acceptance signed by your agent.
(d) Each designation must be submitted to: Approvals and Permits Division, Pipeline and Hazardous Materials Safety Administration, Attn: PHH-30, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue SE., Washington, DC 20590-0001 or by electronic mail to: [email protected] or [email protected] as appropriate.
(e) Designations are binding. You are bound by your designation of an agent, even if you did not follow all the requirements in this section, until we reject your designation.
Subpoenas
§ 105.45 Issuing a subpoena.
(a) Subpoenas explained. A subpoena is a document that may require you to attend a proceeding, produce documents or other physical evidence in your possession or control, or both. PHMSA may issue a subpoena either on its initiative or at the request of someone participating in a proceeding. Anyone who requests that PHMSA issue a subpoena must show that the subpoena seeks information that will materially advance the proceeding.
(b) Attendance and mileage expenses. (1) If you receive a subpoena to attend a proceeding under this part, you may receive money to cover attendance and mileage expenses. The attendance and mileage fees will be the same as those paid to a witness in a proceeding in the district courts of the United States.
(2) If PHMSA issues a subpoena to you based upon a request, the requester must serve a copy of the original subpoena on you, as required in § 105.50. The requester must also include attendance and mileage fees with the subpoena unless the requester asks PHMSA to pay the attendance and mileage fees because of demonstrated financial hardship and PHMSA agrees to do so.
(3) If PHMSA issues a subpoena at the request of an officer or agency of the Federal government, the officer or agency is not required to include attendance and mileage fees when serving the subpoena. The officer or agency must pay the fees before you leave the hearing at which you testify.
§ 105.50 Serving a subpoena.
(a) Personal service. Anyone who is not an interested party and who is at least 18 years of age may serve you with a subpoena and fees by handing the subpoena and fees to you, by leaving them at your office with the individual in charge, or by leaving them at your house with someone who lives there and is capable of making sure that you receive them. If PHMSA issues a subpoena to an entity, rather than an individual, personal service is made by delivering the subpoena and fees to the entity’s registered agent for service of process or to any officer, director or agent in charge of any of the entity’s offices.
(b) Service by mail. You may be served with a copy of a subpoena and fees by certified or registered mail at your last known address. Service of a subpoena and fees may also be made by registered or certified mail to your agent for service of process or any of your representatives at that person’s last known address.
(c) Other methods. You may be served with a copy of a subpoena by any method where you receive actual notice of the subpoena and receive the fees before leaving the hearing at which you testify.
(d) Filing after service. After service is complete, the individual who served a copy of a subpoena and fees must file the original subpoena and a certificate of service with the PHMSA official who is responsible for conducting the hearing.
§ 105.55 Refusal to obey a subpoena.
(a) Quashing or modifying a subpoena. If you receive a subpoena, you can ask PHMSA to overturn (“quash”) or modify the subpoena within 10 days after the subpoena is served on you. Your request must briefly explain the reasons you are asking for the subpoena to be quashed or modified. PHMSA may then do the following:
(1) Deny your request.
(2) Quash or modify the subpoena.
(3) Grant your request on the condition that you satisfy certain specified requirements.
(b) Failure to obey. If you disobey a subpoena, PHMSA may ask the Attorney General to seek help from the United States District Court for the appropriate District to compel you, after notice, to appear before PHMSA and give testimony, produce subpoenaed documents or physical evidence, or both.
PART 106 – RULEMAKING PROCEDURES
Subpart A – PHMSA Rulemaking Documents
§ 106.5 Defined terms used in this subpart.
The following defined terms (see part 105, subpart A, of this subchapter) appear in this subpart: File; Person; State.
§ 106.10 Process for issuing rules.
(a) PHMSA (“we”) uses informal rulemaking procedures under the Administrative Procedure Act (5 U.S.C. 553) to add, amend, or delete regulations. To propose or adopt changes to a regulation, PHMSA may issue one or more of the following documents. We publish the following rulemaking documents in the
(1) An advance notice of proposed rulemaking.
(2) A notice of proposed rulemaking.
(3) A final rule.
(4) An interim final rule.
(5) A direct final rule.
(b) Each of the rulemaking documents in paragraph (a) of this section generally contains the following information:
(1) The topic involved in the rulemaking document.
(2) PHMSA’s legal authority for issuing the rulemaking document.
(3) How interested persons may participate in the rulemaking proceeding (for example, by filing written comments or making oral presentations).
(4) Whom to call if you have questions about the rulemaking document.
(5) The date, time, and place of any public meetings being held to discuss the rulemaking document.
(6) The docket number and regulation identifier number (RIN) for the rulemaking proceeding.
§ 106.15 Advance notice of proposed rulemaking.
An advance notice of proposed rulemaking (ANPRM) tells the public that PHMSA is considering an area for rulemaking and requests written comments on the appropriate scope of the rulemaking or on specific topics. An advance notice of proposed rulemaking may or may not include the text of potential changes to a regulation.
§ 106.20 Notice of proposed rulemaking.
A notice of proposed rulemaking (NPRM) contains PHMSA’s specific proposed regulatory changes for public comment and contains supporting information. It generally includes proposed regulatory text.
§ 106.25 Revising regulations without first issuing an ANPRM or NPRM.
PHMSA may add, amend, or delete regulations without first issuing an ANPRM or NPRM in the following situations:
(a) We may go directly to a final rule or interim final rule if, for good cause, we find that a notice of proposed rulemaking is impracticable, unnecessary, or contrary to the public interest. We must place that finding and a brief statement of the reasons for it in the final rule or interim final rule.
(b) We may issue a direct final rule (see § 106.40).
§ 106.30 Final rule.
A final rule sets out new regulatory requirements and their effective date. A final rule will also identify issues raised by commenters in response to the notice of proposed rulemaking and give the agency’s response.
§ 106.35 Interim final rule.
An interim final rule is issued without first issuing a notice of proposed rulemaking and accepting public comments and sets out new regulatory requirements and their effective date. PHMSA may issue an interim final rule if it finds, for good cause, that notice and public procedure are impracticable, unnecessary, or contrary to the public interest. PHMSA will clearly set out this finding in the interim final rule. After receiving and reviewing public comments, as well as any other relevant documents, PHMSA may revise the interim final rule and then issue a final rule.
§ 106.40 Direct final rule.
A direct final rule makes regulatory changes and states that the regulatory changes will take effect on a specified date unless PHMSA receives an adverse comment within the comment period – generally 60 days after the direct final rule is published in the
(a) Actions taken by direct final rule. We may use direct final rulemaking procedures to issue rules that do any of the following:
(1) Make minor substantive changes to regulations.
(2) Incorporate by reference the latest edition of technical or industry standards.
(3) Extend compliance dates.
(4) Make noncontroversial changes to regulations. We must determine and publish a finding that use of direct final rulemaking, in this situation, is in the public interest and unlikely to result in adverse comment.
(b) Adverse comment. An adverse comment explains why a rule would be inappropriate, or would be ineffective or unacceptable without a change. It may challenge the rule’s underlying premise or approach. Under the direct final rule process, we do not consider the following types of comments to be adverse:
(1) A comment recommending another rule change, in addition to the change in the direct final rule at issue, unless the commenter states why the direct final rule would be ineffective without the change.
(2) A frivolous or irrelevant comment.
(c) Confirmation of effective date. We will publish a confirmation document in the
(d) Withdrawing a direct final rule. (1) If we receive an adverse comment, we will either publish a document withdrawing the direct final rule before it becomes effective and may issue an NPRM, or proceed by any other means permitted under the Administrative Procedure Act.
(2) If we withdraw a direct final rule because of an adverse comment, we may incorporate the adverse comment into a later direct final rule or may publish a notice of proposed rulemaking.
(e) Appeal. You may appeal PHMSA’s issuance of a direct final rule (see § 106.115) only if you have previously filed written comments (see § 106.60) to the direct final rule.
§ 106.45 Tracking rulemaking actions.
The following identifying numbers allow you to track PHMSA’s rulemaking activities:
(a) Docket number. We assign an identifying number, called a docket number, to each rulemaking proceeding. Each rulemaking document that PHMSA issues in a particular rulemaking proceeding will display the same docket number. This number allows you to do the following:
(1) Associate related documents that appear in the
(2) Search the DOT Docket Management System (“DMS”) for information on particular rulemaking proceedings – including notices of proposed rulemaking, public comments, petitions for rulemaking, appeals, records of additional rulemaking proceedings and final rules. There are two ways you can search the DMS:
(i) Visit the public docket room and review and copy any docketed materials during regular business hours. The DOT Docket Management System is located at the U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(ii) View and download docketed materials through the Internet at http://www.regulations.gov.
(b) Regulation identifier number. The Department of Transportation publishes a semiannual agenda of all current and projected Department of Transportation rulemakings, reviews of existing regulations, and completed actions. This semiannual agenda appears in the Unified Agenda of Federal Regulations that is published in the
Subpart B – Participating in the Rulemaking Process
§ 106.50 Defined terms used in this subpart.
The following defined terms (see part 105, subpart A, of this subchapter) appear in this subpart: File; Person; Political subdivision; State.
§ 106.55 Public participation in the rulemaking process.
You may participate in PHMSA’s rulemaking process by doing any of the following:
(a) File written comments on any rulemaking document that asks for comments, including an advance notice of proposed rulemaking, notice of proposed rulemaking, interim final rule, or direct final rule.
(b) Ask that we hold a public meeting in any rulemaking proceeding and participate in any public meeting that we hold.
(c) File a petition for rulemaking that asks us to add, amend, or delete a regulation.
(d) File an appeal that asks us to reexamine our decision to issue all or part of a final rule, interim final rule, or direct final rule.
Written Comments
§ 106.60 Filing comments.
Anyone may file written comments about proposals made in any rulemaking document that requests public comments, including any State government agency, any political subdivision of a State, and any interested person invited by PHMSA to participate in the rulemaking process.
§ 106.65 Required information for written comments.
Your comments must be in English and must contain the following:
(a) The docket number of the rulemaking document you are commenting on, clearly set out at the beginning of your comments.
(b) Information, views, or arguments that follow the instructions for participation that appear in the rulemaking document on which you are commenting.
(c) All material that is relevant to any statement of fact in your comments.
(d) The document title and page number of any material that you reference in your comments.
§ 106.70 Where and when to file comments.
(a) Unless you are told to do otherwise in the rulemaking document on which you are commenting, send your comments to us in either of the following ways:
(1) By mail to: Docket Management System, U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(2) Through the Internet at http://www.regulations.gov.
(b) Make sure that your comments reach us by the deadline set out in the rulemaking document on which you are commenting. We will consider late filed comments to the extent possible.
(c) We may reject comments that are not relevant to the rulemaking. We may reject comments you file electronically if you do not follow the electronic filing instructions at the DOT Web site.
§ 106.75 Extension of time to file comments.
You may ask for more time to file comments on a rulemaking proceeding. If PHMSA grants your request, it is granted to all persons. We will notify the public of the extension by publishing a document in the
(a) File a request for extension at least ten days before the end of the comment period established in the rulemaking document.
(b) Show that you have good cause for the extension and that an extension is in the public interest.
(c) Include the docket number of the rulemaking document you are seeking additional time to comment on, clearly set out at the beginning of your request.
(d) Send your request to: Docket Management System, U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
Public Meetings and Other Proceedings
§ 106.80 Public meeting procedures.
A public meeting is a non-adversarial, fact-finding proceeding conducted by a PHMSA representative. Generally, public meetings are announced in the
§ 106.85 Requesting a public meeting.
(a) You may ask for a public meeting by filing a written request with PHMSA no later than 20 days before the expiration of the comment period specified in the rulemaking document. Send your request for a public meeting to: Docket Management System, U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(b) PHMSA will review your request and, if you have shown good cause for a public meeting, we will grant it and publish a notice of the meeting in the
§ 106.90 Other rulemaking proceedings.
During a rulemaking proceeding, PHMSA may invite you to do the following:
(a) Participate in a conference at which minutes are taken.
(b) Make an oral presentation.
(c) Participate in any other public proceeding to ensure that PHMSA makes informed decisions during the rulemaking process and to protect the public interest, including a negotiated rulemaking or work group led by a facilitator.
Petitions for Rulemaking
§ 106.95 Requesting a change to the regulations.
You may ask PHMSA to add, amend, or delete a regulation by filing a petition for rulemaking as follows:
(a) For regulations in 49 CFR parts 110, 130, 171 through 180, submit the petition to: Standards and Rulemaking Division, Pipeline and Hazardous Materials Safety Administration, Attn: PHH-10, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(b) For regulations in 49 CFR parts 105, 106, or 107, submit the petition to: Office of the Chief Counsel, Pipeline and Hazardous Materials Safety Administration, Attn: PHC-10, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
§ 106.100 Required information for a petition for rulemaking.
(a) You must include the following information in your petition for rulemaking:
(1) A summary of your proposed action and an explanation of its purpose.
(2) The language you propose for a new or amended rule, or the language you would delete from a current rule.
(3) An explanation of your interest in your proposed action and the interest of anyone you may represent.
(4) Information and arguments that support your proposed action, including relevant technical and scientific data available to you.
(5) Any specific cases that support or demonstrate the need for your proposed action.
(b) If the impact of your proposed action is substantial, and data or other information about that impact are available to you, we may ask that you provide information about the following:
(1) The costs and benefits of your proposed action to society in general, and identifiable groups within society in particular.
(2) The direct effects, including preemption effects under section 5125 of Federal hazardous materials transportation law, of your proposed action on States, on the relationship between the Federal government and the States, and on the distribution of power and responsibilities among the various levels of government. (See 49 CFR part 107, subpart C, regarding preemption.)
(3) The regulatory burden of your proposed action on small businesses, small organizations, small governmental jurisdictions, and Indian tribes.
(4) The recordkeeping and reporting burdens of your proposed action and whom they would affect.
(5) The effect of your proposed action on the quality of the natural and social environments.
§ 106.105 PHMSA response to a petition for rulemaking.
We will review and respond to your petition for rulemaking as follows:
| If your petition is . . . | And if we determine that . . . | Then . . . |
|---|---|---|
| (a) Incomplete | We may return your petition with a written explanation. | |
| (b) Complete | Your petition does not justify a rulemaking action | We will notify you in writing that we will not start a rulemaking proceeding. |
| (c) Complete | Your petition does justify a rulemaking action | We will notify you in writing that we will start a rulemaking proceeding. |
Appeals
§ 106.110 Appealing a PHMSA Action.
You may appeal the following PHMSA actions:
(a) PHMSA’s issuance of a final rule or PHMSA’s withdrawal of a notice of proposed rulemaking under the rulemaking procedures in this part. However, you may appeal PHMSA’s issuance of a direct final rule only if you previously filed comments to the direct final rule (see § 106.40(e)).
(b) Any PHMSA decision on a petition for rulemaking.
§ 106.115 Required information for an appeal.
(a) Appeal of a final rule or withdrawal of a notice of proposed rulemaking. If you appeal PHMSA’s issuance of a final rule or PHMSA’s withdrawal of a notice of proposed rulemaking, your appeal must include the following:
(1) The docket number of the rulemaking you are concerned about, clearly set out at the beginning of your appeal.
(2) A brief statement of your concern about the final rule or the withdrawal of notice of proposed rulemaking at issue.
(3) An explanation of why compliance with the final rule is not practical, reasonable, or in the public interest.
(4) If you want PHMSA to consider more facts, the reason why you did not present those facts within the time given during the rulemaking process for public comment.
(b) Appeal of a decision. If you appeal PHMSA’s decision on a petition for rulemaking, you must include the following:
(1) The contested aspects of the decision.
(2) Any new arguments or information.
§ 106.120 Appeal deadline.
(a) Appeal of a final rule or withdrawal of a notice of proposed rulemaking. If you appeal PHMSA’s issuance of a final rule or PHMSA’s withdrawal of a proposed rulemaking, your appeal document must reach us no later than 30 days after the date PHMSA published the regulation or the withdrawal notice in the
(b) Appeal of a decision. If you appeal PHMSA’s decision on a petition for rulemaking, your appeal document must reach us no later than 30 days from the date PHMSA served you with written notice of PHMSA’s decision.
§ 106.125 Filing an appeal.
Send your appeal to: Docket Management System, U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
§ 106.130 PHMSA response to an appeal.
Unless PHMSA provides otherwise, filing an appeal will not keep a final rule from becoming effective. We will handle an appeal according to the following procedures:
(a) Appeal of a final rule or withdrawal of a notice of proposed rulemaking. (1) We may consolidate your appeal with other appeals of the same rule.
(2) We may grant or deny your appeal, in whole or in part, without further rulemaking proceedings, unless granting your appeal would result in the issuance of a new final rule.
(3) If we decide to grant your appeal, we may schedule further proceedings and an opportunity to comment.
(4) PHMSA will notify you, in writing, of the action on your appeal within 90 days after the date that PHMSA published the final rule or withdrawal of notice of proposed rulemaking at issue in the
(b) Appeal of a decision. (1) We will not consider your appeal if it merely repeats arguments that PHMSA has previously rejected.
(2) PHMSA will notify you, in writing, of the action on your appeal within 90 days after the date that PHMSA served you with written notice of its decision on your petition for rulemaking. If we do not issue a decision on your appeal within the 90-day period, and we anticipate a substantial delay, we will notify you directly about the delay and will give you an expected decision date.
PART 107 – HAZARDOUS MATERIALS PROGRAM PROCEDURES
Subpart A – Definitions
§ 107.1 Definitions.
All terms defined in 49 U.S.C. 5102 are used in their statutory meaning. Other terms used in this part are defined as follows:
Acting knowingly means acting or failing to act while
(1) Having actual knowledge of the facts giving rise to the violation, or
(2) Having the knowledge that a reasonable person acting in the same circumstances and exercising due care would have had.
Administrator means the Administrator, Pipeline and Hazardous Materials Safety Administration or his or her delegate.
Applicant means the person in whose name a special permit, approval, registration, a renewed or modified special permit or approval, or party status to a special permit is requested to be issued.
Applicant fitness means a determination by PHMSA, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, that a special permit or approval applicant is fit to conduct operations requested in the application or an authorized special permit or approval.
Application means a request under subpart B of this part for a special permit, a renewal or modification of a special permit, party status to a special permit, or a request under subpart H of this part for an approval, or renewal or modification of an approval.
Approval means a written authorization, including a competent authority approval, issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, to perform a function for which prior authorization by the Associate Administrator is required under subchapter C of this chapter (49 CFR parts 171 through 180).
Approval Agency means an organization or a person designated by the PHMSA to certify packagings as having been designed, manufactured, tested, modified, marked or maintained in compliance with applicable DOT regulations.
Associate Administrator means the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration.
Competent Authority means a national agency that is responsible, under its national law, for the control or regulation of some aspect of hazardous materials (dangerous goods) transportation. Another term for Competent Authority is “Appropriate authority,” which is used in the International Civil Aviation Organization’s (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Air. The Associate Administrator is the United States Competent Authority for purposes of this part 107.
Competent Authority Approval means an approval by the competent authority that is required under an international standard (for example, the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air and the International Maritime Dangerous Goods Code). Any of the following may be considered a competent authority approval if it satisfies the requirement of an international standard:
(1) A specific regulation in subchapter A or C of this chapter.
(2) A special permit or approval issued under subchapter A or C of this chapter.
(3) A separate document issued to one or more persons by the Associate Administrator.
DOT or Department means U.S. Department of Transportation.
Federal hazardous material transportation law means 49 U.S.C. 5101 et seq.
Filed means received by the appropriate PHMSA or other designated office within the time specified in a regulation or rulemaking document.
Fit or fitness means demonstrated and documented knowledge and capabilities resulting in the assurance of a level of safety and performance necessary to ensure compliance with the applicable provisions and requirements of subchapter C of this chapter or a special permit or approval issued under subchapter C of this chapter.
Fitness coordinator means the PHMSA Field Operations (FOPS) Division officer or an authorized representative or special agent of DOT upon request, such as an Operating Administration (OA) representative, that conducts reviews regarding an organization’s hazardous materials operations, including such areas as accident history, on-site inspection, compliance data, and other safety and transportation records to determine whether a special permit or approval applicant is determined to be fit as prescribed in §§ 107.113(f)(5) and 107.709(d)(5).
Holder means the person in whose name a special permit or approval has been issued.
Imminent Hazard means the existence of a condition which presents a substantial likelihood that death, serious illness, severe personal injury, or substantial endangerment to health, property, or the environment may occur before the reasonably foreseeable completion of an administrative hearing or other formal proceeding initiated to abate the risks of those effects.
Incident means an event resulting in the unintended and unanticipated release of a hazardous material or an event meeting incident reporting requirements in § 171.15 or § 171.16 of this chapter.
Indian Tribe has the same meaning given that term in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450b).
Insufficient corrective action means that either a PHMSA Field Operations (FOPS) Division officer or an authorized representative or special agent of DOT upon request, such as an Operating Administration (OA) representative, has determined that evidence of an applicant’s corrective action in response to prior enforcement cases is inadequate or incomplete and the basic safety management controls proposed for the type of hazardous material, packaging, procedures, and/or mode of transportation remain inadequate to prevent recurrence of a violation.
Investigation includes investigations authorized under 49 U.S.C. 5121 and inspections authorized under 49 U.S.C. 5118 and 5121.
Manufacturing special permit means a special permit from compliance with specified requirements that otherwise must be met before representing, marking, certifying (including requalifying, inspecting, and testing), selling or offering a packaging or container as meeting the requirements of subchapter C of this chapter governing its use in the transportation in commerce of a hazardous material. A manufacturing special permit is a special permit issued to a manufacturer of packagings who does not offer for transportation or transport hazardous materials in packagings subject to the special permit.
Party means a person, other than a holder, authorized to act under the terms of a special permit.
Person means an individual, firm, copartnership, corporation, company, association, or joint-stock association (including any trustee, receiver, assignee, or similar representative); or a government or Indian tribe (or an agency or instrumentality of any government or Indian tribe) that transports a hazardous material to further a commercial enterprise or offers a hazardous material for transportation in commerce. Person does not include the following:
(1) The United States Postal Service.
(2) Any agency or instrumentality of the Federal government, for the purposes of 49 U.S.C. 5123 (civil penalties) and 5124 (criminal penalties.)
(3) Any government or Indian tribe (or an agency or instrumentality of any government or Indian tribe) that transports hazardous material for a governmental purpose.
Registration means a written acknowledgment from the Associate Administrator that a registrant is authorized to perform a function for which registration is required under subchapter C of this chapter (e.g., registration in accordance with 49 CFR 178.503 regarding marking of packagings). For purposes of subparts A through E, “registration” does not include registration under subpart F or G of this part.
Report means information, other than an application, registration or part thereof, required to be submitted to the Associate Administrator pursuant to this subchapter, subchapter B or subchapter C of this chapter.
Respondent means a person upon whom the PHMSA has served a notice of probable violation.
Special permit means a document issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, under the authority of 49 U.S.C. 5117 permitting a person to perform a function that is not otherwise permitted under subchapters A or C of this chapter, or other regulations issued under 49 U.S.C. 5101 et seq. (e.g., Federal Motor Carrier Safety routing requirements).
State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other territory or possession of the United States designated by the Secretary.
Sufficient corrective action means that either a PHMSA Field Operations officer or an authorized representative or special agent of DOT upon request, such as an Operating Administration (OA) representative, has determined that evidence of an applicant’s corrective action in response to prior enforcement cases is sufficient and the basic safety management controls proposed for the type of hazardous material, packaging, procedures, and/or mode of transportation are adequate.
Transports or transportation means the movement of property and loading, unloading, or storage incidental to the movement.
Subpart B – Special Permits
§ 107.101 Purpose and scope.
This subpart prescribes procedures for the issuance, modification and termination of special permits from requirements of this subchapter, subchapter C of this chapter, or regulations issued under chapter 51 of 49 U.S.C.
§ 107.105 Application for special permit.
(a) General. Each application for a special permit or modification of a special permit and all supporting documents must be written in English and submitted for timely consideration at least 120 days before the requested effective date and conform to the following requirements:
(1) The application, including a table of contents, must:
(i) Be submitted to the Associate Administrator for Hazardous Materials Safety (Attention: General Approvals and Permits, PHH-31), Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001;
(ii) Be submitted with any attached supporting documentation by facsimile (fax) to: (202) 366-3753 or (202) 366-3308;
(iii) Be submitted electronically by e-mail to: [email protected]; or
(iv) Be submitted using PHMSA’s online system (table of contents omitted) at: http://www.phmsa.dot.gov/hazmat/regs/sp-a.
(2) The application must state the name, mailing address, physical address(es) of all known locations where the special permit would be used, e-mail address (if available), and telephone number of the applicant. If the applicant is not an individual, the application must state the company name, mailing address, physical address(es) of all known locations where the special permit would be used, e-mail address (if available), and telephone number of an individual designated as the point of contact for the applicant for all purposes related to the application, the name of the company Chief Executive Officer (CEO) or president, or ranking officer; and the Dun and Bradstreet Data Universal Numbering System (D-U-N-S) identifier.
(3) If the applicant is not a resident of the United States, in addition to the information listed in paragraph (a)(2) of this section, the application must identify and designate an agent that is a permanent resident of the United States for service in accordance with § 105.40 of this part.
(4) For a manufacturing special permit, in addition to the information listed in paragraph (a)(2) of this section, the application must state the name and street address of each of the facilities of the applicant where manufacturing under the special permit will occur, and the symbol of the packaging manufacturer (“M” number), if applicable.
(5) For persons required to be registered in accordance with Subpart F or G of this part, in addition to the information listed in paragraph (a)(2) of this section, the application must provide the registration number or the name of the company to which the registration number is assigned if different from the applicant. For persons not required to be registered in accordance with Subpart F or G of this part, in addition to the information listed in paragraph (a)(2) of this section, the application must provide a statement indicating that registration is not required.
(b) Confidential treatment. To request confidential treatment for information contained in the application, the applicant must comply with § 105.30(a).
(c) Description of special permit proposal. The application must include the following information that is relevant to the special permit proposal:
(1) A citation of the specific regulation from which the applicant seeks relief;
(2) The proposed mode or modes of transportation, including a description of all operational controls required;
(3) A detailed description of the proposed special permit (e.g., alternative packaging, test, procedure, activity, or hazard communication, including marking and labeling requirements) including, as appropriate, written descriptions, drawings, flow charts, plans and other supporting documents;
(4) A specification of the proposed duration or schedule of events for which the special permit is sought;
(5) A statement outlining the applicant’s basis for seeking relief from compliance with the specified regulations and, if the special permit is requested for a fixed period, a description of how compliance will be achieved at the end of that period. For transportation by air, a statement outlining the reason(s) the hazardous material is being transported by air if other modes are available;
(6) If the applicant seeks emergency processing specified in § 107.117, a statement of supporting facts and reasons;
(7) Identification and description, including an estimated quantity of each shipment of the hazardous materials planned for transportation under the special permit or;
(8) Description of each packaging, including specification or special permit number, as applicable, to be used in conjunction with the requested special permit;
(9) For alternative packagings, documentation of quality assurance controls, package design, manufacture, performance test criteria, in-service performance and service-life limitations;
(10) An estimate of the number of operations expected to be conducted or number of shipments to be transported under the special permit;
(11) An estimate of the number of packagings expected to be manufactured under the special permit, if applicable;
(12) A statement as to whether the special permit being sought is related to a compliance review, inspection activity, or enforcement action; and
(13) When a Class 1 material is forbidden for transportation by aircraft except under a special permit (see Columns 9A and 9B in the table in 49 CFR 172.101), a certification from an applicant for a special permit to transport such Class 1 material on passenger-carrying or cargo-only aircraft with a maximum certificated takeoff weight of less than 12,500 pounds that no person within the categories listed in 18 U.S.C. 842(i) will participate in the transportation of the Class 1 material.
(14) A statement indicating whether the applicant will be acting as a shipper (offeror), carrier or both under the terms of the special permit.
(d) Justification of special permit proposal. The application must demonstrate that a special permit achieves a level of safety at least equal to that required by regulation, or if a required safety level does not exist, is consistent with the public interest. At a minimum, the application must provide the following:
(1) Information describing all relevant shipping and incident experience of which the applicant is aware that relates to the application; and
(2) A statement identifying any increased risk to safety or property that may result if the special permit is granted, and a description of the measures to be taken to address that risk; and
(3) Either:
(i) Substantiation, with applicable analyses, data or test results (e.g., failure mode and effect analysis), that the proposed alternative will achieve a level of safety that is at least equal to that required by the regulation from which the special permit is sought; or
(ii) If the regulations do not establish a level of safety, an analysis that identifies each hazard, potential failure mode and the probability of its occurrence, and how the risks associated with each hazard and failure mode are controlled for the duration of an activity or life-cycle of a packaging.
§ 107.107 Application for party status.
(a) Any person eligible to apply for a special permit may apply to be a party to an application or an existing special permit, other than a manufacturing special permit.
(b) Each application filed under this section must conform to the following requirements: –
(1) The application must:
(i) Be submitted to the Associate Administrator for Hazardous Materials Safety (Attention: General Approvals and Permits, PHH-31), Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001;
(ii) Be submitted with any attached supporting documentation by facsimile (fax) to: (202) 366-3753 or (202) 366-3308; or
(iii) Be submitted by electronically by e-mail to: [email protected], or on-line at: http://www.phmsa.dot.gov/hazmat/regs/sp-a.
(2) The application must identify by number the special permit application or special permit to which the applicant seeks to become a party.
(3) The application must state the name, mailing address, physical address(es) of all known locations where the special permit would be used, e-mail address (if available), and telephone number of the applicant. If the applicant is not an individual, the application must state the company name, mailing address, physical address(es) of all known locations where the special permit would be used, e-mail address (if available), and telephone number of an individual designated as the point of contact for the applicant for all purposes related to the application, the name of the company Chief Executive Officer (CEO), president, or ranking executive officer and the Dun and Bradstreet Data Universal Numbering System (D-U-N-S) identifier. In addition, each applicant must state why party status to the special permit is needed and must submit a certification of understanding of the provisions of the special permit to which party status is being requested.
(4) If the applicant is not a resident of the United States, the application must identify and designate an agent that is a permanent resident of the United States for service in accordance with § 105.40 of part.
(5) For a Class 1 material that is forbidden for transportation by aircraft except under a special permit (see Columns 9A and 9B in the table in 49 CFR 172.101), a certification from an applicant for party status to a special permit to transport such Class 1 material on passenger-carrying or cargo-only aircraft with a maximum certificated takeoff weight of less than 12,500 pounds that no person within the categories listed in 18 U.S.C. 842(i) will participate in the transportation of the Class 1 material.
(6) The applicant must certify that the applicant has not previously been granted party status to the special permit. If the applicant has previously been granted party status, the applicant must follow renewal procedures as specified in § 107.109.
(7) A statement indicating whether the applicant will be acting as a shipper (offeror), carrier or both under the terms of the special permit.
(c) The Associate Administrator may grant or deny an application for party status in the manner specified in § 107.113(e) and (f) of this subpart.
(d) A party to a special permit is subject to all terms of that special permit, including the expiration date. If a party to a special permit wishes to renew party status, the special permit renewal procedures set forth in § 107.109 apply.
§ 107.109 Application for renewal.
(a) Each application for renewal of a special permit or party status to a special permit must conform to the following requirements:
(1) The application must:
(i) Be submitted to the Associate Administrator for Hazardous Materials Safety (Attention: General Approvals and Permits, PHH-31), Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001;
(ii) Be submitted with any attached supporting documentation submitted in an appropriate format by facsimile (fax) to: (202) 366-3753 or (202) 366-3308; or
(iii) Be submitted electronically by e-mail to: [email protected]; or on-line at: http://www.phmsa.dot.gov/hazmat/regs/sp-a.
(2) The application must identify by number the special permit for which renewal is requested.
(3) The application must state the name, mailing address, physical address(es) of all known new locations not previously identified in the application where the special permit would be used and all locations not previously identified where the special permit was used, e-mail address (if available), and telephone number of the applicant. If the applicant is not an individual, the application must state the name, mailing address, physical address(es) of all known new locations not previously identified in the application where the special permit would be used and all locations not previously identified where the special permit was used, e-mail address (if available), and telephone number of an individual designated as the point of contact for the applicant for all purposes related to the application, the name of the company Chief Executive Officer (CEO), president, or ranking executive officer, and the Dun and Bradstreet Data Universal Numbering System (D-U-N-S) identifier. In addition, each applicant for renewal of party status must state why party status to the special permit is needed and must submit a certification of understanding of the provisions of the special permit to which party status is being requested.
(4) The application must include either a certification by the applicant that the original application, as it may have been updated by any application for renewal, remains accurate (e.g., all section references, shipping descriptions, etc.) and complete; or include an amendment to the previously submitted application as is necessary to update and ensure the accuracy and completeness of the application, with certification by the applicant that the application as amended is accurate and complete.
(5) The application must include a statement describing all relevant operational, shipping, and incident experience of which the applicant is aware in connection with the special permit since its issuance or most recent renewal. If the applicant is aware of no incidents, the applicant must so certify. When known to the applicant, the statement must indicate the approximate number of shipments made or packages shipped, as applicable, and the number of shipments or packages involved in any loss of contents, including loss by venting other than as authorized in subchapter C.
(6) When a Class 1 material is forbidden for transportation by aircraft, except under a special permit (see Columns 9A and 9B in the table in 49 CFR 172.101), an application to renew a special permit to transport such Class 1 material on passenger-carrying or cargo-only aircraft with a maximum certificated takeoff weight of less than 12,500 pounds must certify that no person within the categories listed in 18 U.S.C. 842(i) will participate in the transportation of the Class 1 material.
(7) If the renewal is requested after the expiration date of the special permit, the following information is required:
(i) The reason the special permit authorization was allowed to expire;
(ii) A certification statement that no shipments were transported after the expiration date of the special permit, or a statement describing any transportation under the terms of the special permit after the expiration date, if applicable; and
(iii) A statement describing the action(s) the applicant will take to ensure future renewal is requested before the expiration date.
(8) If no operations or shipments have been made since the issuance or renewal of the special permit, the applicant must provide specific justification as to why the special permit should be renewed.
(9) A statement indicating whether the applicant will be acting as a shipper (offeror), carrier or both under the terms of the special permit.
(b) If, at least 60 days before an existing special permit expires the holder files an application for renewal that is complete and conforms to the requirements of this section, the special permit will not expire until final administrative action on the application for renewal has been taken.
§ 107.111 Withdrawal.
An application may be withdrawn at any time before a decision to grant or deny it is made. Withdrawal of an application does not authorize the removal of any related records from the PHMSA dockets or files. Applications that are eligible for confidential treatment under § 105.30 will remain confidential after the application is withdrawn. The duration of this confidential treatment for trade secrets and commercial or financial information is indefinite, unless the party requesting the confidential treatment of the materials notifies the Associate Administrator that the confidential treatment is no longer required.
§ 107.113 Application processing and evaluation.
(a) The Associate Administrator reviews an application for a special permit, modification of a special permit, party to a special permit, or renewal of a special permit in conformance with the standard operating procedures specified in appendix A of this part (“Standard Operating Procedures for Special Permits and Approvals”) to determine if it is complete and conforms with the requirements of this subpart. This determination will typically be made within 30 days of receipt of the application for a special permit, modification of a special permit, or party to a special permit, and typically within 15 days of receipt of an application for renewal of a special permit. If an application is determined to be incomplete, the Associate Administrator may reject the application. If that occurs, PHMSA will inform the applicant of the deficiency in writing.
(b) An application, that is not a renewal, party to, or emergency special permit application, and is determined to be complete is docketed. Notice of the application is published in the
(c) No public hearing or other formal proceeding is required under this subpart before the disposition of an application. Unless emergency processing under § 107.117 is requested and granted, applications are usually processed in the order in which they are filed.
(d) During the processing and evaluation of an application, the Associate Administrator may conduct an on-site review or request additional information from the applicant. A failure to cooperate with an on-site review may result in the application being deemed incomplete and subsequently being denied. If the applicant does not respond to a written or electronic request for additional information within 30 days of the date the request was received, the application may be deemed incomplete and denied. However, if the applicant responds in writing or by electronic means within the 30-day period requesting an additional 30 days within which it will gather the requested information, the Associate Administrator may grant the 30-day extension.
(e) The Associate Administrator may grant or deny an application, in whole or in part. In the Associate Administrator’s discretion, an application may be granted subject to provisions that are appropriate to protect health, safety or property. The Associate Administrator may impose additional provisions not specified in the application or remove conditions in the application that are unnecessary.
(f) The Associate Administrator may grant an application on finding that –
(1) The application complies with this subpart;
(2) The application demonstrates that the proposed alternative will achieve a level of safety that:
(i) Is at least equal to that required by the regulation from which the special permit is sought, or
(ii) If the regulations do not establish a level of safety, is consistent with the public interest and adequately will protect against the risks to life and property inherent in the transportation of hazardous materials in commerce;
(3) The application states all material facts, and contains no materially false or materially misleading statement;
(4) The applicant meets the qualifications required by applicable regulations; and
(5) The applicant is fit to conduct the activity authorized by the special permit. This assessment may be based on information in the application, prior compliance history of the applicant, and other information available to the Associate Administrator.
(g) An applicant is notified in writing or by electronic means whether the application is granted or denied. A denial contains a brief statement of reasons.
(h) The initial special permit terminates according to its terms or, if not otherwise specified, 24 months from the date of issuance. A subsequent renewal of a special permit terminates according to its terms or, if not otherwise specified, 48 months after the date of issuance. A grant of party status to a special permit, unless otherwise stated, terminates on the date that the special permit expires.
(i) The Associate Administrator, on determining that an application concerns a matter of general applicability and future effect and should be the subject of rulemaking, may initiate rulemaking under part 106 of this chapter in addition to or instead of acting on the application.
(j) The Associate Administrator publishes in the
§ 107.117 Emergency processing.
(a) An application is granted emergency processing if the Associate Administrator, on the basis of the application and any inquiry undertaken, finds that –
(1) Emergency processing is necessary to prevent significant injury to persons or property (other than the hazardous material to be transported) that could not be prevented if the application were processed on a routine basis; or
(2) Emergency processing is necessary for immediate national security purposes or to prevent significant economic loss that could not be prevented if the application were processed on a routine basis.
(b) Where the significant economic loss is to the applicant, or to a party in a contractual relationship to the applicant with respect to the activity to be undertaken, the Associate Administrator may deny emergency processing if timely application could have been made.
(c) A request for emergency processing on the basis of potential economic loss must reasonably describe and estimate the potential loss.
(d) An application submitted under this section must conform to § 107.105 to the extent that the receiving Department official deems necessary to process the application. An application on an emergency basis must be submitted to the Department modal contact official for the initial mode of transportation to be utilized, as follows:
(1) Certificate-Holding Aircraft: The Federal Aviation Administration (FAA) Director, Office of Hazardous Materials Safety is responsible for the aircraft operator’s hazardous materials safety program. The Director, Office of Hazardous Materials Safety, may be reached by calling the FAA Washington Operations Center at 202-267-3333 (any hour), or visiting FAA’s website.
(2) Noncertificate-Holding Aircraft (Those Which Operate Under 14 CFR part 91): The Federal Aviation Administration (FAA) Regional Office that serves the place where the flight will originate. The nearest Regional Office may be located by calling the FAA Washington Operations Center at 202-267-3333 or visiting FAA’s website.
(3) Motor Vehicle Transportation: Chief, Hazardous Materials Division, Federal Motor Carrier Safety Administration, U.S. Department of Transportation, Washington, DC 20590-0001, 202-385-2400 (day); 1-800-424-8802 (night).
(4) Rail Transportation: Staff Director, Hazardous Materials Division, Office of Safety Assurance and Compliance, Federal Railroad Administration, U.S. Department of Transportation, Washington, DC 20590-0001, 202-493-6248 or 202-493-6244 (day); 1-800-424-8802 (night).
(5) Water Transportation: Chief, Hazardous Materials Standards Division, Office of Operating and Environmental Standards, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC 20593-0001; 202-372-1420 (day); 1-800-424-8802 (night).
(e) Upon receipt of all information necessary to process the application, the receiving Department official transmits to the Associate Administrator, by the most rapidly available means of communication, an evaluation as to whether an emergency exists under § 107.117(a) and, if appropriate, recommendations as to the conditions to be included in the special permit. The Associate Administrator will review an application for emergency processing of a special permit in conformance with the standard operating procedures specified in appendix A of this part (“Standard Operating Procedures for Special Permits and Approvals”) to determine if it is complete and conforms with the requirements of this subpart. If the Associate Administrator determines that an emergency exists under § 107.117(a) and that, with reference to the criteria of § 107.113(f), granting of the application is in the public interest, the Associate Administrator will grant the application subject to such terms as necessary and immediately notify the applicant. If the Associate Administrator determines that an emergency does not exist or that granting of the application is not in the public interest, the applicant will be notified immediately.
(f) A determination that an emergency does not exist is not subject to reconsideration under § 107.123 of this part.
(g) Within 90 days following issuance of an emergency special permit, the Associate Administrator will publish, in the
§ 107.121 Modification, suspension or termination of special permit or grant of party status.
(a) The Associate Administrator may modify a special permit or grant of party status on finding that:
(1) Modification is necessary so that the special permit reflects current statutes and regulations; or
(2) Modification is required by changed circumstances to meet the standards of § 107.113(f).
(b) The Associate Administrator may modify, suspend or terminate a special permit or grant of party status, as appropriate, on finding that:
(1) Because of a change in circumstances, the special permit or party status no longer is needed or no longer would be granted if applied for;
(2) The application contained inaccurate or incomplete information, and the special permit or party status would not have been granted had the application been accurate and complete;
(3) The application contained deliberately inaccurate or incomplete information; or
(4) The holder or party knowingly has violated the terms of the special permit or an applicable requirement of this chapter in a manner demonstrating the holder or party is not fit to conduct the activity authorized by the special permit.
(c) Except as provided in paragraph (d) of this section, before a special permit or grant of party status is modified, suspended, or terminated, the Associate Administrator notifies the holder or party in writing or by electronic means of the proposed action and the reasons for it, and provides an opportunity to show cause why the proposed action should not be taken.
(1) Within 30 days of receipt of notice of the proposed action, the holder or party may file a response in writing or by electronic means that shows cause why the proposed action should not be taken.
(2) After considering the holder’s or party’s response, or after 30 days have passed without response since receipt of the notice, the Associate Administrator notifies the holder or party in writing or by electronic means of the final decision with a brief statement of reasons.
(d) The Associate Administrator, if necessary to avoid a risk of significant harm to persons or property, may, in the notification, declare the proposed action immediately effective.
§ 107.123 Reconsideration.
(a) An applicant for special permit, a special permit holder, or an applicant for party status to a special permit may request that the Associate Administrator reconsider a decision under § 107.113(g), § 107.117(e) or § 107.121(c) of this part. The request must –
(1) Be in writing or by electronic means and filed within 20 days of receipt of the decision;
(2) State in detail any alleged errors of fact and law;
(3) Enclose any additional information needed to support the request to reconsider; and
(4) State in detail the modification of the final decision sought.
(b) The Associate Administrator grants or denies, in whole or in part, the relief requested and informs the requesting person in writing or by electronic means of the decision. If necessary to avoid a risk of significant harm to persons or property, the Associate Administrator may, in the notification, declare the action immediately effective.
§ 107.125 Appeal.
(a) A person who requested reconsideration under § 107.123 and is denied the relief requested may appeal to the Administrator. The appeal must –
(1) Be in writing or by electronic means and filed within 30 days of receipt of the Associate Administrator’s decision on reconsideration;
(2) State in detail any alleged errors of fact and law;
(3) Enclose any additional information needed to support the appeal; and
(4) State in detail the modification of the final decision sought.
(b) The Administrator, if necessary to avoid a risk of significant harm to persons or property, may declare the Associate Administrator’s action effective pending a decision on appeal.
(c) The Administrator grants or denies, in whole or in part, the relief requested and informs the appellant in writing or by electronic means of the decision. The Administrator’s decision is the final administrative action.
§ 107.127 Availability of documents for public inspection.
(a) Documents related to an application under this subpart, including the application itself, are available for public inspection, except as specified in paragraph (b) of this section, at the Office of the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, Approvals and Permits Division, U.S. Department of Transportation, East Building, PHH-30, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001. Office hours are 8:30 a.m. to 5 p.m., Monday through Friday, except Federal holidays when the office is closed. Copies of available documents may be obtained as provided in part 7 of this title. Documents numbered 11832 and above may also be viewed at the website address http://www.regulations.gov.
(b) Documents available for inspection do not include materials determined to be withheld from public disclosure under § 105.30 and in accordance with the applicable provisions of section 552(b) of title 5, United States Code, and part 7 of this title.
Subpart C – Preemption
§ 107.201 Purpose and scope.
(a) This subpart prescribes procedures by which:
(1) Any person, including a State, political subdivision, or Indian tribe, directly affected by a requirement of a State, political subdivision, or Indian tribe, may apply for a determination as to whether that requirement is preempted under 49 U.S.C. 5125.
(2) A State, political subdivision, or Indian tribe may apply for a waiver of preemption with respect to any requirement that the State, political subdivision, or Indian tribe acknowledges to be preempted by 49 U.S.C. 5125, or that has been determined by a court of competent jurisdiction to be so preempted.
(b) For purposes of this subpart “political subdivision” includes a municipality; a public agency or other instrumentality of one or more States, municipalities, or other political subdivisions of a State; or a public corporation, board, or commission established under the laws of one or more States.
(c) [Reserved]
(d) An application for a preemption determination that includes an application for a waiver of preemption will be treated and processed solely as an application for a preemption determination.
§ 107.202 Standards for determining preemption.
(a) Except as provided in § 107.221 and unless otherwise authorized by Federal law, any requirement of a State or political subdivision thereof or an Indian tribe that concerns one of the following subjects and that is not substantively the same as any provision of the Federal hazardous materials transportation law, a regulation issued under the Federal hazardous material transportation law, or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security that concerns that subject, is preempted:
(1) The designation, description, and classification of hazardous material.
(2) The packing, repacking, handling, labeling, marking, and placarding of hazardous material.
(3) The preparation, execution, and use of shipping documents pertaining to hazardous material and requirements related to the number, content, and placement of those documents.
(4) The written notification, recording, and reporting of the unintentional release in transportation of hazardous material and other written hazardous materials transportation incident reporting involving State or local emergency responders in the initial response to the incident.
(5) The design, manufacturing, fabrication, marking, maintenance, reconditioning, repairing, or testing of a packaging or a container which is represented, marked, certified, or sold as qualified for use in the transportation of hazardous material.
(b) Except as provided in § 107.221 and unless otherwise authorized by Federal law, any requirement of a State or political subdivision or Indian tribe is preempted if –
(1) It is not possible to comply with a requirement of the State, political subdivision, or Indian tribe and a requirement under the Federal hazardous material transportation law, a regulation issued under the Federal hazardous material transportation law, or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security;
(2) The requirement of the State, political subdivision, or Indian tribe, as applied or enforced, is an obstacle to accomplishing and carrying out the Federal hazardous material transportation law, a regulation issued under the Federal hazardous material transportation law, or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security.
(3) It is preempted under 49 U.S.C. 5125 (c).
(c) A State, political subdivision, or Indian tribe may impose a fee related to transporting hazardous material only if the fee is fair and used for a purpose related to transporting hazardous material, including enforcement and planning, developing and maintaining a capability for emergency response.
(d) For purposes of this section, “substantively the same” means that the non-Federal requirement conforms in every significant respect to the Federal requirement. Editorial and other similar de minimis changes are permitted.
Preemption Determinations
§ 107.203 Application.
(a) With the exception of highway routing matters covered under 49 U.S.C. 5125(c), any person, including a State or political subdivision thereof or an Indian tribe, directly affected by any requirement of a State or political subdivision thereof or an Indian tribe, may apply to the Chief Counsel for a determination as to whether that requirement is preempted by § 107.202(a), (b), or (c).
(b) Each application filed under this section for a determination must:
(1) Be submitted to the Chief Counsel:
(i) By mail addressed to the Chief Counsel, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, PHC-1, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001;
(ii) By facsimile to 202-366-7041; or
(iii) Electronically to the Chief Counsel at [email protected].
(2) Set forth the text of the State or political subdivision or Indian tribe requirement for which the determination is sought;
(3) Specify each requirement of the Federal hazardous materials transportation law, regulations issued under the Federal hazardous material transportation law, or hazardous material transportation security regulations or directives issued by the Secretary of Homeland Security with which the applicant seeks the State or political subdivision or Indian tribe requirement to be compared;
(4) Explain why the applicant believes the State or political subdivision or Indian tribe requirement should or should not be preempted under the standards of § 107.202; and
(5) State how the applicant is affected by the State or political subdivision or Indian tribe requirement.
(c) The filing of an application for a determination under this section does not constitute grounds for noncompliance with any requirement of the Federal hazardous materials transportation law, regulations issued under the Federal hazardous material transportation law, or hazardous material transportation security regulations or directives issued by the Secretary of Homeland Security.
(d) Once the Chief Counsel has published notice in the
§ 107.205 Notice.
(a) If the applicant is other than a State, political subdivision, or Indian tribe, the applicant shall mail a copy of the application to the State, political subdivision, or Indian tribe concerned accompanied by a statement that the State, political subdivision, or Indian tribe may submit comments regarding the application to the Chief Counsel. The application filed with the Chief Counsel must include a certification that the applicant has complied with this paragraph and must include the names and addresses of each State, political subdivision, or Indian tribe official to whom a copy of the application was sent.
(b) The Chief Counsel will publish notice of, including an opportunity to comment on, an application in the
(c) Each person submitting written comments to the Chief Counsel with respect to an application filed under this section must send a copy of the comments to the applicant and certify to the Chief Counsel that he or she has complied with this requirement. The Chief Counsel may notify other persons participating in the proceeding of the comments and provide an opportunity for those other persons to respond. Late-filed comments are considered so far as practicable.
§ 107.207 Processing.
(a) The Chief Counsel may initiate an investigation of any statement in an application and utilize in his or her evaluation any relevant facts obtained by that investigation. The Chief Counsel may solicit and accept submissions from third persons relevant to an application and will provide the applicant an opportunity to respond to all third person submissions. In evaluating an application, the Chief Counsel may consider any other source of information. The Chief Counsel on his or her own initiative may convene a hearing or conference, if he or she considers that a hearing or conference will advance his or her evaluation of the application.
(b) The Chief Counsel may dismiss the application without prejudice if:
(1) He or she determines that there is insufficient information upon which to base a determination; or
(2) He or she requests additional information from the applicant and it is not submitted.
§ 107.209 Determination.
(a) Upon consideration of the application and other relevant information received, the Chief Counsel issues a determination.
(b) The determination includes a written statement setting forth the relevant facts and the legal basis for the determination, and provides that any person aggrieved thereby may file a petition for reconsideration with the Chief Counsel.
(c) The Chief Counsel provides a copy of the determination to the applicant and to any other person who substantially participated in the proceeding or requested in comments to the docket to be notified of the determination. A copy of each determination is placed on file in the public docket. The Chief Counsel will publish the determination or notice of the determination in the
(d) A determination issued under this section constitutes an administrative determination as to whether a particular requirement of a State or political subdivision or Indian tribe is preempted under the Federal hazardous materials transportation law. The fact that a determination has not been issued under this section with respect to a particular requirement of a State or political subdivision or Indian tribe carries no implication as to whether the requirement is preempted under the Federal hazardous materials transportation law.
§ 107.211 Petition for reconsideration.
(a) Any person aggrieved by a determination issued under § 107.209 may file a petition for reconsideration. The petition must be filed with the Chief Counsel, in the same manner specified for filing an application in § 107.203(b), within 20 days of publication of the determination in the
(b) The petition must contain a concise statement of the basis for seeking review, including any specific factual or legal error alleged. If the petition requests consideration of information that was not previously made available to the Chief Counsel, the petition must include the reasons why such information was not previously made available.
(c) The petitioner shall mail a copy of the petition to each person who participated, either as an applicant or commenter, in the preemption determination proceeding, accompanied by a statement that the person may submit comments concerning the petition to the Chief Counsel within 20 days. The petition filed with the Chief Counsel must contain a certification that the petitioner has complied with this paragraph and include the names and addresses of all persons to whom a copy of the petition was sent. Late-filed comments are considered so far as practicable.
(d) The Chief Counsel will publish the decision on the petition for reconsideration or notice of the decision in the
§ 107.213 Judicial review.
A party to a proceeding under § 107.203(a) may seek review of a determination of the Chief Counsel by filing a petition, within 60 days after the determination becomes final, in the United States Court of Appeals for the District of Columbia or in the Court of Appeals for the United States for the circuit in which the person resides or has its principal place of business.
Waiver of Preemption Determinations
§ 107.215 Application.
(a) With the exception of requirements preempted under 49 U.S.C. 5125(c), a State or political subdivision thereof, or Indian tribe may apply to the Chief Counsel for a waiver of preemption with respect to any requirement that the State or political subdivision thereof or Indian tribe acknowledges to be preempted under the Federal hazardous materials transportation law, or that has been determined by a court of competent jurisdiction to be so preempted. The Chief Counsel may waive preemption with respect to such requirement upon a determination that such requirement –
(1) Affords an equal or greater level of protection to the public than is afforded by the requirements of the Federal hazardous material transportation law or the regulations issued thereunder, and
(2) Does not unreasonably burden commerce.
(b) Each application filed under this section for a waiver of preemption determination must:
(1) Be submitted to the Chief Counsel:
(i) By mail addressed to the Chief Counsel, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, PHC-1, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001;
(ii) By facsimile to 202-366-7041; or
(iii) Electronically to the Chief Counsel at [email protected].
(2) Set forth the text of the State or political subdivision requirement for which the determination is being sought;
(3) Include a copy of any court order and any ruling issued under § 107.209 having a bearing on the application;
(4) Contain an express acknowledgment by the applicant that the State, political subdivision, or Indian tribe requirement is preempted under Federal hazardous materials transportation law, unless it has been so determined by a court of competent jurisdiction or in a determination issued under § 107.209;
(5) Specify each requirement of the Federal hazardous materials transportation law that preempts the State, political subdivision, or Indian tribe requirement;
(6) State why the applicant believes the State, political subdivision or Indian tribe requirements affords an equal or greater level of protection to the public than is afforded by the requirements of the Federal hazardous material transportation law or the regulations issued thereunder;
(7) State why the applicant believes the State, political subdivision or Indian tribe requirement does not unreasonably burden commerce; and
(8) Specify what steps the State, political subdivision or Indian tribe is taking to administer and enforce effectively its inconsistent requirement.
§ 107.217 Notice.
(a) The applicant shall mail a copy of the application and any subsequent amendments or other documents relating to the application to each person who is reasonably ascertainable by the applicant as a person who will be affected by the determination sought. The copy of the application must be accompanied by a statement that the person may submit comments regarding the application within 45 days. The application must include a certification that the application has complied with this paragraph and must include the names and addresses of each person to whom the application was sent.
(b) Notwithstanding the provisions of paragraph (a) of this section, if the State or political subdivision determines that compliance with paragraph (a) of this section would be impracticable, the applicant shall:
(1) Comply with the requirements of paragraph (a) of this section with regard to those persons whom it is reasonable and practicable to notify; and
(2) Include with the application a description of the persons or class or classes of persons to whom notice was not sent.
(c) The Chief Counsel may require the applicant to provide notice in addition to that required by paragraphs (a) and (b) of this section, or may determine that the notice required by paragraph (a) of the section is not impracticable, or that notice should be published in the
(d) The Chief Counsel may notify any other persons who may be affected by the outcome of a determination on the application.
(e) Any person submitting written comments with respect to an application filed under this section shall send a copy of the comments to the applicant. The person shall certify that he has complied with the requirements of this paragraph. The Chief Counsel may notify other persons participating in the proceeding of the comments and provide an opportunity for those other persons to respond.
§ 107.219 Processing.
(a) The Chief Counsel may initiate an investigation of any statement in an application and utilize in his or her evaluation any relevant facts obtained by that investigation. The Chief Counsel may solicit and accept submissions from third persons relevant to an application and will provide the applicant an opportunity to respond to all third person submissions. In evaluating an application, the Chief Counsel on his or her own initiative may convene a hearing or conference, if he or she considers that a hearing or conference will advance his or her evaluation of the application.
(b) The Chief Counsel may dismiss the application without prejudice if:
(1) He or she determines that there is insufficient information upon which to base a determination;
(2) Upon his or her request, additional information is not submitted by the applicant; or
(3) The applicant fails to provide the notice required by § 107.217.
(c) The Chief Counsel will only consider an application for waiver of preemption determination if –
(1) The applicant State or political subdivision thereof or Indian tribe expressly acknowledges in its application that the State or political subdivision or Indian tribe requirement for which the determination is sought is inconsistent with the requirements of the Federal hazardous materials transportation law, regulations issued under the Federal hazardous material transportation law, or hazardous material transportation security regulations or directives issued by the Secretary of Homeland Security.
(2) The State or political subdivision thereof or Indian tribe requirement has been determined by a court of competent jurisdiction or in a ruling issued under § 107.209 to be inconsistent with the requirements of the Federal hazardous materials transportation law, regulations issued under the Federal hazardous material transportation law, or hazardous material transportation security regulations or directives issued by the Secretary of Homeland Security.
(d) When the Chief Counsel has received all substantive information it considers necessary to process an application for a waiver of preemption determination, it serves notice of that fact upon the applicant and all other persons who received notice of the proceeding pursuant to § 107.217.
(e) To the extent possible, each application for a waiver of preemption determination will be acted upon in a manner consistent with the disposition of previous applications for waiver of preemption determinations.
§ 107.221 Determination.
(a) After considering the application and other relevant information received or obtained during the proceeding, the Chief Counsel issues a determination.
(b) The Chief Counsel may issue a waiver of preemption only on finding that the requirement of the State or political subdivision thereof or Indian tribe affords the public a level of safety at least equal to that afforded by the requirements of the Federal hazardous material transportation law or the regulations issued thereunder and does not unreasonably burden commerce. In determining if the requirement of the State or political subdivision thereof or Indian tribe unreasonably burdens commerce, the Chief Counsel considers:
(1) The extent to which increased costs and impairment of efficiency result from the requirement of the State or political subdivision thereof or Indian tribe.
(2) Whether the requirement of the State or political subdivision thereof or Indian tribe has a rational basis.
(3) Whether the requirement of the State or political subdivision thereof or Indian tribe achieves its stated purpose.
(4) Whether there is need for uniformity with regard to the subject concerned and if so, whether the requirement of the State or political subdivision thereof or Indian tribe competes or conflicts with those of other States or political subdivisions thereof or Indian tribes.
(c) The determination includes a written statement setting forth relevant facts and legal bases and providing that any person aggrieved by the determination may file a petition for reconsideration with the Chief Counsel.
(d) The Chief Counsel provides a copy of the determination to the applicant and to any other person who substantially participated in the proceeding or requested in comments to the docket to be notified of the determination. A copy of the determination is placed on file in the public docket. The Chief Counsel will publish the determination or notice of the determination in the
(e) A determination under this section constitutes an administrative finding of whether a particular requirement of a State or political subdivision thereof or Indian tribe is preempted under the Federal hazardous materials transportation law, or whether preemption is waived.
§ 107.223 Petition for reconsideration.
(a) Any person aggrieved by a determination under § 107.221 may file a petition for reconsideration. The petition must be filed with the Chief Counsel, in the same manner specified for filing an application in § 107.215(b), within 20 days of publication of the determination in the
(b) The petition must contain a concise statement of the basis for seeking review, including any specific factual or legal error alleged. If the petition requests consideration of information that was not previously made available to the Chief Counsel, the petition must include the reasons why such information was not previously made available.
(c) The petitioner shall mail a copy of the petition to each person who participated, either as an applicant or commenter, in the waiver of preemption proceeding, accompanied by a statement that the person may submit comments concerning the petition to the Chief Counsel within 20 days. The petition filed with the Chief Counsel must contain a certification that the petitioner has complied with this paragraph and include the names and addresses of all persons to whom a copy of the petition was sent. Late-filed comments are considered so far as practicable.
(d) The Chief Counsel will publish the decision on the petition for reconsideration or notice of the decision in the
§ 107.227 Judicial review.
A party to a proceeding under § 107.215(a) may seek review of a determination of the Chief Counsel by filing a petition, within 60 days after the determination becomes final, in the United States Court of Appeals for the District of Columbia or in the Court of Appeals for the United States for the circuit in which the person resides or has its principal place of business.
Subpart D – Enforcement
Under redelegation from the Administrator of the Pipeline and Hazardous Materials Safety Administration, the Associate Administrator for Hazardous Materials Safety and the Office of the Chief Counsel exercise their authority for enforcement of the Federal hazardous material transportation law, Federal Water Pollution Control Act, this subchapter, and subchapters B and C of this chapter, in accordance with § 1.97 of this title.
§ 107.303 Purpose and scope.
This subchapter describes the various enforcement authorities exercised by the Associate Administrator for Hazardous Materials Safety and the Office of Chief Counsel and the associated sanctions and prescribes the procedures governing the exercise of those authorities and the imposition of those sanctions.
§ 107.305 Investigations.
(a) General. In accordance with its delegated authority under part 1 of this title, the Associate Administrator may initiate investigations relating to compliance by any person with any provisions of this subchapter, subchapter B of this chapter, or subchapter C of this chapter, or any special permit, approval, response plan, or order issued thereunder, or any court decree relating thereto. The Associate Administrator encourages voluntary production of documents in accordance with and subject to § 105.45 of this subchapter, and hearings may be conducted, and depositions taken pursuant to 49 U.S.C. 5121(a). The Associate Administrator may conduct investigative conferences and hearings in the course of any investigation.
(b) Investigations and Inspections. Investigations under 49 U.S.C. 5121(a) are conducted by personnel duly authorized for that purpose by the Associate Administrator. Inspections under 49 U.S.C. 5121(c) are conducted by Hazardous Materials Enforcement Specialists or Hazardous Materials Compliance Investigators, also known as “hazmat investigators” or “investigators,” whom the Associate Administrator has designated for that purpose.
(1) An investigator will, on request, present his or her credentials for examination, but the credentials may not be reproduced.
(2) An investigator may administer oaths and receive affirmations in any matter under investigation by the Associate Administrator.
(3) An investigator may gather information by reasonable means including, but not limited to, interviews, statements, photocopying, photography, and video- and audio-recording.
(4) With concurrence of the Director, Field Operations, Pipeline and Hazardous Materials Safety Administration, an investigator may issue a subpoena for the production of documentary or other tangible evidence if, on the basis of information available to the investigator, the documents and evidence materially will advance a determination of compliance with this subchapter or subchapter C. Service of a subpoena shall be in accordance with § 105.50. A person to whom a subpoena is directed may seek review of the subpoena by applying to the Office of Chief Counsel in accordance with § 105.55(a). A subpoena issued under this paragraph may be enforced in accordance with § 105.55(b).
(c) Notification. Any person who is the subject of an Associate Administrator investigation and who is requested to furnish information or documentary evidence is notified as to the general purpose for which the information or evidence is sought.
(d) Termination. When the facts disclosed by an investigation indicate that further action is unnecessary or unwarranted at that time, the person being investigated is notified and the investigative file is closed without prejudice to further investigation by the Associate Administrator.
(e) Confidentiality. Information received in an investigation under this section, including the identity of the person investigated and any other person who provides information during the investigation, shall remain confidential under the investigatory file exception, or other appropriate exception, to the public disclosure requirements of 5 U.S.C. 552.
Compliance Orders and Civil Penalties
§ 107.307 General.
(a) When the Associate Administrator and the Office of Chief Counsel have reason to believe that a person is knowingly engaging or has knowingly engaged in conduct which is a violation of the Federal hazardous material transportation law or any provision of this subchapter or subchapter C of this chapter, or any exemption, special permit, or order issued thereunder, for which the Associate Administrator or the Office of Chief Counsel exercise enforcement authority, they may –
(1) Issue a warning letter, as provided in § 107.309;
(2) Initiate proceedings to assess a civil penalty, as provided in either § 107.310 or § 107.311;
(3) Issue an order directing compliance, regardless of whether a warning letter has been issued or a civil penalty assessed; and
(4) Seek any other remedy available under the Federal hazardous material transportation law.
(b) In the case of a proceeding initiated for failure to comply with an exemption or special permit, the allegation of a violation of a term or condition thereof is considered by the Associate Administrator and the Office of Chief Counsel to constitute an allegation that the special permit holder or party to the special permit is failing, or has failed to comply with the underlying regulations from which relief was granted by the special permit.
§ 107.309 Warning letters.
(a) The Associate Administrator may issue a warning letter to any person whom the Associate Administrator believes to have committed a probable violation of the Federal hazardous material transportation law, the Federal Water Pollution Control Act, or any provision of this subchapter, subchapter B of this chapter, subchapter C of this chapter, or any special permit issued thereunder.
(b) A warning letter issued under this section includes:
(1) A statement of the facts upon which the Associate Administrator bases its determination that the person has committed a probable violation;
(2) A statement that the recurrence of the probable violations cited may subject the person to enforcement action; and
(3) An opportunity to respond to the warning letter by submitting pertinent information or explanations concerning the probable violations cited therein.
§ 107.310 Ticketing.
(a) For an alleged violation that does not have a direct or substantial impact on safety, the Associate Administrator may issue a ticket.
(b) The Associate Administrator issues a ticket by mailing it by certified or registered mail to the person alleged to have committed the violation. The ticket includes:
(1) A statement of the facts on which the Associate Administrator bases the conclusion that the person has committed the alleged violation;
(2) The maximum penalty provided for by statute, the proposed full penalty determined according to PHMSA’s civil penalty guidelines and the statutory criteria for penalty assessment, and the ticket penalty amount; and
(3) A statement that within 45 days of receipt of the ticket, the person must pay the penalty in accordance with paragraph (d) of this section, make an informal response under § 107.317, or request a formal administrative hearing under § 107.319.
(c) If the person makes an informal response or requests a formal administrative hearing, the Associate Administrator forwards the inspection report, ticket and response to the Office of the Chief Counsel for processing under §§ 107.307-107.339, except that the Office of the Chief Counsel will not issue a Notice of Probable Violation under § 107.311. The Office of the Chief Counsel may impose a civil penalty that does not exceed the proposed full penalty set forth in the ticket.
(d) Payment of the ticket penalty amount must be made in accordance with the instructions on the ticket.
(e) If within 45 days of receiving the ticket the person does not pay the ticket amount, make an informal response, or request a formal administrative hearing, the person has waived the right to make an informal response or request a hearing, has admitted the violation and owes the ticket penalty amount to PHMSA.
§ 107.311 Notice of probable violation.
(a) The Office of Chief Counsel may serve a notice of probable violation on a person alleging the violation of one or more provisions of the Federal hazardous material transportation law, the Federal Water Pollution Control Act, or any provision of this subchapter, subchapter B of this chapter, or subchapter C of this chapter, or any special permit, response plan, or order issued thereunder.
(b) A notice of probable violation issued under this section includes the following information:
(1) A citation of the provisions of the Federal hazardous material transportation law, Federal Water Pollution Control Act, an order issued thereunder, this subchapter, subchapter B of this chapter, subchapter C of this chapter, or the terms of any special permit issued thereunder which the Office of Chief Counsel believes the respondent is violating or has violated.
(2) A statement of the factual allegations upon which the demand for remedial action, a civil penalty, or both, is based.
(3) A statement of the respondent’s right to present written or oral explanations, information, and arguments in answer to the allegations and in mitigation of the sanction sought in the notice of probable violation.
(4) A statement of the respondent’s right to request a hearing and the procedures for requesting a hearing.
(5) In addition, in the case of a notice of probable violation proposing a compliance order, a statement of the proposed actions to be taken by the respondent to achieve compliance.
(6) In addition, in the case of a notice of probable violation proposing a civil penalty:
(i) A statement of the maximum civil penalty for which the respondent may be liable;
(ii) The amount of the preliminary civil penalty being sought by the Office of Chief Counsel, constitutes the maximum amount the Chief Counsel may seek throughout the proceeding; and
(iii) A description of the manner in which the respondent makes payment of any money due the United States as a result of the proceeding.
(c) The Office of Chief Counsel may amend a notice of probable violation at any time before issuance of a compliance order or an order assessing a civil penalty. If the Office of Chief Counsel alleges any new material facts or seeks new or additional remedial action or an increase in the amount of the proposed civil penalty, it issues a new notice of probable violation under this section.
§ 107.313 Reply.
(a) Within 30 days of receipt of a notice of probable violation, the respondent must either:
(1) Admit the violation under § 107.315;
(2) Make an informal response under § 107.317; or
(3) Request a hearing under § 107.319.
(b) Failure of the respondent to file a reply as provided in this section constitutes a waiver of the respondent’s right to appear and contest the allegations and authorizes the Chief Counsel, without further notice to the respondent, to find the facts to be as alleged in the notice of probable violation and issue an order directing compliance or assess a civil penalty, or, if proposed in the notice, both. Failure to request a hearing under paragraph (a)(3) of this section constitutes a waiver of the respondent’s right to a hearing.
(c) Upon the request of the respondent, the Office of Chief Counsel may, for good cause shown and filed within the 30 days prescribed in the notice of probable violation, extend the 30-day response period.
§ 107.315 Admission of violations.
(a) In responding to a notice of probable violation issued under § 107.311, the respondent may admit the alleged violations and agree to accept the terms of a proposed compliance order or to pay the amount of the preliminarily assessed civil penalty, or, if proposed in the notice, both.
(b) If the respondent agrees to the terms of a proposed compliance order, the Chief Counsel issues a final order prescribing the remedial action to be taken by the respondent.
(c) Payment of a civil penalty, when the amount of the penalty exceeds $10,000, must be made by wire transfer, through the Federal Reserve Communications System (Fedwire), to the account of the U.S. Treasury. Detailed instructions on making payments by wire transfer may be obtained from the Financial Operations Division (AMZ-120), Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.
(d) Payment of a civil penalty, when the amount of the penalty is $10,000 or less, must be made either by wire transfer, as set forth in paragraph (c) of this section, or certified check or money order payable to “U.S. Department of Transportation” and submitted to the Financial Operations Division (AMZ-120), Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.
§ 107.317 Informal response.
(a) In responding to a notice of probable violation under § 107.311, the respondent may submit to the official who issued the notice, written explanations, information, or arguments in response to the allegations, the terms of a proposed compliance order, or the amount of the preliminarily assessed civil penalty.
(b) The respondent may include in his informal response a request for a conference. Upon the request of the respondent, the conference may be either in person or by telephone. A request for a conference must set forth the issues the respondent will raise at the conference.
(c) Upon receipt of a request for a conference under paragraph (b) of this section, the Chief Counsel’s Office, in consultation with the Associate Administrator, arranges for a conference as soon as practicable at a time and place of mutual convenience.
(d) The respondent’s written explanations, information, and arguments as well as the respondent’s presentation at a conference are considered by the Chief Counsel in reviewing the notice of probable violation. Based upon a review of the proceeding, the Chief Counsel may dismiss the notice of probable violation in whole or in part. If he does not dismiss it in whole, he issues an order directing compliance or assessing a civil penalty, or, if proposed in the notice, both.
§ 107.319 Request for a hearing.
(a) In responding to a notice of probable violation under § 107.311, the respondent may request a formal administrative hearing on the record before an Administrative Law Judge (ALJ) obtained by the Office of the Chief Counsel.
(b) A request for a hearing under paragraph (a) of this section must:
(1) State the name and address of the respondent and of the person submitting the request if different from the respondent;
(2) State which allegations of violations, if any, are admitted; and
(3) State generally the issues to be raised by the respondent at the hearing. Issues not raised in the request are not barred from presentation at the hearing; and
(4) Be addressed to the official who issued the notice.
(c) After a request for a hearing that complies with the requirements of paragraph (b) of this section, the Chief Counsel obtains an ALJ to preside over the hearing and notifies the respondent of this fact. Upon assignment of an ALJ, further matters in the proceeding generally are conducted by and through the ALJ, except that the Chief Counsel and respondent may compromise or settle the case under § 107.327 of this subpart without order of the ALJ or voluntarily dismiss the case under Rule 41(a)(1) of the Federal Rules of Civil Procedure without order of the ALJ; in the event of such a compromise, settlement or dismissal, the Chief Counsel expeditiously will notify the ALJ thereof.
(d) At any time after requesting a formal administrative hearing but prior to the issuance of a decision and final order by the ALJ, the respondent may withdraw such request in writing, thereby terminating the jurisdication of the ALJ in the case. Such a withdrawal constitutes an irrevocable waiver of respondent’s right to such a hearing on the facts, allegations, and proposed sanction presented in the notice of probable violation to which the request for hearing relates.
§ 107.321 Hearing.
(a) To the extent practicable, the hearing is held in the general vicinity of the place where the alleged violation occurred or at a place convenient to the respondent. Testimony by witnesses shall be given under oath and the hearing shall be recorded verbatim.
(b) Hearings are conducted in accordance with the Federal Rules of Evidence and Federal Rules of Civil Procedure; however, the ALJ may modify them as he determines necessary in the interest of a full development of the facts. In addition, the ALJ may:
(1) Administer oaths and affirmations;
(2) Issue subpoenas as provided by § 105.45;
(3) Adopt procedures for the submission of motions, evidence, and other documents pertinent to the proceeding;
(4) Take or cause depositions to be taken;
(5) Rule on offers of proof and receive relevant evidence;
(6) Examine witnesses at the hearing;
(7) Convene, recess, reconvene, adjourn and otherwise regulate the course of the hearing;
(8) Hold conferences for settlement, simplification of the issues, or any other proper purpose; and
(9) Take any other action authorized by, or consistent with, the provisions of this subpart and permitted by law which may expedite the hearing or aid in the disposition of an issue raised therein.
(c) The official who issued the notice of probable violation, or his representative, has the burden of proving the facts alleged therein.
(d) The respondent may appear and be heard on his own behalf or through counsel of his choice. The respondent or his counsel may offer relevant information including testimony which he believes should be considered in opposition to the allegations or which may bear on the sanction being sought and conduct such cross-examination as may be required for a full disclosure of the facts.
§ 107.323 ALJ’s decision.
(a) After consideration of all matters of record in the proceeding, the ALJ shall issue an order dismissing the notice of probable violation in whole or in part or granting the sanction sought by the Office of Chief Counsel in the notice. If the ALJ does not dismiss the notice of probable violation in whole, he issues an order directing compliance or assessing a civil penalty, or, if proposed in the notice, both. The order includes a statement of the findings and conclusions, and the reasons therefore, on all material issues of fact, law, and discretion.
(b) If, within 20 days of receipt of an order issued under paragraph (a) of this section, the respondent does not submit in writing his acceptance of the terms of an order directing compliance, or, where appropriate, pay a civil penalty, or file an appeal under § 107.325, the case may be referred to the Attorney General with a request that an action be brought in the appropriate United States District Court to enforce the terms of a compliance order or collect the civil penalty.
§ 107.325 Appeals.
(a) Hearing proceedings. A party aggrieved by an ALJ’s decision and order issued under § 107.323, may file a written appeal in accordance with paragraph (c) of this section with the Administrator, Office of the Administrator, Pipeline and Hazardous Materials Safety Administration, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(b) Non-Hearing proceedings. A respondent aggrieved by an order issued under § 107.317, may file a written appeal in accordance with paragraph (c) of this section with the Administrator, Office of the Administrator, Pipeline and Hazardous Materials Safety Administration, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(c) An appeal of an order issued under this subpart must:
(1) Be filed within 20 days of receipt of the order by the appealing party; and
(2) State with particularity the findings in the order that the appealing party challenges, and include all information and arguments pertinent thereto.
(d) If the Administrator, PHMSA, affirms the order in whole or in part, the respondent must comply with the terms of the decision within 20 days of the respondent’s receipt thereof, or within the time prescribed in the order. If the respondent does not comply with the terms of the decision within 20 days of receipt, or within the time prescribed in the order, the case may be referred to the Attorney General for action to enforce the terms of the decision.
(e) The filing of an appeal stays the effectiveness of an order issued under § 107.317 or § 107.323. However, if the Administrator, PHMSA, determines that it is in the public interest, he may keep an order directing compliance in force pending appeal.
§ 107.327 Compromise and settlement.
(a) At any time before an order issued under § 107.317 or § 107.323 is referred to the Attorney General for enforcement, the respondent or the Office of Chief Counsel may propose a compromise as follows:
(1) In civil penalty cases, the respondent or Chief Counsel may offer to compromise the amount of the penalty by submitting an offer for a specific amount to the other party. An offer of compromise by the respondent shall be submitted to the Chief Counsel who may, after consultation with the Associate Administrator, accept or reject it.
(i) A compromise offer stays the running of any response period then outstanding.
(ii) If a compromise is agreed to by the parties, the respondent is notified in writing. Upon receipt of payment by Office of Chief Counsel, the respondent is notified in writing that acceptance of payment is in full satisfaction of the civil penalty proposed or assessed, and Office of Chief Counsel closes the case with prejudice to the respondent.
(iii) If a compromise cannot be agreed to, the respondent is notified in writing and is given 10 days or the amount of time remaining in the then outstanding response period, whichever is longer, to respond to whatever action was taken by the Office of Chief Counsel or the Administrator, PHMSA.
(2) In compliance order cases, the respondent may propose a consent agreement to the Chief Counsel. If the Chief Counsel accepts the agreement, he issues an order in accordance with its terms. If the Chief Counsel rejects the agreement, he directs that the proceeding continue. An agreement submitted to the Chief Counsel must include:
(i) A statement of any allegations of fact which the respondent challenges;
(ii) The reasons why the terms of a compliance order or proposed compliance order are or would be too burdensome for the respondent, or why such terms are not supported by the record in the case;
(iii) A proposed compliance order suitable for issuance by the Chief Counsel;
(iv) An admission of all jurisdictional facts; and
(v) An express waiver of further procedural steps and all right to seek judicial review or otherwise challenge or contest the validity of the order.
(b) Notwithstanding paragraph (a)(1) of this section, the respondent or Office of Chief Counsel may propose to settle the case. If the Chief Counsel agrees to a settlement, the respondent is notified and the case is closed without prejudice to the respondent.
§ 107.329 Maximum penalties.
(a) A person who knowingly violates a requirement of the Federal hazardous material transportation law, an order issued thereunder, this subchapter, subchapter C of the chapter, or a special permit or approval issued under this subchapter applicable to the transportation of hazardous materials or the causing of them to be transported or shipped is liable for a civil penalty of not more than $84,425 for each violation, except the maximum civil penalty is $196,992 if the violation results in death, serious illness, or severe injury to any person or substantial destruction of property. There is no minimum civil penalty, except for a minimum civil penalty of $508 for violations relating to training. When the violation is a continuing one, each day of the violation constitutes a separate offense.
(b) A person who knowingly violates a requirement of the Federal hazardous material transportation law, an order issued thereunder, this subchapter, subchapter C of the chapter, or a special permit or approval issued under this subchapter applicable to the design, manufacture, fabrication, inspection, marking, maintenance, reconditioning, repair or testing of a package, container, or packaging component which is represented, marked, certified, or sold by that person as qualified for use in the transportation of hazardous materials in commerce is liable for a civil penalty of not more than $84,425 for each violation, except the maximum civil penalty is $196,992 if the violation results in death, serious illness, or severe injury to any person or substantial destruction of property. There is no minimum civil penalty, except for a minimum civil penalty of $508 for violations relating to training.
§ 107.331 Assessment considerations.
After finding a knowing violation under this subpart, the Office of Chief Counsel assesses a civil penalty taking the following into account:
(a) The nature and circumstances of the violation;
(b) The extent and gravity of the violation;
(c) The degree of the respondent’s culpability;
(d) The respondent’s prior violations;
(e) The respondent’s ability to pay;
(f) The effect on the respondent’s ability to continue in business; and
(g) Such other matters as justice may require.
Criminal Penalties
§ 107.333 Criminal penalties generally.
A person who knowingly violates § 171.2(l) of this title or willfully or recklessly violates a requirement of the Federal hazardous material transportation law or a regulation, order, special permit, or approval issued thereunder shall be fined under title 18, United States Code, or imprisoned for not more than 5 years, or both, except the maximum amount of imprisonment shall be 10 years in any case in which the violation involves the release of a hazardous material which results in death or bodily injury to any person.
§ 107.335 Referral for prosecution.
If the Associate Administrator becomes aware of a possible willful violation of the Federal hazardous material transportation law, this subchapter, subchapter C of this chapter, or any special permit, or order issued thereunder, for which the Associate Administrator exercises enforcement responsibility, it shall report it to the Office of the Chief Counsel, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, Washington, DC 20590-0001. If appropriate, the Chief Counsel refers the report to the Department of Justice for criminal prosecution of the offender.
§ 107.336 Limitation on fines and penalties.
If a State or political subdivision or Indian tribe assesses any fine or penalty determined by the Secretary to be appropriate for a violation concerning a subject listed in § 107.202(a), no additional fine or penalty may be assessed for such violation by any other authority.
Injunctive Action
§ 107.337 Injunctions generally.
Whenever it appears to the Office of Chief Counsel that a person has engaged, or is engaged, or is about to engage in any act or practice constituting a violation of any provision of the Federal hazardous material transportation law, this subchapter, subchapter C of this chapter, or any special permit, or order issued thereunder, for which the Office of Chief Counsel exercises enforcement responsibility, the Administrator, PHMSA, or his delegate, may request the Attorney General to bring an action in the appropriate United States District Court for such relief as is necessary or appropriate, including mandatory or prohibitive injunctive relief, interim equitable relief, and punitive damages as provided by 49 U.S.C. 5122(a).
§ 107.338 Prohibition of hazardous materials operations.
As provided for in subpart E of part 109 of this subchapter, a person who fails to pay a civil penalty in accordance with agreed upon installments or in full within prescribed time lines, is prohibited from conducting hazardous materials operations and shall immediately cease all hazardous materials operations.
§ 107.339 Imminent hazards.
Whenever it appears to the Office of the Chief Counsel that there is a substantial likelihood that death, serious illness, or severe personal injury will result from the transportation of a particular hazardous material or hazardous materials container, before a compliance order proceeding or other administrative hearing or formal proceeding to abate the risk of that harm can be completed, the Administrator, PHMSA, or his delegate, may bring an action under 49 U.S.C. 5122(b) in the appropriate United States District Court for an order suspending or restricting the transporation of that hazardous material or those containers or for such other equitable relief as is necessary or appropriate to ameliorate the hazard.
Appendix A to Subpart D of Part 107 – Guidelines for Civil Penalties
I. This appendix sets forth the guidelines PHMSA uses (as of October 2, 2013) in making initial baseline determinations for civil penalties. The first part of these guidelines is a list of baseline amounts or ranges for frequently-cited probable violations. Following the list of violations are general guidelines PHMSA uses in making penalty determinations in enforcement cases.
| Violation description | Section or cite | Baseline assessment |
|---|---|---|
| A. Registration Requirements: Failure to register as an offeror or carrier of hazardous material and pay registration fee: | 107.608, 107.612. | |
| 1. Small business or not-for-profit | $1,200 + $600 each additional year. | |
| 2. All others | $3,500 + $1,000 each additional year. | |
| B. Training Requirements: | ||
| 1. Failure to provide initial training to hazmat employees (general awareness, function-specific, safety, and security awareness training): | 172.702. | |
| a. More than 10 hazmat employees | $1,500 for each area. | |
| b. 10 hazmat employees or fewer | $1,000 for each area. | |
| 2. Failure to provide recurrent training to hazmat employees (general awareness, function-specific, safety, and security awareness training). | 172.702 | $1,000 for each area. |
| 3. Failure to provide in-depth security training when a security plan is required but has not been developed. | 172.702 | Included in penalty for no security plan. |
| 4. Failure to provide in-depth security training when a security plan is required and has been developed. | 172.702 | $3,100. |
| 5. Failure to create and maintain training records: | 172.704. | |
| a. More than 10 hazmat employees | $1,000. | |
| b. 10 hazmat employees or fewer | $600. | |
| C. Security Plans: | ||
| 1. Failure to develop a security plan; failure to adhere to security plan: | 172.800 | |
| a. Section 172.504 Table 1 materials | $9,300. | |
| b. Packing Group I | $7,500. | |
| c. Packing Group II | $5,600. | |
| d. Packing Group III | $3,700. | |
| 2. Incomplete security plan or incomplete adherence (one or more of four required elements missing) | One-quarter (25 percent) of above for each element. | |
| 3. Failure to update a security plan to reflect changing circumstances | 172.802(b) | One-third (33 percent) of baseline for no plan. |
| 4. Failure to put security plan in writing; failure to make all copies identical | 172.800(b) | One-third (33 percent) of baseline for no plan. |
| D. Notification to a Foreign Shipper: Failure to provide a foreign offeror or forwarding agent written information of HMR requirements applicable to a shipment of hazardous materials within the United States, at the place of entry into the United States: | 171.22(f). | |
| 1. Packing Group I and § 172.504 Table 1 materials | $9,300 .* | |
| 2. Packing Group II | $5,500 .* | |
| 3. Packing Group III | $1,800 .* | |
| * The baseline applied to the importer shall be equal to or less than the baseline applied to the foreign offeror or forwarding agent. | ||
| Violation description | Section or cite | Baseline assessment |
|---|---|---|
| E. Special Permits and Approvals: | ||
| 1. Offering or transporting a hazardous material, or otherwise performing a function covered by a special permit or approval, without authorization: | 171.2. | |
| a. After the special permit or approval has expired | $1,200 + $600 for each additional year. | |
| b. After the special permit or approval has been terminated | $5,000 to $25,000. | |
| 2. Failure to comply with a provision of a special permit or approval (when no other baseline is applicable): | 171.2. | |
| a. That relates to safety | $4,000 and up. | |
| b. That does not relate to safety | $500 and up. | |
| 3. Failure to maintain a copy of the special permit in the transport vehicle or facility, when required by the terms of the special permit | Special Permit | $1,000. |
| 4. Use an approval or approval symbol issued to another person | Approval, Various | $9,000. |
| A. Undeclared Shipment: | 172.200, 172.300, 172.400, 172.500. | |
| 1. Offering for transportation a hazardous material without shipping papers, package markings, labels, and placards (where required): | ||
| a. Packing Group I and § 172.504 Table 1 materials | $30,000 and up. | |
| b. Packing Group II | $20,000. | |
| c. Packing Group III | $17,500. | |
| d. Consumer Commodity, ORM-D | $5,000. | |
| 2. Offering for transportation a hazardous material that is misclassified on the shipping paper, markings, labels, and placards (including improper treatment as consumer commodity, ORM-D): | ||
| a. Packing Group I and § 172.504 Table I materials | $20,000. | |
| b. Packing Group II | $12,000. | |
| c. Packing Group III | $8,000. | |
| 3. Offering for transportation a forbidden hazardous material: | ||
| a. Packing Group I and § 172.504 Table I materials | $35,000. | |
| b. Packing Group II | $25,000. | |
| c. Packing Group III | $20,000. | |
| 4. Offering for transportation a lithium battery, without shipping papers, package markings, labels, or placards (when required): | ||
| a. For air transport | $40,000. | |
| b. For ground transport | $20,000. | |
| B. Shipping Papers: | ||
| 1. Failure to provide a shipping paper for a shipment of hazardous materials or accepting hazardous materials for transportation without a shipping paper: | 172.201, 177.817(a). | |
| a. Packing Group I and § 172.504 Table 1 materials | $7,500. | |
| b. Packing Group II | $5,600. | |
| c. Packing Group III | $3,700. | |
| 2. Failure to follow one or more of the three approved formats for listing hazardous materials and non-hazardous materials on a shipping paper | 172.201(a)(1) | $1,500. |
| 3. Failure to retain shipping papers as required | 172.201(e) | $1,200. |
| 4. Failure to include a proper shipping name in the shipping description or using an incorrect proper shipping name: | 172.202. | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,000. | |
| b. Packing Group II | $1,500. | |
| c. Packing Group III | $1,000. | |
| 5. Failure to include a hazard class/division number in the shipping description: | 172.202. | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,000. | |
| b. Packing Group II | $1,500. | |
| c. Packing Group III | $1,000. | |
| 6. Failure to include an identification number in the shipping description: | 172.202. | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,500. | |
| b. Packing Group II | $1,800. | |
| c. Packing Group III | $1,200. | |
| 7. Using an incorrect hazard class: | 172.202. | |
| a. That does not affect compatibility requirements | $1,000. | |
| b. That affects compatibility requirements: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $7,500. | |
| ii. Packing Group II | $5,600. | |
| iii. Packing Group III | $3,700. | |
| 8. Using an incorrect identification number: | 172.202. | |
| a. That does not change the response information | $1,000. | |
| b. That changes response information: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $7,500. | |
| ii. Packing Group II | $5,600. | |
| iii. Packing Group III | $3,700. | |
| 9. Failure to include the Packing Group or using an incorrect Packing Group: | 172.202. | |
| a. Packing Group I and § 172.504 Table 1 materials | $1,700. | |
| b. Packing Group II and III | $1,300. | |
| 10. Using a shipping description that includes additional unauthorized information (extra or incorrect words) | 172.202 | $1,000. |
| 11. Using a shipping description not in required sequence | 172.202 | $600. |
| 12. Failure to include the total quantity of hazardous material covered by a shipping description (including net explosive mass) | 172.202 | $600. |
| 13. Failure to include any of the following on a shipping paper, as required: Special permit number; “Limited Quantity or “Ltd Qty;” “RQ” for a hazardous substance; technical name in parentheses for a listed generic or “n.o.s.” material; or marine pollutant | 172.203(a), (b), (c)(2), (k), (l) | $600. |
| 14. Failure to indicate poison inhalation hazard on a shipping paper | 172.203(m) | $2,500. |
| 15. Failure to include or sign the required shipper’s certification on a shipping paper | 172.204 | $1,000. |
| C. Emergency Response Information Requirements: | ||
| 1. Providing incorrect emergency response information with or on a shipping paper: | 172.602. | |
| a. No significant difference in response | $1,000. | |
| b. Significant difference in response: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $7,500. | |
| ii. Packing Group II | $5,600. | |
| iii. Packing Group III | $3,700. | |
| 2. Failure to include an emergency response telephone number on a shipping paper. | 172.604 | $3,200. |
| 3. Failure to have the emergency response telephone number monitored while a hazardous material is in transportation; or listing the number in a manner that it is not readily identifiable or cannot be found easily and quickly (e.g., multiple telephone numbers); or failing to include the name, contract number, or other unique identifier of the person registered with the emergency response provider. | 172.604 | $1,600. |
| 4. Listing an emergency response telephone number on a shipping paper that causes emergency responders delay in obtaining emergency response information (e.g., listing a telephone number that not working, incorrect, or otherwise not capable of providing required information). | 172.604 | $3,200 to $5,200 |
| D. Package Marking Requirements: | ||
| 1. Failure to mark the proper shipping name and identification number on a package: | 172.301(a). | |
| a. Packing Group I and § 172.504 Table 1 materials | $6,000. | |
| b. Packing Group II | $4,500. | |
| c. Packing Group III | $3,000. | |
| 2. Marking a package with an incorrect shipping name and identification number: | 172.301(a). | |
| a. That does not change the response information: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $3,700. | |
| ii. Packing Group II | $2,700. | |
| iii. Packing Group III | $2,200. | |
| b. That changes the response information: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $9,500. | |
| ii. Packing Group II | $7,100. | |
| iii. Packing Group III | $4,700. | |
| 3. Failure to mark the proper shipping name on a package or marking an incorrect shipping name on a package: | 172.301(a). | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,000. | |
| b. Packing Group II | $1,500. | |
| c. Packing Group III | $1,000. | |
| 4. Failure to mark the identification number on a package: | 172.301(a). | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,500. | |
| b. Packing Group II | $1,800. | |
| c. Packing Group III | $1,200. | |
| 5. Marking a package with an incorrect identification number: | 172.301(a). | |
| a. That does not change the response information | $1,000. | |
| b. That changes the response information: | ||
| i. Packing Group I and § 172.504 Table 1 materials | $7,500. | |
| ii. Packing Group II | $5,600. | |
| iii. Packing Group III | $3,700. | |
| 6. Failure to include the required technical name(s) in parentheses for a listed generic or “n.o.s.” entry | 172.301(c) | $600. |
| 7. Failure to mark “non-odorized” on a cylinder containing liquefied petroleum gas | 172.301(f) | $2,000. |
| 8. Marking a package as containing hazardous material when it contains no hazardous material | 172.303(a) | $1,000. |
| 9. Failure to locate required markings away from other markings that could reduce their effectiveness | 172.304(a)(4) | $1,000. |
| 10. Failure to mark a package containing liquid hazardous materials with required orientation markings: | 172.312. | |
| a. Packing Group I and § 172.504 Table 1 materials | $4,000. | |
| b. Packing Group II | $3,500. | |
| c. Packing Group III | $3,000. | |
| 11. Failure to mark “Biohazard on an infectious substance or “Inhalation Hazard” on a package containing a poison by inhalation hazard | 172.313(a), 172.323 | $4,000. |
| 12. Failure to apply limited quantity marking or “RQ” marking on a non-bulk package containing a hazardous substance | 172.315, 172.324(b) | $600. |
| 13. Listing the technical name of a select agent hazardous material when it should not be listed | 172.301(b) | $1,600. |
| 14. Failure to apply a “Keep away from heat,” marine pollutant, or elevated temperature (“HOT”) marking | 172.317, 172.322, 172.325 | $1,200. |
| 15. Failure to properly mark a bulk container | 172.331, 172.334, 172.336, 172.338 | $1,000. |
| E. Package Labeling Requirements: | ||
| 1. Failure to label a package or applying a label that represents a hazard other than the hazard presented by the hazardous material in the package | 172.400 | $7,000. |
| 2. Placing a label on a package that does not contain a hazardous material | 172.401(a) | $1,000. |
| 3. Failure to place a required subsidiary label on a package: | 172.402. | |
| a. Packing Group I and § 172.504 Table 1 materials | $3,100. | |
| b. Packing Group II | $1,800. | |
| c. Packing Group III | $600. | |
| 4. Placing a label on a different surface of the package than, or away from, the proper shipping name | 172.406(a) | $1,000. |
| 5. Placing an improper size label on a package | 172.407(c) | $1,000. |
| 6. Placing a label on a package that does not meet color specification requirements (depending on the variance) | 172.407(d) | $1,000. |
| 7. Failure to place a Cargo Aircraft Only label on a package intended for air transportation, when required | 172.402(c) | $5,000. |
| 8. Failure to place a Cargo Aircraft Only label on a package containing a primary lithium battery or failure to mark a package containing a primary lithium battery as forbidden for transport on passenger aircraft: | 172.402(c), 172.102(c)(1) Special Provision 188, 189, 190. | |
| a. For air transport | $10,000. | |
| b. For ground transport | $1,000. | |
| 9. Failure to provide an appropriate class or division number on an explosive label | 172.411 | $3,100. |
| F. Placarding Requirements: | ||
| 1. Improperly placarding a freight container or vehicle containing hazardous materials: | 172.504. | |
| a. Packing Group I and § 172.504 Table 1 materials | $1,200 to $11,200. | |
| b. Packing Group II and III | $1,000 to $9,000. | |
| 2. Failure to placard a freight container or vehicle containing hazardous materials (no placard at all): | 172.504. | |
| a. Packing Group I and § 172.504 Table 1 materials | $12,000. | |
| b. Packing Group II and III | $8,500. | |
| G. Packaging Requirements: | ||
| 1. Failure to comply with package testing requirements for small quantities, excepted quantities, de minimis, materials of trade, limited quantities, and ORM-D | 173.4, 173.4a, 173.4b, 173.6, 173.156, 173.306 | $1,000 to $5,000. |
| 2. Offering a hazardous material for transportation in an unauthorized non-UN standard or non-specification packaging (includes failure to comply with the terms of a special permit authorizing use of a non-standard or non-specification packaging): | Various. | |
| a. Packing Group I, § 172.504 Table 1 materials, and Division 2.3 gases | $11,200. | |
| b. Packing Group II and Divisions 2.1 and 2.2 gases | $8,700. | |
| c. Packing Group III | $6,200. | |
| 3. Offering a hazardous material for transportation in a package that was not retested as required: | Various. | |
| a. Packing Group I and § 172.504 Table 1 materials | $8,000. | |
| b. Packing Group II | $5,000. | |
| c. Packing Group III | $3,000. | |
| 4. Offering a hazardous material for transportation in an improper package: | Various. | |
| a. When Packing Group I material is packaged in a Packing Group III package | $8,000. | |
| b. When Packing Group I material is packaged in a Packing Group II package | $5,000. | |
| c. When Packing Group II material is packaged in a Packing Group III package | $3,000. | |
| 5. Offering a hazardous material for transportation in a packaging (including a packaging manufactured outside the United States) that is torn, damaged, has hazardous material present on the outside of the package, or is otherwise not suitable for shipment | Various | $7,500. |
| 6. Offering a hazardous material for transportation in a self-certified packaging that has not been subjected to design qualification testing: | 178.601, Various. | |
| a. Packing Group I and § 172.504 Table 1 materials | $13,500. | |
| b. Packing Group II | $10,500. | |
| c. Packing Group III | $7,500. | |
| 7. Offering a hazardous material for transportation in a packaging that has been successfully tested to an applicable UN standard but is not marked with the required UN marking (including missing specification plates) | 173.32(d), 173.24(c) | $4,500. |
| 8. Failure to close a UN standard packaging in accordance with the closure instructions: | 173.22(a)(4). | |
| a. Packing Group I and § 172.504 Table 1 materials | $2,000 to $5,000. | |
| b. Packing Group II | $1,000 to $4,000. | |
| c. Packing Group III | $500 to $3,000. | |
| 9. Offering a hazardous material for transportation in a packaging that leaks during conditions normally incident to transportation: | 173.24(b). | |
| a. Packing Group I and § 172.504 Table 1 materials | $16,500. | |
| b. Packing Group II | $11,200. | |
| c. Packing Group III | $7,500. | |
| 10. Overfilling or underfilling a package so that the effectiveness is substantially reduced: | 173.24(b). | |
| a. Packing Group I and § 172.504 Table 1 materials | $11,200. | |
| b. Packing Group II | $7,500. | |
| c. Packing Group III | $3,700. | |
| 11. Failure to ensure packaging is compatible with hazardous material lading. | 173.24(e) | $9,000 to $12,000. |
| 12. Failure to mark an overpack as required | 173.25(a)(4) | $3,700. |
| 13. Packaging incompatible materials in an overpack | 173.25(a)(5) | $9,300. |
| 14. Marking a package “overpack” when the inner packages do not meet the requirements of the HMR: | 173.25(a). | |
| a. Packing Group I and § 172.504 Table 1 materials | $15,000. | |
| b. Packing Group II | $10,000. | |
| c. Packing Group III | $7,000. | |
| 15. Failure to comply with additional requirements for transportation by aircraft | 173.27 | $1,000 to $10,000. |
| 16. Filling an IBC, portable tank, or cargo tank (DOT, UN, or IM) that is out of test and offering hazardous materials for transportation in that IBC or portable tank. (Penalty amount depends on number of units and time out of test.) | 173.32(a), 173.33(a)(3), 180.352, 180.407, 180.605. | |
| a. Packing Group I and § 172.504 Table 1 materials: | ||
| i. All testing overdue | $8,700. | |
| ii. Only periodic (5 year) tests overdue or only intermediate periodic (2.5 year) tests overdue | $4,600. | |
| b. Packing Group II: | ||
| i. All testing overdue | $6,600. | |
| ii. Only periodic (5 year) tests overdue or only intermediate periodic (2.5 year) tests overdue | $3,300. | |
| c. Packing Group III: | ||
| i. All testing overdue | $4,600. | |
| ii. Only periodic (5 year) tests overdue or only intermediate periodic (2.5 year) tests overdue | $2,300. | |
| 17. Manifolding cylinders without conforming to manifolding requirements | 173.301(g) | $3,700 and up. |
| 18. Failure to ensure a cargo tank motor vehicle in metered delivery service has an operational off-truck remote shut-off activation device | 173.315(n)(3) | $2,500. |
| 19. Offering a hazardous material in a cargo tank motor vehicle when the material does not meet compatibility requirements with the tank or other lading or residue | 173.33 | $15,000. |
| 20. Failure to provide the required outage in a portable tank that results in a release of hazardous materials: | 173.32(f)(6). | |
| a. Packing Group I and § 172.504 Table 1 materials | $15,000. | |
| b. Packing Group II | $11,200. | |
| c. Packing Group III | $7,500. | |
| A. Cigarette Lighters: | ||
| 1. Offering for transportation an unapproved cigarette lighter, lighter refill, or similar device, equipped with an ignition element and containing fuel | 173.21(i) | $7,500. |
| 2. Failure to include the cigarette lighter test report identifier on the shipping paper. | 173.308(d)(1) | $1,000. |
| 3. Failure to mark the approval number on the package. | 173.308(d)(2) | $1,000. |
| B. Class 1 – Explosives: | ||
| 1. Failure to mark the package with the EX number for each substance contained in the package or, alternatively, indicate the EX number for each substance in association with the description on the shipping description | 172.320 | $1,000. |
| 2. Offering an unapproved explosive for transportation: | 173.54, 173.56(b) | |
| a. Division 1.4 fireworks meeting the chemistry requirements of APA 87-1A or 87-1C | $5,000. | |
| b. Division 1.3 fireworks meeting the chemistry requirements of APA 87-1B | $7,500. | |
| c. All other explosives (including forbidden) | $12,500 and up. | |
| 3. Offering an unapproved explosive for transportation that minimally deviates from an approved design in a manner that does not impact safety: | 173.54, 173.56(b) | |
| a. Division 1.4 | $3,000. | |
| b. Division 1.3 | $4,000. | |
| c. All other explosives | $6,000. | |
| 4. Offering a leaking or damaged package of explosives for transportation: | 173.54(c). | |
| a. Division 1.3 and 1.4 | $12,500. | |
| b. All other explosives | $16,500. | |
| 5. Offering a Class 1 material that is fitted with its own means of ignition or initiation, without providing protection from accidental actuation | 173.60(b)(5) | $15,000. |
| 6. Packaging explosives in the same outer packaging with other materials | 173.61 | $9,300. |
| 7. Transporting a detonator on the same vehicle as incompatible materials using the approved method listed in 177.835(g)(3) without meeting the requirements of IME Standard 22 | 177.835(g)(3) | $10,000. |
| C. Class 7 – Radioactive Materials: | ||
| 1. Failure to include required additional entries for radioactive material on a shipping paper, or providing incorrect information for these additional entries | 172.203(d) | $2,000 to $5,000. |
| 2. Failure to mark the gross mass on the outside of a package of Class 7 material that exceeds 110 pounds | 172.310(a) | $1,000. |
| 3. Failure to mark each package with the words “Type A” or “Type B,” as appropriate | 172.310(b) | $3,700. |
| 4. Placing a label on Class 7 material that understates the proper label category | 172.403 | $6,200. |
| 5. Placing a label on Class 7 material that fails to contain (or has erroneous) entries for the name of the radionuclide(s), activity, and transport index | 172.403(g) | $2,000 to $5,000. |
| 6. Failure to meet one or more of the general design requirements for a package used to ship a Class 7 material | 173.410 | $6,200. |
| 7. Failure to comply with the industrial packaging (IP) requirements when offering a Class 7 material for transportation | 173.411 | $6,200. |
| 8. Failure to provide a tamper-indicating device on a Type A package used to ship a Class 7 material | 173.412(a) | $5,000. |
| 9. Failure to meet the additional design requirements of a Type A package used to ship a Class 7 material | 173.412(b)-(i) | $6,200. |
| 10. Failure to meet the performance requirements for a Type A package used to ship a Class 7 material | 173.412(j)-(l) | $11,200. |
| 11. Offering a DOT specification 7A packaging without maintaining complete documentation of tests and an engineering evaluation or comparative data: | 173.415(a), 173.461. | |
| a. Tests and evaluation not performed | $13,500. | |
| b. Test performed but complete records not maintained | $2,500 to $6,200. | |
| 12. Offering any Type B, Type B(U), or Type B(M) packaging that failed to meet the approved DOT, NRC or DOE design, as applicable | 173.416 | $16,500. |
| 13. Offering a Type B packaging without registering as a party to the NRC approval certificate: | 173.471(a). | |
| a. Never obtained approval | $3,700. | |
| b. Holding an expired certificate | $1,200. | |
| 14. Failure to meet one or more of the special requirements for a package used to ship more than 0.1 kg of uranium hexafluoride | 173.420 | $13,500. |
| 15. Offering Class 7 materials for transportation as a limited quantity without meeting the requirements for a limited quantity | 173.421(a) | $8,000. |
| 16. Offering a multiple-hazard limited quantity Class 7 material without addressing the additional hazard | 173.423(a) | $600 to $3,100. |
| 17. Offering Class 7 materials for transportation under exceptions for radioactive instruments and articles while failing to meet the applicable requirements | 173.424 | $6,200 to $12,500. |
| 18. Offering Class 7 low specific activity (LSA) materials or surface contaminated objects (SCO) while failing to comply with applicable transport requirements (including, an external dose rate that exceeds an external radiation level of 10 mSv/h at 3 meters from the unshielded material) | 173.427 | $7,500 to $12,500. |
| 19. Offering Class 7 LSA materials or SCO as exclusive use without providing specific instructions to the carrier for maintenance of exclusive use shipment controls | 173.427(a)(6) | $1,200. |
| 20. Offering in excess of a Type A quantity of a Class 7 material in a Type A packaging | 173.431 | $15,000. |
| 21. Offering a package that exceeds the permitted radiation level or transport index | 173.441 | $12,500. |
| 22. Offering a package without determining the level of removable external contamination, or that exceeds the limit for removable external contamination | 173.443 | $6,200 and up. |
| 23. Storing packages of radioactive material in a group with a total criticality safety index of more than 50 | 173.447(a) | $6,200 and up. |
| 24. Offering for transportation or transporting aboard a passenger aircraft any single package or overpack of Class 7 material with a transport index greater than 3.0 | 173.448(e) | $6,200 and up. |
| 25. Exporting a Type B, Type B(U), Type B(M), or fissile package without obtaining a U.S. Competent Authority Certificate or, after obtaining a U.S. Competent Authority Certificate, failing to submit a copy to the national competent authority of each country into or through which the package is transported | 173.471(d) | $3,700. |
| 26. Offering or exporting special form radioactive materials without maintaining a complete safety analysis or Certificate of Competent Authority, as required. | 173.476(a), (b) | $3,700. |
| 27. Shipping a fissile material as fissile-exempt without meeting one of the exemption requirements or otherwise not complying with fissile material requirements | 173.417, 173.453, 173.457 | $12,500. |
| 28. Offering Class 7 fissile materials while failing to have a DOT Competent Authority Certificate or NRC Certificate of Compliance, as required, or failing to meet the requirements of the applicable Certificate | 173.417 | $1,000 to $12,500. |
| D. Class 2 – Compressed Gases in Cylinders: | ||
| 1. Filling and offering a cylinder with compressed gas when the cylinder is out of test or after its authorized service life: | 173.301(a)(6), (a)(7). | |
| a. Table 1 and compressed gas in solution | $10,000 to $15,000. | |
| b. Division 2.1 gases | $7,500 to $10,000. | |
| c. Division 2.2 gases | $5,000 to $7,500. | |
| 2. Overfilling cylinders: | Various. | |
| a. Division 2.3 gases | $15,000. | |
| b. Division 2.1 gases | $10,000. | |
| c. Division 2.2 gases | $7,500. | |
| d. Aerosols, limited quantities, consumer commodities | $5,000. | |
| 3. Failure to check each 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 30 days | 173.303(d) | $6,200. |
| 4. Offering a limited quantity of a compressed gas in a metal container for the purpose of propelling a nonpoisonous material and failure to heat the cylinder until the pressure is equivalent to the equilibrium pressure at 131 °F, without evidence of leakage, distortion, or other defect | 173.306(a)(3) | $1,800 to $5,000. |
| 5. Offering a limited quantity of a compressed gas in a metal container intended to expel a non-poisonous material, while failing to subject the filled container to a hot water bath, as required | 173.306(a)(3)(v) | $5,000. |
| 6. Offering liquefied petroleum gas for permanent installation on consumer premises when the requirements are not met | 173.315(j) | $7,500 to $10,000. |
| E. Oxygen Generators Offered by Air: | ||
| 1. Offering an unapproved oxygen generator for transportation | 173.168 | $25,000. |
| 2. Offering an oxygen generator for transportation without installing a means of preventing actuation, as required | 173.168 | $12,500 to $25,000. |
| 3. Offering an oxygen generator as spent when the ignition and chemical contents were still present | 172.102(c)(1) Special Provision 61 | $35,000. |
| F. Batteries: | 173.159, 173.185, 173.21(c). | |
| 1. Offering lithium batteries in transportation that have not been tested: | ||
| a. Ground transport | $15,000. | |
| b. Air transport | $30,000. | |
| 2. Offering lithium batteries in transportation that have been assembled from tested cells, but have not been tested | $5,000 + 25 percent increase for each additional design. | |
| 3. Failure to create records of design testing | $2,500 to $9,300. | |
| 4. Offering lithium batteries in transportation that have not been protected against short circuit | $15,000. | |
| 5. Offering lithium batteries in transportation in unauthorized packages | $12,500. | |
| 6. Offering lead acid batteries in transportation in unauthorized packages | $10,000. | |
| 7. Offering lithium batteries in transportation on passenger aircraft or misclassifying them for air transport | $30,000. | |
| 8. Failure to prepare batteries so as to prevent damage in transit | $6,000. | |
| A. Activities Subject to Approval: | ||
| 1. Failure to report in writing a change in name, address, ownership, test equipment, management, or test personnel | 171.2(c), Approval Letter | $700 to $1,500. |
| 2. Failure by an independent inspection agency of specification cylinders to satisfy all inspector duties, including inspecting materials, and verifying materials of construction and cylinders comply with applicable specifications | 178.35(c)(1), (2), (3) | $5,000 to $16,500. |
| 3. Failure to properly complete or retain inspector’s report for specification packages | 178.25(c)(4), Various | $4,000. |
| 4. Failure to have a cylinder manufacturing registration number/symbol, when required | Various | $2,500. |
| B. Packaging Manufacturers (General): | ||
| 1. Failure of a manufacturer or distributor to notify each person to whom the packaging is transferred of all the requirements not met at the time of transfer, including closure instructions | 178.2(c) | $3,100. |
| 2. Failure to comply with specified construction requirements for non-bulk packagings: | 178.504 to 178.523. | |
| a. Packing Group I and § 172.504 Table 1 materials | $12,000. | |
| b. Packing Group II | $8,000. | |
| c. Packing Group III | $4,000. | |
| 3. Fail testing: Failure to ensure a packaging certified as meeting the UN standard is capable of passing the required performance testing (depending on size of package): | 178.601(b), 178.609, part 178 subparts O, Q. | |
| a. Infectious substances | $16,500. | |
| b. Packing Group I and § 172.504 Table 1 materials | $13,500 to $16,500. | |
| c. Packing Group II | $10,500 to $13,500. | |
| d. Packing Group III | $7,500 to $10,500. | |
| 4. No testing: Certifying a packaging as meeting a UN standard when design qualification testing was not performed (depending on size of package): | 178.601(d), 178.609, part 178 subparts O, Q. | |
| a. Infectious substances | $16,500. | |
| a. Packing Group I and § 172.504 table 1 materials | $13,500 to $16,500. | |
| b. Packing Group II | $10,500 to $13,500. | |
| c. Packing Group III | $7,500 to $10,500. | |
| 5. Failure to conduct periodic testing on UN standard packaging (depending on length of time, Packing Group, and size of package) | 178.601(e), part 178 subparts O, Q | $2,500 to $16,500. |
| 6. Improper testing: 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) (depending on size of package): | ||
| a. Design qualification testing: | 178.601(d), 178.609, part 178 subparts O, Q. | |
| i. Infectious substances | $13,500. | |
| ii. Packing Group I | $10,500 to $13,500. | |
| iii. Packing Group II | $7,500 to $10,500. | |
| iv. Packing Group III | $2,500 to $7,500. | |
| b. Periodic testing: | 178.601(e), 178.609. | |
| i. Infectious substances | $10,500. | |
| ii. Packing Group I | $7,000 to $10,500. | |
| iii. Packing Group II | $4,000 to $7,000. | |
| iv. Packing Group III | $600 to $4,000. | |
| 7. Failure to keep complete and accurate testing records: | 178.601(l). | |
| a. No records kept | $5,000. | |
| b. Incomplete or inaccurate records | $1,200 to $3,700. | |
| 8. Improper marking of UN certification | 178.503 | $600 per item. |
| C. Drum Manufacturers & Reconditioners: | ||
| 1. Failure to properly conduct a production leakproofness test on a new or reconditioned drum: | 178.604(b), (d), 173.28(b)(2)(i). | |
| a. Improper testing: | ||
| i. Packing Group I | $3,000. | |
| ii. Packing Group II | $2,500. | |
| iii. Packing Group III | $2,000. | |
| b. No testing performed: | ||
| i. Packing Group I | $6,200. | |
| ii. Packing Group II | $5,000. | |
| iii. Packing Group III | $3,700. | |
| 2. Marking incorrect tester information on a reused drum: | 173.28(b)(2)(ii). | |
| a. Incorrect information | $1,000. | |
| b. Unauthorized use of another’s information | $9,000. | |
| 3. Representing, marking, or certifying a drum as a reconditioned UN standard packaging when the drum does not meet a UN standard. | 173.28(c) | $7,500 to $13,500. |
| 4. Representing, marking, or certifying a drum as altered from one UN standard to another, when the drum has not been altered. | 173.28(d) | $600 |
| D. IBC and Portable Tank Requalification: | ||
| 1. Failure to properly test and inspect IBCs or portable tanks | 180.352, 180.603. | |
| a. Packing Group I | $10,000. | |
| b. Packing Group II | $7,500. | |
| c. Packing Group III | $5,000. | |
| 2. Failure to properly mark an IBC or portable tank with the most current retest and/or inspection information | 180.352(e), 178.703(b), 180.605(k) | $600 per item. |
| 3. Failure to keep complete and accurate records of IBC or portable tank retest and reinspection: | 180.352(f), 180.605(l). | |
| a. No records kept | $5,000. | |
| b. Incomplete or inaccurate records | $1,200 to $3,700. | |
| 4. Failure to make inspection and test records available to a DOT representative upon request | 180.352(g), 49 U.S.C. 5121(b)(2) | $1,200. |
| 5. Failure to perform tests (internal visual, leakproofness) on an IBC as part of a repair | 180.352(d) | $3,700 to $6,200. |
| 6. Failure to perform routine maintenance on an IBC | 180.350(c) | $2,500. |
| E. Cylinder Manufacturers & Rebuilders: | ||
| 1. Manufacturing, representing, marking, certifying, or selling a DOT high-pressure cylinder that was not inspected and verified by an approved independent inspection agency | 178.35 | $10,000 to $25,000. |
| 2. Failure to mark a registration number/symbol on a cylinder, when required | 178.35, Various | $1,000. |
| 3. Failure to mark the date of manufacture or lot number on a DOT-39 cylinder | 178.65(i) | $3,700. |
| 4. Failure to have a chemical analysis performed in the U.S. for a material manufactured outside the U.S., without an approval | 107.807, 178.35 | $6,200. |
| 5. Failure to comply with defect and attachment requirements, safety device requirements, or marking requirements | 178.35(d), (e), (f) | $5,000. |
| 6. Failure to meet wall thickness requirements | Various | $9,300 to $18,700. |
| 7. Failure to heat treat cylinders prior to testing | Various | $6,200 to $18,700. |
| 8. Failure to conduct a complete visual internal examination | Various | $3,100 to $7,700. |
| 9. Failure to conduct a hydrostatic test, or conducting a hydrostatic test with inaccurate test equipment | Various | $3,100 to $7,700. |
| 10. Failure to conduct a flattening test | Various | $9,300 to $18,700. |
| 11. Failure to conduct a burst test on a DOT-2P, 2Q, 2S, or 39 cylinder | 178.33-8, 178.33a-8, 178.33b-8, 178.65(f)(2) | $6,200 to $18,700. |
| 12. Failure to maintain required inspector’s reports: | 178.35, Various. | |
| a. No reports at all | $5,000. | |
| b. Incomplete or inaccurate reports | $1,200 to $3,700. | |
| 13. Failure to complete or retain manufacturer’s reports | 178.35(g) | $6,200. |
| 14. Representing a DOT-4 series cylinder as repaired or rebuilt to the requirements of the HMR without being authorized by the Associate Administrator | 180.211(a) | $10,000 to $25,000. |
| F. Cargo Tank Motor Vehicles: | ||
| 1. Failure to maintain complete cargo tank test reports, as required: | 180.417(b), (c). | |
| a. No records | $5,000. | |
| b. Incomplete records | $1,200 to $3,700. | |
| 2. Failure to have a cargo tank tested or inspected (e.g., visual, thickness, pressure, leakproofness) | 180.407(c) | $8,000 and up; increase by 25 percent for each additional. |
| 3. Failure to mark a cargo tank with test and inspection markings | 180.415 | $600 each item. |
| 4. Failure to retain a cargo tank’s data report and Certificates or design certification | 178.320(b), 178.337-18, 178.338-19, 178.345-15 | $6,200. |
| 5. Failure to mark a special permit number on a cargo tank. | 172.301(c) | $1,800. |
| 6. Constructing a cargo tank or cargo tank motor vehicle not in accordance with a special permit or design certification | 178.320(b), Special Permit | $13,500. |
| 7. Failure to mark manhole assemblies on a cargo tank motor vehicle manufactured after October 1, 2004 | 178.345-5(e) | $4,500. |
| 8. Failure to apply specification plate and name plate: | 178.337-17, 178.338-18, 178.345-14. | |
| a. No marking | $4,500. | |
| b. Incomplete marking | $600 per item. | |
| 9. Failure to conduct monthly inspections and tests of discharge system in cargo tanks | 180.416(d) | $2,500. |
| G. Cylinder Requalification: | ||
| 1. Certifying or marking as retested a non-specification cylinder | 180.205(a) | $1,000. |
| 2. Failure to have retester’s identification number (RIN) | 180.205(b) | $5,000. |
| 3. Failure to have current authority due to failure to renew a RIN | 180.205(b) | $2,500 + $600 each additional year. |
| 4. Marking a RIN before successfully completing a hydrostatic retest | 180.205(b) | $1,000. |
| 5. Representing, marking, or certifying a cylinder as meeting the requirements of a special permit when the cylinder was not maintained or retested in accordance with the special permit | 171.2(c), (e), 180.205(c), Special Permit | $2,500 to $7,500. |
| 6. Failure to conduct a complete visual external and internal examination | 180.205(f) | $2,600 to $6,500. |
| 7. Performing hydrostatic retesting without confirming the accuracy of the test equipment or failing to conduct hydrostatic testing | 180.205(g)(1), 180.205(g)(3) | $2,600 to $6,500. |
| 8. Failure to hold hydrostatic test pressure for 30 seconds or sufficiently longer to allow for complete expansion | 180.205(g)(5) | $3,800. |
| 9. Failure to perform a second retest, after equipment failure, at a pressure increased by the lesser of 10 percent or 100 psi (includes exceeding 90percent of test pressure prior to conducting a retest) | 180.205(g)(5) | $3,800. |
| 10. Failure to condemn a cylinder when required (e.g., permanent expansion exceeds 10 percent of total expansion [5percent for certain special permit cylinders], internal or external corrosion, denting, bulging, evidence of rough usage) | 180.205(i) | $7,500 to $13,500. |
| 11. Failure to properly mark a condemned cylinder or render it incapable of holding pressure | 180.205(i)(2) | $1,000 to $5,000. |
| 12. Failure to notify the cylinder owner in writing when a cylinder has been condemned | 180.205(i)(2) | $1,200. |
| 13. Failure to perform hydrostatic retesting at the minimum specified test pressure | 180.209(a) | $2,600 to $6,500. |
| 14. Marking a star on a cylinder that does not qualify for that mark | 180.209(b) | $2,500 to $5,000. |
| 15. Marking a “ + ” sign on a cylinder without determining the average or minimum wall stress by calculation or reference to CGA Pamphlet C-5 | 173.302a(b) | $2,500 to $5,000. |
| 16. Marking a cylinder in or on the sidewall when not permitted by the applicable specification | 180.213(b) | $7,500 to $13,500. |
| 17. Failure to maintain legible markings on a cylinder | 180.213(b)(1) | $1,000. |
| 18. Marking a DOT 3HT cylinder with a steel stamp other than a low-stress steel stamp | 180.213(c)(2) | $7,500 to $13,500. |
| 19. Improper marking of the RIN or retest date on a cylinder | 180.213(d) | $1,000. |
| 20. Marking an FRP cylinder with steel stamps in the FRP area of the cylinder such that the integrity of the cylinder is compromised | Special Permit | $7,500 to $13,500. |
| 21. Failure to comply with eddy current examination requirements for DOT 3AL cylinders manufactured of aluminum alloy 6351-T6, when applicable | Appendix C to part 180 | $2,600 to $6,500. |
| 22. Failure to maintain current copies of the HMR, DOT special permits, and CGA Pamphlets applicable to inspection, retesting, and marking activities | 180.215(a) | $700 to $1,500. |
| 23. Failure to keep complete and accurate records of cylinder reinspection and retest: | 180.215(b). | |
| a. No records kept | $5,000. | |
| b. Incomplete or inaccurate records | $1,200 to $3,700. | |
| A. Incident Notification: | ||
| 1. Failure to provide immediate telephone/online notification of a reportable hazardous materials incident reportable under 171.15(b) | 171.15 | $6,000. |
| 2. Failure to file a written hazardous material incident report within 30 days of discovering a hazardous materials incident reportable under 171.15(b) or 171.16(a) | 171.16 | $4,000. |
| 3. Failure to include all required information in hazardous materials incident notice or report or failure to update report | 171.15, 171.16 | $1,000. |
| B. Shipping Papers: | ||
| 1. Failure to retain shipping papers for 1 year after a hazardous material (or 3 years for a hazardous waste) is accepted by the initial carrier | 174.24(b), 175.33(c), 176.24(b), 177.817(f) | $1,200. |
| C. Stowage/Attendance/Transportation Requirements: | ||
| 1. Transporting packages of hazardous material that have not been secured against movement | Various | $3,700 and up. |
| 2. Failure to properly segregate hazardous materials | Various | $9,300 and up. |
| 3. Failure to remove a package containing hazardous materials from a motor vehicle before discharge of its contents: | 177.834(h). | |
| a. Packing Group I and § 172.504 Table 1 materials | $5,000. | |
| b. Packing Group II | $3,000. | |
| c. Packing Group III | $1,000. | |
| 4. Transporting explosives in a motor vehicle containing metal or other articles or materials likely to damage the 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 damage | 177.835(i) | $6,500 and up. |
| 5. Failure to attend Class 1 explosive materials during transportation | 177.835(k) | $3,000. |
| 6. Transporting railway track torpedoes outside of flagging kits, in violation of DOT-E 7991 | 171.2(b), (e) | $8,700. |
| 7. Failure to carry a hazmat registration letter or number in the transport vehicle | 107.620(b) | $1,000. |
| 8. Transporting Class 7 (radioactive) material having a total transport index greater than 50 | 177.842(a) | $6,200 and up. |
| 9. Transporting Class 7 (radioactive) material without maintaining the required separation distance | 177.842(b) | $6,200 and up. |
| 10. Failure to comply with radiation survey requirements of a special permit that authorizes the transportation of Class 7 (radioactive) material having a total transportation index exceeding 50 | 171.2(b), (e), Special Permit | $6,200 and up. |
The baseline penalty amounts in Part II are used as a starting amount or range appropriate for the normal or typical nature, extent, circumstances, and gravity of the probable violations frequently cited in enforcement reports. PHMSA must also consider any additional factors, as provided in 49 U.S.C. 5123(c) and 49 CFR 107.331, including the nature, circumstances, extent and gravity of a violation, the degree of culpability and compliance history of the respondent, the financial impact of the penalty on the respondent, and other matters as justice requires. Consequently, at each stage of the administrative enforcement process, up to and including issuance of a final order or decision on appeal, PHMSA can adjust the baseline amount in light of the specific facts and circumstances of each case.
As part of this analysis, PHMSA reviews the factors outlined in the next section, Miscellaneous Factors Affecting Penalty Amounts, the safety implications of the violation, the pervasiveness of the violation, and all other relevant information. PHMSA considers not only what happened as a result of the violation, but also what could have happened as a result of continued violation of the regulations. As a general matter, one or more specific instances of a violation are presumed to reflect a respondent’s general manner of operations, rather than isolated occurrences.
PHMSA may draw factors relevant to the statutory considerations from the initial information gathered by PHMSA’s Office of Hazardous Materials Safety Field Operations, the respondent in response to an exit briefing, ticket, or Notice of Probable Violation (NOPV), or information otherwise available to us. We will generally apply the specific statutory factors that are outlined in the next section, Miscellaneous Factors Affecting Penalty Amounts, in the following order:
1. Select the appropriate penalty amount within a specific baseline or range, with appropriate increases or decreases depending on the packing group or material involved and other information regarding the frequency or duration of the violation, the culpability of the respondent, and the actual or potential consequences of the violation.
2. Apply decreases for a reshipper or carrier that reasonably relied on an offeror’s non-compliant preparation of a hazardous materials shipment.
3. Apply increases for multiple counts of the same violation.
4. Apply increases for prior violations of the HMR within the past six years.
5. Apply decreases for corrective actions.
6. Apply decreases for respondent’s inability to pay or adverse effect on its ability to continue in business.
A person who either receives hazardous materials from another company and reships them (reshipper), or accepts a hazardous material for transportation, and transports that material (carrier), is responsible for ensuring that the shipment complies in all respects with Federal hazardous materials transportation law. In both cases, the reshipper or carrier independently may be subject to enforcement action if the shipment does not comply.
Depending on all the circumstances, however, the person who originally prepared the shipment and placed it into transportation may have greater culpability for the noncompliance than the reshipper or carrier who reasonably relies on the shipment as received and does not open or alter the package before the shipment continues in transportation. PHMSA will consider the specific knowledge and expertise of all parties, as well as which party is responsible for compliance under the regulations, when evaluating the culpability of a reshipper or carrier. PHMSA recognizes that a reshipper or carrier may have reasonably relied upon information from the original shipper and may reduce the applicable baseline penalty amount up to 25 percent.
A main objective of PHMSA’s enforcement program is to obtain compliance with the HMR and the correction of violations which, in many cases, have been part of a company’s regular course of business. As such, there may be multiple instances of the same violation. Examples include a company shipping various hazardous materials in the same unauthorized packaging, shipping the same hazardous material in more than one type of unauthorized packaging, shipping hazardous materials in one or more packagings with the same marking errors, or using shipping papers with multiple errors.
Under the Federal hazmat law, 49 U.S.C. 5123(a), each violation of the HMR and each day of a continuing violation (except for violations relating to packaging manufacture or qualification) is subject to a civil penalty of up to $84,425 or $196,992 for a violation occurring on or after May 3, 2021. As such, PHMSA generally will treat multiple occurrences that violate a single regulatory provision as separate violations and assess the applicable baseline penalty for each distinct occurrence of the violation. PHMSA will generally consider multiple shipments or, in the case of package testers, multiple package designs, to be multiple occurrences; and each shipment or package design may constitute a separate violation.
PHMSA, however, will exercise its discretion in each case to determine the appropriateness of combining into a single violation what could otherwise be alleged as separate violations and applying a single penalty for multiple counts or days of a violation, increased by 25 percent for each additional instance, as directed by 49 U.S.C. 5123(c). For example, PHMSA may treat a single shipment containing three items or packages that violate the same regulatory provision as a single violation and apply a single baseline penalty with a 50 percent increase for the two additional items or packages; and PHMSA may treat minor variations in a package design for a package tester as a single violation and apply a single baseline penalty with a 25 percent increase for each additional variation in design.
When aggravating circumstances exist for a particular violation, PHMSA may handle multiple instances of a single regulatory violation separately, each meriting a separate baseline or increase the civil penalty by 25 percent for each additional instance. Aggravating factors may include increased safety risks, continued violation after receiving notice, or separate and distinct acts. For example, if the multiple occurrences each require their own distinct action, then PHMSA may count each violation separately (e.g., failure to obtain approvals for separate fireworks devices).
The baseline penalty in the List of Frequently Cited Violations assumes an absence of prior violations. If a respondent has prior violations of the HMR, generally, PHMSA will increase a proposed penalty.
When setting a civil penalty, PHMSA will review the respondent’s compliance history and determine if there are any finally-adjudicated violations of the HMR initiated within the previous six years. Only cases or tickets that have been finally-adjudicated will be considered (i.e., the ticket has been paid, a final order has been issued, or all appeal remedies have been exhausted or expired). PHMSA will include prior violations that were initiated within six years of the present case; a case or ticket will be considered to have been initiated on the date of the exit briefing for both the prior case and the present case. If multiple cases are combined into a single Notice of Probable Violation or ticket, the oldest exit briefing will be used to determine the six-year period. If a situation arises where no exit briefing is issued, the date of the Notice of Probable Violation or Ticket will be used to determine the six-year period. PHMSA may consider prior violations of the Hazardous Materials Regulations from other DOT Operating Administrations.
The general standards for increasing a baseline proposed penalty on the basis of prior violations are as follows:
1. For each prior civil or criminal enforcement case – 25 percent increase over the pre-mitigation recommended baseline penalty.
2. For each prior ticket – 10 percent increase over the pre-mitigation recommended baseline penalty.
3. If a respondent is cited for operating under an expired special permit and previously operated under an expired special permit (as determined in a finally-adjudicated civil, criminal, or administrative enforcement case or a ticket), PHMSA will increase the civil penalty 100 percent.
4. If a respondent is cited for the exact same violation that it has been previously cited for within the six-year period (in a finally-adjudicated civil, criminal, or administrative enforcement case or a ticket), PHMSA will increase the baseline for that violation by 100 percent. This increase will apply only when the present violation is identical to the previous violation and applies only to the specific violation that has recurred.
5. A baseline proposed penalty (both for each individual violation and the combined total) will not be increased more than 100 percent on the basis of prior violations.
PHMSA may lower a proposed penalty when a respondent’s documented corrective action has fixed an alleged violation. Corrective action should demonstrate not only that the specific deficiency is corrected but also that any systemic corrections have been addressed to prevent recurrence of the violation.
The two primary factors that determine the reduction amount are the extent and timing of the corrective action. In other words, PHMSA will determine the amount of mitigation based on how much corrective action a respondent completes and how soon after the exit briefing it performs corrective action. Comprehensive systemic action to prevent future violations may warrant greater mitigation than actions that simply target violations identified during the inspection. Actions taken immediately (within the 30 calendar day period that respondents have to respond to an exit briefing, or upon approval of Field Operations) may warrant greater mitigation than actions that are not taken promptly.
PHMSA may consider a respondent’s corrective action to assess mitigation at various stages in the enforcement process, including: (1) AFTEr an inspection and before an NOPV is issued; (2) on receipt of an NOPV; or (3) after receipt of an NOPV. In order to reduce a civil penalty for corrective action, PHMSA must receive satisfactory documentation that demonstrates the corrective action was completed. If a corrective action is of a type that cannot be documented (e.g., no longer using a particular packaging), then a respondent may provide a signed affidavit describing the action it took. The affidavit must begin with the affirmative oath “I hereby affirm under the penalties of perjury that the below statements are true and correct to the best of my knowledge, information and belief,” in accordance with 28 U.S.C. 1746.
Generally, corrective action credit may not exceed 25 percent. Mitigation is applied to individual violations and fact patterns but should not be considered to be automatic reduction. Thus, in a case with two violations, if corrective action for the first violation is more extensive than for the second, the penalty for the first will be mitigated more than that for the second. If a respondent has previously committed the same violation, however, as determined in a finally-adjudicated civil, criminal, or administrative enforcement case or a ticket, PHMSA will not apply any reduction for corrective action.
In determining the appropriate civil penalty reduction, PHMSA will consider the extent to which the respondent corrected the violation and any risks or harms it created, the respondent’s actions to prevent the violation from recurring, improvements to overall company practices to address a widespread compliance issue, and how quickly the corrective action was performed. In general, PHMSA will apply the following reductions for corrective action, subject to the facts and circumstances of individual cases and respondents. If a respondent has given full documentation of timely corrective action and PHMSA does not believe that anything else can be done to correct the violation or improve overall company practices, we will generally reduce the civil penalty by no more than 25 percent. As noted above, a 25 percent reduction is not automatic. We will reduce the penalty up to 20 percent when a respondent promptly and completely corrected the cited violation and has taken substantial steps toward comprehensive improvements. PHMSA will generally apply a reduction up to 15 percent when a respondent has made substantial and timely progress toward correcting the specific violation as well as overall company practices, but additional actions are needed. A reduction up to 10 percent is appropriate when a respondent has taken significant steps toward addressing the violation, but minimal or no steps toward correcting broader company policies to prevent future violations. PHMSA may reduce a penalty up to 5 percent when a respondent made untimely or minimal efforts toward correcting the violation.
PHMSA may mitigate a proposed penalty when a respondent documents that the penalty would either (1) exceed an amount that the respondent is able to pay, or (2) have an adverse effect on the respondent’s ability to continue in business. These criteria relate to a respondent’s entire business, and not just the product line or part of its operations involved in a violation. PHMSA may apply this mitigation by reducing the civil penalty or instituting a payment plan.
PHMSA will only mitigate a civil penalty based on financial considerations when a respondent supplies financial documentation demonstrating one of the factors above. A respondent may submit documentation of financial hardship at any stage to receive mitigation or an installment payment plan. Documentation includes tax records, a current balance sheet, profit and loss statements, and any other relevant records. Evidence of a respondent’s financial condition is used only to decrease a penalty, and not to increase it.
In evaluating the financial impact of a penalty on a respondent, PHMSA will consider all relevant information on a case-by-case basis. Although PHMSA will determine financial hardship and appropriate penalty adjustments on an individual basis, in general, we will consider the following factors.
1. The overall financial size of the respondent’s business and information on the respondent’s balance sheet, including the current ratio (current assets to current liabilities), the nature of current assets, and net worth (total assets minus total liabilities).
2. A current ratio close to or below 1.0 may suggest that the company would have difficulty in paying a large penalty or in paying it in a single lump sum.
3. A small amount of cash on hand (representing limited liquidity), even with substantial other current assets (such as accounts receivable or inventory), may suggest a company would have difficulty in paying a penalty in a single lump sum.
4. A small or negative net worth may suggest a company would have difficulty in paying a penalty in a single lump sum. Notwithstanding, many respondents have paid substantial civil penalties in installments even though net worth was negative. For this reason, negative net worth alone does not always warrant reduction of a proposed penalty or even, in the absence of factors discussed above, a payment plan.
When PHMSA determines that a proposed penalty poses a significant financial hardship, we may reduce the proposed penalty and/or implement an installment payment plan. The appropriateness of these options will depend on the circumstances of the case.
When an installment payment plan is appropriate, the length of the payment plan should be as short as possible, but may be adjusted as necessary. PHMSA will not usually exceed six months for a payment plan. In unusual circumstances, PHMSA may extend the period of a payment plan. For example, the duration of a payment plan may reflect fluctuations in a company’s income if its business is seasonal or if the company has documented specific reasons for current non-liquidity.
Subpart E – Designation of Approval and Certification Agencies
§ 107.401 Purpose and scope.
(a) This subpart establishes procedures for the designation of agencies to issue certificates and certifications for types of packagings designed, manufactured, tested, or maintained in conformance with the requirements of this subchapter, subchapter C of this chapter, and standards set forth in the United Nations (U.N.) Recommendations (Transport of Dangerous Goods), and for lighters, portable tanks, multi-element gas containers, and Division 1.4G consumer fireworks in conformance with the requirements of this subchapter. Except for certifications of compliance with U.N. packaging standards, this subpart does not apply unless made applicable by a rule in subchapter C of this chapter.
(b) The Associate Administrator may issue approval certificates and certifications addressed in paragraph (a) of this section.
§ 107.402 Application for designation as a certification agency.
(a) Any organization or person seeking to be approved as a certification agency must apply in writing to the Associate Administrator for Hazardous Materials Safety (PHH-32), Department of Transportation, East Building, 1200 New Jersey Avenue SE., Washington DC 20590-0001. Alternatively, the application in an appropriate format may be submitted by facsimile (fax) to: (202) 366-3753 or (202) 366-3308 or by electronic mail (email) to: [email protected]. Each application must be signed and certified to be correct by the applicant or, if the applicant is an organization, by an authorized officer or official representative of the organization. Any false statement or representation, or the knowing and willful concealment of a material fact, may subject the applicant to prosecution under the provisions of 18 U.S.C. 1001, and result in the denial or termination of a designation.
(b) Each application for approval as a certification agency must be in English and include the following information:
(1) Information required by the provisions in subpart H of this part;
(2) Name and address of the applicant, including place of incorporation if a corporation. In addition, if the applicant is not a resident of the United States, the name and address of a permanent resident of the United States designated in accordance with § 105.40 of this subchapter to serve as agent for service of process. A person approved as a certification agency is not a PHMSA agent or representative;
(3) A statement acknowledging that the Associate Administrator or a designated official may inspect, on demand, its records and facilities in so far as they relate to the certification activities and will cooperate in the conduct of such inspections; and
(4) Any additional information relevant to the applicant’s qualifications, upon request of the Associate Administrator or a designated official.
(c) UN Third-Party Packaging Certification Agency. In addition to the requirements in paragraph (b) of this section, the application must include the following information:
(1) A listing, by DOT specification (or special permit) number, or U.N. designation, of the types of packagings for which certification authority is sought;
(2) A statement showing proof that the applicant has:
(i) The ability to review and evaluate design drawings, design and stress calculations;
(ii) The knowledge of the applicable regulations of subchapter C of this chapter and, when applicable, U.N. standards;
(iii) The ability to conduct or monitor and evaluate test procedures and results; and
(iv) The ability to review and evaluate the qualifications of materials and fabrication procedures.
(3) A statement that the applicant will perform its functions independent of the manufacturers and owners of the packagings concerned.
(4) If the applicant’s principal place of business is in a country other than the United States, a copy of the designation from the Competent Authority of that country delegating to the applicant an approval or designated agency authority for the type of packaging for which a DOT designation is sought, and a statement that the Competent Authority also delegates similar authority to U.S. Citizens or organizations having designations under this subpart from PHMSA.
(d) Fireworks Certification Agency. Prior to reviewing, and certifying Division 1.4G consumer fireworks (UN0336) for compliance with the APA 87-1A, excluding appendices II through VI, (IBR, see § 171.7 of this chapter) as specified in part 173 of this chapter, a person must apply to, and be approved by, the Associate Administrator to act as a Fireworks Certification Agency.
(1) Fireworks Certification Agency applicant requirements. The Fireworks Certification Agency applicant must –
(i) Be a U.S. resident, or for a non-U.S. resident, have a designated U.S. agent representative as specified in § 105.40 of this subchapter;
(ii) Employ personnel with work experience in manufacturing or testing of fireworks or explosives; or a combination of work experience in manufacturing or testing of fireworks or explosives and a degree in the physical sciences or engineering from an accredited university;
(iii) Have the ability to:
(A) Review design drawings, and applications to certify that they are in accordance with the APA Standard 87-1; and
(B) Verify that the applicant has certified the thermal stability test procedures and results.
(iv) Must be independent of and not owned by any consumer fireworks manufacturer, distributor, import or export company, or proprietorship.
(2) Fireworks Certification Agency application submittal requirements. In addition to the requirements of paragraphs (b) and (d)(1) of this section, the Fireworks Certification Agency application must include –
(i) Name, address, and country of each facility where Division 1.4G consumer fireworks applications are reviewed and certified;
(ii) A detailed description of the qualifications of each individual the applicant proposes to employ to review, and certify that the requirements specified by part 173 of this chapter and the APA Standard 87-1 have been met;
(iii) Written operating procedures to be used by the Fireworks Certification Agency to review and certify that a Division 1.4G consumer fireworks application meets the requirements specified in the APA Standard 87-1;
(iv) Name, address, and principal business activity of each person having any direct or indirect interest in the applicant greater than three percent and any direct or indirect ownership interest in each subsidiary or division of the applicant; and
(v) A statement that the applicant will perform its functions independent of the manufacturers, transporters, importers, and owners of the fireworks.
(e) Lighter certification agency. Prior to examining and testing lighters (UN1057) for certification of compliance with the requirements of § 173.308 of this chapter a person must submit an application to, and be approved by, the Associate Administrator to act as a lighter certification agency. In addition to paragraph (b) of this section, the application must include the following information:
(1) The name and address of each facility where lighters are examined and tested;
(2) A detailed description of the applicant’s qualifications and ability to, examine and test lighters and certify that the requirements specified by § 173.308 of this chapter have been met; and
(3) A statement that the agency is independent of and not owned by a lighter manufacturer, distributor, import or export company, or proprietorship.
(f) Portable tank and MEGC certification agencies. Prior to inspecting portable tanks or multi-element gas containers (MEGCs) for certification of compliance with the requirements of §§ 178.273 and 178.74 of this chapter, respectively, a person must submit an application to, and be approved by, the Associate Administrator to act as a certification agency. In addition to paragraph (b) of this section, the application must provide the following information:
(1) The name and address of each facility where the portable tank or MEGC, as applicable, is examined and tested;
(2) A detailed description of the applicant’s qualifications and ability to examine and test portable tanks or MEGCs, as applicable, and certify that the requirements specified by § 178.273 of this chapter for the approval of UN portable tanks, or § 178.74 of this chapter for the approval of MEGCs have been met; and
(3) A statement indicating that the agency is independent of and not owned by a portable tank or MEGC manufacturer, owner, or distributor.
§ 107.403 Designation of certification agencies.
(a) If the Associate Administrator determines that an application contains all the required information, the applicant is sent a letter of designation and assigned an identification code.
(b) If the Associate Administrator determines that an application does not contain all the required information, the application is denied and the applicant is sent a written notice containing all the reasons for the denial.
(c) Within 30 days of an initial denial of an application under paragraph (b) of this section, the applicant may file an amended application. If the application is denied by the Associate Administrator of Hazardous Materials Safety, the applicant may, within 20 days of receipt of the decision, request reconsideration by the Associate Administrator as set forth in § 107.715. If the reconsideration is denied by the Associate Administrator, the applicant may appeal the Associate Administrator’s decision, within 30 days of the Associate Administrator’s decision, to the Administrator of PHMSA, as specified in § 107.717.
(d) The Associate Administrator may modify, suspend, or terminate an approval submitted under this subpart as set forth in § 107.713.
§ 107.404 Conditions of designation.
(a) Each designation made under this subpart contains the following conditions:
(1) The designated approval or certification agency may use only testing equipment that it has determined, through personal inspection, to be suitable for the purpose.
(2) Each approval certificate and certification issued by the designated approval agency must contain the name and identification code of the approval agency.
(3) Each approval certificate and certification must be in a format acceptable to the Associate Administrator.
(b) The designated approval agency shall notify the Associate Administrator within 20 days after the date there is any change in the information submitted under § 107.402.
(c) The designated approval agency shall comply with all of the terms and conditions stated in its letter of designation under the subpart.
(d) Nothing in this part relieves a manufacturer or owner of a packaging of responsibility for compliance with any of the applicable requirements of this title.
§ 107.405 [Reserved]
Subpart F – Registration of Cargo Tank and Cargo Tank Motor Vehicle Manufacturers, Assemblers, Repairers, Inspectors, Testers, and Design Certifying Engineers
§ 107.501 Scope.
(a) This subpart establishes a registration procedure for persons who are engaged in the manufacture, assembly, inspection and testing, certification, or repair of a cargo tank or a cargo tank motor vehicle manufactured in accordance with a DOT specification under subchapter C of this chapter or under terms of a special permit issued under this part.
(b) Persons engaged in continuing qualification and maintenance of cargo tanks and cargo tank motor vehicles must be familiar with the requirements set forth in part 180, subpart E, of this chapter.
§ 107.502 General registration requirements.
(a) Definitions: For purposes of this subpart –
(1) Assembly means the performance of any of the following functions when the function does not involve welding on the cargo tank wall:
(i) The mounting of one or more tanks or cargo tanks on a motor vehicle or to a motor vehicle suspension component;
(ii) The installation of equipment or components necessary to meet the specification requirements prior to the certification of the cargo tank motor vehicle; or
(iii) The installation of linings, coatings, or other materials to the inside of a cargo tank wall.
(2) The terms Authorized Inspector, Cargo tank, Cargo tank motor vehicle, Design Certifying Engineer, Registered Inspector, and Person are defined in § 171.8 of this chapter.
(3) The terms cargo tank wall and manufacturer are defined in § 178.320(a), and repair is defined in § 180.403 of this chapter.
(b) No person may engage in the manufacture, assembly, certification, inspection or repair of a cargo tank or cargo tank motor vehicle manufactured under the terms of a DOT specification under subchapter C of this chapter or a special permit issued under this part unless the person is registered with the Department in accordance with the provisions of this subpart. A person employed as an inspector or design certifying engineer is considered to be registered if the person’s employer is registered. The requirements of this paragraph (b) do not apply to a person engaged in the repair of a DOT specification cargo tank used in the transportation of hazardous materials in the United States in accordance with § 180.413(a)(1)(iii) of this chapter.
(c) A person who performs functions which are subject to the provisions of this subpart may perform only those functions which have been identified to the Department in accordance with the procedures of this subpart.
(d) Registration statements must be in English, contain all of the information required by this subpart, and be submitted to: FMCSA Hazardous Materials Division – MC-ECH, West Building, MC-ECH, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(e) Upon determination that a registration statement contains all the information required by this subpart, the Department will send the registrant a letter confirming receipt of the registration application and assigning a registration number to that person. A separate registration number will be assigned for each cargo tank manufacturing, assembly, repair facility or other place of business identified by the registrant.
§ 107.503 Registration statement.
(a) Each registration statement must be in English and contain the following information:
(1) Name;
(2) Street address, mailing address and telephone number for each facility or place of business;
(3) A statement indicating whether the facility uses mobile testing/inspection equipment to perform inspections, tests, or repairs at a location other than the address listed in paragraph (a)(2) of this section.
(4) A statement signed by the person responsible for compliance with the applicable requirements of this chapter, certifying knowledge of those requirements and that each employee who is a Registered Inspector or Design Certifying Engineer meets the minimum qualification requirements set forth in § 171.8 of this chapter for “Registered Inspector” or “Design Certifying Engineer”. The following language may be used.
I certify that all Registered Inspectors and Design Certifying Engineers used in performance of the prescribed functions meet the minimum qualification requirements set forth in 49 CFR 171.8, that I am the person responsible for ensuring compliance with the applicable requirements of this chapter, and that I have knowledge of the requirements applicable to the functions to be performed.
(5) A description of the specific functions to be performed on cargo tanks or cargo tank motor vehicles, e.g.:
(i) Manufacture,
(ii) Assembly,
(iii) Inspection and testing (specify type, e.g., external or internal visual inspection, lining inspection, hydrostatic pressure test, leakage test, thickness test),
(iv) Certification,
(v) Repair, or
(vi) Equipment manufacture;
(6) An identification of the types of DOT specification and special permit cargo tanks or cargo tank motor vehicles which the registrant intends to manufacture, assemble, repair, inspect, test or certify;
(7) A statement indicating whether the registrant employs Registered Inspectors or Design Certifying Engineers to conduct certification, inspection or testing functions addressed by this subpart. If the registrant engages a person who is not an employee of the registrant to perform these functions, provide the name, address and registration number of that person; and
(8) If the registrant is not a resident of the United States, the name and address of a permanent resident of the United States designated in accordance with § 105.40 to serve as agent for service of process.
(b) In addition to the information required under paragraph (a) of this section, each person who manufactures a cargo tank or cargo tank motor vehicle must submit a copy of the manufacturer’s current ASME Certificate of Authorization for the use of the ASME “U” stamp.
(c) In addition to the information required under paragraph (a) of this section, each person who repairs a cargo tank or cargo tank motor vehicle must submit a copy of the repair facility’s current National Board Certificate of Authorization for the use of the “R” stamp or ASME Certificate of Authorization for the use of the ASME “U” stamp. Any person who repairs MC-series cargo tanks which are not certified to the ASME Code must submit a copy of the National Board or ASME Certificate of Authorization to PHMSA before June 30, 1992.
§ 107.504 Period of registration, updates, and record retention.
(a) Registration will be for a maximum of six years from the date of the original registration.
(b) Any correspondence with the Department must contain the registrant’s name and registration number.
(c) A registration must be renewed every six years or within thirty days of reissuance of an ASME or National Board Certification, whichever occurs first, by submitting an up-to-date registration statement containing the information prescribed by § 107.503. Any person initially registered under the provisions of § 107.502 and who is in good standing is eligible for renewal.
(d) A registrant shall provide written notification to the Department within thirty days of any of the following occurrences:
(1) Any change in the registration information submitted under § 107.503;
(2) Replacement of the person responsible for compliance with the requirements in § 107.503(a)(4). If this occurs, the registrant shall resubmit the required certification;
(3) Loss of ASME or National Board Certificate of Authorization; or
(4) A change in function; such as, from assembly to manufacture, an addition of a function, or a change to the types of inspections, tests or certifications of cargo tanks or cargo tank motor vehicles.
(e) Each registrant shall maintain a current copy of the registration information submitted to the Department and a current copy of the registration number identification received from the Department at the location identified in § 107.503(a)(2) during such time the person is registered with the Department and for two years thereafter.
(f) The issuance of a registration number under this subpart is not an approval or endorsement by the Department of the qualifications of any person to perform the specified functions.
Subpart G – Registration of Persons Who Offer or Transport Hazardous Materials
§ 107.601 Applicability.
(a) The registration and fee requirements of this subpart apply to any person who offers for transportation, or transports, in foreign, interstate or intrastate commerce –
(1) A highway route-controlled quantity of a Class 7 (radioactive) material, as defined in § 173.403 of this chapter;
(2) More than 25 kg (55 pounds) of a Division 1.1, 1.2, or 1.3 (explosive) material (see § 173.50 of this chapter) in a motor vehicle, rail car or freight container;
(3) More than one L (1.06 quarts) per package of a material extremely toxic by inhalation (i.e., “material poisonous by inhalation,” as defined in § 171.8 of this chapter, that meets the criteria for “hazard zone A,” as specified in § 173.116(a) or § 173.133(a) of this chapter);
(4) A shipment of a quantity of hazardous materials in a bulk packaging (see § 171.8 of this chapter) having a capacity equal to or greater than 13,248 L (3,500 gallons) for liquids or gases or more than 13.24 cubic meters (468 cubic feet) for solids;
(5) A shipment in other than a bulk packaging of 2,268 kg (5,000 pounds) gross weight or more of one class of hazardous materials for which placarding of a vehicle, rail car, or freight container is required for that class, under the provisions of subpart F of part 172 of this chapter; or
(6) Except as provided in paragraph (b) of this section, a quantity of hazardous material that requires placarding, under provisions of subpart F of part 172 of this chapter.
(b) Paragraph (a)(6) of this section does not apply to those activities of a farmer, as defined in § 171.8 of this chapter, that are in direct support of the farmer’s farming operations.
(c) In this subpart, the term “shipment” means the offering or loading of hazardous material at one loading facility using one transport vehicle, or the transport of that transport vehicle.
§ 107.606 Exceptions.
(a) The following are excepted from the requirements of this subpart:
(1) An agency of the Federal government.
(2) A State agency.
(3) An agency of a political subdivision of a State.
(4) An Indian tribe.
(5) An employee of any of those entities in paragraphs (a)(1) through (a)(4) of this section with respect to the employee’s official duties.
(6) A hazmat employee (including, for purposes of this subpart, the owner-operator of a motor vehicle that transports in commerce hazardous materials, if that vehicle at the time of those activities, is leased to a registered motor carrier under a 30-day or longer lease as prescribed in 49 CFR part 376 or an equivalent contractual agreement).
(7) A person domiciled outside the United States, who offers solely from a location outside the United States, hazardous materials for transportation in commerce, provided that the country of which such a person is a domiciliary does not require persons domiciled in the United States, who solely offer hazardous materials for transportation to the foreign country from places in the United States, to file a registration statement or to pay a registration fee.
(b) Upon making a determination that persons domiciled in the United States, who offer hazardous materials for transportation to a foreign country solely from places in the United States, must file registration statements or pay fees to that foreign country, the U.S. Competent Authority will provide notice of such determination directly to the Competent Authority of that foreign country and by publication in the
§ 107.608 General registration requirements.
(a) Each person subject to this subpart must submit a complete and accurate registration statement on DOT Form F 5800.2 not later than June 30 for each registration year, or in time to comply with paragraph (b) of this section, whichever is later. Each registration year begins on July 1 and ends on June 30 of the following year.
(b) No person required to file a registration statement may transport a hazardous material or cause a hazardous material to be transported or shipped, unless such person has on file, in accordance with § 107.620, a current Certificate of Registration in accordance with the requirements of this subpart.
(c) A registrant whose name or principal place of business has changed during the year of registration must notify PHMSA of that change by submitting an amended registration statement not later than 30 days after the change.
(d) Copies of DOT Form F 5800.2 and instructions for its completion may be obtained from the Outreach, Training and Grants Division, PHH-50, U.S. Department of Transportation, Washington, DC 20590-0001, by calling 202-366-4109, or via the Internet at http://phmsa.dot.gov/hazmat/registration.
(e) If the registrant is not a resident of the United States, the registrant must attach to the registration statement the name and address of a permanent resident of the United States, designated in accordance with § 105.40, to serve as agent for service of process.
§ 107.612 Amount of fee.
(a) For purposes of determining the applicable annual registration fee specified in paragraph (b) of this section, the following classification applies to each person required to register and pay a registration fee:
(1) Small business. A person that qualifies as a small business, under criteria specified in 13 CFR part 121 applicable to the North American Industry Classification System (NAICS) code that describes that person’s primary commercial activity.
(2) Not-for-profit organization. An organization exempt from taxation under 26 U.S.C. 501(a).
(3) Other than a small business or not-for-profit organization. Each person that does not meet the criteria specified in paragraph (a)(1) or (a)(2) of this section.
(b) Each person subject to the requirements of this subpart must pay the processing fee specified in paragraph (c) of this section and the annual registration fee set forth in the following table:
| Registration year | Small business | Not-for-profit organization | Other than small business or not-for-profit organization |
|---|---|---|---|
| 2014-2015 and later | $250 | $250 | $2,575 |
| 2013-2014 | 125 | 125 | 1,300 |
| 2012-2013, 2011-2012, 2010-2011 | 250 | 250 | 2,575 |
| 2009-2010, 2008-2009, 2007-2008, 2006-2007 | 250 | 250 | 975 |
| 2005-2006, 2004-2005, 2003-2004 | 125 | 125 | 275 |
| 2002-2003, 2001-2002, 2000-2001 | 275 | ( 1) | 1,975 |
| 1999-2000 and earlier | 250 | 250 | 250 |
1 Fee appropriate for small or other than small business.
(c) Each person submitting a registration statement must pay the following processing fee in addition to the registration fees specified in paragraph (b) of this section:
(1) For registration years 2000-2001 and later, the processing fee is $25 for each registration statement filed. A single statement may be filed for one, two, or three registration years as provided in § 107.616(c).
(2) For registration years 1999-2000 and earlier, the processing fee is $50 for each registration statement filed. A separate statement must be filed for each registration year.
§ 107.616 Payment procedures.
(a) Each person subject to the requirements of this subpart must mail the registration statement and payment in full to the U.S. Department of Transportation – Hazardous Materials, P.O. Box 6200-01, Portland, OR 97228-6200, or submit the statement and payment electronically through the Department’s e-Commerce internet site. Access to this service is provided at https://www.phmsa.dot.gov/hazmat/registration. A registrant required to file an amended registration statement under § 107.608(c) of this subpart must mail it to the same address or submit it through the same internet site.
(b) Payment must be made by certified check, cashier’s check, personal check, or money order in U.S. funds and drawn on a U.S. bank, payable to the U.S. Department of Transportation and identified as payment for the “Hazmat Registration Fee,” or by completing an authorization for payment by credit card or other electronic means of payment acceptable to the Department on the registration statement or as part of an Internet registration as provided in paragraph (a) of this section.
(c) Payment must correspond to the total fees properly calculated in the “Amount Due” block of the DOT form F 5800.2. A person may elect to register and pay the required fees for up to three registration years by filing one complete and accurate registration statement.
§ 107.620 Recordkeeping requirements.
(a) Each person subject to the requirements of this subpart, or its agent designated under § 107.608(e), must maintain at its principal place of business for a period of three years from the date of issuance of each Certificate of Registration:
(1) A copy of the registration statement filed with PHMSA; and
(2) The Certificate of Registration issued to the registrant by PHMSA.
(b) After January 1, 1993, each motor carrier subject to the requirements of this subpart must carry a copy of its current Certificate of Registration issued by PHMSA or another document bearing the registration number identified as the “U.S. DOT Hazmat Reg. No.” on board each truck and truck tractor (not including trailers and semi-trailers) used to transport hazardous materials subject to the requirements of this subpart. The Certificate of Registration or document bearing the registration number must be made available, upon request, to enforcement personnel.
(c) In addition to the requirements of paragraph (a) of this section, after January 1, 1995, each person who transports by vessel a hazardous material subject to the requirements of this subpart must carry on board the vessel a copy of its current Certificate of Registration or another document bearing the current registration number identified as the “U.S. DOT Hazmat Reg. No.”
(d) Each person subject to this subpart must furnish its Certificate of Registration (or a copy thereof) and all other records and information pertaining to the information contained in the registration statement to an authorized representative or special agent of DOT upon request.
Subpart H – Approvals, Registrations and Submissions
§ 107.701 Purpose and scope.
(a) This subpart prescribes procedures for the issuance, modification and termination of approvals, and the submission of registrations and reports, as required by this chapter.
(b) The procedures of this subpart are in addition to any requirements in subchapter C of this chapter applicable to a specific approval, registration or report. If compliance with both a specific requirement of subchapter C of this chapter and a procedure of this subpart is not possible, the specific requirement applies.
(c) Registration under subpart F or G of this part is not subject to the procedures of this subpart.
§ 107.705 Registrations, reports, and applications for approval.
(a) A person filing a registration, report, or application for an approval, or a renewal or modification of an approval subject to the provisions of this subpart must –
(1) File the registration, report, or application with the Associate Administrator for Hazardous Materials Safety (Attention: Approvals, PHH-32), Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001. Alternatively, the document with any attached supporting documentation in an appropriate format may be filed by facsimile (fax) to: (202) 366-3753 or (202) 366-3308 or by electronic mail (e-mail) to: [email protected].
(2) Identify the section of the chapter under which the registration, report, or application is made;
(3) If a report is required by an approval, a registration or a special permit, identify the approval, registration or special permit number;
(4) Provide the name, street and mailing addresses, e-mail address optional, and telephone number of the person on whose behalf the registration, report, or application is made and, if different, the person making the filing;
(5) If the person on whose behalf the filing is made is not a resident of the United States, provide a designation of agent for service in accordance with § 105.40;
(6) Provide a description of the activity for which the registration or report is required; and
(7) Provide additional information as requested by the Associate Administrator, if the Associate Administrator determines that a filing lacks pertinent information or otherwise does not comply with applicable requirements.
(b) Description of approval proposal. In addition to the provisions in paragraph (a) for an approval, an application for an approval, or an application for modification or renewal of an approval, the applicant must include the following information that is relevant to the approval application –
(1) A description of the activity for which the approval is required;
(2) The proposed duration of the approval;
(3) The transport mode or modes affected, as applicable;
(4) Any additional information specified in the section containing the approval; and
(5) For an approval which provides exceptions from regulatory requirements or prohibitions –
(i) Identification of any increased risk to safety or property that may result if the approval is granted, and specification of the measures that the applicant considers necessary or appropriate to address that risk; and
(ii) Substantiation, with applicable analyses or evaluations, if appropriate, demonstrating that the proposed activity will achieve a level of safety that is at least equal to that required by the regulation.
(c) For an approval with an expiration date, each application for renewal or modification must be filed in the same manner as an original application. If, at least 60 days before an existing approval expires the holder files an application for renewal that is complete and conforms to the requirements of this section, the approval will not expire until final administrative action on the application for renewal has been taken. Operation under an expired approval not filed within 60 days of the expiration date is prohibited. This paragraph does not limit the authority of the Associate Administrator to modify, suspend or terminate an approval under § 107.713.
(d) To request confidential treatment for information contained in the application, the applicant shall comply with § 105.30(a).
§ 107.709 Processing of an application for approval, including an application for renewal or modification.
(a) No public hearing or other formal proceeding is required under this subpart before the disposition of an application.
(b) The Associate Administrator will review an application for an approval, modification of an approval, or renewal of an approval in conformance with the standard operating procedures specified in appendix A of this part (“Standard Operating Procedures for Special Permits and Approvals”). At any time during the processing of an application, the Associate Administrator may request additional information from the applicant. If the applicant does not respond to a written request for additional information within 30 days of the date the request was received, the Associate Administrator may deem the application incomplete and deny it. The Associate Administrator may grant a 30-day extension to respond to the written request for additional information if the applicant makes such a request in writing.
(c) The Associate Administrator may grant or deny an application, in whole or in part. At the Associate Administrator’s discretion, an application may be granted subject to provisions that are appropriate to protect health, safety and property. The Associate Administrator may impose additional provisions not specified in the application, or delete conditions in the application which are unnecessary.
(d) The Associate Administrator may grant an application on finding that –
(1) The application complies with this subpart;
(2) The application demonstrates that the proposed activity will achieve a level of safety that –
(i) Is at least equal to that required by the regulation, or
(ii) If the regulations do not establish a level of safety, is consistent with the public interest and adequately will protect against the risks to life and property inherent in the transportation of hazardous materials in commerce;
(3) The application states all material facts, and contains no materially false or materially misleading statement;
(4) The applicant meets the qualifications required by applicable regulations; and
(5) The applicant is fit to conduct the activity authorized by the approval, or renewal or modification of approval. This assessment may be based on information in the application, prior compliance history of the applicant, and other information available to the Associate Administrator.
(e) Unless otherwise specified in this chapter or by the Associate Administrator, an approval in which a term is not specified does not expire.
(f) The Associate Administrator notifies the applicant in writing of the decision on the application. A denial contains a brief statement of reasons.
§ 107.711 Withdrawal.
An application may be withdrawn at any time before a decision to grant or deny it is made. Withdrawal of an application does not authorize the removal of any related records from the PHMSA dockets or files. Applications that are eligible for confidential treatment under § 105.30 will remain confidential after the application is withdrawn. The duration of this confidential treatment for trade secrets and commercial or financial information is indefinite, unless the party requesting the confidential treatment of the materials notifies the Associate Administrator that the confidential treatment is no longer required.
§ 107.713 Approval modification, suspension or termination.
(a) The Associate Administrator may modify an approval on finding that –
(1) Modification is necessary to conform an existing approval to relevant statutes and regulations as they may be amended from time to time; or
(2) Modification is required by changed circumstances to enable the approval to continue to meet the standards of § 107.709(d).
(b) The Associate Administrator may modify, suspend or terminate an approval, as appropriate, on finding that –
(1) Because of a change in circumstances, the approval no longer is needed or no longer would be granted if applied for;
(2) The application contained inaccurate or incomplete information, and the approval would not have been granted had the application been accurate and complete;
(3) The application contained deliberately inaccurate or incomplete information; or
(4) The holder knowingly has violated the terms of the approval or an applicable requirement of this chapter in a manner demonstrating lack of fitness to conduct the activity for which the approval is required.
(c) Except as provided in paragraph (d) of this section, before an approval is modified, suspended or terminated, the Associate Administrator notifies the holder in writing of the proposed action and the reasons for it, and provides an opportunity to show cause why the proposed action should not be taken.
(1) The holder may file a written response with the Associate Administrator within 30 days of receipt of notice of the proposed action.
(2) After considering the holder’s or party’s written response, or after 30 days have passed without response since receipt of the notice, the Associate Administrator notifies the holder in writing of the final decision with a brief statement of reasons.
(d) The Associate Administrator, if necessary to avoid a risk of significant harm to persons or property, may in the notification declare the proposed action immediately effective.
§ 107.715 Reconsideration.
(a) An applicant or a holder may request that the Associate Administrator reconsider a decision under § 107.709(f) or § 107.713(c). The request must:
(1) Be in writing and filed within 20 days of receipt of the decision;
(2) State in detail any alleged errors of fact and law;
(3) Enclose any additional information needed to support the request to reconsider; and
(4) State in detail the modification of the final decision sought.
(b) The Associate Administrator considers newly submitted information on a showing that the information could not reasonably have been submitted during application processing.
(c) The Associate Administrator grants or denies, in whole or in part, the relief requested and informs the requesting person in writing of the decision.
§ 107.717 Appeal.
(a) A person who requested reconsideration under § 107.715 may appeal to the Administrator the Associate Administrator’s decision on the request. The appeal must:
(1) Be in writing and filed within 30 days of receipt of the Associate Administrator’s decision on reconsideration;
(2) State in detail any alleged errors of fact and law;
(3) Enclose any additional information needed to support the appeal; and
(4) State in detail the modification of the final decision sought.
(b) The Administrator, if necessary to avoid a risk of significant harm to persons or property, may declare the Associate Administrator’s action effective pending a decision on appeal.
(c) The Administrator grants or denies, in whole or in part, the relief requested and informs the appellant in writing of the decision on appeal. The Administrator’s decision on appeal is the final administrative action.
Subpart I – Approval of Independent Inspection Agencies, Cylinder Requalifiers, and Non-domestic Chemical Analyses and Tests of DOT Specification Cylinders
§ 107.801 Purpose and scope.
(a) This subpart prescribes procedures for –
(1) A person who seeks approval to be an independent inspection agency to perform tests, inspections, verifications and certifications of DOT specification cylinders or UN pressure receptacles as required by parts 178 and 180 of this chapter;
(2) A person who seeks approval to engage in the requalification (e.g. inspection, testing, or certification), rebuilding, or repair of a cylinder manufactured in accordance with a DOT specification or a pressure receptacle in accordance with a UN standard under subchapter C of this chapter or under the terms of a special permit issued under this part, or a cylinder or tube manufactured in accordance with a TC, CTC, CRC, or BTC specification under the Transport Canada TDG Regulations (IBR; see § 171.7 of this chapter);
(3) A person who seeks approval to perform the manufacturing chemical analyses and tests of DOT specification cylinders, special permit cylinders, or UN pressure receptacles outside the United States.
(b) No person may engage in a function identified in paragraph (a) of this section unless approved by the Associate Administrator in accordance with the provisions of this subpart. Each person must comply with the applicable requirements in this subpart. In addition, the procedural requirements in subpart H of this part apply to the filing, processing, and termination of an approval issued under this subpart.
§ 107.803 Approval of an independent inspection agency (IIA).
(a) General. Prior to performing cylinder inspections and verifications required by parts 178 and 180 of this chapter, a person must apply to the Associate Administrator for an approval as an independent inspection agency. A person approved as an independent inspection agency is not an PHMSA agent or representative.
(b) Criteria. No applicant for approval as an independent inspection agency may be engaged in the manufacture of cylinders for use in the transportation of hazardous materials, or be directly or indirectly controlled by, or have a financial involvement with, any entity that manufactures cylinders for use in the transportation of hazardous materials, except for providing services as an independent inspector.
(c) Application information. Each applicant must submit an application in conformance with § 107.705 containing the information prescribed in § 107.705(a). In addition, the application must contain the following information:
(1) Name and address of each facility where tests and inspections are to be performed.
(2) Detailed description of the inspection and testing facilities to be used by the applicant.
(3) Detailed description of the applicant’s qualifications and ability to perform the inspections and to verify the inspections required by parts 178 and 180 of this chapter; or those required under the terms of a special permit issued under this part.
(4) Name, address, and principal business activity of each person having any direct or indirect ownership interest in the applicant greater than three percent and any direct or indirect ownership interest in each subsidiary or division of the applicant.
(5) Name of each individual whom the applicant proposes to employ as an inspector and who will be responsible for certifying inspection and test results, and a statement of that person’s qualifications.
(6) An identification or qualification number assigned to each inspector who is supervised by a certifying inspector identified in paragraph (c)(5) of this section.
(7) A statement that the applicant will perform its functions independent of the manufacturers and owners of the cylinders.
(8) If the applicant’s principal place of business is in a country other than the United States, the Associate Administrator may approve the applicant on the basis of an approval issued by the Competent Authority of the country of manufacture. The Competent Authority must maintain a current listing of approved IIAs and their identification marks. The applicant must provide a copy of the designation from the Competent Authority of that country delegating to the applicant an approval or designated agency authority for the type of packaging for which a DOT or UN designation is sought; and
(9) The signature of the person certifying the approval application and the date on which it was signed.
(d) Facility inspection. Upon the request of the Associate Administrator, the applicant must allow the Associate Administrator or the Associate Administrator’s designee to inspect the applicant’s facilities and records. The person seeking approval must bear the cost of the inspection.
(e) After approval, the Associate Administrator may authorize, upon request, the independent inspection agency to perform other inspections and functions for which the Associate Administrator finds the applicant to be qualified. Such additional authorizations will be noted on each inspection agency’s approval documents.
§ 107.805 Approval of cylinder and pressure receptacle requalifiers.
(a) General. A person must meet the requirements of this section to be approved to inspect, test, certify, repair, or rebuild a cylinder in accordance with a DOT specification or a UN pressure receptacle under subpart C of part 178 or subpart C of part 180 of this chapter, or under the terms of a special permit issued under this part, or a TC, CTC, CRC, or BTC specification cylinder or tube manufactured in accordance with the TDG Regulations (IBR, see § 171.7 of this chapter).
(b) Independent Inspection Agency Review. Each applicant must arrange for an independent inspection agency, approved by the Associate Administrator pursuant to this subpart, to perform a review of its inspection or requalification operation. The person seeking approval must bear the cost of the inspection. A list of approved independent inspection agencies is available from the Associate Administrator at the address listed in § 107.705. Assistance in obtaining an approval is available from the same address.
(c) Application for approval. If the inspection performed by an independent inspection agency is completed with satisfactory results, the applicant must submit a letter of recommendation from the independent inspection agency, an inspection report, and an application containing the information prescribed in § 107.705(a). In addition, the application must contain –
(1) The name of the facility manager;
(2) The types of DOT specification or special permit cylinders, UN pressure receptacles, or TC, CTC, CRC, or BTC specification cylinders or tubes that will be inspected, tested, repaired, or rebuilt at the facility;
(3) A certification that the facility will operate in compliance with the applicable requirements of subchapter C of this chapter;
(4) The signature of the person making the certification and the date on which it was signed; and
(5) For a mobile unit operation (as defined in § 180.203 of subchapter C of this chapter), the type of equipment to be used, the specific vehicles to be used, the geographic area the applicant is requesting to operate within, and any differences between the mobile operation and the facility operation as described under paragraph (c)(2) of this section.
(d) Issuance of requalifier identification number (RIN). The Associate Administrator issues a RIN as evidence of approval to requalify DOT specification or special permit cylinders, or TC, CTC, CRC, or BTC specification cylinders or tubes, or UN pressure receptacles if it is determined, based on the applicant’s submission and other available information, that the applicant’s qualifications and, when applicable, facility are adequate to perform the requested functions in accordance with the criteria prescribed in subpart C of part 180 of this subchapter or TDG Regulations, as applicable.
(e) Expiration of RIN. Unless otherwise provided in the issuance letter, an approval expires five years from the date of issuance, provided the applicant’s facility and qualifications are maintained at or above the level observed at the time of inspection by the independent inspection agency, or at the date of the certification in the application for approval for requalifiers only performing inspections made under § 180.209(g) of this chapter.
(f) Exceptions. The requirements in paragraphs (b) and (c) of this section do not apply to:
(1) A person who only performs inspections in accordance with § 180.209(g) of this chapter provided the application contains the following, in addition to the information prescribed in § 107.705(a): Identifies the DOT specification/special permit cylinders to be inspected; certifies the requalifier will operate in compliance with the applicable requirements of subchapter C of this chapter; certifies the persons performing inspections have been trained and have the information contained in each applicable CGA publication incorporated by reference in § 171.7 of this chapter applicable to the requalifiers’ activities; and includes the signature of the person making the certification and the date on which it was signed. Each person must comply with the applicable requirements in this subpart. In addition, the procedural requirements in subpart H of this part apply to the filing, processing and termination of an approval issued under this subpart; or
(2) A person holding a DOT-issued RIN to perform the requalification (inspect, test, certify), repair, or rebuild of DOT specification cylinders, that wishes to perform any of these actions on corresponding TC, CTC, CRC, or BTC cylinders or tubes may submit an application that, in addition to the information prescribed in § 107.705(a): Identifies the TC, CTC, CRC, or BTC specification cylinder(s) or tube(s) to be inspected; certifies the requalifier will operate in compliance with the applicable TDG Regulations; certifies the persons performing requalification have been trained in the functions applicable to the requalifiers’ activities; and includes the signature of the person making the certification and the date on which it was signed. In addition, the procedural requirements in subpart H of this part apply to the filing, processing and termination of an approval issued under this subpart.
(3) A person holding a certificate of registration issued by Transport Canada in accordance with the TDG Regulations to perform the requalification (inspect, test, certify), repair, or rebuild of a TC, CTC, CRC, or BTC cylinder who performs any of these actions on corresponding DOT specification cylinders.
(g) Each holder of a current RIN shall report in writing any change in its name, address, ownership, testing equipment, or management or personnel performing any function under this section, to the Associate Administrator (PHH-32) within 20 days of the change.
§ 107.807 Approval of non-domestic chemical analyses and tests.
(a) General. A person who seeks to manufacture DOT specification or special permit cylinders outside the United States must seek an approval from the Associate Administrator to perform the chemical analyses and tests of those cylinders outside the United States.
(b) Application for approval. Each applicant must submit an application containing the information prescribed in § 107.705(a). In addition, the application must contain –
(1) The name, address, and a description of each facility at which cylinders are to be manufactured and chemical analyses and tests are to be performed;
(2) Complete details concerning the dimensions, materials of construction, wall thickness, water capacity, shape, type of joints, location and size of openings and other pertinent physical characteristics of each specification or special permit cylinder for which approval is being requested, including calculations for cylinder wall stress and wall thickness, which may be shown on a drawing or on separate sheets attached to a descriptive drawing;
(3) The name of the independent inspection agency to be used to certify the analyses and tests and a statement from the agency indicating that it is independent of and not owned by a cylinder manufacturer, owner, or distributor; and
(4) The signature of the person making the certification and the date on which it was signed.
(c) Facility inspections. Upon the request of the Associate Administrator, the applicant must allow the Associate Administrator or the Associate Administrator’s designee to inspect the applicant’s cylinder manufacturing and testing facilities and records, and must provide such materials and cylinders for analyses and tests as the Associate Administrator may specify. The applicant or holder must bear the cost of the initial and subsequent inspections, analyses, and tests.
§ 107.809 Conditions of UN pressure receptacle approvals.
(a) Each approval issued under this subpart contains the following conditions:
(1) Upon the request of the Associate Administrator, the applicant or holder must allow the Associate Administrator or the Associate Administrator’s designee to inspect the applicant’s pressure receptacle manufacturing and testing facilities and records, and must provide such materials and pressure receptacles for analyses and tests as the Associate Administrator may specify. The applicant or holder must bear the cost of the initial and subsequent inspections, analyses, and tests.
(2) Each holder must comply with all of the terms and conditions stated in the approval letter issued under this subpart.
(b) In addition to the conditions specified in § 107.713, an approval may be denied or if issued, suspended or terminated if the Competent Authority of the country of manufacture fails to initiate, maintain or recognize an IIA approved under this subpart; fails to recognize UN standard packagings manufactured in accordance with this subchapter; or implements a condition or limitation on United States citizens or organizations that is not required of its own citizenry.
Appendix A to Part 107 – Standard Operating Procedures for Special Permits and Approvals
This appendix sets forth the standard operating procedures (SOPs) for processing an application for a special permit or an approval in conformance with 49 CFR parts 107 and 171 through 180. It is to be used by PHMSA for the internal management of its special permit and approval programs.
The words “special permit” and “approval” are defined in § 107.1. PHMSA receives applications for: (1) Designation as an approval or certification agency, (2) a new special permit or approval, renewal or modification of an existing special permit or an existing approval, (3) granting of party status to an existing special permit, and (4) in conformance with § 107.117, emergency processing for a special permit. Depending on the type of application, the SOP review process includes several phases, such as Completeness, Publication, Evaluation, and Disposition.
Special Permit and Approval Evaluation Review Process
| Special permit | Non-classification approval | Classification approval | Registration approval | |
|---|---|---|---|---|
| 1. Completeness | X | X | X | X |
| 2. Publication | X | |||
| 3. Evaluation | ||||
| a. Technical | X | X | X | |
| b. Safety Profile | X | X | X | |
| 4. Disposition | ||||
| a. Approval | X | X | X | X |
| b. Denial | X | X | X | X |
| c. Reconsideration/Appeal | X | X | X | X |
An approval for assessing an applicant’s ability to perform a function that does not involve classifying a hazardous material is described as a non-classification approval and certifies that: An approval holder is qualified to requalify, repair, rebuild, and/or manufacture cylinders stipulated in the HMR; an agency is qualified to perform inspections and other functions outlined in an approval and the HMR; an approval holder is providing an equivalent level of safety or safety that is consistent with the public interest in the transportation of hazardous materials outlined in the approval; and a radioactive package design or material classification fully complies with applicable domestic or international regulations. An approval for assessing the hazard class of a material is described as a classification approval and certifies that explosives, fireworks, chemical oxygen generators, self-reactive materials, and organic peroxides have been classed for manufacturing and/or transportation based on requirements stipulated in the HMR. Registration approvals include the issuance of a unique identification number used solely as an identifier or in conjunction with approval holder’s name and address, or the issuance of a registration number that is evidence the approval holder is qualified to perform an HMR-authorized function, such as visually requalifying cylinders. This appendix does not include registrations issued under 49 CFR part 107, subpart G.
1. Completeness. PHMSA reviews all special permit and approval applications to determine if they contain all the information required under § 107.105 (for a special permit), § 107.117 (for emergency processing) or § 107.402 (for designation as a certification agency) or § 107.705 (for an approval). If PHMSA determines an application does not contain all the information needed to evaluate the safety of the actions requested in the application, the Associate Administrator may reject the application. If the application is rejected, PHMSA will notify the applicant of the deficiencies in writing. An applicant may resubmit a rejected application as a new application, provided the newly submitted application contains the information PHMSA needs to make a determination.
Emergency special permit applications must comply with all the requirements prescribed in § 107.105 for a special permit application, and contain sufficient information to determine that the applicant’s request for emergency processing is justified under the conditions prescribed in § 107.117.
2. Publication. When PHMSA determines an application for a new special permit or a request to modify an existing special permit is complete and sufficient, PHMSA publishes a summary of the application in the
3. Evaluation. The evaluation phase consists of two assessments, which may be done concurrently, a technical evaluation and a safety profile evaluation. When applicable, PHMSA consults and coordinates its evaluation of applications with the following Operating Administrations (OAs) that share enforcement authority under Federal hazardous material transportation law: Federal Aviation Administration, Federal Motor Carrier Safety Administration, Federal Railroad Administration, and United States Coast Guard. PHMSA also consults other agencies with hazardous material subject-matter expertise, such as the Nuclear Regulatory Commission and the Department of Energy.
(a) Technical evaluation. A technical evaluation considers whether the proposed special permit or approval will achieve a level of safety at least equal to that required under the HMR or, if a required safety level does not exist, considers whether the proposed special permit is consistent with the public interest in that it will adequately protect against the risks to life and property inherent in the transportation of hazardous material. For a classification approval, the technical evaluation is a determination that the application meets the requirements of the regulations for issuance of the approval. If formal coordination with another OA is included as part of the evaluation phase, that OA is responsible for managing this process within the applicable OA. The OA reviews the application materials and PHMSA’s technical evaluation, and may provide their own evaluation, comments and recommendations. The OA may also recommend operational controls or limitations to be incorporated into the special permit or approval to improve its safety.
(b) Safety profile evaluation. Each applicant for a special permit or non-classification approval is subject to a safety profile evaluation to assess if the applicant is fit to conduct the activity authorized by the special permit or approval application. PHMSA will coordinate the safety profile evaluations with the appropriate OA if a proposed activity is specific to a particular mode of transportation, if the proposed activity will set new precedent or have a significant economic impact, or if an OA requests participation. PHMSA does not conduct initial safety profile reviews as part of processing classification approvals, which include fireworks, explosives, organic peroxides, and self-reactive materials. Additionally, cylinder approvals and certification agency approvals do not follow the same minimum safety profile review model.
(i) Automated Review. An applicant for a special permit or approval which requires a safety profile evaluation, but does not include coordination with an OA, is subject to an automated safety profile review. If the applicant passes the initial automated review, the applicant is determined to be fit. If the applicant fails the initial automated review, the applicant is subject to a safety profile evaluation. An applicant that fails a safety profile evaluation may be determined to be unfit. To begin this review, PHMSA or the applicant enters the applicant’s information into the web-based Hazardous Materials Information System (HMIS) or Hazmat Intelligence Portal (HIP), or other future application processing technology that provide an integrated information source to identify hazardous material safety trends through the analysis of incident and accident information, and provide access to comprehensive information on hazardous materials incidents, special permits and approvals, enforcement actions, and other elements that support PHMSA’s regulatory program. PHMSA then screens the applicant to determine if, within the four years prior to submitting its application, the applicant was involved in any incident attributable to the applicant or package where two or more triggers for a safety profile review or five or more triggers for on-site inspection enforcement case referral events occurred.
(1) The trigger events are listed in the following table:
| Trigger for safety profile review | Trigger for on-site inspection * |
|---|---|
| (1) Any incident that involved a death or injury; | (1) Evidence that an applicant is at risk of being unable to comply with the terms of an application, including those listed below. |
| (2) Two or more incidents involving a § 172.504(e) (placarding) Table 1 hazardous material; | (2) An on-site inspection at the recommendation of the fitness coordinator if the following criteria applies – Any incident listed under automated review in paragraph 3(b)(i) of this appendix is attributable to the applicant or package, other than driver error. |
| (3) Three or more incidents involving a bulk packaging, or an applicant that is acting as an interstate carrier of hazardous materials under the terms of the special permit or an approval; or | (3) If, during an inspection, evidence is found in the four years prior to submitting its application that an applicant has not implemented sufficient corrective actions for prior violations, or is at risk of being unable to comply with the terms of an application for a special permit or approval, an existing special permit or approval, or the HMR, then PHMSA will determine that the applicant is unfit to conduct the activities requested in an application or authorized special permit or approval. |
| (4) Any incident that involved: Incorrect package selection; leaking packages; not following closure instructions; failure to test packages, if applicable; and failure to secure packages, including incorrect blocking and/or bracing. | (4) Incorrect or missing: (a) Markings, (b) labels, (c) placards, or (d) shipping papers. |
* The Fitness Coordinator assesses and applies these triggers.
(2) If an applicant is acting as an interstate carrier of hazardous materials under the terms of the special permit, they will be screened in an automated manner based upon criteria established by FMCSA, such as that contained in its Safety and Fitness Electronic Records (SAFER) system, which consists of interstate carrier data, several states’ intrastate data, interstate vehicle registration data, and may include operational data such as inspections and crashes.
(ii) Safety profile evaluation. A fitness coordinator, as defined in § 107.1, conducts a safety profile evaluation of all applicants meeting any of the criteria listed earlier in this appendix under “automated review,” and all applicants whose safety profile evaluations are subject to coordination with an OA, as described in introductory paragraph 3(b) of this appendix. In a safety profile evaluation, PHMSA or the OA performs an in-depth evaluation of the applicant based upon items the automated review triggered concerning the applicant’s four-year performance and compliance history prior to the submission of the application. Information considered during this review may include the applicant’s history of prior violations, insufficient corrective actions, or evidence that the applicant is at risk of being unable to comply with the terms of an application for an existing special permit, approval, or the HMR. PHMSA performs the review or coordinates with the OAs, if necessary, if two or more modes of transportation are requested in the application, and coordinates this review with the OA(s) of the applicable mode(s). The applicable OA performs the review if one mode of transportation is requested in the application. If necessary, the fitness coordinator will attempt to contact the applicant for clarifying information. If the information provided is sufficient, an on-site inspection may not be necessary. After conducting an evaluation, if the fitness coordinator determines that the applicant may be unfit to conduct the activities requested in the application, the coordinator will forward the request and supporting documentation to PHMSA’s Field Operations Division, or a representative of the Department, such as an authorized Operating Administration representative, to perform an on-site inspection. After the safety profile evaluation is completed, if the applicant is not selected for an on-site inspection, the applicant is determined to be fit. On-site inspections are not required for fitness determinations from modal administrations according to their own procedures.
(iii) On-Site Inspection. (A) The factors in paragraph 3(b)(i) and 3(b)(ii) are used as evidence that an applicant is at risk of being unable to comply with the terms of an application, including those listed below. PHMSA’s Field Operations Division or representative of the Department, such as an Operating Administration representative, will conduct an on-site inspection at the recommendation of the fitness coordinator if one of the following criteria applies:
(1) Any incident listed under automated review in paragraph 3(b)(i) of this appendix is attributable to the applicant or package, other than driver error;
(2) Insufficient Corrective Actions, as defined in § 107.1, in any enforcement case for a period of four years prior to submitting the application, except when re-inspected with no violations noted; or
(3) Items noted by an IIA on a cylinder requalifier inspection report, except when re-inspected with no violations noted.
(B) If, during an inspection, the PHMSA investigator or a representative of the Department finds evidence in the four years prior to submitting its application that an applicant has not implemented sufficient corrective actions for prior violations, or is at risk of being unable to comply with the terms of an application for a special permit or approval, an existing special permit or approval, or the HMR, then PHMSA will determine that the applicant is unfit to conduct the activities requested in an application or authorized special permit or approval.
4. Disposition. (a) Special Permit. If an application for a special permit is issued, PHMSA provides the applicant, in writing, with a special permit and an authorization letter if party status is authorized.
(b) Approval. If an application for approval is issued, PHMSA provides the applicant, in writing, with an approval, which may come in various forms, including:
(1) An “EX” approval number for classifying an explosive (including fireworks; see §§ 173.56, 173.124, 173.128, and 173.168(a));
(2) A “RIN” (requalification identification number) to uniquely identify a cylinder requalification, repair, or rebuilding facility (see § 180.203);
(3) A “VIN” (visual identification number) to uniquely identify a facility that performs an internal or external visual inspection, or both, of a cylinder in conformance with 49 CFR part 180, subpart C, or applicable CGA Pamphlet or HMR provision;
(4) An “M” number for identifying packaging manufacturers (see § 178.3); or
(5) A “CA” (competent authority) for general approvals (see §§ 107.705, 173.185, and 173.230).
(c) Denial. An application for a special permit or approval may be denied in whole or in part. For example, if an application contains sufficient information to successfully complete its technical review but the Associate Administrator determines the applicant is unfit, the application will be denied. If an application for a special permit or an approval is denied, PHMSA provides the applicant with a brief statement, in writing, of the reasons for denial and the opportunity to request reconsideration (see §§ 107.113(g), 107.402, and 107.709(f)).
(d) Reconsideration and Appeal. (1) Special Permit. If an application for a special permit is denied, the applicant may request reconsideration as provided in § 107.123 and, if the reconsideration is denied, may appeal as provided in § 107.125. Applicants submitting special permit reconsiderations and appeals must do so in the same manner as new applications, provided the new submission is sufficiently complete to make a determination.
(2) Approval. If an application for an approval is denied, the applicant may request reconsideration as provided in § 107.715 and, if the reconsideration is denied, may appeal as provided in § 107.717. Applicants submitting approval reconsiderations and appeals must do so in the same manner as new applications, provided the new submission is sufficiently complete to make a determination.
PART 109 – DEPARTMENT OF TRANSPORTATION HAZARDOUS MATERIAL PROCEDURAL REGULATIONS
Subpart A – Definitions
§ 109.1 Definitions.
For purposes of this part, all terms defined in 49 U.S.C. 5102 are used in their statutory meaning. Other terms used in this part are defined as follows:
Administrator means the head of any operating administration within the Department of Transportation, and includes the Administrators of the Federal Aviation Administration, Federal Motor Carrier Safety Administration, Federal Railroad Administration, and Pipeline and Hazardous Materials Safety Administration, to whom the Secretary has delegated authority in part 1 of this title, and any person within an operating administration to whom an Administrator has delegated authority to carry out this part.
Agent of the Secretary or agent means a Federal officer, employee, or agent authorized by the Secretary to conduct inspections or investigations under the Federal hazardous material transportation law.
Chief Safety Officer or CSO means the Assistant Administrator of the Pipeline and Hazardous Materials Safety Administration.
Emergency order means an emergency restriction, prohibition, recall, or out-of-service order set forth in writing.
Freight container means a package configured as a reusable container that has a volume of 64 cubic feet or more, designed and constructed to permit being lifted with its contents intact and intended primarily for containment of smaller packages (in unit form) during transportation.
Immediately adjacent means a packaging that is in direct contact with the hazardous material or is otherwise the primary means of containment of the hazardous material.
Imminent hazard means the existence of a condition relating to hazardous material that presents a substantial likelihood that death, serious illness, severe personal injury, or a substantial endangerment to health, property, or the environment may occur before the reasonably foreseeable completion date of a formal proceeding begun to lessen the risk of that death, illness, injury, or endangerment.
In writing means unless otherwise specified, the written expression of any actions related to this part, rendered in paper or digital format, and delivered in person; via facsimile, commercial delivery, U.S. Mail; or electronically.
Objectively reasonable and articulable belief means a belief based on particularized and identifiable facts that provide an objective basis to believe or suspect that a package may contain a hazardous material.
Out-of-service order means a written requirement issued by the Secretary, or a designee, that an aircraft, vessel, motor vehicle, train, railcar, locomotive, other vehicle, transport unit, transport vehicle, freight container, portable tank, or other package not be moved or cease operations until specified conditions have been met.
Packaging means a receptacle and any other components or materials necessary for the receptacle to perform its containment function in conformance with the minimum packing requirements of this subchapter. For radioactive materials packaging, see § 173.403 of subchapter C of this chapter.
Perishable hazardous material means a hazardous material that is subject to significant risk of speedy decay, deterioration, or spoilage, or hazardous materials consigned for medical use, in the prevention, treatment, or cure of a disease or condition in human beings or animals where expeditious shipment and delivery meets a critical medical need.
Properly qualified personnel means a company, partnership, proprietorship, or individual who is technically qualified to perform designated tasks necessary to assist an agent in inspecting, examining, opening, removing, testing, or transporting packages.
Related packages means any packages in a shipment, series or group of packages that can be traced to a common nexus of facts, including, but not limited to: The same offeror or packaging manufacturer; the same hazard communications information (marking, labeling, shipping documentation); or other reasonable and articulable facts that may lead an agent to believe such packages are related to a package that may pose an imminent hazard. Packages that are located within the same trailer, freight container, unit load device, etc. as a package removed subject to this enhanced authority without additional facts to substantiate its nexus to an imminent hazard are not “related packages” for purposes of removal. The related packages must also demonstrate that they may pose an imminent hazard. They must exhibit a commonality or nexus of origin, which may include, but are not limited to, a common offeror, package manufacturer, marking, labeling, shipping documentation, hazard communications, etc.
Remove means to keep a package from entering the stream of transportation in commerce; to take a package out of the stream of transportation in commerce by physically detaining a package that was offered for transportation in commerce; or stopping a package from continuing in transportation in commerce.
Safe and expeditious means prudent measures or procedures designed to minimize delay.
Subpart B – Inspections and Investigations
§ 109.3 Inspections and Investigations.
(a) General authority. An Administrator may initiate an inspection or investigation to determine compliance with Federal hazardous material transportation law, or a regulation, order, special permit, or approval prescribed or issued under the Federal hazardous material transportation law, or any court decree or order relating thereto.
(b) Inspections and investigations. Inspections and investigations are conducted by designated agents of the Secretary who will, upon request, present their credentials for examination. Such an agent is authorized to:
(1) Administer oaths and receive affirmations in any matter under investigation.
(2) Gather information by any reasonable means, including, but not limited to, gaining access to records and property (including packages), interviewing, photocopying, photographing, and video- and audio-recording in a reasonable manner.
(3) Serve subpoenas for the production of documents or other tangible evidence if, on the basis of information available to the agent, the evidence is relevant to a determination of compliance with the Federal hazardous material transportation law, regulation, order, special permit, or approval prescribed or issued under the Federal hazardous material transportation law, or any court decree or order relating thereto. Service of a subpoena shall be in accordance with the requirements of the agent’s operating administration as set forth in 14 CFR 13.3 (Federal Aviation Administration); 49 CFR 209.7 (Federal Railroad Administration), 49 U.S.C. 502(d), 5121(a) (Federal Motor Carrier Safety Administration), and 49 CFR 105.45-105.55 (Pipeline and Hazardous Materials Safety Administration).
§ 109.5 Opening of packages.
(a) In general. Except as provided in paragraph (b):
(1) Stop movement of the package in transportation and gather information from any person to learn the nature and contents of the package;
(2) Open any overpack, outer packaging, or other component of the package that is not immediately adjacent to the hazardous materials contained in the package and examine the inner packaging(s) or packaging components.
(b) Perishable hazardous material. To ensure the expeditious transportation of a package containing a perishable hazardous material, an agent will utilize appropriate alternatives before exercising an authority under paragraph (a) of this section.
§ 109.7 Removal from transportation.
An agent may remove a package and related packages in a shipment or a freight container from transportation in commerce for up to forty-eight (48) hours when the agent has an objectively reasonable and articulable belief that the packages may pose an imminent hazard. The agent must record this belief in writing as soon as practicable and provide written notification stating the reason for removal to the person in possession.
§ 109.9 Transportation for examination and analysis.
(a) An agent may direct a package to be transported to a facility for examination and analysis when the agent determines that:
(1) Further examination of the package is necessary to evaluate whether the package conforms to subchapter C of this chapter;
(2) Conflicting information concerning the package exists; or
(3) Additional investigation is not possible on the immediate premises.
(b) In the event of a determination in accordance with paragraph (a) of this section, an agent may:
(1) Direct the offeror of the package, or other person responsible for the package, to have the package transported to a facility where the material may be examined and analyzed;
(2) Direct the packaging manufacturer or tester of the packaging to have the package transported to a facility where the packaging may be tested in accordance with the HMR; or
(3) Direct the carrier to transport the package to a facility capable of conducting such examination and analysis.
(c) The 48-hour removal period provided in § 109.7 may be extended in writing by the Administrator pending the conclusion of examination and analysis under this section.
§ 109.11 Assistance of properly qualified personnel.
An agent may authorize properly qualified personnel to assist in the activities conducted under this part if the agent is not properly qualified to perform a function that is essential to the agent’s exercise of authority under this part or when safety might otherwise be compromised by the agent’s performance of such a function.
§ 109.13 Closing packages and safe resumption of transportation.
(a) No imminent hazard found. If, after an agent exercises an authority under § 109.5, the agent finds that no imminent hazard exists, and the package otherwise conforms to applicable requirements in subchapter C of this chapter, the agent will:
(1) Assist in preparing the package for safe and prompt transportation, when practicable, by reclosing the package in accordance with the packaging manufacturer’s closure instructions or other appropriate closure method;
(2) Mark and certify the reclosed package to indicate that it was opened and reclosed in accordance with this part;
(3) Return the package to the person from whom the agent obtained it, as soon as practicable; and
(4) For a package containing a perishable hazardous material, assist in resuming the safe and expeditious transportation of the package as soon as practicable after determining that the package presents no imminent hazard.
(b) Imminent hazard found. If an imminent hazard is found to exist after an agent exercises an authority under § 109.5, the Administrator or his/her designee may issue an out-of-service order prohibiting the movement of the package until the package has been brought into compliance with subchapter C of this chapter. Upon receipt of the out-of-service order, the person in possession of, or responsible for, the package must remove the package from transportation until it is brought into compliance.
(c) Package does not contain hazardous material. If, after an agent exercises an authority under § 109.5, the agent finds that a package does not contain a hazardous material, the agent shall securely close the package, mark and certify the reclosed package to indicate that it was opened and reclosed, and return the package to transportation.
(d) Non-compliant package. If, after an agent exercises an authority under § 109.5, the agent finds that a package contains hazardous material and does not conform to requirements in subchapter C of this chapter, but does not present an imminent hazard, the agent will return the package to the person in possession of the package at the time the non-compliance is discovered for appropriate corrective action. A non-compliant package may not continue in transportation until all identified non-compliance issues are resolved.
§ 109.15 Termination.
When the facts disclosed by an investigation indicate that further action is not warranted under this part at the time, the Administrator will close the investigation without prejudice to further investigation and notify the person being investigated of the decision. Nothing herein precludes civil enforcement action at a later time related to the findings of the investigation.
§ 109.16 Notification of enforcement measures.
In addition to complying with the notification requirements in § 109.7 of this part, an agent, after exercising an authority under this subpart, will immediately take reasonable measures to notify the offeror and the person in possession of the package, providing the reason for the action being taken, the results of any preliminary investigation including apparent violations of subchapter C of this chapter, and any further action that may be warranted.
Subpart C – Emergency Orders
§ 109.17 Emergency Orders.
(a) Determination of imminent hazard. When an Administrator determines that a violation of a provision of the Federal hazardous material transportation law, or a regulation or order prescribed under that law, or an unsafe condition or practice, constitutes or is causing an imminent hazard, as defined in § 109.1, the Administrator may issue or impose emergency restrictions, prohibitions, recalls, or out-of-service orders, without advance notice or an opportunity for a hearing. The basis for any action taken under this section shall be set forth in writing which must –
(1) Describe the violation, condition, or practice that constitutes or is causing the imminent hazard;
(2) Set forth the terms and conditions of the emergency order;
(3) Be limited to the extent necessary to abate the imminent hazard; and,
(4) Advise the recipient that, within 20 calendar days of the date the order is issued, recipient may request review; and that any request for a formal hearing in accordance with 5 U.S.C. 554 must set forth the material facts in dispute giving rise to the request for a hearing; and
(5) Set forth the filing and service requirements contained in § 109.19(f), including the address of DOT Docket Operations and of all persons to be served with the petition for review.
(b) Out-of-service order. An out-of-service order is issued to prohibit the movement of an aircraft, vessel, motor vehicle, train, railcar, locomotive, transport unit, transport vehicle, or other vehicle, or a freight container, portable tank, or other package until specified conditions of the out-of-service order have been met.
(1) Upon receipt of an out-of-service order, the person in possession of, or responsible for, the package must remove the package from transportation until it is brought into compliance with the out-of-service order.
(2) A package subject to an out-of-service order may be moved from the place where it was found to present an imminent hazard to the nearest location where the package can be brought into compliance, provided that the agent who issued the out-of-service order is notified before the move.
(3) The recipient of the out-of-service order must notify the operating administration that issued the order when the package is brought into compliance.
(4) Upon receipt of an out-of-service order, a recipient may appeal the decision of the agent issuing the order to PHMSA’s Chief Safety Officer. A petition for review of an out-of-service order must meet the requirements of § 109.19.
(c) Recalls. PHMSA’s Associate Administrator, Office of Hazardous Materials Safety, may issue an emergency order mandating the immediate recall of any packaging, packaging component, or container certified, represented, marked, or sold as qualified for use in the transportation of hazardous materials in commerce when the continued use of such item would constitute an imminent hazard. All petitions for review of such an emergency order will be governed by the procedures set forth at § 109.19.
§ 109.19 Petitions for review of emergency orders.
(a) Petitions for review. A petition for review must –
(1) Be in writing;
(2) State with particularity each part of the emergency order that is sought to be amended or rescinded and include all information, evidence and arguments in support thereof;
(3) State whether a formal hearing in accordance with 5 U.S.C. 554 is requested, and, if so, the material facts in dispute giving rise to the request for a hearing; and,
(4) Be filed and served in accordance with § 109.19(f).
(b) Response to the petition for review. An attorney designated by the Office of Chief Counsel of the operating administration issuing the emergency order may file and serve, in accordance with § 109.19(f), a response, including appropriate pleadings, within five calendar days of receipt of the petition by the Chief Counsel of the operating administration issuing the emergency order.
(c) Chief Safety Officer Responsibilities – (1) Hearing requested. Upon receipt of a petition for review of an emergency order that includes a formal hearing request and states material facts in dispute, the Chief Safety Officer shall immediately assign the petition to the Office of Hearings. Unless the Chief Safety Officer issues an order stating that the petition fails to set forth material facts in dispute and will be decided under paragraph (c)(2) of this section, a petition for review including a formal hearing request will be deemed assigned to the Office of Hearings three calendar days after the Chief Safety Officer receives it.
(2) No hearing requested. For a petition for review of an emergency order that does not include a formal hearing request or fails to state material facts in dispute, the Chief Safety Officer shall issue an administrative decision on the merits within 30 days of receipt of the petition. The Chief Safety Officer’s decision constitutes final agency action.
(d) Hearings. Formal hearings shall be conducted by an Administrative Law Judge assigned by the Chief Administrative Law Judge of the Office of Hearings. The Administrative Law Judge may:
(1) Administer oaths and affirmations;
(2) Issue subpoenas as provided by the appropriate agency regulations (49 CFR 209.7, 49 CFR 105.45, 14 CFR 13.3, and 49 U.S.C. 502 and 31133);
(3) Adopt the relevant Federal Rules of Civil Procedure for the United States District Courts for the procedures governing the hearings when appropriate;
(4) Adopt the relevant Federal Rules of Evidence for United States Courts and Magistrates for the submission of evidence when appropriate;
(5) Take or cause depositions to be taken;
(6) Examine witnesses at the hearing;
(7) Rule on offers of proof and receive relevant evidence;
(8) Convene, recess, adjourn or otherwise regulate the course of the hearing;
(9) Hold conferences for settlement, simplification of the issues, or any other proper purpose; and,
(10) Take any other action authorized by or consistent with the provisions of this part and permitted by law that may expedite the hearing or aid in the disposition of an issue raised therein.
(e) Parties. The petitioner may appear and be heard in person or by an authorized representative. The operating administration issuing the emergency order shall be represented by an attorney designated by its respective Office of Chief Counsel.
(f) Filing and service. (1) Each petition, pleading, motion, notice, order, or other document submitted in connection with an order issued under this subpart must be filed (commercially delivered or submitted electronically) with: U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. All documents filed will be published on the Department’s docket management Web site, http://www.regulations.gov. The emergency order shall state the above filing requirements and the address of DOT Docket Operations.
(2) Service. Each document filed in accordance with paragraph (f)(1) of this section must be concurrently served upon the following persons:
(i) Chief Safety Officer (Attn: Office of Chief Counsel, PHC), Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., East Building, Washington, DC 20590 (facsimile: 202-366-7041) (electronic mail: [email protected]);
(ii) The Chief Counsel of the operating administration issuing the emergency order;
(iii) If the petition for review requests a formal hearing, the Chief Administrative Law Judge, U.S. Department of Transportation, Office of Hearings, M-20, Room E12-320, 1200 New Jersey Avenue, SE., Washington, DC 20590 (facsimile: 202-366-7536).
(iv) Service shall be made personally, by commercial delivery service, or by electronic means if consented to in writing by the party to be served, except as otherwise provided herein. The emergency order shall state all relevant service requirements and list the persons to be served and may be updated as necessary. The emergency order shall also be published in the
(3) Certificate of service. Each order, pleading, motion, notice, or other document shall be accompanied by a certificate of service specifying the manner in which and the date on which service was made.
(4) The emergency order shall be served by “hand delivery,” unless such delivery is not practicable, or by electronic means if consented to in writing by the party to be served.
(5) Service upon a person’s duly authorized representative, agent for service, or an organization’s president constitutes service upon that person.
(g) Report and recommendation. The Administrative Law Judge shall issue a report and recommendation at the close of the record. The report and recommendation shall:
(1) Contain findings of fact and conclusions of law and the grounds for the decision based on the material issues of fact or law presented on the record;
(2) Be served on the parties to the proceeding; and
(3) Be issued no later than 25 days after receipt of the petition for review by the Chief Safety Officer.
(h) Expiration of order. If the Chief Safety Officer, or the Administrative Law Judge, where appropriate, has not disposed of the petition for review within 30 days of receipt, the emergency order shall cease to be effective unless the Administrator issuing the emergency order determines, in writing, that the imminent hazard providing a basis for the emergency order continues to exist. The requirements of such an extension shall remain in full force and effect pending decision on a petition for review unless stayed or modified by the Administrator.
(i) Reconsideration. (1) A party aggrieved by the Administrative Law Judge’s report and recommendation may file a petition for reconsideration with the Chief Safety Officer within one calendar day of service of the report and recommendation. The opposing party may file a response to the petition within one calendar day of service of a petition for reconsideration.
(2) The Chief Safety Officer shall issue a final agency decision within three calendar days of service of the final pleading, but no later than 30 days after receipt of the original petition for review.
(3) The Chief Safety Officer’s decision on the merits of a petition for reconsideration constitutes final agency action.
(j) Appellate review. A person aggrieved by the final agency action may petition for review of the final decision in the appropriate Court of Appeals for the United States as provided in 49 U.S.C. 5127. The filing of the petition for review does not stay or modify the force and effect of the final agency.
(k) Time. In computing any period of time prescribed by this part or by an order issued by the Administrative Law Judge, the day of filing of the petition for review or of any other act, event, or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, Sunday, or Federal holiday, in which event the period runs until the end of the next day which is not one of the aforementioned days.
§ 109.21 Remedies generally.
An Administrator may request the Attorney General to bring an action in the appropriate United States district court seeking temporary or permanent injunctive relief, punitive damages, assessment of civil penalties as provided by 49 U.S.C. 5122(a), and any other appropriate relief to enforce the Federal hazardous material transportation law, regulation, order, special permit, or approval prescribed or issued under the Federal hazardous material transportation law.
Subpart D – Equipment
§ 109.25 Equipment.
When an agent exercises an authority under subpart B of this part, the agent shall use the appropriate safety, handling, and other equipment authorized by his or her operating administration’s equipment requirements for hazardous material inspectors and investigators.
Subpart E – Prohibition on Hazardous Materials Operations After Nonpayment of Penalties
§ 109.101 Prohibition of hazardous materials operations.
(a) Definition of hazardous materials operations. For the purposes of this subpart, hazardous materials operations means any activity regulated under the Federal hazardous material transportation law, this subchapter or subchapter C of this chapter, or an exemption or special permit, approval, or registration issued under this subchapter or under subchapter C of this chapter.
(b) Failure to pay civil penalty in full. A respondent that fails to pay a hazardous material civil penalty in full within 90 days after the date specified for payment by an order of the Pipeline and Hazardous Materials Safety Administration, Federal Aviation Administration, Federal Motor Carrier Safety Administration, or Federal Railroad Administration is prohibited from conducting hazardous materials operations and shall immediately cease all hazardous materials operations beginning on the next day (i.e., the 91st). The prohibition shall continue until payment of the penalty has been made in full or at the discretion of the agency issuing the order an acceptable payment plan has been arranged.
(c) Civil penalties paid in installments. On a case by case basis, a respondent may be allowed to pay a civil penalty pursuant to a payment plan, which may consist of installment payments. If the respondent fails to make an installment payment contained in the payment plan on the agreed upon schedule, the payment plan shall be null and void and the full outstanding balance of the civil penalty shall be payable immediately. A respondent that fails to pay the full outstanding balance of its civil penalty within 90 days after the date of the missed installment payment shall be prohibited from conducting hazardous materials operations beginning on the next day (i.e., the 91st). The prohibition shall continue until payment of the outstanding balance of the civil penalty has been made in full, including any incurred interest or until at the discretion of the agency issuing the order another acceptable payment plan has been arranged.
(d) Appeals to Federal Court. If the respondent appeals an agency order issued pursuant to § 109.103 to a Federal Circuit Court of Appeals, the terms and payment due date of the order are not stayed unless the Court so specifies.
(e) Applicability to ticketing. This section does not apply to a respondent who fails to pay a civil penalty assessed by a ticket issued pursuant to § 107.310 of this subchapter.
(f) Applicability to debtors. This section does not apply to a respondent who is unable to pay a civil penalty because the respondent is a debtor in a case under chapter 11, title 11, United States Code. A respondent who is a debtor in a case under chapter 11, title 11, United States Code must provide the following information to the agency decision maker identified in the original agency order or on its certificate of service.
(1) The chapter of the Bankruptcy Code under which the bankruptcy proceeding is filed;
(2) The bankruptcy case number;
(3) The court in which the bankruptcy proceeding was filed; and
(4) Any other information requested by the agency to determine a debtor’s bankruptcy status.
(g) Penalties for prohibited hazardous materials operations. A respondent that continues to conduct hazardous materials operations in violation of this section may be subject to additional penalties, including criminal prosecution pursuant to 49 U.S.C. 5124.
§ 109.103 Notice of nonpayment of penalties.
(a) If a full payment of a civil penalty, or an installment payment as part of agreed upon payment plan, has not been made within 45 days after the date specified for payment by the final agency order, the agency may issue a cessation of hazardous materials operations order to the respondent.
(b) The cessation of hazardous materials operations order issued under this section shall include the following information:
(1) A citation to the statutory provision or regulation the respondent was found to have violated and to the terms of the order or agreement requiring payment;
(2) A statement indicating that if the respondent fails to pay the full outstanding balance of the civil penalty within 90 days after the payment due date, the respondent shall be prohibited from conducting any activity regulated under the Federal hazardous material transportation law, this subchapter or subchapter C of this chapter, or an exemption or special permit, approval, or registration issued under this subchapter or under subchapter C of this chapter;
(3) A statement describing the respondent’s options for responding to the order which will include an option to file an appeal for reconsideration of the cessation of operations order within 20 days of receipt of the order; and
(4) A description of the manner in which the respondent can make payment of any money due the United States as a result of the proceeding (i.e., the full outstanding balance of the civil penalty).
(c) The cessation of hazardous materials operation order will be delivered by personal service, unless such service is impossible or impractical. If personal service is impossible or impractical then service may be made by certified mail or commercial express service. If a respondent’s principal place of business is in a foreign country, it will be delivered to the respondent’s designated agent (as prepared in accordance with § 105.40 of this subchapter).
PART 110 – HAZARDOUS MATERIALS PUBLIC SECTOR TRAINING AND PLANNING GRANTS
§ 110.1 Purpose.
This part sets forth procedures for grants to States, Territories, and Indian tribes to support emergency planning and training to respond to hazardous materials emergencies, particularly those involving transportation. Grants may also be used to enhance the implementation of the Emergency Planning and Community Right-to-Know Act of 1986 (42 U.S.C. 11001 et seq.). For information regarding the Hazardous Materials Instructor Training, Supplemental Public Sector Training, and Community Safety grants, please refer to PHMSA’s website at: https://www.phmsa.dot.gov/.
§ 110.5 Scope.
(a) This part applies to States, Territories, and Indian tribes and contains the program requirements for public sector grants to support hazardous materials emergency planning and training efforts.
(b) The requirements contained in 2 CFR part 200 “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” apply to grants issued under this part.
(c) Copies of standard forms and OMB circulars referenced in this part are available at https://www.grants.gov/web/grants/forms.html or from the Grants Chief, Office of Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 1200 New Jersey Avenue SE, Washington, DC 20590-0001.
§ 110.7 Control Number under the Paperwork Reduction Act.
The Office of Management and Budget control number assigned to collection of information in §§ 110.30, 110.70, 110.80, and 110.90 is 2137-0586.
§ 110.10 Administering the hazardous materials emergency preparedness grants.
This part applies to States, Territories, and Indian tribes.
§ 110.20 Definitions.
Unless defined in this part, all terms defined in 49 U.S.C. 5102 are used in their statutory meaning and all terms defined in 2 CFR part 200 with respect to administrative requirements for grants are used as defined therein. Other terms used in this part are defined as follows:
Allowable costs means those costs that are: Eligible, reasonable, necessary, and allocable to the activities permitted by the appropriate Federal cost principles, and approved in the grant.
Associate Administrator means the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration or a person designated by the Associate Administrator.
National curriculum means the curriculum required to be developed under 49 U.S.C. 5115 and necessary to train public sector emergency response and preparedness teams, enabling them to comply with performance standards as stated in 49 U.S.C. 5115(c).
Political subdivision means a county, municipality, city, town, township, local public authority (including any public and Indian housing agency under the United States Housing Act of 1937), school district, special district, intrastate district, council of governments (whether or not incorporated as a nonprofit corporation under State law), any other regional or interstate government entity, or any agency or instrumentality of a local government.
Public sector employee means an individual employed by a State, political subdivision of a State, Territory, or Indian tribe and who during the course of employment has responsibilities related to responding to an accident or incident involving the transportation of hazardous material, including an individual employed by a State, political subdivision of a State, Territory, or Indian tribe as a firefighter or law enforcement officer and an individual who volunteers to serve as a firefighter for a State, political subdivision of a State, Territory, or Indian tribe.
§ 110.30 Hazardous materials emergency preparedness grant application.
An application must comply with the applicable Notice of Funding Opportunity that will include or reference forms approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1980 (44 U.S.C. 3502). Applicants are required to electronically submit application packages at the OMB designated website. Applications must adhere to the instructions outlined in the Notice of Funding Opportunity and application kit.
§ 110.40 Activities eligible for hazardous materials emergency preparedness grant funding.
Eligible applicants may receive funding for the following activities:
(a) To develop, improve, and implement emergency plans required under the Emergency Planning and Community Right-to-Know Act of 1986, as well as exercises that test the emergency plan. To enhance emergency plans to include hazard analysis, as well as response procedures for emergencies involving transportation of hazardous materials.
(b) To determine commodity flow patterns of hazardous materials within a State, between a State and another State, Territory, or Tribal lands, and develop and maintain a system to keep such information current.
(c) To determine the need for regional hazardous materials emergency response teams.
(d) To assess local response capabilities.
(e) To conduct emergency response drills and exercises associated with emergency preparedness plans.
(f) To provide for technical staff to support the planning effort.
(g) To train public sector employees to respond to hazardous materials transportation accidents and incidents.
(h) To determine the number of public sector employees employed or used by a political subdivision who need the proposed training and to select courses consistent with national consensus standards or the National Curriculum.
(i) To deliver comprehensive preparedness and response training to public sector employees, which may include design and delivery of preparedness and response training to meet specialized needs, and financial assistance for trainees and for the trainers, if appropriate, such as tuition, travel expenses to and from a training facility, and room and board while at the training facility.
(j) To deliver emergency response drills and exercises associated with training, a course of study, and tests and evaluation of emergency preparedness plans.
(k) To pay expenses associated with training by a person (including a department, agency, or instrumentality of a State or political subdivision thereof, a Territory, or an Indian tribe) and activities necessary to monitor such training including, but not limited to examinations, critiques, and instructor evaluations.
(l) To maintain staff to manage the training effort designed to result in increased benefits, proficiency, and rapid deployment of local and regional responders.
(m) Additional hazardous materials emergency preparedness activities not otherwise described in this section that the Associate Administrator deems appropriate under the grant agreement.
§ 110.50 Disbursement of grant funds.
(a) Pre-award costs. (1) PHMSA expects the recipient to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the recipient’s ability to accomplish the activities in the approved period of performance.
(2) A recipient may, at its own risk, incur pre-award costs to cover costs up to 90 days before the beginning date of the initial period of performance.
(3) The incurrence of pre-award costs in anticipation of a competitive or non-competitive grant imposes no obligation on PHMSA under any circumstances, including in the event of:
(i) The absence of appropriations;
(ii) A grant is not subsequently being made; or
(iii) A grant being made for a lesser amount than the recipient anticipated.
(b) Payments may not be made for activities not approved in the grant agreement. If a recipient seeks additional grant funds, the supplemental amendment request will be evaluated on the basis of needs, performance, and availability of grant funds. An existing grant is not a commitment of future funding.
§ 110.60 Cost sharing.
The recipient must provide 20 percent of the direct and indirect costs of all activities approved in the grant agreement with non-Federal funds.
§§ 110.70-110.90 [Reserved]
§ 110.100 Enforcement.
If a recipient fails to comply with any term of the grant agreement, a noncompliance action may be taken. The recipient will have the opportunity to object and provide information and documentation challenging the suspension or termination action. Costs incurred by the recipient during a suspension or after termination of the grant agreement are not allowable unless the Associate Administrator authorizes it in writing. Grant agreements may also be terminated in whole or in part with the consent of the recipient at any agreed upon effective date, or by the recipient upon written notification.
§ 110.110 Post-award requirements.
The Associate Administrator will close out the grant upon determination that all applicable administrative actions and all required work of the grant are complete. The recipient must submit all financial, performance, and other reports required as a condition of the grant within 90 days after the expiration or termination of the grant. This time frame may be extended by the Associate Administrator for cause.
§ 110.120 Deviation from this part.
Recipients may request a deviation from the non-statutory provisions of this part. The Associate Administrator will respond to such requests in writing. If appropriate, the decision will be included in the grant agreement. Request for deviations from this part must be submitted electronically to the Grants Chief at [email protected].
§ 110.130 Disputes.
Disputes should be resolved at the lowest level possible, beginning with the Grants Management Specialist, the Grants Team Lead, and the Grants Chief. If an agreement cannot be reached, the Associate Administrator will serve as the dispute resolution official, whose decision will be final.
SUBCHAPTER B – OIL TRANSPORTATION
PART 130 – OIL SPILL PREVENTION AND RESPONSE PLANS
Subpart A – Applicability and General Requirements
§ 130.1 Purpose.
This part prescribes prevention, containment and response planning requirements of the Department of Transportation applicable to transportation of oil by motor vehicles and rolling stock.
§ 130.2 Scope.
(a) The requirements of this part apply to oil that is subject to a basic or comprehensive oil spill response plan in accordance with subparts B and C of this part.
(b) The requirements of this part have no effect on –
(1) The applicability of the Hazardous Materials Regulations set forth in subchapter C of this chapter; and
(2) The discharge notification requirements of the United States Coast Guard (33 CFR part 153) and EPA (40 CFR part 110).
(c) The requirements of this part do not apply to –
(1) Any mixture or solution in which oil is in a concentration by weight of less than 10 percent.
(2) Transportation of oil by aircraft or vessel.
(3) Any petroleum oil carried in a fuel tank for the purpose of supplying fuel for propulsion of the transport vehicle to which it is attached.
(4) Oil transport exclusively within the confines of a non-transportation-related or terminal facility in a vehicle not intended for use in interstate or intrastate commerce (see 40 CFR part 112, appendix A).
(d) The requirements in subpart C of this part do not apply to mobile marine transportation-related facilities (see 33 CFR part 154).
§ 130.3 General requirements.
No person may offer or accept for transportation or transport oil subject to this part unless that person –
(a) Complies with this part; and
(b) Has been instructed on the applicable requirements of this part.
§ 130.5 Definitions.
In this subchapter:
Adverse weather means the weather conditions (e.g., ice conditions, temperature ranges, flooding, strong winds) that will be considered when identifying response systems and equipment to be deployed in accordance with a response plan.
Animal fat means a non-petroleum oil, fat, or grease derived from animals, not specifically identified elsewhere in this part.
Contract or other means is:
(1) A written contract with a response contractor identifying and ensuring the availability of the necessary personnel or equipment within the shortest practicable time;
(2) A written certification by the owner or operator that the necessary personnel or equipment can and will be made available by the owner or operator within the shortest practicable time; or
(3) Documentation of membership in an oil spill response organization that ensures the owner’s or operator’s access to the necessary personnel or equipment within the shortest practicable time.
Environmentally sensitive or significant areas (ESA) means a “sensitive area” identified in the applicable Area Contingency Plan (ACP), or if no applicable, complete ACP exists, an area of environmental importance which is in or adjacent to navigable waters.
EPA means the U.S. Environmental Protection Agency.
Liquid means a material, with a melting point or initial melting point of 20 °C (68 °F) or lower at a standard pressure of 101.3 kPa (14.7 psia). A viscous material for which a specific melting point cannot be determined must be subjected to the procedures specified in ASTM D4359-90 “Standard Test Method for Determining Whether a Material is Liquid or Solid” (IBR, see § 171.7 of this chapter).
Maximum extent practicable means the limits of available technology and the practical and technical limits on an owner or operator of an onshore facility in planning the response resources required to provide the on-water recovery capability and the shoreline protection and cleanup capability to conduct response activities for a worst-case discharge of oil in adverse weather.
Maximum potential discharge means a planning volume for a discharge from a motor vehicle or rail car equal to the capacity of the cargo container.
Non-petroleum oil means any animal fat, vegetable oil or other non-petroleum oil.
Oil means oil of any kind or in any form, including, but not limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil.
This definition does not include hazardous substances (see 40 CFR part 116).
Oil Spill Removal Organization (OSRO) means an entity that provides response resources.
On-Scene Coordinator (OSC) means the Federal official pre-designated by the Administrator of the United States Environmental Protection Agency (EPA) or by the Commandant of the United States Coast Guard (USCG) to coordinate and direct Federal response under the National Contingency Plan (NCP) (40 CFR part 300, subpart D).
Other non-petroleum oil means a non-petroleum oil of any kind that is not an animal fat or vegetable oil.
Packaging means a receptacle and any other components or materials necessary for the receptacle to perform its containment function in conformance with the packaging requirements of this part. A compartmented tank is a single packaging.
Person means an individual, firm, corporation, partnership, association, State, municipality, commission, or political subdivision of a State, or any interstate body, as well as a department, agency, or instrumentality of the executive, legislative, or judicial branch of the Federal Government. This definition includes railroads.
Petroleum oil means any oil extracted or derived from geological hydrocarbon deposits, including oils produced by distillation or their refined products.
Qualified individual means an individual familiar with the response plan, trained in his or her responsibilities in implementing the plan, and authorized, on behalf of the owner or operator, to initiate all response activities identified in the plan, to enter into response-related contracts and obligate funds for such contracts, and to act as a liaison with the on-scene coordinator and other responsible officials. The qualified individual must be available at all times the owner or operator is engaged in transportation subject to part 130 (alone or in conjunction with an equally qualified alternate), must be fluent in English, and must have in his or her possession documentation of the required authority.
Response activities means the containment and removal of oil from navigable waters and adjoining shorelines, the temporary storage and disposal of recovered oil, or the taking of other actions as necessary to minimize or mitigate damage to the environment.
Response plan means a basic oil spill response plan meeting requirements of subpart B of this part or a comprehensive oil spill response plan meeting requirements of subpart C of this part. For comprehensive plans in subpart C, this definition includes both the railroad’s core plan and the response zone appendices, for responding, to the maximum extent practicable, to a worst-case discharge of oil or the substantial threat of such a discharge.
Response zone means a geographic area along applicable rail route(s), containing one or more adjacent route segments for which the railroad is required to plan for the deployment of, and provide, spill response capabilities meeting the planning requirements of § 130.130. The size, locations, and boundaries of the zone are determined and identified by the railroad after considering the existing location and organizational structure of each railroad’s incident management team (IMT), including the availability and capability of response resources.
Transports or Transportation means any movement of oil by highway or rail, and any loading, unloading, or storage incidental thereto.
Vegetable oil means a non-petroleum oil or fat derived from plant seeds, nuts, kernels or fruits, not specifically identified elsewhere in this part.
Worst-case discharge means “the largest foreseeable discharge in adverse weather conditions,” as defined at 33 U.S.C. 1321(a)(24). The largest foreseeable discharge includes discharges resulting from fire or explosion. The worst-case discharge from a unit train consist is the greater of:
(1) 300,000 gallons of liquid petroleum oil; or
(2) 15 percent of the total lading of liquid petroleum oil transported within the largest unit train consist reasonably expected to transport liquid petroleum oil in a given response zone. The worst-case discharge calculated from tank cars exceeding 42,000 gallons is equal to the capacity of the cargo container.
§ 130.11 Communication requirements.
(a) No person may offer oil subject to this part for transportation unless that person provides the person accepting the oil for transportation a document indicating the shipment contains oil.
(b) No person may transport oil subject to this part unless a readily available document indicating that the shipment contains oil is in the possession of the transport vehicle operator during transportation.
(c) A material subject to the requirements of this part need not be specifically identified as oil when the shipment document accurately describes the material as: aviation fuel, diesel fuel, fuel oil, gasoline, jet fuel, kerosene, motor fuel, or petroleum.
§ 130.21 Packaging requirements.
Each packaging used for the transportation of oil subject to this part must be designed, constructed, maintained, closed, and loaded so that, under conditions normally incident to transportation, there will be no release of oil to the environment.
§§ 130.22–130.29 [Reserved]
Subpart B – Basic Spill Response Plans
§ 130.31 Basic spill response plans.
(a) No person may transport liquid petroleum oil in a packaging having a capacity of 3,500 gallons or more unless that person has a current basic written plan that:
(1) Sets forth the manner of response to discharges that may occur during transportation;
(2) Takes into account the maximum potential discharge of the contents from the packaging;
(3) Identifies private personnel and equipment available to respond to a discharge;
(4) Identifies the appropriate persons and agencies (including their telephone numbers) to be contacted in regard to such a discharge and its handling, including the National Response Center; and
(5) For each motor carrier, is retained on file at that person’s principal place of business and at each location where dispatching of motor vehicles occurs; and for each railroad, is retained on file at that person’s principal place of business and at the dispatcher’s office.
(b) A railroad with a comprehensive plan in conformance with the requirements of subpart C of this part is not required to have a basic spill response plan for routes covered by the comprehensive plan.
§ 130.33 Basic response plan implementation.
If, during transportation of oil subject to this part, a discharge occurs – into or on the navigable waters of the United States; on the adjoining shorelines to the navigable waters; or that may affect natural resources belonging to, appertaining to, or under the exclusive management authority of, the United States – the person transporting the oil shall implement the plan required by § 130.31, in a manner consistent with the National Contingency Plan, 40 CFR part 300, or as otherwise directed by the Federal on-scene coordinator.
§§ 130.34–130.99 [Reserved]
Subpart C – Comprehensive Oil Spill Response Plans
§ 130.100 Applicability of comprehensive oil spill response plans.
(a) Railroads must have current, written comprehensive oil spill response plans (COSRPs) meeting the requirements of this subpart for any route or route segments used to transport either of the following:
(1) Any liquid petroleum oil or other non-petroleum oil subject to this part in a quantity greater than 42,000 gallons (1,000 barrels) per packaging; or
(2) A single train carrying 20 or more loaded tank cars of liquid petroleum oil in a continuous block or a single train carrying 35 or more loaded tank cars of liquid petroleum oil throughout the train consist.
(i) Tank cars carrying liquid petroleum oil products not meeting the criteria for Class 3 flammable or combustible material in § 173.120 of this chapter, or containing residue as defined in § 171.8 of this chapter, are not required to be included when determining the number of tank cars transporting liquid petroleum oil in paragraph (a)(2) of this section.
(ii) [Reserved]
(b) The requirements of this subpart do not apply if the oil being transported is otherwise excepted per § 130.2(c).
(c) A railroad required to develop a response plan in accordance with this section may not transport applicable quantities of oil (including handling and storage incidental to transport) unless –
(1) The response plan is submitted, reviewed, and approved as required by § 130.150 except as described in paragraph (d) of this section; and
(2) The railroad is operating in compliance with the response plan.
(d) A railroad required to develop a response plan in accordance with this section may continue to transport oil without an approval from PHMSA provided that all of the following criteria are met:
(1) The railroad submitted a plan in accordance with the requirements of § 130.150(a) within the previous two years;
(2) The submitted plan includes the certification in § 130.130;
(3) The railroad is operating in compliance with the submitted plan; and
(4) PHMSA has not issued a final decision that all or part of the plan does not meet the requirements of this subpart.
§ 130.105 Purpose and general format.
(a) Each railroad subject to this subpart must prepare and submit a plan, including resources and procedures, for responding, to the maximum extent practicable, to a worst-case discharge, and to a substantial threat of such a discharge, of oil. The plan must use and be consistent with the core principle of the National Incident Management System (NIMS) including the utilization of the Incident Command System (ICS).
(b) Each response plan must be formatted to include:
(1) Core plan. Response plans with more than one response zone must include a core plan containing an information summary required by § 130.120 and information that does not change between different response zones; and
(2) Response zone appendix or appendices. For each response zone included in the response plan, the response plan must include a response zone appendix that provides the information summary required by § 130.120 and any additional information that differs between response zones or is not included in the core plan. In addition, each response zone appendix must identify all of the following:
(i) A description of the response zone, including county(s) and state(s);
(ii) A list of route sections contained in the response zone, identified by railroad milepost or other identifier;
(iii) Identification of environmentally sensitive or significant areas per route section as determined by § 130.115; and
(iv) The location from which the Oil Spill Removal Organization will deploy, and the location and description of the response equipment required by § 130.130(c)(6).
(c) To meet the requirements of the response plan as required by § 130.100, a railroad may submit an applicable Annex(es) of an Integrated Contingency Plan (ICP). The Annex(es) must meet the minimum requirements of a Federal response plan required under this part. Guidance on the ICP is available from the National Response Team (http://www.NRT.org).
(d) To meet the requirements of the response plan as required by § 130.100, a railroad may submit a response plan that complies with a State law or regulation. The state plan must meet the minimum requirements of a Federal response plan required under this part and must include all of the following:
(1) An information summary as required by § 130.120;
(2) A list of the names or titles and 24-hour telephone numbers of the qualified individual(s) and at least one alternate qualified individual(s); and
(3) A certification and documentation that that railroad has identified and secured, through contract or other approved means, the private personnel and equipment necessary to respond to a worst-case discharge or a substantial threat of such a discharge.
§ 130.110 Consistency with the National Contingency Plan.
(a) A railroad must certify in the response plan that it reviewed the NCP (40 CFR part 300) and that its response plan is consistent with the NCP.
(b) At a minimum, for consistency with the NCP, a comprehensive response plan must include all of the following:
(1) Demonstrate a railroad’s clear understanding of the Incident Command System and Unified Command and the roles and responsibilities of the Federal On-Scene Coordinator;
(2) Include procedures to immediately notify the National Response Center; and
(3) Establish provisions to ensure safety at the response site.
§ 130.115 Consistency with Area Contingency Plans.
(a) A railroad must certify for each response zone that it reviewed each applicable ACP (or Regional Contingency Plan (RCP) for areas lacking an ACP).
(b) At a minimum, for consistency with the applicable ACP (or Regional Contingency Plan (RCP) for areas lacking an ACP), the comprehensive response plan must do all of the following:
(1) Address the removal of a worst-case discharge, and the mitigation or prevention of the substantial threat of a worst-case discharge, of oil;
(2) Identify environmentally sensitive or significant areas along the route, as defined in § 130.5, which could be adversely affected by a worst-case discharge, by reviewing and summarizing the applicable ACP or RCP;
(3) Incorporate appropriate strategies identified in applicable ACPs or RCPs, to protect environmentally sensitive or significant areas identified in paragraph (b)(2) of this section;
(4) Describe the responsibilities of the railroad and of Federal, State, and local agencies in removing a discharge and in mitigating or preventing a substantial threat of a discharge; and
(5) Identify the procedures to obtain any required Federal and State authorization for using alternative response strategies such as in-situ burning and/or chemical agents, as provided for in the applicable ACP and subpart J of 40 CFR part 300.
§ 130.120 Information summary.
(a) Each person preparing a comprehensive response plan must include information summaries for the core plan and each response zone meeting the requirements of this section.
(b) The information summary for the core plan must include all of the following:
(1) The name and mailing address of the railroad;
(2) A listing and description of each response zone, including county(s) and State(s); and
(3) The name or title of the qualified individual(s) and alternate(s) for each response zone, with telephone numbers at which they can be contacted on a 24-hour basis.
(c) The information summary for each response zone appendix must include all of the following:
(1) The name and mailing address of the railroad;
(2) A description of the response zone, including county(s) and State(s);
(3) The name or title of the qualified individual(s) and alternate(s) for the response zone, with telephone numbers at which they can be contacted on a 24-hour basis;
(4) The type(s) of oil expected to be carried; and
(5) Determination of the worst-case discharge and supporting calculations.
(d) The information summary should be listed first, before other information in the plan, or clearly identified through the use of tabs or other visual aids.
§ 130.125 Notification procedures and contacts.
(a) The railroad must develop and implement notification procedures that include all of the following:
(1) Procedures for immediate notification of the qualified individual or alternate and immediate communications between that individual, and the appropriate Federal official and the persons providing personnel and equipment;
(2) A checklist of the notifications required under the response plan, listed in the order of priority;
(3) The primary and secondary communication methods by which notifications can be made;
(4) The circumstances and necessary time frames under which the notifications must be made; and
(5) The information to be provided in the initial and each follow-up notification.
(b) The notification procedures must include the names of the following individuals or organizations, with the ten-digit telephone numbers at which they can be contacted on a 24-hour basis:
(1) The National Response Center (NRC);
(2) Qualified individual, or alternative;
(3) Federal, State, and local agencies that the railroad expects to have pollution control responsibilities or provide pollution control support; and
(4) Personnel or organizations to notify for the activation of equipment and personnel resources identified in § 130.130.
§ 130.130 Response and mitigation activities.
(a) Each railroad must certify that it has identified and secured, by contract or other means, the private response resources in each response zone necessary to remove and control, to the maximum extent practicable, a worst-case discharge. The certification must be signed by the qualified individual or an appropriate corporate officer.
(b) Each railroad must identify and describe in the plan the response resources that are available to arrive onsite within 12 hours of the discovery of a worst-case discharge or the substantial threat of such a discharge. It is assumed that resources can travel according to a land speed of 35 miles per hour, unless the railroad can demonstrate otherwise.
(c) Each plan must identify all of the following information for response and mitigation activities:
(1) Methods of initial discharge detection;
(2) Responsibilities of, and actions to be taken by, personnel to initiate and supervise response activities pending the arrival of the qualified individual or other response resources identified in the response plan that are necessary to ensure the protection of safety at the response site and to mitigate or prevent any discharge from the tank cars;
(3) The qualified individual’s responsibilities and authority;
(4) Procedures for coordinating the actions of the railroad or qualified individual with the actions of the U.S. EPA or U.S. Coast Guard On-Scene Coordinator responsible for monitoring or directing response and mitigation activities;
(5) The Oil Spill Removal Organization’s responsibilities and authority; and
(6) For each Oil Spill Removal Organization identified under this section, a listing adequate for the worst-case discharge listed in the plan of:
(i) Equipment, supplies, and personnel available, and the location thereof, including equipment suitable for adverse weather conditions and the personnel necessary to continue operation of the equipment and staff the Oil Spill Removal Organization during the response, in accordance with appendix C of 33 CFR part 154; or
(ii) In lieu of the listing of equipment, supplies, and personnel, a statement that the Oil Spill Removal Organization has been classified by the United States Coast Guard under 33 CFR 154.1035 or 155.1035.
§ 130.135 Training.
(a) A railroad must certify in the response plan that it has conducted training to ensure that:
(1) All railroad employees subject to the plan know –
(i) Their responsibilities under the comprehensive oil spill response plan; and
(ii) The name of, and procedures for contacting, the qualified individual or alternate on a 24-hour basis;
(2) All railroad employees with responsibilities as reporting personnel in the plan also know –
(i) The content of the information summary of the response plan;
(ii) The toll-free telephone number of the National Response Center; and
(iii) The notification process required by § 130.105; and
(3) The qualified individual or, as an alternative, the person acting in an Incident Commander role, may be trained in the Incident Command System at the Incident Commander Level.
(b) Employees subject to this section must be trained at least once every five years or, if the plan is revised during the five-year recurrent training cycle, within 90 days of implementation of the revised plan. New employees must be trained within 90 days of employment or change in job function.
(c) Each railroad must create and retain records of current training of each railroad employee engaged in oil spill response, inclusive of the preceding five years, in accordance with this section, for as long as that employee is employed and for 90 days thereafter. A railroad must make the employee’s record of training available upon request, at a reasonable time and location, to an authorized official of the Department of Transportation. The record must include all of the following:
(1) The employee’s name;
(2) The completion date of the employee’s most recent training;
(3) The name and address of the person providing the training; and
(4) A certification statement that the designated employee has been trained, as required by this subpart.
(d) Nothing in this section relieves a person from the responsibility to ensure that all personnel are trained in accordance with other regulations. As an example, response personnel may be subject to the Occupational Safety and Health Administration (OSHA) standards for emergency response operations in 29 CFR 1910.120, including volunteers or casual laborers employed during a response who are subject to those standards pursuant to 40 CFR part 311. Hazmat employees, as defined in § 171.8 of this chapter, are subject to the training requirements in subpart H of part 172 of this chapter, including safety training.
§ 130.140 Equipment testing and exercise procedures.
(a) Testing. The plan must include a description of the methods used to ensure that equipment testing meets the manufacturer’s minimum recommendations or equivalent.
(b) Exercises. A railroad must implement and describe an exercise program for COSRPs following the National Preparedness for Response Exercise Program (PREP) Guidelines, which can be found using the search function on the USCG’s web page (https://homeport.uscg.mil). These guidelines are also available from the TASC DEPT Warehouse, 33141Q 75th Avenue, Landover, MD 20875 (fax: 301-386-5394, stock number USCG-X0241). As an alternative, a railroad choosing not to follow PREP Guidelines must have an exercise program that is equivalent to PREP. The plan must include a description of the exercise procedures and programs the railroad uses to assess whether its response plan will function as planned, including the types of exercises and their frequencies.
(c) Recordkeeping. Railroads must keep records showing the exercise dates and times, and the after action reports that accompany the response plan exercises. Railroads must provide copies of these records to Department of Transportation representatives upon request.
§ 130.145 Plan review, update, and recordkeeping procedures.
(a) For purposes of this part, copy means a hardcopy or an electronic version. Each railroad must:
(1) Maintain a copy of the complete plan at the railroad’s principal place of business;
(2) Provide a copy of the core plan and the appropriate response zone appendix to each qualified individual and alternate; and
(3) Provide a copy of the information summary to each dispatcher in response zones identified in the plan.
(b) Each railroad must include procedures to review the plan after a discharge requiring the activation of the plan in order to evaluate and record the plan’s effectiveness.
(c) Each railroad must update its plan to address new or different conditions or information. In addition, each railroad must review its plan in full at least every 5 years from the date of the last approval.
(d) If changes to the plans are made, updated copies of the plan must be provided to every individual referenced under paragraph (a) of this section.
(e) If new or different operating conditions or information would substantially affect the implementation of the response plan, the railroad must immediately modify its plan to address such a change and must submit the change to PHMSA within 90 days in accordance with § 130.111. Examples of changes in operating conditions or information that would substantially affect a railroad’s response plan are:
(1) Establishment of a new railroad route, including an extension of an existing railroad route, construction of a new track, or obtaining trackage rights over a route not covered by the previously approved plan used for trains which require a comprehensive plan in accordance with § 130.100(a);
(2) The name of the Oil Spill Removal Organization;
(3) Emergency response procedures;
(4) The qualified individual;
(5) A change in the NCP or an ACP that has significant impact on the equipment appropriate for response activities (e.g., identification of ESAs as described by § 130.115);
(6) A change in the type of oil transported, if the type affects the required response resources (e.g., a change from crude oil to gasoline); and
(7) Any other information relating to circumstances that may affect full implementation of the plan.
(f) If PHMSA determines that a change to a response plan does not meet the requirements of this part, PHMSA will notify the operator of any alleged deficiencies, and provide the railroad with an opportunity to respond – including an opportunity for an informal conference – to any proposed plan revisions, as well as an opportunity to correct any deficiencies.
(g) A railroad that disagrees with a determination that proposed revisions to a plan are deficient may petition PHMSA for reconsideration within 30 days from the date of receipt of PHMSA’s notice. After considering all relevant material presented in writing or at an informal conference, PHMSA will notify the railroad of its final decision. The railroad must comply with the final decision within 30 days of issuance, unless PHMSA allows additional time.
§ 130.150 Approval and submission procedures.
(a) Each railroad must submit an electronic copy in an industry standard format (e.g., Adobe Acrobat, Microsoft Word, or hypertext markup language (HTML)) of the COSRP required by this part. Copies of the response plan must be submitted via commercial carrier to: Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, East Building, 2nd Floor, 1200 New Jersey Avenue SE, Washington, DC 20590-0001. Alternatively, the railroad may arrange for secure electronic transfer of the file to PHMSA or email a copy of the plan to [email protected].
(b) If PHMSA determines that a response plan requiring approval does not meet all the requirements of this part, PHMSA will notify the railroad of any alleged deficiencies and provide the railroad an opportunity to respond – including the opportunity for an informal conference – to any proposed plan revisions, as well as an opportunity to correct any deficiencies.
(c) A railroad that disagrees with PHMSA’s determination that a plan contains alleged deficiencies may petition PHMSA for reconsideration within 30 days from the date of receipt of PHMSA’s notice. After considering all relevant material presented in writing or at an informal conference, PHMSA will notify the operator of its final decision. The railroad must comply with the final decision within 30 days of issuance, unless PHMSA allows additional time.
(d) PHMSA will approve the response plan if PHMSA determines that the response plan meets all requirements of this part. PHMSA may consult with the U.S. Environmental Protection Agency (EPA) or the U.S. Coast Guard (USCG), allowing a Federal On-Scene Coordinator (OSC) to identify concerns regarding a plan’s compliance with the statutory and regulatory requirements.
(e) If PHMSA receives a request from a Federal OSC to review a response plan, PHMSA will give a copy of the response plan to the Federal OSC provided that any requests for the plan are referred to PHMSA. PHMSA may consider Federal OSC comments on: Response techniques; protecting fish, wildlife and environmentally sensitive environments; and consistency with the ACP. PHMSA remains the approving authority for the response plan.
(f) A railroad may ask for confidential treatment in accordance with the procedures in § 105.30 of this chapter.
§ 130.155 Implementation of comprehensive oil spill response plans.
If, during transportation of oil subject to this subpart, a discharge of oil occurs – into or on the navigable waters; on the adjoining shorelines to the navigable waters; or that may affect natural resources belonging to, appertaining to, or under the exclusive management authority of, the United States – the person transporting the oil must implement the plan required by § 130.100 in a manner consistent with the National Contingency Plan, 40 CFR part 300, or as otherwise directed by the Federal On-Scene Coordinator.
SUBCHAPTER C – HAZARDOUS MATERIALS REGULATIONS
PART 171 – GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
Subpart A – Applicability, General Requirements, and North American Shipments
§ 171.1 Applicability of Hazardous Materials Regulations (HMR) to persons and functions.
Federal hazardous materials transportation law (49 U.S.C. 5101 et seq.) directs the Secretary of Transportation to establish regulations for the safe and secure transportation of hazardous materials in commerce, as the Secretary considers appropriate. The Secretary is authorized to apply these regulations to persons who transport hazardous materials in commerce. In addition, the law authorizes the Secretary to apply these regulations to persons who cause hazardous materials to be transported in commerce. The law also authorizes the Secretary to apply these regulations to persons who manufacture or maintain a packaging or a component of a packaging that is represented, marked, certified, or sold as qualified for use in the transportation of a hazardous material in commerce. Federal hazardous material transportation law also applies to anyone who indicates by marking or other means that a hazardous material being transported in commerce is present in a package or transport conveyance when it is not, and to anyone who tampers with a package or transport conveyance used to transport hazardous materials in commerce or a required marking, label, placard, or shipping description. Regulations prescribed in accordance with Federal hazardous materials transportation law shall govern safety aspects, including security, of the transportation of hazardous materials that the Secretary considers appropriate. In 49 CFR 1.53, the Secretary delegated authority to issue regulations for the safe and secure transportation of hazardous materials in commerce to the Pipeline and Hazardous Materials Safety Administrator. The Administrator issues the Hazardous Materials Regulations (HMR; 49 CFR parts 171 through 180) under that delegated authority. This section addresses the applicability of the HMR to packagings represented as qualified for use in the transportation of hazardous materials in commerce and to pre-transportation and transportation functions.
(a) Packagings. Requirements in the HMR apply to each person who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests a packaging or a component of a packaging that is represented, marked, certified, or sold as qualified for use in the transportation of a hazardous material in commerce, including each person under contract with any department, agency, or instrumentality of the executive, legislative, or judicial branch of the Federal government who manufactures, fabricates, marks, maintains, reconditions, repairs, or tests a packaging or a component of a packaging that is represented, marked, certified, or sold as qualified for use in the transportation of a hazardous material in commerce.
(b) Pre-transportation functions. Requirements in the HMR apply to each person who offers a hazardous material for transportation in commerce, causes a hazardous material to be transported in commerce, or transports a hazardous material in commerce and who performs or is responsible for performing a pre-transportation function, including each person performing pre-transportation functions under contract with any department, agency, or instrumentality of the executive, legislative, or judicial branch of the Federal government. Pre-transportation functions include, but are not limited to, the following:
(1) Determining the hazard class of a hazardous material.
(2) Selecting a hazardous materials packaging.
(3) Filling a hazardous materials packaging, including a bulk packaging.
(4) Securing a closure on a filled or partially filled hazardous materials package or container or on a package or container containing a residue of a hazardous material.
(5) Marking a package to indicate that it contains a hazardous material.
(6) Labeling a package to indicate that it contains a hazardous material.
(7) Preparing a shipping paper.
(8) Providing and maintaining emergency response information.
(9) Reviewing a shipping paper to verify compliance with the HMR or international equivalents.
(10) For each person importing a hazardous material into the United States, providing the shipper with timely and complete information as to the HMR requirements that will apply to the transportation of the material within the United States.
(11) Certifying that a hazardous material is in proper condition for transportation in conformance with the requirements of the HMR.
(12) Loading, blocking, and bracing a hazardous materials package in a freight container or transport vehicle.
(13) Segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo.
(14) Selecting, providing, or affixing placards for a freight container or transport vehicle to indicate that it contains a hazardous material.
(c) Transportation functions. Requirements in the HMR apply to transportation of a hazardous material in commerce and to each person who transports a hazardous material in commerce, including each person under contract with any department, agency, or instrumentality of the executive, legislative, or judicial branch of the Federal government who transports a hazardous material in commerce. Transportation of a hazardous material in commerce begins when a carrier takes physical possession of the hazardous material for the purpose of transporting it and continues until the package containing the hazardous material is delivered to the destination indicated on a shipping document, package marking, or other medium, or, in the case of a rail car, until the car is delivered to a private track or siding. For a private motor carrier, transportation of a hazardous material in commerce begins when a motor vehicle driver takes possession of a hazardous material for the purpose of transporting it and continues until the driver relinquishes possession of the package containing the hazardous material at its destination and is no longer responsible for performing functions subject to the HMR with respect to that particular package. Transportation of a hazardous material in commerce includes the following:
(1) Movement. Movement of a hazardous material by rail car, aircraft, motor vehicle, or vessel (except as delegated by Department of Homeland Security Delegation No. 0170 at 2(103)).
(2) Loading incidental to movement of a hazardous material. Loading of packaged or containerized hazardous material onto a transport vehicle, aircraft, or vessel for the purpose of transporting it, including blocking and bracing a hazardous materials package in a freight container or transport vehicle, and segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo, when performed by carrier personnel or in the presence of carrier personnel. For a bulk packaging, loading incidental to movement is filling the packaging with a hazardous material for the purpose of transporting it when performed by carrier personnel or in the presence of carrier personnel (except as delegated by Department of Homeland Security Delegation No. 0170 at 2(103)), including transloading.
(3) Unloading incidental to movement of a hazardous material. Removing a package or containerized hazardous material from a transport vehicle, aircraft, or vessel; or for a bulk packaging, emptying a hazardous material from the bulk packaging after the hazardous material has been delivered to the consignee when performed by carrier personnel or in the presence of carrier personnel or, in the case of a private motor carrier, while the driver of the motor vehicle from which the hazardous material is being unloaded immediately after movement is completed is present during the unloading operation. (Emptying a hazardous material from a bulk packaging while the packaging is on board a vessel is subject to separate regulations as delegated by Department of Homeland Security Delegation No. 0170 at 2(103).) Unloading incidental to movement includes transloading.
(4) Storage incidental to movement of a hazardous material. Storage of a transport vehicle, freight container, or package containing a hazardous material by any person between the time that a carrier takes physical possession of the hazardous material for the purpose of transporting it until the package containing the hazardous material has been delivered to the destination indicated on a shipping document, package marking, or other medium, or, in the case of a private motor carrier, between the time that a motor vehicle driver takes physical possession of the hazardous material for the purpose of transporting it until the driver relinquishes possession of the package at its destination and is no longer responsible for performing functions subject to the HMR with respect to that particular package.
(i) Storage incidental to movement includes –
(A) Storage at the destination shown on a shipping document, including storage at a transloading facility, provided the original shipping documentation identifies the shipment as a through-shipment and identifies the final destination or destinations of the hazardous material; and
(B) A rail car containing a hazardous material that is stored on track that does not meet the definition of “private track or siding” in § 171.8, even if the car has been delivered to the destination shown on the shipping document.
(ii) Storage incidental to movement does not include storage of a hazardous material at its final destination as shown on a shipping document.
(d) Functions not subject to the requirements of the HMR. The following are examples of activities to which the HMR do not apply:
(1) Storage of a freight container, transport vehicle, or package containing a hazardous material at an offeror facility prior to a carrier taking possession of the hazardous material for movement in transportation in commerce or, for a private motor carrier, prior to a motor vehicle driver taking physical possession of the hazardous material for movement in transportation in commerce.
(2) Unloading of a hazardous material from a transport vehicle or a bulk packaging performed by a person employed by or working under contract to the consignee following delivery of the hazardous material by the carrier to its destination and departure from the consignee’s premises of the carrier’s personnel or, in the case of a private carrier, departure of the driver from the unloading area.
(3) Storage of a freight container, transport vehicle, or package containing a hazardous material after its delivery by a carrier to the destination indicated on a shipping document, package marking, or other medium, or, in the case of a rail car, storage of a rail car on private track.
(4) Rail and motor vehicle movements of a hazardous material exclusively within a contiguous facility boundary where public access is restricted, except to the extent that the movement is on or crosses a public road or is on track that is part of the general railroad system of transportation, unless access to the public road is restricted by signals, lights, gates, or similar controls.
(5) Transportation of a hazardous material in a motor vehicle, aircraft, or vessel operated by a Federal, state, or local government employee solely for noncommercial Federal, state, or local government purposes.
(6) Transportation of a hazardous material by an individual for non-commercial purposes in a private motor vehicle, including a leased or rented motor vehicle.
(7) Any matter subject to the postal laws and regulations of the United States.
(e) Requirements of other Federal agencies. Each facility at which pre-transportation or transportation functions are performed in accordance with the HMR may be subject to applicable standards and regulations of other Federal agencies.
(f) Requirements of state and local government agencies. (1) Under 49 U.S.C. 5125, a requirement of a state, political subdivision of a state, or an Indian tribe is preempted, unless otherwise authorized by another Federal statute or DOT issues a waiver of preemption, if –
(i) Complying with both the non-Federal requirement and Federal hazardous materials transportation law, the regulations issued under Federal hazardous material transportation law or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security is not possible;
(ii) The non-Federal requirement, as applied or enforced, is an obstacle to accomplishing and carrying out Federal hazardous materials transportation law, the regulations issued under Federal hazardous material transportation law, or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security;
(iii) The non-Federal requirement is not substantively the same as a provision of Federal hazardous materials transportation law, the regulations issued under Federal hazardous material transportation law, or a hazardous material transportation security regulation or directive issued by the Secretary of Homeland Security with respect to –
(A) The designation, description, and classification of hazardous material;
(B) The packing, repacking, handling, labeling, marking, and placarding of hazardous material;
(C) The preparation, execution, and use of shipping documents related to hazardous material and requirements related to the number, contents, and placement of those documents;
(D) The written notification, recording, and reporting of the unintentional release of hazardous material; or
(E) The design, manufacturing, fabricating, marking, maintenance, reconditioning, repairing, or testing of a package or container represented, marked, certified, or sold as qualified for use in transporting hazardous material.
(iv) A non-Federal designation, limitation or requirement on highway routes over which hazardous material may or may not be transported does not comply with the regulations in subparts C and D of part 397 of this title; or
(v) A fee related to the transportation of a hazardous material is not fair or is used for a purpose that is not related to transporting hazardous material, including enforcement and planning, developing, and maintaining a capability for emergency response.
(2) Subject to the limitations in paragraph (f)(1) of this section, each facility at which functions regulated under the HMR are performed may be subject to applicable laws and regulations of state and local governments and Indian tribes.
(3) The procedures for DOT to make administrative determinations of preemption are set forth in subpart E of part 397 of this title with respect to non-Federal requirements on highway routing (paragraph (f)(1)(iv) of this section) and in subpart C of part 107 of this chapter with respect to all other non-Federal requirements.
(g) Penalties for noncompliance. Each person who knowingly violates a requirement of the Federal hazardous material transportation law, an order issued under Federal hazardous material transportation law, subchapter A of this chapter, or a special permit or approval issued under subchapter A or C of this chapter is liable for a civil penalty of not more than $84,425 for each violation, except the maximum civil penalty is $196,992 if the violation results in death, serious illness, or severe injury to any person or substantial destruction of property. There is no minimum civil penalty, except for a minimum civil penalty of $508 for a violation relating to training.
§ 171.2 General requirements.
(a) Each person who performs a function covered by this subchapter must perform that function in accordance with this subchapter.
(b) Each person who offers a hazardous material for transportation in commerce must comply with all applicable requirements of this subchapter, or an exemption or special permit, approval, or registration issued under this subchapter or under subchapter A of this chapter. There may be more than one offeror of a shipment of hazardous materials. Each offeror is responsible for complying with the requirements of this subchapter, or an exemption or special permit, approval, or registration issued under this subchapter or subchapter A of this chapter, with respect to any pre-transportation function that it performs or is required to perform; however, each offeror is responsible only for the specific pre-transportation functions that it performs or is required to perform, and each offeror may rely on information provided by another offeror, unless that offeror knows or, a reasonable person, acting in the circumstances and exercising reasonable care, would have knowledge that the information provided by the other offeror is incorrect.
(c) Each person who performs a function covered by or having an effect on a specification or activity prescribed in part 178, 179, or 180 of this subchapter, an approval issued under this subchapter, or an exemption or special permit issued under subchapter A of this chapter, must perform the function in accordance with that specification, approval, an exemption or special permit, as appropriate.
(d) No person may offer or accept a hazardous material for transportation in commerce or transport a hazardous material in commerce unless that person is registered in conformance with subpart G of part 107 of this chapter, if applicable.
(e) No person may offer or accept a hazardous material for transportation in commerce unless the hazardous material is properly classed, described, packaged, marked, labeled, and in condition for shipment as required or authorized by applicable requirements of this subchapter or an exemption or special permit, approval, or registration issued under this subchapter or subchapter A of this chapter.
(f) No person may transport a hazardous material in commerce unless the hazardous material is transported in accordance with applicable requirements of this subchapter, or an exemption or special permit, approval, or registration issued under this subchapter or subchapter A of this chapter. Each carrier who transports a hazardous material in commerce may rely on information provided by the offeror of the hazardous material or a prior carrier, unless the carrier knows or, a reasonable person, acting in the circumstances and exercising reasonable care, would have knowledge that the information provided by the offeror or prior carrier is incorrect.
(g) No person may represent, mark, certify, sell, or offer a packaging or container as meeting the requirements of this subchapter governing its use in the transportation of a hazardous material in commerce unless the packaging or container is manufactured, fabricated, marked, maintained, reconditioned, repaired, and retested in accordance with the applicable requirements of this subchapter. No person may represent, mark, certify, sell, or offer a packaging or container as meeting the requirements of an exemption, a special permit, approval, or registration issued under this subchapter or subchapter A of this chapter unless the packaging or container is manufactured, fabricated, marked, maintained, reconditioned, repaired, and retested in accordance with the applicable requirements of the exemption, special permit, approval, or registration issued under this subchapter or subchapter A of this chapter. The requirements of this paragraph apply whether or not the packaging or container is used or to be used for the transportation of a hazardous material.
(h) The representations, markings, and certifications subject to the prohibitions of paragraph (g) of this section include:
(1) Specification identifications that include the letters “ICC”, “DOT”, “TC”, “CTC”, “CRC”, “BTC”, “MC”, or “UN”;
(2) Exemption, special permit, approval, and registration numbers that include the letters “DOT”, “EX”, “M”, or “R”; and
(3) Test dates associated with specification, registration, approval, retest, exemption, or special permit markings indicating compliance with a test or retest requirement of the HMR, or an exemption, special permit, approval, or registration issued under the HMR or under subchapter A of this chapter.
(i) No person may certify that a hazardous material is offered for transportation in commerce in accordance with the requirements of this subchapter unless the hazardous material is properly classed, described, packaged, marked, labeled, and in condition for shipment as required or authorized by applicable requirements of this subchapter or an exemption or special permit, approval, or registration issued under this subchapter or subchapter A of this chapter. Each person who offers a package containing a hazardous material for transportation in commerce in accordance with the requirements of this subchapter or an exemption or special permit, approval, or registration issued under this subchapter or subchapter A of this chapter, must assure that the package remains in condition for shipment until it is in the possession of the carrier.
(j) No person may, by marking or otherwise, represent that a container or package for transportation of a hazardous material is safe, certified, or in compliance with the requirements of this chapter unless it meets the requirements of all applicable regulations issued under Federal hazardous material transportation law.
(k) No person may, by marking or otherwise, represent that a hazardous material is present in a package, container, motor vehicle, rail car, aircraft, or vessel if the hazardous material is not present.
(l) No person may alter, remove, deface, destroy, or otherwise unlawfully tamper with any marking, label, placard, or description on a document required by Federal hazardous material transportation law or the regulations issued under Federal hazardous material transportation law. No person may alter, deface, destroy, or otherwise unlawfully tamper with a package, container, motor vehicle, rail car, aircraft, or vessel used for the transportation of hazardous materials.
(m) No person may falsify or alter an exemption or special permit, approval, registration, or other grant of authority issued under this subchapter or subchapter A of this chapter. No person may offer a hazardous material for transportation or transport a hazardous material in commerce under an exemption or special permit, approval, registration or other grant of authority issued under this subchapter or subchapter A of this chapter if such grant of authority has been altered without the consent of the issuing authority. No person may represent, mark, certify, or sell a packaging or container under an exemption or special permit, approval, registration or other grant of authority issued under this subchapter or subchapter A of this chapter if such grant of authority has been altered without the consent of the issuing authority.
§ 171.3 Hazardous waste.
(a) No person may offer for transportation or transport a hazardous waste (as defined in § 171.8 of this subchapter) in interstate or intrastate commerce except in accordance with the requirements of this subchapter.
(b) No person may accept for transportation, transport, or deliver a hazardous waste for which a manifest is required unless that person:
(1) Has marked each motor vehicle used to transport hazardous waste in accordance with § 390.21 of this title even though placards may not be required;
(2) Complies with the requirements for manifests set forth in § 172.205 of this subchapter; and
(3) Delivers, as designated on the manifest by the generator, the entire quantity of the waste received from the generator or a transporter to:
(i) The designated facility or, if not possible, to the designated alternate facility;
(ii) The designated subsequent carrier; or
(iii) A designated place outside the United States.
Federal law specifies penalties up to $250,000 fine for an individual and $500,000 for a company and 5 years imprisonment for the willful discharge of hazardous waste at other than designated facilities. 49 U.S.C. 5124.
(c) If a discharge of hazardous waste or other hazardous material occurs during transportation, and an official of a 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 prevent further consequence, that official may authorize the removal of the waste without the preparation of a manifest. [
EPA requires shippers (generators) and carriers (transporters) of hazardous wastes to have identification numbers which must be displayed on hazardous waste manifests. See 40 CFR parts 262 and 263. (Identification number application forms may be obtained from EPA regional offices.)
In 40 CFR part 263, the EPA sets forth requirements for the cleanup of releases of hazardous wastes.
§ 171.4 Marine pollutants.
(a) Except as provided in paragraph (c) of this section, no person may offer for transportation or transport a marine pollutant, as defined in § 171.8, in intrastate or interstate commerce except in accordance with the requirements of this subchapter.
(b) The requirements of this subchapter for the transportation of marine pollutants are based on the provisions of Annex III of the 1973 International Convention for Prevention of Pollution from Ships, as modified by the Protocol of 1978 (MARPOL 73/78).
(c) Exceptions. (1) Except when all or part of the transportation is by vessel, the requirements of this subchapter specific to marine pollutants do not apply to non-bulk packagings transported by motor vehicle, rail car or aircraft.
(2) Single or combination packagings containing a net quantity per single or inner packaging of 5 L or less for liquids or having a net mass of 5 kg or less for solids, are not subject to any other requirements of this subchapter provided the packagings meet the general requirements in §§ 173.24 and 173.24a. This exception does not apply to marine pollutants that are a hazardous waste or a hazardous substance. In the case of marine pollutants also meeting the criteria for inclusion in another hazard class, all provisions of this subchapter relevant to any additional hazards continue to apply.
§ 171.6 Control numbers under the Paperwork Reduction Act.
(a) Purpose and scope. This section collects and displays the control numbers assigned to the HMR collections of information by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995. This section complies with the requirements of 5 CFR 1320.7(f), 1320.12, 1320.13 and 1320.14 (OMB regulations implementing the Paperwork Reduction Act of 1995) for the display of control numbers assigned by OMB to collections of information of the HMR.
(b) OMB control numbers. The table in paragraph (b)(2) of this section sets forth the control numbers assigned to collection of information in the HMR by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995.
(1) Column 1 lists the OMB control number assigned to the HMR collections of information. Column 2 contains the Report Title of the approved collection of information. Column 3 lists the part(s) or section(s) in 49 CFR identified or described in the collection of information.
(2) Table.
| Current OMB control No. | Title | Title 49 CFR part or section where identified and described |
|---|---|---|
| 2137-0014 | Cargo Tank Specification Requirements | §§ 107.503, 107.504, 178.320, 178.337, 178.338, 178.345, 180.407, 180.409, 180.413, 180.417. |
| 2137-0018 | Inspection and Testing of Portable Tanks and Intermediate Bulk Containers | §§ 173.24, 173.32, 178.3, 178.255, 178.273, 178.274, 178.703, 178.801, 180.352, 180.605. |
| 2137-0022 | Testing, Inspection, and Marking Requirements for Cylinders | §§ 173.5b, 173.302a, 173.303, 173.304, 173.309, 178.2, 178.3, 178.35, 178.44, 178.45, 178.46, 178.57, 178.59, 178.60, 178.61, 178.68, 180.205, 180.207, 180.209, 180.211, 180.213, 180.215, 180.217, appendix C to part 180. |
| 2137-0034 | Hazardous Materials Shipping Papers and Emergency Response Information | §§ 172.200, 172.201, 172.202, 172.203, 172.204, 172.505, 172.600, 172.602, 172.604, 172.606, 173.6, 173.7, 173.22, 173.56, 174.24, 174.26, 174.114, 175.30, 175.31, 175.33, 176.24, 176.27, 176.30, 176.36, 176.89, 177.817. |
| 2137-0039 | Hazardous Materials Incidents Reports | §§ 171.15, 171.16, 171.21. |
| 2137-0051 | Rulemaking and Special Permit Petitions | §§ 105.30, 105.40, 106.95, 106.110, 107.105, 107.107, 107.109, 107.113, 107.117, 107.121, 107.123, 107.125, 107.205, 107.211, 107.215, 107.217, 107.219, 107.221, 107.223. |
| 2137-0510 | RAM Transportation Requirements | Part 173, subpart I, §§ 173.22, 173.411, 173.415, 173.416, 173.417, 173.457, 173.471, 173.472, 173.473, 173.476. |
| 2137-0542 | Flammable Cryogenic Liquids | §§ 173.318, 177.816, 177.840, 180.405. |
| 2137-0557 | Approvals for Hazardous Materials | §§ 107.402, 107.403, 107.405, 107.502, 107.503, 107.705, 107.713, 107.715, 107.717, 107.803, 107.805, 107.807, 110.30, 172.101, 172.102, Special Provisions 19, 26, 53, 55, 60, 105, 118, 121, 125, 129, 131, 133, 136, B45, B55, B61, B69, B77, B81, N10, N72, 173.2a, 173.4, 173.7, 173.21, 173.22, 173.24, 173.31, 173.38, 173.51, 173.56, 173.58, 173.59, 173.124, 173.128, 173.159, 173.166, 173.171, 173.214, 173.222, 173.224, 173.225, 173.245, 173.301, 173.305, 173.306, 173.314, 173.315, 173.316, 173.318, 173.334, 173.340, 173.411, 173.433, 173.457, 173.471, 173.472, 173.476, 174.50, 174.63, 175.8, 175.85, 175.701, 175.703, 176.168, 176.340, 176.704, 178.3, 178.35, 178.47, 178.53, 178.273, 178.274, 178.503, 178.509, 178.605, 178.606, 178.608, 178.801, 178.813, 180.213. |
| 2137-0559 | (Rail Carriers and Tank Car Tank Requirements) Requirements for Rail Tank Car Tanks – Transportation of Hazardous Materials by Rail. | §§ 172.102, Special provisions: B45, B46, B55, B61, B69, B77, B78, B81; 173.10, 173.31, 174.20, 174.50, 174.63, 174.104, 174.114, 174.204, 179.3, 179.4, 179.5, 179.6, 179.7, 179.11, 179.18, 179.22, 179.100-9, 179.100-12, 179.100-13, 179.100-16, 179.100-17, 179.102-4, 179.102-17, 179.103-1, 179.103-2, 179.103-3, 179.103-5, 179.200-10, 179.200-14, 179.200-15, 179.200-16, 179.200-17, 179.200-19, 179.201-3, 179.201-8, 179.201-9, 179.220-4, 179.220-7, 179.220-8, 179.220-13, 179.220-15, 179.220-17, 179.220-18, 179.220-20, 179.220-22, 179.300-3, 179.300-7, 179.300-9, 179.300-12, 179.300-13, 179.300-15, 179.300-20, 179.400-3, 179.400-4, 179.400-11, 179.400-13, 179.400-16, 179.400-17, 179.400-19, 179.400-20, 179.500-5, 179.500-8, 179.500-12, 179.500-18, 180.505, 180.509, 180.515, 180.517. |
| 2137-0572 | Testing requirements for non-bulk packages | §§ 173.168, 178.2, 178.601, appendix C to part 178, appendix D to part 178. |
| 2137-0582 | Container Certification Statement | §§ 176.27, 176.172. |
| 2137-0586 | Hazardous Materials Public Sector Training and Planning Grants | Part 110. |
| 2137-0591 | Response Plans for Shipments of Oil | Part 130. |
| 2137-0595 | Cargo Tank Motor Vehicles in Liquefied Compressed Gas Service | §§ 173.315, 178.337-8, 178.337-9, 180.405, 180.416. |
| 2137-0612 | Hazardous Materials Security Plans | Part 172, subpart I, §§ 172.800, 172.802, 172.804. |
| 2137-0613 | Subsidiary Hazard Class and Number/Type of Packagings | §§ 172.202, 172.203 |
| 2137-0620 | Inspection and Testing of Meter Provers | Part 173, subpart A, § 173.5a. |
| 2137-0621 | Requirements for United Nations (UN) Cylinders | §§ 173.301, 173.304, 173.304b, 178.69, 178.70, 178.74, 178.75, 180.207, 180.209, 180.212, 180.215, 180.217. |
§ 171.7 Reference material.
(a) Matter incorporated by reference – (1) General. Certain material is incorporated by reference into subchapters A, B, and C with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, PHMSA must publish a document in the
(2) Accessibility of materials. All incorporated matter is available for inspection at:
(i) The Office of Hazardous Materials Safety, Office of Hazardous Materials Standards, East Building, PHH-10, 1200 New Jersey Avenue SE., Washington, DC 20590-0001. For information on the availability of this material at PHH-10, call 1-800-467-4922, or go to: http://www.phmsa.dot.gov; and
(ii) The National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email [email protected], or go to www.archives.gov/federal-register/cfr/ibr-locations.html.
(b) Air Transport Association of America, 1301 Pennsylvania Avenue NW., Washington, DC 20004-1707.
(1) ATA Specification No. 300 Packaging of Airline Supplies, Revision 19, July 31, 1996, into § 172.102.
(2) [Reserved]
(c) The Aluminum Association, 1525 Wilson Blvd., Suite 6000, Arlington, VA 22209, telephone 703-358-2960, http://www.aluminum.org.
(1) Aluminum Standards and Data, Seventh Edition, June 1982, into §§ 172.102; 178.65.
(2) Welding Aluminum: Theory and Practice, 2002 Fourth Edition, into § 178.68.
(d) American National Standards Institute, Inc., 25 West 43rd Street, New York, NY 10036.
(1) ANSI/ASHRAE 15-94, Safety Code for Mechanical Refrigeration, 1944, into §§ 173.306; 173.307.
(2) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 1971 Edition, into §§ 173.417; 173.420.
(3) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 1982 Edition, into §§ 173.417; 173.420.
(4) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 1987 Edition, into §§ 173.417; 173.420.
(5) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 1990 Edition, into §§ 173.417; 173.420.
(6) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 1995 Edition, into §§ 173.417; 173.420.
(7) ANSI N14.1 Uranium Hexafluoride – Packaging for Transport, 2001 Edition, into §§ 173.417; 173.420.
(e) American Petroleum Institute, 1220 L Street NW., Washington, DC 20005-4070.
(1) API Recommended Practice Closures of Underground Petroleum Storage Tanks, 3rd Edition, March 1996, into § 172.102.
(2) [Reserved]
(f) American Pyrotechnics Association (APA), P.O. Box 30438, Bethesda, MD 20824, (301) 907-8181, www.americanpyro.com.
(1) APA 87-1A: Standard for the Construction, Classification, Approval and Transportation of Consumer Fireworks, final draft January 1, 2018 (excluding appendices II through VI), into §§ 107.402(d); 173.59; 173.64; and 173.65.
(2) APA 87-1B: Standard for the Construction, Classification, Approval, and Transportation of Display Fireworks, final draft January 1, 2018 (excluding appendices II through IV), into § 173.64.
(3) APA 87-1C: Standard for the Construction, Classification, Approval, and Transportation of Entertainment Industry and Technical (EI&T) Pyrotechnics, final draft January 1, 2018 (excluding appendices II through IV), into § 173.64.
(g) The American Society of Mechanical Engineers (ASME), 150 Clove Road, Little Falls, NJ 07424-2139, telephone: 1-800-843-2763, http://www.asme.org.
(1) ASME Boiler and Pressure Vessel Code (ASME Code), 2017 Edition, July 1, 2017 (as follows), into §§ 172.102; 173.3; 173.5b; 173.24b; 173.306; 173.315; 173.318; 173.420; 178.255-1; 178.255-2; 178.255-14; 178.255-15; 178.273; 178.274; 178.276; 178.277; 178.320; 178.337-1; 178.337-2; 178.337-3; 178.337-4; 178.337-6; 178.337-16; 178.337-18; 178.338-1; 178.338-2; 178.338-3; 178.338-4; 178.338-5; 178.338-6; 178.338-13; 178.338-16; 178.338-18; 178.338-19; 178.345-1; 178.345-2; 178.345-3; 178.345-4; 178.345-7; 178.345-14; 178.345-15; 178.346-1; 178.347-1; 178.348-1; 179.400-3; 180.407:
(i) ASME BPVC.II.A-2017 (vols. 1 and 2), Section II – Materials – Part A – Ferrous Materials Specifications.
(ii) ASME BPVC.II.B-2017, Section II – Materials – Part B – Nonferrous Material Specifications.
(iii) ASME BPVC.V-2017, Section V – Nondestructive Examination.
(iv) ASME BPVC.VIII.1-2017, Section VIII – Rules for Construction of Pressure Vessels Division 1.
(v) ASME BPVC.IX-2017, Section IX – Qualification Standard for Welding, Brazing, and Fusing Procedures; Welders; Brazers; and Welding, Brazing, and Fusing Operators.
The requirement for a 6% knuckle radius on torispherical heads are excepted.
(2) ASME B31.4-2012, Pipeline Transportation Systems for Liquids and Slurries, November 12, 2012, into § 173.5a.
(h) ASTM International, 100 Barr Harbor Drive, West Conshohocken, PA 1942, telephone (610) 832-9585, http://www.astm.org. Copies of historical standards or standards that ASTM does not have may be purchased from: Engineering Societies Library, 354 East 47th Street, New York, NY 10017.
(1) ASTM A 20/A 20M-93a Standard Specification for General Requirements for Steel Plates for Pressure Vessels, 1993, into §§ 178.337-2; 179.102-4; 179.102-1; 179.102-17.
(2) ASTM A 47-68 Malleable Iron Castings, 1968, into § 179.200-15.
(3) ASTM A 53/A 53M-06a (ASTM A 53) Standard Specification for Pipe, Steel, Black and Hot-Dipped, Zinc-Coated, Welded and Seamless, 2006, into § 173.5b.
(4) ASTM A 106/A 106M-06a (ASTM A 106) Standard Specification for Seamless Carbon Steel Pipe for High-Temperature Service, 2006, into § 173.5b.
(5) ASTM A 240/A 240M-99b Standard Specification for Heat-Resisting Chromium and Chromium-Nickel Stainless Steel Plate, Sheet and Strip for Pressure Vessels, 1999, into §§ 178.57; 178.358-5; 179.100-7; 179.100-10; 179.102-1; 179.102-4; 179.102-17; 179.200-7; 179.201-5; 179.220-7; 179.300-7; 179.400-5.
(6) ASTM A 242-81 Standard Specification for High-Strength Low-Alloy Structural Steel, 1981, into § 178.338-2.
(7) ASTM A 262-93a Standard Practices for Detecting Susceptibility to Intergranular Attack in Austenitic Stainless Steels, 1993, into 179.100-7; 179.200-7; 179.201-4.
(8) ASTM A 285-78 Pressure Vessel Plates, Carbon Steel, Low- and Intermediate-Tensile Strength, 1978, into § 179.300-7.
(9) ASTM A 300-58 Steel Plates for Pressure Vessels for Service at Low Temperatures, 1958, into § 178.337-2.
(10) ASTM A 302/A 302M-93 Standard Specification for Pressure Vessel Plates, Alloy Steel, Manganese-Molybdenum and Manganese-Molybdenum Nickel, 1993, into § 179.100-7; 179.200-7; 179.220-7.
(11) ASTM A 333-67 Seamless and Welded Steel Pipe for Low-Temperature Service, 1967, into § 178.45.
(12) ASTM A 370-94 Standard Test 179.102-1; 179.102-4; Methods and Definitions for Mechanical Testing of Steel Products, 1994, into §§ 179.102-17; 179.102-1; 179.102-4.
(13) ASTM A 441-81 Standard Specification for High-Strength Low-Alloy Structural Manganese Vanadium Steel, 1981, into § 178.338-2.
(14) ASTM A 514-81 Standard Specification for High-Yield Strength Quenched and Tempered Alloy Steel Plate, Suitable for Welding, 1981, into § 178.338-2.
(15) ASTM A 515/A 515M-03 Standard Specification for Pressure Vessel Plates, Carbon Steel, for Intermediate- and Higher-Temperature Service, 2003, into § 179.300-7.
(16) ASTM A 516/A 516M-90 Standard Specification for Pressure Vessel Plates, Carbon Steel, for Moderate and Lower-Temperature Service, 1990, into § 178.337-2; 179.100-7; 179.102-1; 179.102-2; 179.102-4; 179.102-17; 179.200-7; 179.220-7; 179.300-7.
(17) ASTM A 537/A 537M-91 Standard Specification for Pressure Vessel Plates, Heat-Treated, Carbon-Manganese-Silicon Steel, 1991, into § 179.100-7; 179.102-4; 179.102-17.
(18) ASTM A 572-82 Standard Specification for High-Strength Low-Alloy Columbian-Vanadium Steels of Structural Quality, 1982, into § 178.338-2.
(19) ASTM A 588-81 Standard Specification for High-Strength Low-Alloy Structural Steel with 50 Ksi Minimum Yield Point to 4 in. Thick, 1981, into § 178.338-2.
(20) ASTM A 606-75 Standard Specification for Steel Sheet and Strip Hot-Rolled and Cold-Rolled, High-Strength, Low-Alloy, with Improved Atmospheric Corrosion Resistance, 1975 (Reapproved 1981), into § 178.338-2.
(21) ASTM A 607-98 Standard Specification for Steel, Sheet and Strip, High-Strength, Low-Alloy, Columbium or Vanadium, or Both, Hot-Rolled and Cold-Rolled, 1998, into § 178.338-2.
(22) ASTM A 612-72a High Strength Steel Plates for Pressure Vessels for Moderate and Lower Temperature Service, 1972, into § 178.337-2.
(23) ASTM A 633-79a Standard Specification for Normalized High-Strength Low-Alloy Structural Steel, 1979 Edition, into § 178.338-2.
(24) ASTM A 715-81 Standard Specification for Steel Sheet and Strip, Hot-Rolled, High-Strength, Low-Alloy with Improved Formability, 1981, into § 178.338-2.
(25) ASTM A 1008/A 1008M-03 Standard Specification for Steel, Sheet, Cold-Rolled, Carbon, Structural, High-Strength Low-Alloy and High Strength Low-Alloy with Improved Formability, 2003, into § 178.338-2; 178.345-2.
(26) ASTM A 1011/A 1011M-03a Standard Specification for Steel, Sheet and Strip, Hot-Rolled, Carbon, Structural, High-Strength Low Alloy and High Strength Low-Alloy with Improved Formability, 2003, into § 178.338-2; 178.345-2.
(27) ASTM B 162-93a Standard Specification for Nickel Plate, Sheet, and Strip, 1993, into § 173.249; 179.200-7.
(28) ASTM B 209-93 Standard Specification for Aluminum and Aluminum-Alloy Sheet and Plate, 1993, into § 179.100-7; 179.200-7; 179.220-7.
(29) ASTM B 221-76 Aluminum Alloy Extruded Bars, Rods, Shapes, and Tubes, 1976, into § 178.46.
(30) ASTM B 557-84 Tension Testing Wrought and Cast Aluminum and Magnesium-Alloy Products, 1984, into § 178.46.
(31) ASTM B 580-79 Standard Specification for Anodic Oxide Coatings on Aluminum, (Re-approved 2000), into § 173.316; 173.318; 178.338-17.
(32) ASTM D 56-05, Standard Test Method for Flash Point by Tag Closed Cup Tester, approved May 1, 2005, into § 173.120.
(33) ASTM D 86-07a, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure, approved April 1, 2007, into § 173.121.
(34) ASTM D 93-08, Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester, approved October 15, 2008, into § 173.120.
(35) ASTM D 1078-05, Standard Test Method for Distillation Range of Volatile Organic Liquids, approved May 15, 2005, into § 173.121.
(36) ASTM D 1238-90b Standard Test Method for Flow Rates of Thermoplastics for Extrusion Plastometer, 1990, into § 173.225.
(37) ASTM D 1709-01 Standard Test Methods for Impact Resistance of Plastic Film by the Free-Falling Dart Method, 2001, into § 173.197.
(38) ASTM D 1835-97 Standard Specification for Liquefied Petroleum (LP) Gases, 1997, into § 180.209.
(39) ASTM D 1838-64 Copper Strip Corrosion by Liquefied Petroleum (LP) Gases, 1964, into § 173.315.
(40) ASTM D 1922-00a Standard Test Method for Propogation Tear Resistance of Plastic Film and Thin Sheeting by Pendulum Method, 2000, into § 173.197.
(41) ASTM D 3278-96 (Reapproved 2004) E1, Standard Test Methods for Flash Point of Liquids by Small Scale Closed-Cup Apparatus, approved November 1, 2004, into § 173.120.
(42) ASTM D 3828-07a, Standard Test Methods for Flash Point by Small Scale Closed Cup Tester, approved July 15, 2007, § 173.120.
(43) ASTM D 4206-96 Standard Test Method for Sustained Burning of Liquid Mixtures Using the Small Scale Open-Cup Apparatus, 1996, into § 173.120.
(44) ASTM D 4359-90 Standard Test Method for Determining Whether a Material is a Liquid or a Solid, 1990 into §§ 130.5, 171.8.
(45) ASTM D7900-13
(46) ASTM E 8-99 Standard Test Methods for Tension Testing of Metallic Materials, 1999, into § 178.36; 178.37; 178.38; 178.39; 178.44; 178.45; 178.50; 178.51; 178.53; 178.55; 178.56; 178.57; 178.58; 178.59; 178.60; 178.61; 178.68.
(47) ASTM E 23-98 Standard Test Methods for Notched Bar Impact Testing of Metallic Materials, 1998, into § 178.57.
(48) ASTM E 112-88 Standard Test Methods for Determining Average Grain Size, 1988, into § 178.44.
(49) ASTM E 112-96 Standard Test Methods for Determining Average Grain Size, 1996 Edition, into § 178.274; part 178, appendix A.
(50) ASTM E 114-95 Standard Practice for Ultrasonic Pulse-Echo Straight-Beam Examination by the Contact Method, 1995, into § 178.45.
(51) ASTM E 213-98 Standard Practice for Ultrasonic Examination of Metal Pipe and Tubing, into § 178.45.
(52) ASTM E 290-97a Standard Test Methods for Bend Testing of Material for Ductility, published February 1998, into § 178.37.
(i) [Reserved]
(j) American Welding Society, 550 NW. Le Jeune Road, Miami, Florida 33126.
(1) AWS Code B 3.0; Standard Qualification Procedure; 1972 (FRB 3.0-41, rev. May 1973), into §§ 178.356-2, 178.358-2.
(2) AWS Code D 1.0; Code for Welding in Building Construction (FR D 1.0-66, 1966), into §§ 178.356-2; 178.358-2.
(k) Association of American Railroads, American Railroads Building, 50 F Street NW., Washington, DC 20001; telephone (877) 999-8824, http://www.aar.org/publications.com.
(1) AAR Manual of Standards and Recommended Practices, Section C – Part III, Specifications for Tank Cars, Specification M-1002, (AAR Specifications for Tank Cars), December 2000, §§ 173.31; 179.6; 179.7; 179.15; 179.16; 179.20; 179.22; 179.24; 179.100-9; 179.100-10; 179.100-12; 179.100-13; 179.100-14; 179.100-18; 179.101-1; 179.102-1; 179.102-4; 179.102-17; 179.103-5; 179.200-7; 179.200-9; 179.200-10; 179.200-11; 179.200-13; 179.200-17; 179.200-22; 179.201-6; 179.220-6; 179.220-7; 179.220-10; 179.220-11; 179.220-14; 179.220-18; 179.220-26; 179.300-9; 179.300-10; 179.300-15; 179.300-17; 179.400-5; 179.400-6; 179.400-8; 179.400-11; 179.400-12; 179.400-15; 179.400-18; 179.400-20; 179.400-25; 180.503; 180.509; 180.513; 180.515; 180.517.
(2) AAR Manual of Standards and Recommended Practices, Section C – III, Specifications for Tank Cars, Specification M-1002 (AAR Specifications for Tank Cars), Appendix E, Design Details, implemented April 2010; into §§ 179.202-9, and 179.202-12(f).
(3) AAR Manual of Standards and Recommended Practices, Section I, Specially Equipped Freight Car and Intermodal Equipment, 1988, into § 174.55; 174.63.
(4) AAR Specifications for Design, Fabrication and Construction of Freight Cars, Volume 1, 1988, into § 179.16.
(5) AAR Standard 286; AAR Manual of Standards and Recommended Practices, Section C, Car Construction Fundamentals and Details, Standard S-286, Free/Unrestricted Interchange for 286,000 lb Gross Rail Load Cars (Adopted 2002; Revised: 2003, 2005, 2006), into 179.13.
(l) Chlorine Institute, Inc., 1300 Wilson Boulevard, Arlington, VA 22209.
(1) Chlorine Institute Emergency Kit “A” for 100-lb. & 150-lb. Chlorine Cylinders, Edition 12, Revision 2, January 2014, into § 173.3.
(2) Chlorine Institute Emergency Kit “B” for Chlorine Ton Containers, Edition 11, July 2014, into § 173.3.
(3) Type 1 JQ 225, Dwg., H51970, Revision F, November 1996, into § 173.315.
(4) Type 1 JQ 225, Dwg. H50155, Revision H, November 1996, into § 173.315.
(5) Pamphlet 57, Emergency Shut-Off Systems for Bulk Transfer of Chlorine, Edition 6, June 2015, into § 177.840.
(6) Section 3, Pamphlet 166, Angle Valve Guidelines for Chlorine Bulk Transportation, 1st Edition, October 2002, into § 178.337-9.
(7) Pamphlet 168, Guidelines for Dual Valve Systems for Bulk Chlorine Transport, Edition 2, July 2015, into § 178.337-9.
(8) Standard Chlorine Angle Valve Assembly, Dwg. 104-8, July 1993, into § 178.337-9.
(9) Excess Flow Valve with Removable Seat, Dwg. 101-7, July 1993, into § 178.337-8.
(10) Excess Flow Valve with Removable Basket, Dwg. 106-6, July 1993, into § 178.337-8.
(11) Standards for Housing and Manway Covers for Steel Cargo Tanks, Dwgs. 137-1 and 137-2, September 1, 1982, into § 178.337-10.
(12) Typical Manway Arrangement Chlorine Cargo Tank, Dwg 137-5, November 1996, into 178.337-10.
(m) Canadian General Standards Board, Place du Portage III, 6B1 11 Laurier Street, Gatineau, Quebec, Canada K1A 1G6.
(1) National Standard of Canada (CAN/CGSB 43.147 – 2005) Construction, Modification, Qualification, Maintenance, and Selection and Use of Means of Containment for the Handling, Offering for Transport, or Transportation of Dangerous Goods by Rail, into § 171.12.
(2) [Reserved]
(n) Compressed Gas Association (CGA), 1235 Jefferson Davis Highway, Arlington, VA 22202.
(1) CGA C-1 – 2016, Methods for Pressure Testing Compressed Gas Cylinders, Eleventh edition, copyright 2016, into §§ 178.36, 178.37, 178.38, 178.39, 178.42, 178.44, 178.45, 178.46, 178.47; 178.50; 178.51; 178.53; 178.55; 178.56; 178.57; 178.58; 178.59; 178.60; 178.61; 178.65; 178.68; 180.205, 180.209.
(2) CGA C-3 – 2005 (Reaffirmed 2011), Standards for Welding on Thin-Walled Steel Cylinders, Seventh edition, copyright 2005, into §§ 178.47; 178.50; 178.51; 178.53; 178.55; 178.56; 178.57; 178.58; 178.59; 178.60; 178.61; 178.65; 178.68; 180.211.
(3) CGA C-5, Cylinder Service Life – Seamless Steel High Pressure Cylinders, 1991 (reaffirmed 1995), into § 173.302a.
(4) CGA C-6 – 2013, Standards for Visual Inspection of Steel Compressed Gas Cylinders, Eleventh edition, copyright 2013, into §§ 172.102, 173.3, 173.198, 180.205, 180.209, 180.211, 180.411, 180.519.
(5) CGA C-6.1 – 2013, Standards for Visual Inspection of High Pressure Aluminum Compressed Gas Cylinders, Sixth Edition, copyright 2013 (corrected 4/14/2015), into §§ 180.205; 180.209.
(6) CGA Pamphlet C-6.2, Guidelines for Visual Inspection and Requalification of Fiber Reinforced High Pressure Cylinders, 1996, Third Edition, into § 180.205.
(7) CGA C-6.3 – 2013, Standard for Visual Inspection of Low Pressure Aluminum Alloy Compressed Gas Cylinders, Third Edition, copyright 2013, into §§ 180.205; 180.209.
(8) CGA C-7-2014, Guide to Classification and Labeling of Compressed Gases, Tenth Edition, copyright 2014, into § 172.400a.
(9) CGA Pamphlet C-8, Standard for Requalification of DOT-3HT Cylinder Design, 1985, into § 180.205; 180.209.
(10) CGA C-11 – 2013, Practices for Inspection of Compressed Gas Cylinders at Time of Manufacture, Fifth Edition, copyright 2013, into § 178.35.
(11) CGA Pamphlet C-12, Qualification Procedure for Acetylene Cylinder Design, 1994, into § 173.301; 173.303; 178.59; 178.60.
(12) CGA Pamphlet C-13, Guidelines for Periodic Visual Inspection and Requalification of Acetylene Cylinders, 2000, Fourth Edition, into § 173.303; 180.205; 180.209.
(13) CGA C-14 – 2005 (Reaffirmed 2010), Procedures for Fire Testing of DOT Cylinder Pressure Relief Device Systems, Fourth edition, copyright 2005, into §§ 173.301; 173.323.
(14) CGA G-1.6-2011, Standard for Mobile Acetylene Trailer Systems, Seventh Edition, copyright 2011, into § 173.301.
(15) CGA Pamphlet G-2.2, Guideline Method for Determining Minimum of 0.2% Water in Anhydrous Ammonia, 1985, Second Edition, Reaffirmed 1997, into § 173.315.
(16) CGA Pamphlet G-4.1, Cleaning Equipment for Oxygen Service, 1985, into § 178.338-15.
(17) CGA Pamphlet P-20, Standard for the Classification of Toxic Gas Mixtures, 2003, Third Edition, into § 173.115.
(18) CGA S-1.1 – 2011, Pressure Relief Device Standards – Part 1 – Cylinders for Compressed Gases, Fourteenth edition, copyright 2011, into §§ 173.301; 173.304a; 178.75.
(19) CGA Pamphlet S-1.2, Safety Relief Device Standards Part 2 – Cargo and Portable Tanks for Compressed Gases, 1980, into § 173.315; 173.318; 178.276; 178.277.
(20) CGA S-7 – 2013, Standard for Selecting Pressure Relief Devices for Compressed Gas Mixtures in Cylinders, Fifth Edition, copyright 2013, into § 173.301.
(21) CGA Technical Bulletin TB-2, Guidelines for Inspection and Repair of MC-330 and MC-331 Cargo Tanks, 1980, into § 180.407; 180.413.
(22) CGA Technical Bulletin TB-25, Design Considerations for Tube Trailers, 2008 Edition, into § 173.301.
(23) CGA V-9-2012, Compressed Gas Association Standard for Compressed Cylinder Valves, Seventh Edition, 2012, into § 173.301.
(o) Department of Defense (DoD), DoD Explosives Safety Board, 4800 Mark Center Drive, Suite 16E12, Alexandria, VA 22350, https://www.ddesb.pentagon.mil/; or Defense Logistics Agency, Technical and Quality Assurance Division, 8725 John J. Kingman Rd., Fort Belvoir, VA 22060, http://www.dla.mil/Pages/default.aspx.
(1) TB 700-2; NAVSEAINST 8020.8C/TO 11A-1-47: DOD Ammunition and Explosives Hazard Classification Procedures, July 30, 2012, into § 173.56.
(2) DLAR 4145.41/AR 700-143/NAVSUPINST 4030.55D/AFMAN 24-210_IP/MCO 4030.40C: Packaging of Hazardous Material, April 21, 2015, into § 173.7.
(p) European Union. Rue de la Loi/Wetstraat, 175B-1048 Bruxelles/Brussel Belgique/België], https://europa.eu/european-union/documents-publications_en.
(1) Directive 2010/35/EU of the European Parliament and of the Council, “on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC”, June 16, 2010, into § 171.23.
(2) [Reserved]
(q) General Services Administration, Specification Office, Room 6662, 7th and D Street, S.W., Washington, DC 20407.
(1) Federal Specification RR-C-901D, Cylinders, Compressed Gas: Seamless Shatterproof, High Pressure DOT 3AA Steel, and 3AL Aluminum, February 21, 2003, into §§ 173.302; 173.336; 173.337.
(2) [Reserved]
(r) Institute of Makers of Explosives, 1212 New York Ave NW, #650, Washington, DC 20005.
(1) IME Standard 22,IME Safety Library Publication No. 22, Recommendations for the Safe Transportation of Detonators in a Vehicle with Certain Other Explosive Materials, February 2007, into §§ 173.63; 177.835.
(2) IME Standard 23, IME Safety Library Publication No. 23 (IME Standard 23), Recommendations for the Transportation of Explosives, Division 1.5, Ammonium Nitrate Emulsions, Division 5.1, Combustible Liquids, Class 3, and Corrosives, Class 8 in Bulk Packaging, October 2011, into §§ 173.66(intro); 177.835(d).
(3) AESC/IME JPG Standard, Guide to Obtaining DOT Approval of Jet Perforating Guns using AESC/IME Perforating Gun Specifications, Ver. 02, dated September 1, 2017, into § 173.67.
(s) International Atomic Energy Agency (IAEA), P.O. Box 100, Wagramer Strasse 5, A-1400 Vienna, Austria. Also available from: Bernan Associates, 4611-F Assembly Drive, Lanham, MD 20706-4391, USA; or Renouf Publishing Company, Ltd., 812 Proctor Avenue, Ogdensburg, New York 13669, USA.
(1) IAEA Safety Standards for Protecting People and the Environment; Regulations for the Safe Transport of Radioactive Material, No. SSR-6, (IAEA Regulations), 2012 Edition, into §§ 171.22; 171.23; 171.26; 173.415; 173.416; 173.417; 173.435; 173.473.
(2) Code of Conduct on the Safety and Security of Radioactive Sources (International Atomic Energy Agency Code of Conduct), copyright 2004, into § 172.800.
(t) International Civil Aviation Organization (“ICAO”), 999 Robert-Bourassa Boulevard, Montréal, Quebec H3C 5H7, Canada, 1-514-954-8219, http://www.icao.int. ICAO Technical Instructions available from: ICAO Document Sales Unit, [email protected].
(1) ICAO Doc 9284, Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions), 2019-2020 Edition, copyright 2018, into §§ 171.8; 171.22; 171.23; 171.24; 172.101; 172.202; 172.401; 172.407; 172.512; 172.519; 172.602; 173.56; 173.320; 175.10, 175.33; 178.3.
(2) [Reserved]
(u) International Electrotechnical Commission (IEC), 3 rue de Varembé, P.O. Box 131, CH – 1211, GENEVA 20, Switzerland.
(1) IEC 62282-6-100:2010(E), Fuel cell technologies – Part 6-100: Micro fuel cell power systems – Safety, Edition 1.0, March 2010, into §§ 173.230; 175.10.
(2) 62282-6-100 Amend. 1 IEC 2012(E), Amendment 1 to IEC 62282-6-100: Fuel cell technologies – Part 6-100: Micro fuel cell power systems – Safety, Edition 1.0, October 2012, into §§ 173.230; 175.10
(v) International Maritime Organization (“IMO”), 4 Albert Embankment, London, SE1 7SR, United Kingdom, + 44 (0) 20 7735 7611, http://www.imo.org. IMDG Code available from: IMO Publishing, [email protected].
(1) International Convention for the Safety of Life at Sea, 1974, Consolidated Edition (SOLAS), Chapter II-2, Construction – Fire protection, fire detection and fire extinction, Regulation 19, Carriage of dangerous goods, Fifth Edition 2009, into §§ 176.63, 176.84.
(2) International Maritime Dangerous Goods Code (IMDG Code), Incorporating Amendment 39-18 (English Edition), Volumes 1 and 2, 2018 Edition, copyright 2018, into §§ 171.22; 171.23; 171.25; 172.101; 172.202; 172.203 172.401; 172.407; 172.502; 172.519; 172.602; 173.21; 173.56; 176.2; 176.5; 176.11; 176.27; 176.30; 176.83; 176.84; 176.140; 176.720; 176.906; 178.3; 178.274.
(w) International Organization for Standardization, Case Postale 56, CH-1211, Geneve 20, Switzerland, http://www.iso.org. Also available from: ANSI 25, West 43rd Street, New York, NY 10036, 1-212-642-4900, http://www.ansi.org.
(1) ISO 535-1991(E) Paper and board – Determination of water absorptiveness – Cobb method, 1991, into §§ 178.707; 178.708; 178.516.
(2) ISO 1496-1: 1990 (E) – Series 1 freight containers – Specification and testing, Part 1: General cargo containers. Fifth Edition, (August 15, 1990), into § 173.411.
(3) ISO 1496-3(E) – Series 1 freight containers – Specification and testing – Part 3: Tank containers for liquids, gases and pressurized dry bulk, Fourth edition, March 1995, into §§ 178.74; 178.75; 178.274.
(4) ISO 1516:2002(E), Determination of flash/no flash – Closed cup equilibrium method, Third Edition, 2002-03-01, into § 173.120.
(5) ISO 1523:2002(E), Determination of flash point – Closed cup equilibrium method, Third Edition, 2002-03-01, into § 173.120.
(6) ISO 2431-1984(E) Standard Cup Method, 1984, into § 173.121.
(7) ISO 2592:2000(E), Determination of flash and fire points – Cleveland open cup method, Second Edition, 2000-09-15, into § 173.120.
(8) ISO 2719:2002(E), Determination of flash point – Pensky-Martens closed cup method, Third Edition, 2002-11-15, into § 173.120.
(9) ISO 2919:1999(E), Radiation Protection – Sealed radioactive sources – General requirements and classification, (ISO 2919), second edition, February 15, 1999, into § 173.469.
(10) ISO 3036-1975(E) Board – Determination of puncture resistance, 1975, into § 178.708.
(11) ISO 3405:2000(E), Petroleum products – Determination of distillation characteristics at atmospheric pressure, Third Edition, 2000-03-01, into § 173.121.
(12) ISO 3574-1986(E) Cold-reduced carbon steel sheet of commercial and drawing qualities, into § 178.503; part 178, appendix C.
(13) ISO 3679:2004(E), Determination of flash point – Rapid equilibrium closed cup method, Third Edition, 2004-04-01, into § 173.120.
(14) ISO 3680:2004(E), Determination of flash/no flash – Rapid equilibrium closed cup method, Fourth Edition, 2004-04-01, into § 173.120.
(15) ISO 3807-2(E), Cylinders for acetylene – Basic requirements – Part 2: Cylinders with fusible plugs, First edition, March 2000, into §§ 173.303; 178.71.
(16) ISO 3807:2013(E), Gas cylinders – Acetylene cylinders – Basic requirements and type testing, Second edition, 2013-09-01, into §§ 173.303; 178.71.
(17) ISO 3924:1999(E), Petroleum products – Determination of boiling range distribution – Gas chromatography method, Second Edition, 1999-08-01, into § 173.121.
(18) ISO 4126-1:2004(E): Safety devices for protection against excessive pressure – Part 1: Safety valves, Second edition 2004-02-15, into § 178.274.
(19) ISO 4126-7:2004(E): Safety devices for protection against excessive pressure – Part 7: Common data, First Edition 2004-02-15 into § 178.274.
(20) ISO 4126-7:2004/Cor.1:2006(E): Safety devices for protection against excessive pressure – Part 7: Common data, Technical Corrigendum 1, 2006-11-01, into § 178.274.
(21) ISO 4626:1980(E), Volatile organic liquids – Determination of boiling range of organic solvents used as raw materials, First Edition, 1980-03-01, into § 173.121.
(22) ISO 4706:2008(E), Gas cylinders – Refillable welded steel cylinders – Test pressure 60 bar and below, First Edition, 2008-07-014, Corrected Version, 2008-07-01, into § 178.71.
(23) ISO 6406(E), Gas cylinders – Seamless steel gas cylinders – Periodic inspection and testing, Second edition, February 2005, into § 180.207.
(24) ISO 6892 Metallic materials – Tensile testing, July 15, 1984, First Edition, into § 178.274.
(25) ISO 7225(E), Gas cylinders – Precautionary labels, Second Edition, July 2005, into § 178.71.
(26) ISO 7866(E), Gas cylinders – Refillable seamless aluminum alloy gas cylinders – Design, construction and testing, First edition, June 1999, into § 178.71.
(27) ISO 7866:2012(E), Gas cylinders – Refillable seamless aluminium alloy gas cylinders – Design, construction and testing, Second edition, 2012-09-01, into § 178.71.
(28) ISO 7866:2012/Cor.1:2014(E), Gas cylinders – Refillable seamless aluminium alloy gas cylinders – Design, construction and testing, Technical Corrigendum 1, 2014-04-15, into § 178.71.
(29) ISO 8115 Cotton bales – Dimensions and density, 1986 Edition, into § 172.102.
(30) ISO 9809-1:1999(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 1: Quenched and tempered steel cylinders with tensile strength less than 1100 MPa., First edition, June 1999, into §§ 178.37; 178.71; 178.75.
(31) ISO 9809-1:2010(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 1: Quenched and tempered steel cylinders with tensile strength less than 1 100 MPa., Second edition, 2010-04-15, into §§ 178.37; 178.71; 178.75.
(32) ISO 9809-2:2000(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 2: Quenched and tempered steel cylinders with tensile strength greater than or equal to 1 100 MPa., First edition, June 2000, into §§ 178.71; 178.75.
(33) ISO 9809-2:2010(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 2: Quenched and tempered steel cylinders with tensile strength greater than or equal to 1100 MPa., Second edition, 2010-04-15, into §§ 178.71; 178.75.
(34) ISO 9809-3:2000(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 3: Normalized steel cylinders, First edition, December 2000, into §§ 178.71; 178.75.
(35) ISO 9809-3:2010(E): Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 3: Normalized steel cylinders, Second edition, 2010-04-15, into §§ 178.71; 178.75.
(36) ISO 9809-4:2014(E), Gas cylinders – Refillable seamless steel gas cylinders – Design, construction and testing – Part 4: Stainless steel cylinders with an Rm value of less than 1 100 MPa, First edition, 2014-07-15, into §§ 178.71; 178.75.
(37) ISO 9978:1992(E) – Radiation protection – Sealed radioactive sources – Leakage test methods. First Edition, (February 15, 1992), into § 173.469.
(38) ISO 10156:2010(E): Gases and gas mixtures – Determination of fire potential and oxidizing ability for the selection of cylinder valve outlets, Third edition, 2010-04-01, into § 173.115.
(39) ISO 10156:2010/Cor.1:2010(E): Gases and gas mixtures – Determination of fire potential and oxidizing ability for the selection of cylinder valve outlets, Technical Corrigendum 1, 2010-09-01, into § 173.115.
(40) ISO 10297:1999(E), Gas cylinders – Refillable gas cylinder valves – Specification and type testing, First Edition, 1995-05-01, into §§ 173.301b; 178.71.
(41) ISO 10297:2006(E), Transportable gas cylinders – Cylinder valves – Specification and type testing, Second Edition, 2006-01-15, into §§ 173.301b; 178.71.
(42) ISO 10297:2014(E), Gas cylinders – Cylinder valves – Specification and type testing, Third Edition, 20014-07-15, into §§ 173.301b; 178.71.
(43) ISO 10461:2005(E), Gas cylinders – Seamless aluminum-alloy gas cylinders – Periodic inspection and testing, Second Edition, 2005-02-15 and Amendment 1, 2006-07-15, into § 180.207.
(44) ISO 10462 (E), Gas cylinders – Transportable cylinders for dissolved acetylene – Periodic inspection and maintenance, Second edition, February 2005, into § 180.207.
(45) ISO 10462:2013(E), Gas cylinders – Acetylene cylinders – Periodic inspection and maintenance, Third edition, 2013-12-15, into § 180.207.
(46) ISO 10692-2:2001(E), Gas cylinders – Gas cylinder valve connections for use in the micro-electronics industry – Part 2: Specification and type testing for valve to cylinder connections, First Edition, 2001-08-01, into §§ 173.40; 173.302c.
(47) ISO 11114-1:2012(E), Gas cylinders – Compatibility of cylinder and valve materials with gas contents – Part 1: Metallic materials, Second edition, 2012-03-15, into §§ 172.102; 173.301b; 178.71.
(48) ISO 11114-2:2013(E), Gas cylinders – Compatibility of cylinder and valve materials with gas contents – Part 2: Non-metallic materials, Second edition, 2013-04-01, into §§ 173.301b; 178.71.
(49) ISO 11117:1998(E): Gas cylinders – Valve protection caps and valve guards for industrial and medical gas cylinders. – Design, construction and tests, First edition, 1998-08-01, into § 173.301b.
(50) ISO 11117:2008(E): Gas cylinders – Valve protection caps and valve guards – Design, construction and tests, Second edition, 2008-09-01, into § 173.301b.
(51) ISO 11117:2008/Cor.1:2009(E): Gas cylinders – Valve protection caps and valve guards – Design, construction and tests, Technical Corrigendum 1, 2009-05-01, into § 173.301b.
(52) ISO 11118(E), Gas cylinders – Non-refillable metallic gas cylinders – Specification and test methods, First edition, October 1999, into § 178.71.
(53) ISO 11118:2015(E), Gas cylinders – Non-refillable metallic gas cylinders – Specification and test methods, Second edition, 2015-09-15, into §§ 173.301b; 178.71.
(54) ISO 11119-1(E), Gas cylinders – Gas cylinders of composite construction – Specification and test methods – Part 1: Hoop-wrapped composite gas cylinders, First edition, May 2002, into § 178.71.
(55) ISO 11119-1:2012(E), Gas cylinders – Refillable composite gas cylinders and tubes – Design, construction and testing – Part 1: Hoop wrapped fibre reinforced composite gas cylinders and tubes up to 450 l, Second edition, 2012-08-01, into § 178.71.
(56) ISO 11119-2(E), Gas cylinders – Gas cylinders of composite construction – Specification and test methods – Part 2: Fully wrapped fibre reinforced composite gas cylinders with load-sharing metal liners, First edition, May 2002, into § 178.71.
(57) ISO 11119-2:2012(E), Gas cylinders – Refillable composite gas cylinders and tubes – Design, construction and testing – Part 2: Fully wrapped fibre reinforced composite gas cylinders and tubes up to 450 l with load-sharing metal liners, Second edition, 2012-07-15, into § 178.71.
(58) ISO 11119-2:2012/Amd.1:2014(E), Gas cylinders – Refillable composite gas cylinders and tubes – Design, construction and testing – Part 2: Fully wrapped fibre reinforced composite gas cylinders and tubes up to 450 l with load-sharing metal liners, Amendment 1, 2014-08-15, into § 178.71.
(59) ISO 11119-3(E), Gas cylinders of composite construction – Specification and test methods – Part 3: Fully wrapped fibre reinforced composite gas cylinders with non-load-sharing metallic or non-metallic liners, First edition, September 2002, into § 178.71.
(60) ISO 11119-3:2013(E), Gas cylinders – Refillable composite gas cylinders and tubes – Design, construction and testing – Part 3: Fully wrapped fibre reinforced composite gas cylinders and tubes up to 450 l with non-load-sharing metallic or non-metallic liners, Second edition, 2013-04-15, into § 178.71.
(61) ISO 11120(E), Gas cylinders – Refillable seamless steel tubes of water capacity between 150 L and 3000 L – Design, construction and testing, First edition, March 1999, into §§ 178.71; 178.75.
(62) ISO 11120:2015(E), Gas cylinders – Refillable seamless steel tubes of water capacity between 150 l and 3000 l – Design, construction and testing, Second Edition, 2015-02-01, into §§ 178.71; 178.75.
(63) ISO 11513:2011(E), Gas cylinders – Refillable welded steel cylinders containing materials for sub-atmospheric gas packaging (excluding acetylene) – Design, construction, testing, use and periodic inspection, First edition, 2011-09-12, into §§ 173.302c; 178.71; 180.207.
(64) ISO 11621(E), Gas cylinders – Procedures for change of gas service, First edition, April 1997, into §§ 173.302, 173.336, 173.337.
(65) ISO 11623(E), Transportable gas cylinders – Periodic inspection and testing of composite gas cylinders, First edition, March 2002, into § 180.207.
(66) ISO 11623:2015(E), Gas cylinders – Composite construction – Periodic inspection and testing, Second edition, 2015-12-01, into § 180.207.
(67) ISO 13340:2001(E) Transportable gas cylinders – Cylinder valves for non-refillable cylinders – Specification and prototype testing, First edition, 2004-04-01, into §§ 173.301b; 178.71.
(68) ISO 13736:2008(E), Determination of flash point – Abel closed-cup method, Second Edition, 2008-09-15, into § 173.120.
(69) ISO 14246:2014(E), Gas cylinders – Cylinder valves – Manufacturing tests and examination, Second Edition, 2014-06-15, into § 178.71.
(70) ISO 16111:2008(E), Transportable gas storage devices – Hydrogen absorbed in reversible metal hydride, First Edition, 2008-11-15, into §§ 173.301b; 173.311; 178.71.
(71) ISO 16148:2016(E), Gas cylinders – Refillable seamless steel gas cylinders and tubes – Acoustic emission examination (AT) and follow-up ultrasonic examination (UT) for periodic inspection and testing, Second Edition, 2016-04-15, into § 180.207.
(72) ISO 17871:2015(E), Gas cylinders – Quick-release cylinder valves – Specification and type testing, First Edition, 2015-08-15, into 173.301b.
(73) ISO 18172-1:2007(E), Gas cylinders – Refillable welded stainless steel cylinders – Part 1: Test pressure 6 MPa and below, First Edition, 2007-03-01, into § 178.71.
(74) ISO 20703:2006(E), Gas cylinders – Refillable welded aluminum-alloy cylinders – Design, construction and testing, First Edition, 2006-05-01, into § 178.71.
(75) ISO 21172-1:2015(E), Gas cylinders – Welded steel pressure drums up to 3 000 litres capacity for the transport of gases – Design and construction – Part 1: Capacities up to 1 000 litres, First edition, 2015-04-01, into § 178.71.
(76) ISO 22434:2006(E), Transportable gas cylinders – Inspection and maintenance of cylinder valves, First Edition, 2006-09-01, into § 180.207.
(77) ISO/TR 11364:2012(E), Gas cylinders – Compilation of national and international valve stem/gas cylinder neck threads and their identification and marking system, First Edition, 2012-12-01, into § 178.71.
(x) National Board of Boiler and Pressure Vessel Inspectors, 1055 Crupper Avenue, Columbus, Ohio 43229.
(1) NB-23, National Board Inspection Code, A Manual for Boiler and Pressure Vessel Inspectors, 1992 Edition, into § 180.413.
(2) [Reserved]
(y) National Fire Protection Association, 1 Batterymarch Park, Quincy, MA, 02169-7471 1-617-770-3000, http://www.nfpa.org.
(1) NFPA 58-Liquefied Petroleum Gas Code, 2001 Edition, into §§ 173.5, 173.315, 173.301(a)(11).
(2) NFPA 498-Standards for Safe Havens and Interchange Lots for Vehicles Transporting Explosives, 2010 Edition, into § 177.835.
(z) National Institute of Standards and Technology, Department of Commerce, 5285 Port Royal Road, Springfield, VA 22151.
(1) USDC, NBS Handbook H-28 (1957), 1957 Handbook of Screw-Thread Standards for Federal Services, December 1966 Edition, into §§ 179.2; 178.45; 178.46.
(2) [Reserved]
(aa) Organization for Economic Cooperation and Development (OECD), OECD Publications and Information Center, 2001 L Street, N.W., Suite 700, Washington, DC 20036.
(1) Test No. 404: Acute Dermal Irritation/Corrosion, OECD Guidelines for the Testing of Chemicals, adopted 28 July 2015, into § 173.137.
(2) Test No. 430: In Vitro Skin Corrosion: Transcutaneous Electrical Resistance Test (TER), OECD Guidelines for the Testing of Chemicals, adopted 28 July 2015, into § 173.137.
(3) Test No. 431: In Vitro Skin Corrosion: Reconstructed Human Epidermis (RHE) Test Method, OECD Guidelines for the Testing of Chemicals, adopted 28 July 2015, into § 173.137.
(4) Test No. 435: In Vitro Membrane Barrier Test Method for Skin Corrosion, OECD Guidelines for the Testing of Chemicals, adopted 28 July 2015, into § 173.137.
(bb) Transport Canada, Transport Dangerous Goods. Mailstop: ASD 330 Sparks Street, Ottawa, Ontario, Canada K1A 0N5, 416-973-1868, http://www.tc.gc.ca.
(1) Transportation of Dangerous Goods Regulations (Transport Canada TDG Regulations), into §§ 107.801; 107.805; 171.12; 171.22; 171.23; 172.401; 172.407; 172.502; 172.519; 172.602; 173.31; 173.32; 173.33; 173.301; 180.205; 180.211; 180.212; 180.413.
(i) SOR 2001-286, including Clear Language Amendments, August 2001.
(ii) SOR/2002-306 August 8, 2002.
(iii) SOR/2003-273 July 24, 2003
(iv) SOR/2003-400 December 3, 2003
(v) SOR/2005-216 July 13, 2005
(vi) SOR/2005-279 September 21, 2005
(vii) SOR/2008-34 February 7, 2008
(viii) SOR/2007-179 July 31, 2007
(ix) SOR/2011-239 November 9, 2011.
(x) SOR/2011-60 March 16, 2011.
(xi) SOR/2011-210 October 12, 2011.
(xii) SOR/2012-245 December 5, 2012.
(xiii) SOR/2014-152 July 2, 2014.
(xiv) SOR/2014-159 July 2, 2014.
(xv) SOR/2014-159 Erratum July 16, 2014.
(xvi) SOR/2014-152 Erratum August 27, 2014.
(xvii) SOR/2014-306 December 31, 2014.
(xviii) SOR/2014-306 Erratum January 28, 2015.
(xix) SOR/2015-100 May 20, 2015.
(xx) SOR/2016-95 June 1, 2016;
(xxi) SOR/2017-137 July 12, 2017.
(xxii) SOR/2017-253 December 13, 2017.
(2) Containers for Transport of Dangerous Goods by Rail, TP 14877E, 12/2013, into § 171.12.
(cc) Truck Trailer Manufacturers Association, 1020 Princess Street, Alexandria, Virginia 22314.
(1) TTMA RP No. 61-98, Performance of manhole and/or Fill Opening Assemblies on MC 306, DOT 406, Non-ASME MC 312 and Non-ASME DOT 412 Cargo Tanks, June 1, 1998, into § 180.405.
(2) TTMA RP No. 81-97, Performance of Spring Loaded Pressure Relief Valves on MC 306, MC 307, MC 312, DOT 406, DOT 407, and DOT 412 Tanks, July 1, 1997 Edition, into §§ 178.345-10; 178.346-3.
(3) TTMA TB No. 107, Procedure for Testing In-Service Unmarked and/or Uncertified MC 306 and Non-ASME MC 312 Type Cargo Tank Manhole Covers, June 1, 1998 Edition, into § 180.405.
(dd) United Nations, Bookshop, GA-1B-103, New York, NY 10017, 1-212-963-7680, https://shop.un.org or [email protected].
(1) UN Recommendations on the Transport of Dangerous Goods, Model Regulations (UN Recommendations), 20th revised edition, Volumes I and II, ST/SG/AC.10/1/Rev.20(Vol.I) and (Vol.II), (2017), into §§ 171.8; 171.12; 172.202; 172.401; 172.407; 172.502; 172.519; 173.22; 173.24; 173.24b; 173.40; 173.56; 173.192; 173.302b; 173.304b; 178.75; 178.274.
(2) UN Recommendations on the Transport of Dangerous Goods, Manual of Tests and Criteria, (Manual of Tests and Criteria), into §§ 171.24, 172.102; 173.21; 173.56; 173.57; 173.58; 173.60; 173.115; 173.124; 173.125; 173.127; 173.128; 173.137; 173.185; 173.220; 173.221; 173.224; 173.225; 173.232; part 173, appendix H; 175.10; 176.905; 178.274:
(i) Sixth Revised Edition (2015);
(ii) Sixth Revised Edition, Amendment 1, ST/SG/AC.10/11/Rev.6/.Amend.1 (2017).
(3) Globally Harmonized System of Classification and Labelling of Chemicals (GHS), Seventh Revised Edition, ST/SG/AC.10/30/Rev.7 (2017), into § 172.401.
(4) ECE/TRANS/257 (Vol.I), European Agreement concerning the International Carriage of Dangerous Goods by Road, copyright 2016, into § 171.23.
Table 1 to 49 CFR 171.7 – Materials Not Incorporated by Reference
| Source and name of material | 49 CFR reference |
|---|---|
| Risk Group Classification for Infectious Agents, 1998 | 173.134. |
| Process Safety Progress Journal, Vol. 21, No. 2, Example of a Test Method for Venting Sizing: OPPSD/SPI Methodology | Note to § 173.225(h)(3)(vi). |
| ASTM E 380-89 Standards for Metric Practice | 171.10 |
| AAR Catalog Nos. SE60CHT; SE60CC; SE60CHTE; SE60CE; SE60DC; SE60DE | 179.14 |
| AAR Catalog Nos. SE67CC; SE67CE; SE67BHT; SE67BC; SE67BHTE; SE67BE | 179.14 |
| AAR Catalog Nos. SE68BHT; SE68BC; SE68BHTE; SE68BE | 179.14 |
| AAR Catalog Nos. SE69AHTE; SE69AE | 179.14 |
| AAR Catalog Nos. SF70CHT; SF70CC; SF70CHTE; SF70CE | 179.14 |
| AAR Catalog Nos. SF73AC; SF73AE; SF73AHT; SF73AHTE | 179.14 |
| AAR Catalog Nos. SF79CHT; SF79CC; SF79CHTE; SF79CE | 179.14 |
| Fetterley’s Formula (The Determination of the Relief Dimensions for Safety Valves on Containers in which Liquefied gas is charged and when the exterior surface of the container is exposed to a temperature of 1,200 °F.) | 173.315 |
| Intermodal Loading Guide for Products in Closed Trailers and Containers, issued June 2001 | 174.55; 174.101; 174.112; 174.115. |
| Pamphlet 6, Illustrating Methods for Loading and Bracing Carload and Less-Than-Carload Shipments of Explosives and Other Dangerous Articles, 1962 | 174.55; 174.101; 174.112; 174.115; 174.290. |
| Pamphlet 6A (includes appendix No. 1, October 1944 and appendix 2, December 1945), Illustrating Methods for Loading and Bracing Carload and Less-Than-Carload Shipments of Loaded Projectiles, Loaded Bombs, etc., 1943 | 174.101; 174.290 |
| Pamphlet 6C, Illustrating Methods for Loading and Bracing Trailers and Less-Than-Trailer Shipments of Explosives and Other Dangerous Articles Via Trailer-on-Flatcar (TOFC) or Container-on-Flatcar (COFC), 1985 | 174.55; 174.63; 174.101; 174.112; 174.115 |
| Emergency Handling of Hazardous Materials in Surface Transportation, 1989 | 171.7 |
| Biosafety in Microbiological and Biomedical Laboratories, Fourth Edition, April 1999 | 173.134 |
| NIH Guidelines for Research Involving Recombinant DNA Molecules (NIH Guidelines), January 2001, Appendix B | 173.134 |
| Pantone ®Formula guide coated/uncoated, Second Edition 2004 | 172.407, 172.519 |
| Self Accelerating Decomposition Temperature Test, 1972 | 173.21 |
| Molten Sulphur Rail Tank Car Guidance document, November 2010 | 172.102 |
| TTMA RP No. 96-01, TTMA RP No. 96-01, Structural Integrity of DOT 406, DOT 407, and DOT 412 Cylindrical Cargo Tanks, January 2001 Edition | 178.345-3 |
§ 171.8 Definitions and abbreviations.
In this subchapter,
Administrator means the Administrator, Pipeline and Hazardous Materials Safety Administration.
Adsorbed gas. See § 173.115 of this subchapter.
Aerosol means an article consisting of any non-refillable receptacle containing a gas compressed, liquefied or dissolved under pressure, the sole purpose of which is to expel a nonpoisonous (other than a Division 6.1 Packing Group III material) liquid, paste, or powder and fitted with a self-closing release device allowing the contents to be ejected by the gas.
Agricultural product means a hazardous material, other than a hazardous waste, whose end use directly supports the production of an agricultural commodity including, but not limited to a fertilizer, pesticide, soil amendment or fuel. An agricultural product is limited to a material in Class 3, 8 or 9, Division 2.1, 2.2, 5.1, or 6.1, or an ORM-D material.
Aircraft battery means a battery designed in accordance with a recognized aircraft battery design standard (e.g. FAA technical standard order) that is capable of meeting all aircraft airworthiness requirements and operating regulations.
Approval means a written authorization, including a competent authority approval, issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, to perform a function for which prior authorization by the Associate Administrator is required under subchapter C of this chapter (49 CFR parts 171 through 180).
Approved means approval issued or recognized by the Department unless otherwise specifically indicated in this subchapter.
Asphyxiant gas means a gas which dilutes or replaces oxygen normally in the atmosphere.
Associate Administrator means the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration.
Atmospheric gases means air, nitrogen, oxygen, argon, krypton, neon and xenon.
Authorized Inspection Agency means: (1) A jurisdiction which has adopted and administers one or more sections of the ASME Boiler and Pressure Vessel Code as a legal requirement and has a representative serving as a member of the ASME Conference Committee; or (2) an insurance company which has been licensed or registered by the appropriate authority of a State of the United States or a Province of Canada to underwrite boiler and pressure vessel insurance in such State or Province.
Authorized Inspector means an Inspector who is currently commissioned by the National Board of Boiler and Pressure Vessel Inspectors and employed as an Inspector by an Authorized Inspection Agency.
Bag means a flexible packaging made of paper, plastic film, textiles, woven material or other similar materials.
Bar means 1 BAR = 100 kPa (14.5 psi).
Barge means a non-selfpropelled vessel.
Biological product. See § 173.134 of this subchapter.
Biological substances, Category B. See § 173.134 of this subchapter.
Bottle means an inner packaging having a neck of relatively smaller cross section than the body and an opening capable of holding a closure for retention of the contents.
Bottom shell means that portion of a tank car tank surface, excluding the head ends of the tank car tank, that lies within two feet, measured circumferentially, of the bottom longitudinal center line of the tank car tank.
Box means a packaging with complete rectangular or polygonal faces, made of metal, wood, plywood, reconstituted wood, fiberboard, plastic, or other suitable material. Holes appropriate to the size and use of the packaging, for purposes such as ease of handling or opening, or to meet classification requirements, are permitted as long as they do not compromise the integrity of the packaging during transportation, and are not otherwise prohibited in this subchapter.
Break-bulk means packages of hazardous materials that are handled individually, palletized, or unitized for purposes of transportation as opposed to bulk and containerized freight.
Btu means British thermal unit.
Bulk packaging means a packaging, other than a vessel or a barge, including a transport vehicle or freight container, in which hazardous materials are loaded with no intermediate form of containment. A Large Packaging in which hazardous materials are loaded with an intermediate form of containment, such as one or more articles or inner packagings, is also a bulk packaging. Additionally, a bulk packaging has:
(1) A maximum capacity greater than 450 L (119 gallons) as a receptacle for a liquid;
(2) A maximum net mass greater than 400 kg (882 pounds) and a maximum capacity greater than 450 L (119 gallons) as a receptacle for a solid; or
(3) A water capacity greater than 454 kg (1000 pounds) as a receptacle for a gas as defined in § 173.115 of this subchapter.
Bundle of cylinders means assemblies of UN cylinders fastened together and interconnected by a manifold and transported as a unit. The total water capacity for the bundle may not exceed 3,000 L, except that a bundle intended for the transport of gases in Division 2.3 is limited to a water capacity of 1,000 L. Not permitted for air transport.
Bureau of Explosives means the Bureau of Explosives (B of E) of the Association of American Railroads.
C means Celsius or Centigrade.
Captain of the Port (COTP) means the officer of the Coast Guard, under the command of a District Commander, so designated by the Commandant for the purpose of giving immediate direction to Coast Guard law enforcement activities within an assigned area. As used in this subchapter, the term Captain of the Port includes an authorized representative of the Captain of the Port.
Carfloat means a vessel that operates on a short run on an irregular basis and serves one or more points in a port area as an extension of a rail line or highway over water, and does not operate in ocean, coastwise, or ferry service.
Cargo aircraft only means an aircraft that is used to transport cargo and is not engaged in carrying passengers. For purposes of this subchapter, the terms cargo aircraft only, cargo-only aircraft and cargo aircraft have the same meaning.
Cargo tank means a bulk packaging that:
(1) Is a tank intended primarily for the carriage of liquids or gases and includes appurtenances, reinforcements, fittings, and closures (for the definition of a tank, see 49 CFR 178.320, 178.337-1, or 178.338-1, as applicable);
(2) Is permanently attached to or forms a part of a motor vehicle, or is not permanently attached to a motor vehicle but which, by reason of its size, construction or attachment to a motor vehicle is loaded or unloaded without being removed from the motor vehicle; and
(3) Is not fabricated under a specification for cylinders, intermediate bulk containers, multi-unit tank car tanks, portable tanks, or tank cars.
Cargo tank motor vehicle means a motor vehicle with one or more cargo tanks permanently attached to or forming an integral part of the motor vehicle.
Cargo vessel means: (1) Any vessel other than a passenger vessel; and
(2) Any ferry being operated under authority of a change of character certificate issued by a Coast Guard Officer-in-Charge, Marine Inspection.
Carrier means a person who transports passengers or property in commerce by rail car, aircraft, motor vehicle, or vessel.
CC means closed-cup.
Character of vessel means the type of service in which the vessel is engaged at the time of carriage of a hazardous material.
Class means hazard class. See hazard class.
Class 1. See § 173.50 of this subchapter.
Class 2. See § 173.115 of this subchapter.
Class 3. See § 173.120 of this subchapter.
Class 4. See § 173.124 of this subchapter.
Class 5. See § 173.128 of this subchapter.
Class 6. See § 173.132 of this subchapter.
Class 7. See § 173.403 of this subchapter.
Class 8. See § 173.136 of this subchapter.
Class 9. See § 173.140 of this subchapter.
Closure means a device which closes an opening in a receptacle.
COFC means container-on-flat-car.
Combination packaging means a combination of packaging, for transport purposes, consisting of one or more inner packagings secured in a non-bulk outer packaging. It does not include a composite packaging.
Combustible liquid. See § 173.120 of this subchapter.
Commerce means trade or transportation in the jurisdiction of the United States within a single state; between a place in a state and a place outside of the state; that affects trade or transportation between a place in a state and place outside of the state; or on a United States-registered aircraft.
Compatibility group letter means a designated alphabetical letter used to categorize different types of explosive substances and articles for purposes of stowage and segregation. See § 173.52 of this subchapter.
Competent Authority means a national agency responsible under its national law for the control or regulation of a particular aspect of the transportation of hazardous materials (dangerous goods). The term Appropriate Authority, as used in the ICAO Technical Instructions (IBR, see § 171.7), has the same meaning as Competent Authority. For purposes of this subchapter, the Associate Administrator is the Competent Authority for the United States.
Composite packaging means a packaging consisting of an outer packaging and an inner receptacle, so constructed that the inner receptacle and the outer packaging form an integral packaging. Once assembled it remains thereafter an integrated single unit; it is filled, stored, shipped and emptied as such.
Compressed gas. See § 173.115 of this subchapter.
Consignee means the person or place shown on a shipping document, package marking, or other media as the location to which a carrier is directed to transport a hazardous material.
Consumer commodity means a material that is packaged and distributed in a form intended or suitable for sale through retail sales agencies or instrumentalities for consumption by individuals for purposes of personal care or household use. This term also includes drugs and medicines.
Container ship means a cargo vessel designed and constructed to transport, within specifically designed cells, portable tanks and freight containers which are lifted on and off with their contents intact.
Corrosive material. See § 173.136 of this subchapter.
Crate means an outer packaging with incomplete surfaces.
Crewmember means a person assigned to perform duty in an aircraft during flight time.
Cryogenic liquid. See § 173.115(g) of this subchapter.
Cultures and stocks. See § 173.134 of this subchapter.
Cylinder means a pressure vessel designed for pressures higher than 40 psia and having a circular cross section. It does not include a portable tank, multi-unit tank car tank, cargo tank, or tank car.
Dangerous when wet material. See § 173.124 of this subchapter.
Design Certifying Engineer means a person registered with the Department in accordance with subpart F of part 107 of this chapter who has the knowledge and ability to perform stress analysis of pressure vessels and otherwise determine whether a cargo tank design and construction meets the applicable DOT specification. A Design Certifying Engineer meets the knowledge and ability requirements of this section by meeting any one of the following requirements:
(1) Has an engineering degree and one year of work experience in cargo tank structural or mechanical design;
(2) Is currently registered as a professional engineer by appropriate authority of a state of the United States or a province of Canada; or
(3) Has at least three years’ experience in performing the duties of a Design Certifying Engineer prior to September 1, 1991.
Design life, for composite cylinders and tubes, means the maximum life (in number of years) to which the cylinder or tube is designed and approved in accordance with the applicable standard.
Designated facility means a hazardous waste treatment, storage, or disposal facility that has been designated on the manifest by the generator.
Display pack means a package intended to be placed at retail locations which provide direct customer access to consumer commodities contained within the package when all or part of the outer fiberboard packaging is removed.
District Commander means the District Commander of the Coast Guard, or his authorized representative, who has jurisdiction in the particular geographical area.
Division means a subdivision of a hazard class.
DOD means the U.S. Department of Defense.
Domestic transportation means transportation between places within the United States other than through a foreign country.
DOT or Department means U.S. Department of Transportation.
Drum means a flat-ended or convex-ended cylindrical packaging made of metal, fiberboard, plastic, plywood, or other suitable materials. This definition also includes packagings of other shapes made of metal or plastic (e.g., round taper-necked packagings or pail-shaped packagings) but does not include cylinders, jerricans, wooden barrels or bulk packagings.
Electronic data interchange (EDI) means the computer-to-computer exchange of business data in standard formats. In EDI, information is organized according to a specific format (electronic transmission protocol) agreed upon by the sender and receiver of this information, and transmitted through a computer transaction that requires no human intervention or retyping at either end of the transmission.
Elevated temperature material means a material which, when offered for transportation or transported in a bulk packaging:
(1) Is in a liquid phase and at a temperature at or above 100 °C (212 °F);
(2) Is in a liquid phase with a flash point at or above 38 °C (100 °F) that is intentionally heated and offered for transportation or transported at or above its flash point; or
(3) Is in a solid phase and at a temperature at or above 240 °C (464 °F).
Engine means a locomotive propelled by any form of energy and used by a railroad.
EPA means U.S. Environmental Protection Agency.
Etiologic agent. See § 173.134 of this subchapter.
EX number means a number preceded by the prefix “EX”, assigned by the Associate Administrator, to an item that has been evaluated under the provisions of § 173.56 of this subchapter.
Explosive. See § 173.50 of this subchapter.
F means degree Fahrenheit.
Farmer means a person engaged in the production or raising of crops, poultry, or livestock.
FC number means a number preceded by the prefix “FC”, assigned by a Fireworks Certification Agency to a Division 1.4G Consumer firework device that has been certified under the provisions of § 173.65 of this subchapter.
Federal hazardous material transportation law means 49 U.S.C. 5101 et seq.
Ferry vessel means a vessel which is limited in its use to the carriage of deck passengers or vehicles or both, operates on a short run on a frequent schedule between two points over the most direct water route, other than in ocean or coastwise service, and is offered as a public service of a type normally attributed to a bridge or tunnel.
Filling density has the following meanings:
(1) For compressed gases in cylinders, see § 173.304a(a)(2) table note 1.
(2) For compressed gases in tank cars, see § 173.314(c) table note 1.
(3) For compressed gases in cargo tanks and portable tanks, see § 173.315(a) table note 1.
(4) For cryogenic liquids in cylinders, except hydrogen, see § 173.316(c)(1).
(5) For hydrogen, cryogenic liquid in cylinders, see § 173.316(c)(3) table note 1.
(6) For cryogenic liquids in cargo tanks, see § 173.318(f)(1).
(7) For cryogenic liquids in tank cars, see § 173.319(d)(1).
Flammable gas. See § 173.115 of this subchapter.
Flammable liquid. See § 173.120 of this subchapter.
Flammable solid. See § 173.124 of this subchapter.
Flexible bulk container means a flexible container with a capacity not exceeding 15 cubic meters and includes liners and attached handling devices and service equipment.
Flash point. See § 173.120 of this subchapter.
Freight container means a reusable container having a volume of 64 cubic feet or more, designed and constructed to permit being lifted with its contents intact and intended primarily for containment of packages (in unit form) during transportation.
Fuel cell means an electrochemical device that converts the energy of the chemical reaction between a fuel, such as hydrogen or hydrogen rich gases, alcohols, or hydrocarbons, and an oxidant, such as air or oxygen, to direct current (d.c.) power, heat, and other reaction products.
Fuel cell cartridge or fuel cartridge means an article that stores fuel for discharge into the fuel cell through a valve(s) that controls the discharge of fuel into the fuel cell.
Fuel cell system means a fuel cell with an installed fuel cell cartridge together with wiring, valves, and other attachments that connect the fuel cell or cartridge to the device it powers. The fuel cell or cartridge may be so constructed that it forms an integral part of the device or may be removed and connected manually to the device.
Fuel tank means a tank other than a cargo tank, used to transport flammable or combustible liquid, or compressed gas for the purpose of supplying fuel for propulsion of the transport vehicle to which it is attached, or for the operation of other equipment on the transport vehicle.
Fumigated lading. See §§ 172.302(g) and 173.9.
Gas means a material which has a vapor pressure greater than 300 kPa (43.5 psia) at 50 °C (122 °F) or is completely gaseous at 20 °C (68 °F) at a standard pressure of 101.3 kPa (14.7 psia).
Gross weight or Gross mass means the weight of a packaging plus the weight of its contents.
Hazard class means the category of hazard assigned to a hazardous material under the definitional criteria of part 173 of this subchapter and the provisions of the § 172.101 table. A material may meet the defining criteria for more than one hazard class but is assigned to only one hazard class.
Hazard zone means one of four levels of hazard (Hazard Zones A through D) assigned to gases, as specified in § 173.116(a) of this subchapter, and one of two levels of hazards (Hazard Zones A and B) assigned to liquids that are poisonous by inhalation, as specified in § 173.133(a) of this subchapter. A hazard zone is based on the LC50 value for acute inhalation toxicity of gases and vapors, as specified in § 173.133(a).
Hazardous material means a substance or material that the Secretary of Transportation has determined is capable of posing an unreasonable risk to health, safety, and property when transported in commerce, and has designated as hazardous under section 5103 of Federal hazardous materials transportation law (49 U.S.C. 5103). The term includes hazardous substances, hazardous wastes, marine pollutants, elevated temperature materials, materials designated as hazardous in the Hazardous Materials Table (see 49 CFR 172.101), and materials that meet the defining criteria for hazard classes and divisions in part 173 of this subchapter.
Hazardous substance for the purposes of this subchapter, means a material, including its mixtures and solutions, that –
(1) Is listed in the appendix A to § 172.101 of this subchapter;
(2) Is in a quantity, in one package, which equals or exceeds the reportable quantity (RQ) listed in the appendix A to § 172.101 of this subchapter; and
(3) When in a mixture or solution –
(i) For radionuclides, conforms to paragraph 7 of the appendix A to § 172.101.
(ii) For other than radionuclides, is in a concentration by weight which equals or exceeds the concentration corresponding to the RQ of the material, as shown in the following table:
| RQ pounds (kilograms) | Concentration by weight | |
|---|---|---|
| Percent | PPM | |
| 5000 (2270) | 10 | 100,000 |
| 1000 (454) | 2 | 20,000 |
| 100 (45.4) | 0.2 | 2,000 |
| 10 (4.54) | 0.02 | 200 |
| 1 (0.454) | 0.002 | 20 |
The term does not include petroleum, including crude oil or any fraction thereof which is not otherwise specifically listed or designated as a hazardous substance in appendix A to § 172.101 of this subchapter, and the term does not include natural gas, natural gas liquids, liquefied natural gas, or synthetic gas usable for fuel (or mixtures of natural gas and such synthetic gas).
Hazardous waste, for the purposes of this chapter, means any material that is subject to the Hazardous Waste Manifest Requirements of the U.S. Environmental Protection Agency specified in 40 CFR part 262.
Hazmat means a hazardous material.
Hazmat employee means: (1) A person who is:
(i) Employed on a full-time, part time, or temporary basis by a hazmat employer and who in the course of such full time, part time or temporary employment directly affects hazardous materials transportation safety;
(ii) Self-employed (including an owner-operator of a motor vehicle, vessel, or aircraft) transporting hazardous materials in commerce who in the course of such self-employment directly affects hazardous materials transportation safety;
(iii) A railroad signalman; or
(iv) A railroad maintenance-of-way employee.
(2) This term includes an individual, employed on a full time, part time, or temporary basis by a hazmat employer, or who is self-employed, who during the course of employment:
(i) Loads, unloads, or handles hazardous materials;
(ii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container or packaging component that is represented, marked, certified, or sold as qualified for use in transporting hazardous material in commerce.
(iii) Prepares hazardous materials for transportation;
(iv) Is responsible for safety of transporting hazardous materials;
(v) Operates a vehicle used to transport hazardous materials.
Hazmat employer means:
(1) A person who employs or uses at least one hazmat employee on a full-time, part time, or temporary basis; and who:
(i) Transports hazardous materials in commerce;
(ii) Causes hazardous materials to be transported in commerce; or
(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or packaging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce;
(2) A person who is self-employed (including an owner-operator of a motor vehicle, vessel, or aircraft) transporting materials in commerce; and who:
(i) Transports hazardous materials in commerce;
(ii) Causes hazardous materials to be transported in commerce; or
(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or packaging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce; or
(3) A department, agency, or instrumentality of the United States Government, or an authority of a State, political subdivision of a State, or an Indian tribe; and who:
(i) Transports hazardous materials in commerce;
(ii) Causes hazardous materials to be transported in commerce; or
(iii) Designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs or tests a package, container, or packaging component that is represented, marked, certified, or sold by that person as qualified for use in transporting hazardous materials in commerce.
Hermetically sealed means closed by fusion, gasketing, crimping, or equivalent means so that no gas or vapor can enter or escape.
High-hazard flammable train (HHFT) means a single train transporting 20 or more loaded tank cars of a Class 3 flammable liquid in a continuous block or a single train carrying 35 or more loaded tank cars of a Class 3 flammable liquid throughout the train consist.
High-hazard flammable unit train (HHFUT) means a single train transporting 70 or more loaded tank cars containing Class 3 flammable liquid.
Household waste means any solid waste (including garbage, trash, and sanitary waste from septic tanks) derived from households (including single and multiple residences, hotels and motels, bunkhouses, ranger stations, crew quarters, campgrounds, picnic grounds, and day-use recreation areas). This term is not applicable to consolidated shipments of household hazardous materials transported from collection centers. A collection center is a central location where household waste is collected.
HMR means the Hazardous Materials Regulations, parts 171 through 180 of this chapter.
IAEA means International Atomic Energy Agency.
IATA means International Air Transport Association.
ICAO means International Civil Aviation Organization.
IMO means International Maritime Organization.
Incorporated by reference or IBR means a publication or a portion of a publication that is made a part of the regulations of this subchapter. See § 171.7.
Infectious substance (etiologic agent). See § 173.134 of this subchapter.
Inner packaging means a packaging for which an outer packaging is required for transport. It does not include the inner receptacle of a composite packaging.
Inner receptacle means a receptacle which requires an outer packaging in order to perform its containment function. The inner receptacle may be an inner packaging of a combination packaging or the inner receptacle of a composite packaging.
Intermediate bulk container or IBC means a rigid or flexible portable packaging, other than a cylinder or portable tank, which is designed for mechanical handling. Standards for IBCs manufactured in the United States are set forth in subparts N and O of part 178 of this subchapter.
Intermediate packaging means a packaging which encloses an inner packaging or article and is itself enclosed in an outer packaging.
Intermodal container means a freight container designed and constructed to permit it to be used interchangeably in two or more modes of transport.
Intermodal portable tank or IM portable tank means a specific class of portable tanks designed primarily for international intermodal use.
International transportation means transportation –
(1) Between any place in the United States and any place in a foreign country;
(2) Between places in the United States through a foreign country; or
(3) Between places in one or more foreign countries through the United States.
Irritating material. See § 173.132(a)(2) of this subchapter.
Jerrican means a metal or plastic packaging of rectangular or polygonal cross-section.
Large packaging means a packaging that –
(1) Consists of an outer packaging that contains articles or inner packagings;
(2) Is designated for mechanical handling;
(3) Exceeds 400 kg net mass or 450 liters (118.9 gallons) capacity;
(4) Has a volume of not more than 3 cubic meters (m
(5) Conforms to the requirements for the construction, testing and marking of Large Packagings as specified in subparts P and Q of part 178 of this subchapter.
Large salvage packaging means a special packaging into which damaged, defective, leaking or non-conforming hazardous materials packages, or hazardous materials that have spilled or leaked are placed for the purpose of transport for recovery or disposal, that –
(1) Is designed for mechanical handling; and
(2) Has a net mass greater than 400 kg (882 pounds) or a capacity of greater than 450 L (119 gallons), but has a volume of not more than 3 cubic meters (106 cubic feet).
Limited quantity, when specified as such in a section applicable to a particular material, means the maximum amount of a hazardous material for which there is a specific labeling or packaging exception.
Lighter means a mechanically operated flame-producing device employing an ignition device and containing a Class 3 or a Division 2.1 material. For design, capacity, and filling density requirements for lighters containing a Division 2.1 material, see § 173.308.
Lighter refill means a pressurized container that does not contain an ignition device but does contain a release device and is intended for use as a replacement cartridge in a lighter or to refill a lighter with a Division 2.1 flammable gas fuel. For capacity limits, see § 173.306(h) of this subchapter.
Liquid means a material, other than an elevated temperature material, with a melting point or initial melting point of 20 °C (68 °F) or lower at a standard pressure of 101.3 kPa (14.7 psia). A viscous material for which a specific melting point cannot be determined must be subjected to the procedures specified in ASTM D 4359 “Standard Test Method for Determining Whether a Material is Liquid or Solid” (IBR, see § 171.7).
Liquid phase means a material that meets the definition of liquid when evaluated at the higher of the temperature at which it is offered for transportation or at which it is transported, not at the 38 °C (100 °F) temperature specified in ASTM D 4359 (IBR, see § 171.7).
Lithium ion cell or battery means a rechargeable electrochemical cell or battery in which the positive and negative electrodes are both lithium compounds constructed with no metallic lithium in either electrode. A lithium ion polymer cell or battery that uses lithium ion chemistries, as described herein, is regulated as a lithium ion cell or battery.
Lithium metal cell or battery means an electrochemical cell or battery utilizing lithium metal or lithium alloys as the anode. The lithium content of a lithium metal or lithium alloy cell or battery is measured when the cell or battery is in an undischarged state. The lithium content of a lithium metal or lithium alloy battery is the sum of the grams of lithium content contained in the component cells of the battery.
Loading incidental to movement means loading by carrier personnel or in the presence of carrier personnel of packaged or containerized hazardous material onto a transport vehicle, aircraft, or vessel for the purpose of transporting it, including the loading, blocking and bracing a hazardous materials package in a freight container or transport vehicle, and segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo. For a bulk packaging, loading incidental to movement means filling the packaging with a hazardous material for the purpose of transporting it. Loading incidental to movement includes transloading.
Magazine vessel means a vessel used for the receiving, storing, or dispensing of explosives.
Magnetic material. See § 173.21(d) of this subchapter.
Marine pollutant, means a material which is listed in appendix B to § 172.101 of this subchapter (also see § 171.4) and, when in a solution or mixture of one or more marine pollutants, is packaged in a concentration which equals or exceeds:
(1) Ten percent by weight of the solution or mixture for materials listed in the appendix; or
(2) One percent by weight of the solution or mixture for materials that are identified as severe marine pollutants in the appendix.
Marking means a descriptive name, identification number, instructions, cautions, weight, specification, or UN marks, or combinations thereof, required by this subchapter on outer packagings of hazardous materials.
Material of trade means a hazardous material, other than a hazardous waste, that is carried on a motor vehicle –
(1) For the purpose of protecting the health and safety of the motor vehicle operator or passengers;
(2) For the purpose of supporting the operation or maintenance of a motor vehicle (including its auxiliary equipment); or
(3) By a private motor carrier (including vehicles operated by a rail carrier) in direct support of a principal business that is other than transportation by motor vehicle.
Material poisonous by inhalation or Material toxic by inhalation means:
(1) A gas meeting the defining criteria in § 173.115(c) of this subchapter and assigned to Hazard Zone A, B, C, or D in accordance with § 173.116(a) of this subchapter;
(2) A liquid (other than as a mist) meeting the defining criteria in § 173.132(a)(1)(iii) of this subchapter and assigned to Hazard Zone A or B in accordance with § 173.133(a) of this subchapter; or
(3) Any material identified as an inhalation hazard by a special provision in column 7 of the § 172.101 table.
Maximum allowable working pressure or MAWP: For DOT specification cargo tanks used to transport liquid hazardous materials, see § 178.320(a) of this subchapter.
Maximum capacity means the maximum inner volume of receptacles or packagings.
Maximum net mass means the allowable maximum net mass of contents in a single packaging, or as used in subpart M of part 178 of this subchapter, the maximum combined mass of inner packaging, and the contents thereof.
Mechanical displacement meter prover means a mechanical device used in the oilfield service industry consisting of a pipe assembly that is used to calibrate the accuracy and performance of meters that measure the quantities of a product being pumped or transferred at facilities such as drilling locations, refineries, tank farms, and loading racks.
Metered delivery service means a cargo tank unloading operation conducted at a metered flow rate of 378.5 L (100 gallons) per minute or less through an attached delivery hose with a nominal inside diameter of 3.175 cm (1
Metal hydride storage system means a single complete hydrogen storage system that includes a receptacle, metal hydride, pressure relief device, shut-off valve, service equipment and internal components used for the transportation of hydrogen only.
Miscellaneous hazardous material. See § 173.140 of this subchapter.
Mixture means a material composed of more than one chemical compound or element.
Mode means any of the following transportation methods; rail, highway, air, or water.
Motor vehicle includes a vehicle, machine, tractor, trailer, or semitrailer, or any combination thereof, propelled or drawn by mechanical power and used upon the highways in the transportation of passengers or property. It does not include a vehicle, locomotive, or car operated exclusively on a rail or rails, or a trolley bus operated by electric power derived from a fixed overhead wire, furnishing local passenger transportation similar to street-railway service.
Movement means the physical transfer of a hazardous material from one geographic location to another by rail car, aircraft, motor vehicle, or vessel.
Multiple-element gas container or MEGC means assemblies of UN cylinders, tubes, or bundles of cylinders interconnected by a manifold and assembled within a framework. The term includes all service equipment and structural equipment necessary for the transport of gases.
Name of contents means the proper shipping name as specified in § 172.101 of this subchapter.
Navigable waters means, for the purposes of this subchapter, waters of the United States, including the territorial seas.
Neutron Radiation Detector means a device that detects neutron radiation. In such a device, a gas may be contained in a hermetically sealed electron tube transducer that converts neutron radiation into a measurable electric signal.
Non-bulk packaging means a packaging which has:
(1) A maximum capacity of 450 L (119 gallons) or less as a receptacle for a liquid;
(2) A maximum net mass of 400 kg (882 pounds) or less and a maximum capacity of 450 L (119 gallons) or less as a receptacle for a solid;
(3) A water capacity of 454 kg (1000 pounds) or less as a receptacle for a gas as defined in § 173.115 of this subchapter; or
(4) Regardless of the definition of bulk packaging, a maximum net mass of 400 kg (882 pounds) or less for a bag or a box conforming to the applicable requirements for specification packagings, including the maximum net mass limitations, provided in subpart L of part 178 of this subchapter.
Nonflammable gas. See § 173.115 of this subchapter.
N.O.S. means not otherwise specified.
N.O.S. description means a shipping description from the § 172.101 table which includes the abbreviation n.o.s.
NPT means an American Standard taper pipe thread conforming to the requirements of NBS Handbook H-28 (IBR, see § 171.7).
NRC (non-reusable container) means a packaging (container) whose reuse is restricted in accordance with the provisions of § 173.28 of this subchapter.
Occupied caboose means a rail car being used to transport non-passenger personnel.
Officer in Charge, Marine Inspection means a person from the civilian or military branch of the Coast Guard designated as such by the Commandant and who under the supervision and direction of the Coast Guard District Commander is in charge of a designated inspection zone for the performance of duties with respect to the enforcement and administration of title 52, Revised Statutes, acts amendatory thereof or supplemental thereto, rules and regulations thereunder, and the inspection required thereby.
Offshore supply vessel means a cargo vessel of less than 500 gross tons that regularly transports goods, supplies or equipment in support of exploration or production of offshore mineral or energy resources.
Open cryogenic receptacle means a transportable thermally insulated receptacle for refrigerated liquefied gases maintained at atmospheric pressure by continuous venting of the refrigerated gas.
Operator means a person who controls the use of an aircraft, vessel, or vehicle.
Organic peroxide. See § 173.128 of this subchapter.
ORM means other regulated material. See § 173.144 of this subchapter.
Outage or ullage means the amount by which a packaging falls short of being liquid full, usually expressed in percent by volume.
Outer packaging means the outermost enclosure of a composite or combination packaging together with any absorbent materials, cushioning and any other components necessary to contain and protect inner receptacles or inner packagings.
Overpack, except as provided in subpart K of part 178 of this subchapter, means an enclosure that is used by a single consignor to provide protection or convenience in handling of a package or to consolidate two or more packages. Overpack does not include a transport vehicle, freight container, or aircraft unit load device. Examples of overpacks are one or more packages:
(1) Placed or stacked onto a load board such as a pallet and secured by strapping, shrink wrapping, stretch wrapping, or other suitable means; or
(2) Placed in a protective outer packaging such as a box or crate.
Oxidizer. See § 173.127 of this subchapter.
Oxidizing gas means a gas which may, generally by providing oxygen, cause or contribute to the combustion of other material more than air does.
Oxidizing gas means a gas that may, generally by providing oxygen, cause or contribute to the combustion of other material more than air does. Specifically, this means a pure gas or gas mixture with an oxidizing power greater than 23.5% as determined by a method specified in ISO 10156: or 10156-2: (IBR, see § 171.7 of this subchapter) (see also § 173.115(k)).
Oxygen generator (chemical) means a device containing chemicals that upon activation release oxygen as a product of chemical reaction.
Package or Outside Package means a packaging plus its contents. For radioactive materials, see § 173.403 of this subchapter.
Packaging means a receptacle and any other components or materials necessary for the receptacle to perform its containment function in conformance with the minimum packing requirements of this subchapter. For radioactive materials packaging, see § 173.403 of this subchapter.
Packing group means a grouping according to the degree of danger presented by hazardous materials. Packing Group I indicates great danger; Packing Group II, medium danger; Packing Group III, minor danger. See § 172.101(f) of this subchapter.
Passenger (With respect to vessels and for the purposes of part 176 only) means a person being carried on a vessel other than:
(1) The owner or his representative;
(2) The operator;
(3) A bona fide member of the crew engaged in the business of the vessel who has contributed no consideration for his carriage and who is paid for his services; or
(4) A guest who has not contributed any consideration directly or indirectly for his carriage.
Passenger-carrying aircraft means an aircraft that carries any person other than a crewmember, company employee, an authorized representative of the United States, or a person accompanying the shipment.
Passenger vessel means –
(1) A vessel subject to any of the requirements of the International Convention for the Safety of Life at Sea, 1974, which carries more than 12 passengers;
(2) A cargo vessel documented under the laws of the United States and not subject to that Convention, which carries more than 16 passengers;
(3) A cargo vessel of any foreign nation that extends reciprocal privileges and is not subject to that Convention and which carries more than 16 passengers; and
(4) A vessel engaged in a ferry operation and which carries passengers.
Person means an individual, corporation, company, association, firm, partnership, society, joint stock company; or a government, Indian Tribe, or authority of a government or Tribe, that offers a hazardous material for transportation in commerce, transports a hazardous material to support a commercial enterprise, or designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container, or packaging component that is represented, marked, certified, or sold as qualified for use in transporting hazardous material in commerce. This term does not include the United States Postal Service or, for purposes of 49 U.S.C. 5123 and 5124, a Department, agency, or instrumentality of the government.
Person who offers or offeror means:
(1) Any person who does either or both of the following:
(i) Performs, or is responsible for performing, any pre-transportation function required under this subchapter for transportation of the hazardous material in commerce.
(ii) Tenders or makes the hazardous material available to a carrier for transportation in commerce.
(2) A carrier is not an offeror when it performs a function required by this subchapter as a condition of acceptance of a hazardous material for transportation in commerce (e.g., reviewing shipping papers, examining packages to ensure that they are in conformance with this subchapter, or preparing shipping documentation for its own use) or when it transfers a hazardous material to another carrier for continued transportation in commerce without performing a pre-transportation function.
PHMSA means the Pipeline and Hazardous Materials Safety Administration, U.S. Department of Transportation, Washington, DC 20590.
Placarded car means a rail car which is placarded in accordance with the requirements of part 172 of this subchapter.
Poisonous gas. See § 173.115 of this subchapter.
Poisonous materials. See § 173.132 of this subchapter.
Portable tank means a bulk packaging (except a cylinder having a water capacity of 1000 pounds or less) designed primarily to be loaded onto, or on, or temporarily attached to a transport vehicle or ship and equipped with skids, mountings, or accessories to facilitate handling of the tank by mechanical means. It does not include a cargo tank, tank car, multi-unit tank car tank, or trailer carrying 3AX, 3AAX, or 3T cylinders.
Preferred route or Preferred highway is a highway for shipment of highway route controlled quantities of radioactive materials so designated by a State routing agency, and any Interstate System highway for which an alternative highway has not been designated by such State agency as provided by § 397.103 of this title.
Pre-transportation function means a function specified in the HMR that is required to assure the safe transportation of a hazardous material in commerce, including –
(1) Determining the hazard class of a hazardous material.
(2) Selecting a hazardous materials packaging.
(3) Filling a hazardous materials packaging, including a bulk packaging.
(4) Securing a closure on a filled or partially filled hazardous materials package or container or on a package or container containing a residue of a hazardous material.
(5) Marking a package to indicate that it contains a hazardous material.
(6) Labeling a package to indicate that it contains a hazardous material.
(7) Preparing a shipping paper.
(8) Providing and maintaining emergency response information.
(9) Reviewing a shipping paper to verify compliance with the HMR or international equivalents.
(10) For each person importing a hazardous material into the United States, providing the shipper with timely and complete information as to the HMR requirements that will apply to the transportation of the material within the United States.
(11) Certifying that a hazardous material is in proper condition for transportation in conformance with the requirements of the HMR.
(12) Loading, blocking, and bracing a hazardous materials package in a freight container or transport vehicle.
(13) Segregating a hazardous materials package in a freight container or transport vehicle from incompatible cargo.
(14) Selecting, providing, or affixing placards for a freight container or transport vehicle to indicate that it contains a hazardous material.
Primary hazard means the hazard class of a material as assigned in the § 172.101 table.
Private track or Private siding means: (i) Track located outside of a carrier’s right-of-way, yard, or terminals where the carrier does not own the rails, ties, roadbed, or right-of-way, or
(ii) Track leased by a railroad to a lessee, where the lease provides for, and actual practice entails, exclusive use of that trackage by the lessee and/or a general system railroad for purpose of moving only cars shipped to or by the lessee, and where the lessor otherwise exercises no control over or responsibility for the trackage or the cars on the trackage.
Proper shipping name means the name of the hazardous material shown in Roman print (not italics) in § 172.101 of this subchapter.
Psi means pounds per square inch.
Psia means pounds per square inch absolute.
Psig means pounds per square inch gauge.
Public vessel means a vessel owned by and being used in the public service of the United States. It does not include a vessel owned by the United States and engaged in a trade or commercial service or a vessel under contract or charter to the United States.
Pyrophoric liquid. See § 173.124(b) of this subchapter.
Radiation detection system means an apparatus that contains radiation detectors as components.
Radioactive materials. See § 173.403 of this subchapter for definitions relating to radioactive materials.
Rail car means a car designed to carry freight or non-passenger personnel by rail, and includes a box car, flat car, gondola car, hopper car, tank car, and occupied caboose.
Railroad means a person engaged in transportation by rail.
Receptacle means a containment vessel for receiving and holding materials, including any means of closing.
U.N. Recommendations means the U.N. Recommendations on the Transport of Dangerous Goods, Model Regulations (IBR, see § 171.7 of this subchapter).
Reconditioned packaging. See § 173.28 of this subchapter.
Registered Inspector means a person registered with the Department in accordance with subpart F of part 107 of this chapter who has the knowledge and ability to determine whether a cargo tank conforms to the applicable DOT specification. A Registered Inspector meets the knowledge and ability requirements of this section by meeting any one of the following requirements:
(1) Has an engineering degree and one year of work experience relating to the testing and inspection of cargo tanks;
(2) Has an associate degree in engineering and two years of work experience relating to the testing and inspection of cargo tanks;
(3) Has a high school diploma (or General Equivalency Diploma) and three years of work experience relating to the testing and inspection of cargo tanks; or
(4) Has at least three years’ experience performing the duties of a Registered Inspector prior to September 1, 1991.
Regulated medical waste. See § 173.134 of this subchapter.
Remanufactured packagings. See § 173.28 of this subchapter.
Reportable quantity (RQ) for the purposes of this subchapter, means the quantity specified in Column 2 of Table 1 or Column 3 of Table 2 of appendix A to § 172.101 for any material identified in Column 1 of the tables.
Research means investigation or experimentation aimed at the discovery of new theories or laws and the discovery and interpretation of facts or revision of accepted theories or laws in the light of new facts. Research does not include the application of existing technology to industrial endeavors.
Residue means the hazardous material remaining in a packaging, including a tank car, after its contents have been unloaded to the maximum extent practicable and before the packaging is either refilled or cleaned of hazardous material and purged to remove any hazardous vapors.
Reused packaging. See § 173.28 of this subchapter.
Reverse logistics means the process of offering for transport or transporting by motor vehicle goods from a retail store for return to its manufacturer, supplier, or distribution facility for the purpose of capturing value (e.g., to receive manufacturer’s credit), recall, replacement, recycling, or similar reason. This definition does not include materials that meet the definition of a hazardous waste as defined in this section.
SADT means self-accelerated decomposition temperature. See § 173.21(f) of this subchapter.
Salvage packaging means a special packaging conforming to § 173.3 of this subchapter into which damaged, defective, leaking, or non-conforming hazardous materials packages, or hazardous materials that have spilled or leaked, are placed for purposes of transport for recovery or disposal.
SAPT means self-accelerated polymerization temperature. See § 173.21(f) of this subchapter. This definition will be effective until January 2, 2019.
SCF (standard cubic foot) means one cubic foot of gas measured at 60 °F. and 14.7 psia.
Secretary means the Secretary of Transportation.
Self-defense spray means an aerosol or non-pressurized device that:
(1) Is intended to have an irritating or incapacitating effect on a person or animal; and
(2) Meets no hazard criteria other than for Class 9 (for example, a pepper spray; see § 173.140(a) of this subchapter) and, for an aerosol, Division 2.1 or 2.2 (see § 173.115 of this subchapter), except that it may contain not more than two percent by mass of a tear gas substance (e.g., chloroacetophenone (CN) or 0-chlorobenzylmalonitrile (CS); see § 173.132(a)(2) of this subchapter.)
Service life, for composite cylinders and tubes, means the number of years the cylinder or tube is permitted to be in service.
Settled pressure means the pressure exerted by the contents of a UN pressure receptacle in thermal and diffusive equilibrium.
Sharps. See § 173.134 of this subchapter.
Shipping paper means a shipping order, bill of lading, manifest or other shipping document serving a similar purpose and prepared in accordance with subpart C of part 172 of this chapter.
Short circuit means a direct connection between positive and negative terminals of a cell or battery that provides an abnormally low resistance path for current flow.
Siftproof packaging means a packaging impermeable to dry contents, including fine solid material produced during transportation.
Single packaging means a non-bulk packaging other than a combination packaging.
Solid means a material which is not a gas or a liquid.
Solution means any homogeneous liquid mixture of two or more chemical compounds or elements that will not undergo any segregation under conditions normal to transportation.
Special permit means a document issued by the Associate Administrator, the Associate Administrator’s designee, or as otherwise prescribed in the HMR, under the authority of 49 U.S.C. 5117 permitting a person to perform a function that is not otherwise permitted under subchapter A or C of this chapter, or other regulations issued under 49 U.S.C. 5101 et seq. (e.g., Federal Motor Carrier Safety routing requirements).
Specification packaging means a packaging conforming to one of the specifications or standards for packagings in part 178 or part 179 of this subchapter.
Spontaneously combustible material. See § 173.124(b) of this subchapter.
Stabilized means that the hazardous material is in a condition that precludes uncontrolled reaction. This may be achieved by methods such as adding an inhibiting chemical, degassing the hazardous material to remove dissolved oxygen and inerting the air space in the package, or maintaining the hazardous material under temperature control.
State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other territory or possession of the United States designated by the Secretary.
State-designated route means a preferred route selected in accordance with U.S. DOT “Guidelines for Selecting Preferred Highway Routes for Highway Route Controlled Quantities of Radioactive Materials” or an equivalent routing analysis which adequately considers overall risk to the public.
Storage incidental to movement means storage of a transport vehicle, freight container, or package containing a hazardous material by any person between the time that a carrier takes physical possession of the hazardous material for the purpose of transporting it in commerce until the package containing the hazardous material is physically delivered to the destination indicated on a shipping document, package marking, or other medium, or, in the case of a private motor carrier, between the time that a motor vehicle driver takes physical possession of the hazardous material for the purpose of transporting it in commerce until the driver relinquishes possession of the package at its destination and is no longer responsible for performing functions subject to the HMR with respect to that particular package.
(1) Storage incidental to movement includes –
(i) Storage at the destination shown on a shipping document, including storage at a transloading facility, provided the shipping documentation identifies the shipment as a through-shipment and identifies the final destination or destinations of the hazardous material; and
(ii) Rail cars containing hazardous materials that are stored on track that does not meet the definition of “private track or siding” in § 171.8, even if those cars have been delivered to the destination shown on the shipping document.
(2) Storage incidental to movement does not include storage of a hazardous material at its final destination as shown on a shipping document.
Stowage means the act of placing hazardous materials on board a vessel.
Strong outer packaging means the outermost enclosure that provides protection against the unintentional release of its contents. It is a packaging that is sturdy, durable, and constructed so that it will retain its contents under normal conditions of transportation. In addition, a strong outer packaging must meet the general packaging requirements of subpart B of part 173 of this subchapter but need not comply with the specification packaging requirements in part 178 of the subchapter. For transport by aircraft, a strong outer packaging is subject to § 173.27 of this subchapter. The terms “strong outside container” and “strong outside packaging” are synonymous with “strong outer packaging.”
Subsidiary hazard means a hazard of a material other than the primary hazard. (See primary hazard).
Table in § 172.101 or § 172.101 table means the Hazardous Materials Table in § 172.101 of this subchapter.
Technical name means a recognized chemical name or microbiological name currently used in scientific and technical handbooks, journals, and texts. Generic descriptions are authorized for use as technical names provided they readily identify the general chemical group, or microbiological group. Examples of acceptable generic chemical descriptions are organic phosphate compounds, petroleum aliphatic hydrocarbons and tertiary amines. For proficiency testing only, generic microbiological descriptions such as bacteria, mycobacteria, fungus, and viral samples may be used. Except for names which appear in subpart B of part 172 of this subchapter, trade names may not be used as technical names.
TOFC means trailer-on-flat-car.
Top shell means the tank car tank surface, excluding the head ends and bottom shell of the tank car tank.
Toxin. See § 173.134 of this subchapter.
Trailership means a vessel, other than a carfloat, specifically equipped to carry motor transport vehicles and fitted with installed securing devices to tie down each vehicle. The term trailership includes Roll-on/Roll-off (RO/RO) vessels.
Train means one or more engines coupled with one or more rail cars, except during switching operations or where the operation is that of classifying and assembling rail cars within a railroad yard for the purpose of making or breaking up trains.
Train consist means a written record of the contents and location of each rail car in a train.
Trainship means a vessel other than a rail car ferry or carfloat, specifically equipped to transport railroad vehicles, and fitted with installed securing devices to tie down each vehicle.
Transloading means the transfer of a hazardous material by any person from one bulk packaging to another bulk packaging, from a bulk packaging to a non-bulk packaging, or from a non-bulk packaging to a bulk packaging for the purpose of continuing the movement of the hazardous material in commerce.
Transport vehicle means a cargo-carrying vehicle such as an automobile, van, tractor, truck, semitrailer, tank car or rail car used for the transportation of cargo by any mode. Each cargo-carrying body (trailer, rail car, etc.) is a separate transport vehicle.
Transportation or transport means the movement of property and loading, unloading, or storage incidental to that movement.
UFC means Uniform Freight Classification.
UN means United Nations.
UN cylinder means a transportable pressure receptacle with a water capacity not exceeding 150 L that has been marked and certified as conforming to the applicable requirements in part 178 of this subchapter.
UN portable tank means an intermodal tank having a capacity of more than 450 liters (118.9 gallons). It includes a shell fitted with service equipment and structural equipment, including stabilizing members external to the shell and skids, mountings or accessories to facilitate mechanical handling. A UN portable tank must be capable of being filled and discharged without the removal of its structural equipment and must be capable of being lifted when full. Cargo tanks, rail tank car tanks, non-metallic tanks, non-specification tanks, bulk bins, and IBCs and packagings made to cylinder specifications are not UN portable tanks.
UN pressure drum means a welded transportable pressure receptacle of a water capacity exceeding 150 L (39.6 gallons) and not more than 1,000 L (264.2 gallons) (e.g. cylindrical receptacles equipped with rolling hoops, spheres on skids).
UN pressure receptacle means a UN cylinder, drum, or tube.
UN Recommendations means the UN Recommendations on the Transport of Dangerous Goods (IBR, see § 171.7).
UN standard packaging means a packaging conforming to standards in the UN Recommendations (IBR, see § 171.7).
UN tube means a transportable pressure receptacle of seamless or composite construction having with a water capacity exceeding 150 L (39.6 gallons) but not more than 3,000 L (792.5 gallons) that has been marked and certified as conforming to the requirements in part 178 of this subchapter.
Undeclared hazardous material means a hazardous material that is: (1) Subject to any of the hazard communication requirements in subparts C (Shipping Papers), D (Marking), E (Labeling), and F (Placarding) of part 172 of this subchapter, or an alternative marking requirement in part 173 of this subchapter (such as §§ 173.4(a)(10) and 173.6(c)); and (2) offered for transportation in commerce without any visible indication to the person accepting the hazardous material for transportation that a hazardous material is present, on either an accompanying shipping document, or the outside of a transport vehicle, freight container, or package.
Unintentional release means the escape of a hazardous material from a package on an occasion not anticipated or planned. This includes releases resulting from collision, package failures, human error, criminal activity, negligence, improper packing, or unusual conditions such as the operation of pressure relief devices as a result of over-pressurization, overfill or fire exposure. It does not include releases, such as venting of packages, where allowed, and the operational discharge of contents from packages.
Unit load device means any type of freight container, aircraft container, aircraft pallet with a net, or aircraft pallet with a net over an igloo.
United States means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other territory or possession of the United States designated by the Secretary.
Unloading incidental to movement means removing a packaged or containerized hazardous material from a transport vehicle, aircraft, or vessel, or for a bulk packaging, emptying a hazardous material from the bulk packaging after the hazardous material has been delivered to the consignee when performed by carrier personnel or in the presence of carrier personnel or, in the case of a private motor carrier, while the driver of the motor vehicle from which the hazardous material is being unloaded immediately after movement is completed is present during the unloading operation. (Emptying a hazardous material from a bulk packaging while the packaging is on board a vessel is subject to separate regulations as delegated by Department of Homeland Security Delegation No. 0170.1 at 2(103).) Unloading incidental to movement includes transloading.
Vessel includes every description of watercraft, used or capable of being used as a means of transportation on the water.
Viscous liquid means a liquid material which has a measured viscosity in excess of 2500 centistokes at 25 °C. (77 °F.) when determined in accordance with the procedures specified in ASTM Method D 445-72 “Kinematic Viscosity of Transparent and Opaque Liquids (and the Calculation of Dynamic Viscosity)” or ASTM Method D 1200-70 “Viscosity of Paints, Varnishes, and Lacquers by Ford Viscosity Cup.”
Volatility refers to the relative rate of evaporation of materials to assume the vapor state.
Waste material means, for the purposes of lab pack requirements in § 173.12 of this subchapter, all hazardous materials which are destined for disposal or recovery, and not so limited to only those defined as a hazardous waste in this section.
Water reactive material. See § 173.124(c) of this subchapter.
Water resistant means having a degree of resistance to permeability by and damage caused by water in liquid form.
Watt-hour (Wh) means a unit of energy equivalent to one watt (1 W) of work acting for one hour (1 h) of time. The Watt-hour rating of a lithium ion cell or battery is determined by multiplying the rated capacity of a cell or battery in ampere-hours, by its nominal voltage. Therefore, Watt-hour (Wh) = ampere-hour (Ah) × volts (V).
Wooden barrel means a packaging made of natural wood, of round cross-section, having convex walls, consisting of staves and heads and fitted with hoops.
Working pressure for purposes of UN pressure receptacles, means the settled pressure of a compressed gas at a reference temperature of 15 °C (59 °F).
W.T. means watertight.
§ 171.9 Rules of construction.
(a) In this subchapter, unless the context requires otherwise:
(1) Words imparting the singular include the plural;
(2) Words imparting the plural include the singular; and
(3) Words imparting the masculine gender include the feminine;
(b) In this subchapter, the word: (1) “Shall” is used in an imperative sense;
(2) “Must” is used in an imperative sense;
(3) “Should” is used in a recommendatory sense;
(4) “May” is used in a permissive sense to state authority or permission to do the act described, and the words “no person may * * *” or “a person may not * * *” means that no person is required, authorized, or permitted to do the act described; and
(5) “Includes” is used as a word of inclusion not limitation.
§ 171.10 Units of measure.
(a) General. To ensure compatibility with international transportation standards, most units of measure in this subchapter are expressed using the International System of Units (“SI” or metric). Where SI units appear, they are the regulatory standard. U.S. standard or customary units, which appear in parentheses following the SI units, are for information only and are not intended to be the regulatory standard.
(b) Abbreviations for SI units of measure generally used throughout this subchapter are as shown in paragraph (c) of this section. Customary units shown throughout this subchapter are generally not abbreviated.
(c) Conversion values. (1) Conversion values are provided in the following table and are based on values provided in ASTM E 380, “Standard for Metric Practice”.
(2) If an exact conversion is needed, the following conversion table should be used.
Table of Conversion Factors for SI Units
| Measurement | SI to U.S. standard | U.S. standard to SI |
|---|---|---|
| Activity | 1 TBq = 27 Ci | 1 Ci = 0.037 TBq |
| Length | 1 cm = 0.3937008 in 1 m = 3.280840 ft | 1 in = 2.540000 cm 1 ft = 0.3048000 m |
| Thickness | 1 mm = 0.03937008 in | 1 in = 25.40000 mm |
| Mass (weight) | 1 kg = 2.204622 lb 1 g = 0.03527397 oz | 1 lb = 0.4535924 kg 1 oz = 28.34952 g |
| Pressure | 1 kPa = 0.1450377 psi 1 Bar = 100 kPa = 14.504 psi 1 kPa = 7.5 mm Hg | 1 psi = 6.894757 kPa 1 psi = 0.06895 Bar |
| Radiation level | 1 Sv/hr = 100 rem/hr | 1 rem/hr = 0.01 Sv/hr |
| Volume (liquid) | 1 L = 0.2641720 gal 1 mL = 0.03381402 oz 1 m 3 = 35.31466 ft 3 | 1 gal = 3.785412 L 1 oz = 29.57353 mL 1 ft 3 = 0.02831685 m 3 |
| Density | 1 kg/m 3 = 0.06242797 lb/ft 3 | 1 lb/ft 3 = 16.01846 kg/m 3 |
| Force | 1 Newton = 0.2248 Pound-force | 1 Pound-force = 4.483 N |
Abbreviation for units of measure are as follows:
Unit of measure and abbreviation:
(SI): millimeter, mm; centimeter, cm; meter, m; gram, g; kilogram, kg; kiloPascal, kPa; liter, L; milliliter, mL; cubic meter, m
3; Terabecquerel, TBq; Gigabecquerel, GBq; millisievert, mSv; Newton, N;
(U.S.): Inch, in; foot, ft; ounce, oz; pound, lb; psig, psi; gallon, gal; cubic feet, ft
3; Curie, Ci; millicurie, mCi; millirem, mrem.
§ 171.11 [Reserved]
§ 171.12 North American Shipments.
(a) Requirements for the use of the Transport Canada TDG Regulations. (1) A hazardous material transported from Canada to the United States, from the United States to Canada, or transiting the United States to Canada or a foreign destination may be offered for transportation or transported by motor carrier and rail in accordance with the Transport Canada TDG Regulations (IBR, see § 171.7) or an equivalency certificate (permit for equivalent level of safety) issued by Transport Canada as an alternative to the TDG Regulations, as authorized in § 171.22, provided the requirements in §§ 171.22 and 171.23, as applicable, and this section are met. In addition, a cylinder, pressure drum, MEGC, cargo tank motor vehicle, portable tank or rail tank car authorized by the Transport Canada TDG Regulations may be used for transportation to, from, or within the United States provided the cylinder, pressure drum, MEGC, cargo tank motor vehicle, portable tank or rail tank car conforms to the applicable requirements of this section. Except as otherwise provided in this subpart and subpart C of this part, the requirements in parts 172, 173, and 178 of this subchapter do not apply for a material transported in accordance with the Transport Canada TDG Regulations.
(2) General packaging requirements. When the provisions of this subchapter require a DOT specification or UN standard packaging to be used for transporting a hazardous material, a packaging authorized by the Transport Canada TDG Regulations may be used, subject to the limitations of this part, and only if it is equivalent to the corresponding DOT specification or UN packaging (see § 173.24(d)(2) of this subchapter) authorized by this subchapter.
(3) Bulk packagings. A portable tank, cargo tank motor vehicle or rail tank car equivalent to a corresponding DOT specification and conforming to and authorized by the Transport Canada TDG Regulations may be used provided –
(i) An equivalent type of packaging is authorized for the hazardous material according to the § 172.101 table of this subchapter;
(ii) The portable tank, cargo tank motor vehicle or rail tank car conforms to the requirements of the applicable part 173 bulk packaging section specified in the § 172.101 table for the material to be transported;
(iii) The portable tank, cargo tank motor vehicle or rail tank car conforms to the requirements of all assigned bulk packaging special provisions (B codes, and T and TP codes) in § 172.102 of this subchapter; and
(iv) The bulk packaging conforms to all applicable requirements of §§ 173.31, 173.32, 173.33 and 173.35 of this subchapter, and parts 177 and 180 of this subchapter. The periodic retests and inspections required by §§ 173.31, 173.32 and 173.33 of this subchapter may be performed in accordance with part 180 of this subchapter or in accordance with the requirements of the TDG Regulations provided that the intervals prescribed in part 180 of this subchapter are met.
(v) Rail tank cars must conform to the requirements of Containers for Transport of Dangerous Goods by Rail (IBR, see § 171.7).
(4) Cylinders, Pressure Drums, and MEGCs. When the provisions of this subchapter require that a DOT specification or a UN pressure receptacle must be used for a hazardous material, a packaging authorized by the Transport Canada TDG Regulations may be used only if it corresponds to the DOT specification or UN standard authorized by this subchapter. Unless otherwise excepted in this subchapter, a cylinder (including a UN pressure receptacle) or MEGC may not be transported unless –
(i) The packaging is a UN pressure receptacle or MEGC marked with the letters “CAN” for Canada as a country of manufacture or a country of approval or is a cylinder that was manufactured, inspected and tested in accordance with a DOT specification or a UN standard prescribed in part 178 of this subchapter, except that cylinders (including UN pressure receptacles) not conforming to these requirements must meet the requirements in § 171.23. Each cylinder (including UN pressure receptacles) must conform to the applicable requirements in part 173 of this subchapter for the hazardous material involved.
(ii) A Canadian Railway Commission (CRC), Board of Transport Commissioners for Canada (BTC), Canadian Transport Commission (CTC) or Transport Canada (TC) specification cylinder manufactured, originally marked, and approved in accordance with the TDG Regulations, and in full conformance with the TDG Regulations is authorized for transportation to, from or within the United States provided:
(A) The CRC, BTC, CTC or TC specification cylinder corresponds with a DOT specification cylinder and the markings are the same as those specified in this subchapter, except that the original markings were “CRC”, “BTC”, “CTC”, or “TC”;
(B) The cylinder has been requalified under a program authorized by the TDG Regulations or subpart I of part 107 of this chapter;
(C) When the regulations authorize a cylinder for a specific hazardous material with a specification marking prefix of “DOT,” a cylinder marked “CRC”, “BTC”, “CTC”, or “TC” otherwise bearing the same markings 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.).
(iii) Authorized CRC, BTC, CTC or TC specification cylinders that correspond with a DOT specification cylinder are as follows:
| TC | DOT (some or all of these specifications may instead be marked with the prefix ICC) | CTC (some or all of these specifications may instead be marked with the prefix BTC or CRC) |
|---|---|---|
| TC-3AM | DOT-3A [ICC-3] | CTC-3A |
| TC-3AAM | DOT-3AA | CTC-3AA |
| TC-3ANM | DOT-3BN | CTC-3BN |
| TC-3EM | DOT-3E | CTC-3E |
| TC-3HTM | DOT-3HT | CTC-3HT |
| TC-3ALM | DOT-3AL | CTC-3AL |
| DOT-3B | CTC-3B | |
| TC-3AXM | DOT-3AX | CTC-3AX |
| TC-3AAXM | DOT-3AAX | CTC-3AAX |
| DOT-3A480X | CTC-3A480X | |
| TC-3TM | DOT-3T | |
| TC-4AAM33 | DOT-4AA480 | CTC-4AA480 |
| TC-4BM | DOT-4B | CTC-4B |
| TC-4BM17ET | DOT-4B240ET | CTC-4B240ET |
| TC-4BAM | DOT-4BA | CTC-4BA |
| TC-4BWM | DOT-4BW | CTC-4BW |
| TC-4DM | DOT-4D | CTC-4D |
| TC-4DAM | DOT-4DA | CTC-4DA |
| TC-4DSM | DOT-4DS | CTC-4DS |
| TC-4EM | DOT-4E | CTC-4E |
| TC-39M | DOT-39 | CTC-39 |
| TC-4LM | DOT-4L | CTC-4L |
| DOT-8 | CTC-8 | |
| DOT-8AL | CTC-8AL |
(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) Lithium metal cells and batteries. Lithium metal cells and batteries (UN3090) are forbidden for transport aboard passenger-carrying aircraft. The outside of each package that contains lithium cells or batteries meeting the conditions for exception in § 173.185(c) of this subchapter and transported in accordance with the Transport Canada TDG Regulations must be marked in accordance with § 173.185(c)(1)(iii) or (c)(1)(iv) as appropriate.
(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.
§ 171.12a [Reserved]
§ 171.14 [Reserved]
Subpart B – Incident Reporting, Notification, BOE Approvals and Authorization
§ 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;
(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 also make the report required by § 171.16 of this subpart.
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.
§ 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 Administration, Department of Transportation, East Building, 1200 New Jersey Ave., SE., Washington, DC 20590-0001, or an electronic Hazardous Material Incident Report to the Information System Manager, PHH-60, Pipeline and Hazardous Materials Safety Administration, Department of Transportation, Washington, DC 20590-0001 at http://hazmat.dot.gov;
(2) For an incident involving transportation by aircraft, submit a written or electronic copy of the Hazardous Materials Incident Report to the Federal Aviation Administration (FAA) Regional Office nearest the location of the incident. The nearest FAA Regional Office may be located by calling the FAA Washington Operations Center at 202-267-3333 (any hour) or visiting FAA’s website; and
(3) Retain a written or electronic copy of the Hazardous Materials Incident Report for a period of two years at the reporting person’s principal place of business. If the written or electronic Hazardous Materials Incident Report is maintained at other than the reporting person’s principal place of business, the report must be made available at the reporting person’s principal place of business within 24 hours of a request for the report by an authorized representative or special agent of the Department of Transportation.
(c) Updating the incident report. A Hazardous Materials Incident Report must be updated within one year of the date of occurrence of the incident whenever:
(1) A death results from injury caused by a hazardous material;
(2) There was a misidentification of the hazardous material or package information on a prior incident report;
(3) Damage, loss or related cost that was not known when the initial incident report was filed becomes known; or
(4) Damage, loss, or related cost changes by $25,000 or more, or 10% of the prior total estimate, whichever is greater.
(d) Exceptions. Unless a telephone report is required under the provisions of § 171.15 of this part, the requirements of paragraphs (a), (b), and (c) of this section do not apply to the following incidents:
(1) A release of a minimal amount of material from –
(i) A vent, for materials for which venting is authorized;
(ii) The routine operation of a seal, pump, compressor, or valve; or
(iii) Connection or disconnection of loading or unloading lines, provided that the release does not result in property damage.
(2) An unintentional release of a hazardous material when:
(i) The material is –
(A) A limited quantity material packaged under authorized exceptions in the § 172.101 Hazardous Materials Table of this subchapter excluding Class 7 (radioactive) material; or
(B) A Packing Group III material in Class or Division 3, 4, 5, 6.1, 8, or 9;
(ii) The material is released from a package having a capacity of less than 20 liters (5.2 gallons) for liquids or less than 30 kg (66 pounds) for solids;
(iii) The total amount of material released is less than 20 liters (5.2 gallons) for liquids or less than 30 kg (66 pounds) for solids; and
(iv) The material is not –
(A) Offered for transportation or transported by aircraft;
(B) A hazardous waste; or
(C) An undeclared hazardous material;
(3) An undeclared hazardous material discovered in an air passenger’s checked or carry-on baggage during the airport screening process. (For discrepancy reporting by carriers, see § 175.31 of this subchapter.)
§§ 171.17-171.18 [Reserved]
Effective December 31, 1998, approvals or authorizations issued by the Bureau of Explosives (BOE), other than those issued under part 179 of this subchapter, are no longer valid.
§ 171.20 Submission of Examination Reports.
(a) When it is required in this subchapter that the issuance of an approval by the Associate Administrator be based on an examination by the Bureau of Explosives (or any other test facility recognized by PHMSA), it is the responsibility of the applicant to submit the results of the examination to the Associate Administrator.
(b) Applications for approval submitted under paragraph (a) of this section, must be submitted to the Associate Administrator for Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, Washington, DC 20590-0001.
(c) Any applicant for an approval aggrieved by an action taken by the Associate Administrator, under this subpart may file an appeal with the Administrator, PHMSA within 30 days of service of notification of a denial.
§ 171.21 Assistance in investigations and special studies.
(a) A shipper, carrier, package owner, package manufacturer or certifier, repair facility, or person reporting an incident under the provisions of § 171.16 must:
(1) Make all records and information pertaining to the incident available to an authorized representative or special agent of the Department of Transportation upon request; and
(2) Give an authorized representative or special agent of the Department of Transportation reasonable assistance in the investigation of the incident.
(b) If an authorized representative or special agent of the Department of Transportation makes an inquiry of a person required to complete an incident report in connection with a study of incidents, the person shall:
(1) Respond to the inquiry within 30 days after its receipt or within such other time as the inquiry may specify; and
(2) Provide true and complete answers to any questions included in the inquiry.
Subpart C – Authorization and Requirements for the Use of International Transport Standards and Regulations
§ 171.22 Authorization and conditions for the use of international standards and regulations.
(a) Authorized international standards and regulations. This subpart authorizes, with certain conditions and limitations, the offering for transportation and the transportation in commerce of hazardous materials in accordance with the International Civil Aviation Organization’s Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions), the International Maritime Dangerous Goods Code (IMDG Code), Transport Canada’s Transportation of Dangerous Goods Regulations (Transport Canada TDG Regulations), and the International Atomic Energy Agency Regulations for the Safe Transport of Radioactive Material (IAEA Regulations) (IBR, see § 171.7).
(b) Limitations on the use of international standards and regulations. A hazardous material that is offered for transportation or transported in accordance with the international standards and regulations authorized in paragraph (a) of this section –
(1) Is subject to the requirements of the applicable international standard or regulation and must be offered for transportation or transported in conformance with the applicable standard or regulation; and
(2) Must conform to all applicable requirements of this subpart.
(c) Materials excepted from regulation under international standards and regulations. A material designated as a hazardous material under this subchapter, but excepted from or not subject to the international transport standards and regulations authorized in paragraph (a) of this section (e.g., paragraph 1.16 of the Transport Canada TDG Regulations excepts from regulation quantities of hazardous materials less than or equal to 500 kg gross transported by rail) must be transported in accordance with all applicable requirements of this subchapter.
(d) Materials not regulated under this subchapter. Materials not designated as hazardous materials under this subchapter but regulated by an international transport standard or regulation authorized in paragraph (a) of this section may be offered for transportation and transported in the United States in full compliance (i.e., packaged, marked, labeled, classed, described, stowed, segregated, secured) with the applicable international transport standard or regulation.
(e) Forbidden materials. No person may offer for transportation or transport a hazardous material that is a forbidden material or package as designated in –
(1) Section 173.21 of this subchapter;
(2) Column (3) of the § 172.101 Table of this subchapter;
(3) Column (9A) of the § 172.101 Table of this subchapter when offered for transportation or transported on passenger aircraft or passenger railcar; or
(4) Column (9B) of the § 172.101 Table of this subchapter when offered for transportation or transported by cargo aircraft.
(f) Complete information and certification. (1) Except for shipments into the United States from Canada conforming to § 171.12, each person importing a hazardous material into the United States must provide the shipper, and the forwarding agent at the place of entry into the United States, timely and complete written information as to the requirements of this subchapter applicable to the particular shipment.
(2) The shipper, directly or through the forwarding agent at the place of entry, must provide the initial U.S. carrier with the shipper’s certification required by § 172.204 of this subchapter, unless the shipment is otherwise excepted from the certification requirement. Except for shipments for which the certification requirement does not apply, a carrier may not accept a hazardous material for transportation unless provided a shipper’s certification.
(3) All shipping paper information and package markings required in accordance with this subchapter must be in English. The use of shipping papers and a package marked with both English and a language other than English, in order to dually comply with this subchapter and the regulations of a foreign entity, is permitted under this subchapter.
(4) Each person who provides for transportation or receives for transportation (see §§ 174.24, 175.30, 176.24 and 177.817 of this subchapter) a shipping paper must retain a copy of the shipping paper or an electronic image thereof that is accessible at or through its principal place of business in accordance with § 172.201(e) of this subchapter.
(g) Additional requirements for the use of international standards and regulations. All shipments offered for transportation or transported in the United States in accordance with this subpart must conform to the following requirements of this subchapter, as applicable:
(1) The emergency response information requirements in subpart G of part 172 of this subchapter;
(2) The training requirements in subpart H of part 172 of this subchapter, including function-specific training in the use of the international transport standards and regulations authorized in paragraph (a) of this section, as applicable;
(3) The security requirements in subpart I of part 172 of this subchapter;
(4) The incident reporting requirements in §§ 171.15 and 171.16 of this part for incidents occurring within the jurisdiction of the United States including on board vessels in the navigable waters of the United States and aboard aircraft of United States registry anywhere in air commerce;
(5) For export shipments, the general packaging requirements in §§ 173.24 and 173.24a of this subchapter;
(6) For export shipments, the requirements for the reuse, reconditioning, and remanufacture of packagings in § 173.28 of this subchapter; and
(7) The registration requirements in subpart G of part 107 of this chapter.
§ 171.23 Requirements for specific materials and packagings transported under the ICAO Technical Instructions, IMDG Code, Transport Canada TDG Regulations, or the IAEA Regulations.
All shipments offered for transportation or transported in the United States under the ICAO Technical Instructions, IMDG Code, Transport Canada TDG Regulations, or the IAEA Regulations (IBR, see § 171.7) must conform to the requirements of this section, as applicable.
(a) Conditions and requirements for cylinders and pressure receptacles – (1) Applicability. Except as provided in this paragraph (a), a filled cylinder (pressure receptacle) manufactured to other than a DOT specification or a UN standard in accordance with part 178 of this subchapter, a DOT exemption or special permit cylinder, a TC, CTC, CRC, or BTC cylinder authorized under § 171.12, or a cylinder used as a fire extinguisher in conformance with § 173.309(a) of this subchapter, may not be transported to, from, or within the United States.
(2) Conditions. Cylinders (including UN pressure receptacles) transported to, from, or within the United States must conform to the applicable requirements of this subchapter. Unless otherwise excepted in this subchapter, a cylinder must not be transported unless –
(i) The cylinder is manufactured, inspected and tested in accordance with a DOT specification or a UN standard prescribed in part 178 of this subchapter, or a TC, CTC, CRC, or BTC specification set out in the Transport Canada TDG Regulations (IBR, see § 171.7), except that cylinders not conforming to these requirements must meet the requirements in paragraph (a)(3), (4), or (5) of this section;
(ii) The cylinder is equipped with a pressure relief device in accordance with § 173.301(f) of this subchapter and conforms to the applicable requirements in part 173 of this subchapter for the hazardous material involved;
(iii) The openings on an aluminum cylinder in oxygen service conform to the requirements of this paragraph, except when the cylinder is used for aircraft parts or used aboard an aircraft in accordance with the applicable airworthiness requirements and operating regulations. An aluminum DOT specification cylinder must have an opening configured with straight (parallel) threads. A UN pressure receptacle may have straight (parallel) or tapered threads provided the UN pressure receptacle is marked with the thread type, e.g. “17E, 25E, 18P, or 25P” and fitted with the properly marked valve; and
(iv) A UN pressure receptacle is marked with “USA” as a country of approval in conformance with §§ 178.69 and 178.70 of this subchapter, or “CAN” for Canada.
(3) Pi-marked pressure receptacles. Pressure receptacles that are marked with a pi mark in accordance with the European Directive 2010/35/EU (IBR, see § 171.7) on transportable pressure equipment (TPED) and that comply with the requirements of Packing Instruction P200 or P208 and 6.2 of ECE/TRANS/257 (Vol. I), the Agreement Concerning the International Carriage of Dangerous Goods by Road (ADR) (IBR, see § 171.7) concerning pressure relief device use, test period, filling ratios, test pressure, maximum working pressure, and material compatibility for the lading contained or gas being filled, are authorized as follows:
(i) Filled pressure receptacles imported for intermediate storage, transport to point of use, discharge, and export without further filling; and
(ii) Pressure receptacles imported or domestically sourced for the purpose of filling, intermediate storage, and export.
(iii) The bill of lading or other shipping paper must identify the cylinder and include the following certification: “This cylinder (These cylinders) conform(s) to the requirements for pi-marked cylinders found in 171.23(a)(3).”
(4) Importation of cylinders for discharge within a single port area. Except as provided in § 171.23(a)(3), a cylinder manufactured to other than a DOT specification or UN standard in accordance with part 178 of this subchapter, or a TC, CTC, BTC, or CRC specification cylinder set out in the Transport Canada TDG Regulations (IBR, see § 171.7), and certified as being in conformance with the transportation regulations of another country may be authorized, upon written request to and approval by the Associate Administrator, for transportation within a single port area, provided –
(i) The cylinder is transported in a closed freight container;
(ii) The cylinder is certified by the importer to provide a level of safety at least equivalent to that required by the regulations in this subchapter for a comparable DOT, TC, CTC, BTC, or CRC specification or UN cylinder; and
(iii) The cylinder is not refilled for export unless in compliance with paragraph (a)(5) of this section.
(5) Filling of cylinders for export or for use on board a vessel. A cylinder not manufactured, inspected, tested and marked in accordance with part 178 of this subchapter, or a cylinder manufactured to other than a UN standard, DOT specification, exemption or special permit, or other than a TC, CTC, BTC, or CRC specification, may be filled with a gas in the United States and offered for transportation and transported for export or alternatively, for use on board a vessel, if the following conditions are met:
(i) The cylinder has been requalified and marked in accordance with subpart C of part 180 of this subchapter, or has been requalified as authorized by the Associate Administrator;
(ii) In addition to other requirements of this subchapter, the maximum filling density, service pressure, and pressure relief device for each cylinder conform to the requirements of this part for the gas involved; and
(iii) The bill of lading or other shipping paper identifies the cylinder and includes the following certification: “This cylinder has (These cylinders have) been qualified, as required, and filled in accordance with the DOT requirements for export.”
(6) Cylinders not equipped with pressure relief devices. A DOT specification or a UN cylinder manufactured, inspected, tested and marked in accordance with part 178 of this subchapter and otherwise conforms to the requirements of part 173 of this subchapter for the gas involved, except that the cylinder is not equipped with a pressure relief device may be filled with a gas and offered for transportation and transported for export if the following conditions are met:
(i) Each DOT specification cylinder or UN pressure receptacle must be plainly and durably marked “For Export Only”;
(ii) The shipping paper must carry the following certification: “This cylinder has (These cylinders have) been retested and refilled in accordance with the DOT requirements for export.”; and
(iii) The emergency response information provided with the shipment and available from the emergency response telephone contact person must indicate that the pressure receptacles are not fitted with pressure relief devices and provide appropriate guidance for exposure to fire.
(b) Conditions and requirements specific to certain materials – (1) Aerosols. Except for a limited quantity of a compressed gas in a container of not more than 4 fluid ounces capacity meeting the requirements in § 173.306(a)(1) of this subchapter, the proper shipping name “Aerosol,” UN1950, may be used only for a non-refillable receptacle containing a gas compressed, liquefied, or dissolved under pressure the sole purpose of which is to expel a nonpoisonous (other than Division 6.1, Packing Group III material) liquid, paste, or powder and fitted with a self-closing release device (see § 171.8). In addition, an aerosol must be in a metal packaging when the packaging exceeds 7.22 cubic inches.
(2) Safety devices for vehicles, vessels or aircraft, e.g. air bag inflators, air bag modules, seat-belt pretensioners, and pyromechanical devices. For each safety device, the shipping paper description must conform to the requirements in § 173.166(c) of this subchapter.
(3) Chemical oxygen generators. Chemical oxygen generators must be approved, classed, described, packaged, and transported in accordance with the requirements of this subchapter.
(4) Class 1 (explosive) materials. Prior to being transported, Class 1 (explosive) materials must be approved by the Associate Administrator in accordance with § 173.56 of this subchapter. Each package containing a Class 1 (explosive) material must conform to the marking requirements in § 172.320 of this subchapter.
(5) Hazardous substances. A material meeting the definition of a hazardous substance as defined in § 171.8, must conform to the shipping paper requirements in § 172.203(c) of this subchapter and the marking requirements in § 172.324 of this subchapter:
(i) The proper shipping name must identify the hazardous substance by name, or the name of the substance must be entered in parentheses in association with the basic description and marked on the package in association with the proper shipping name. If the hazardous substance meets the definition for a hazardous waste, the waste code (for example, D001), may be used to identify the hazardous substance;
(ii) The shipping paper and the package markings must identify at least two hazardous substances with the lowest reportable quantities (RQs) when the material contains two or more hazardous substances; and
(iii) The letters “RQ” must be entered on the shipping paper either before or after the basic description, and marked on the package in association with the proper shipping name for each hazardous substance listed.
(6) Hazardous wastes. A material meeting the definition of a hazardous waste (see § 171.8) must conform to the following:
(i) The shipping paper and the package markings must include the word “Waste” immediately preceding the proper shipping name;
(ii) The shipping paper must be retained by the shipper and by each carrier for three years after the material is accepted by the initial carrier (see § 172.205(e)(5)); and
(iii) A hazardous waste manifest must be completed in accordance with § 172.205 of this subchapter.
(7) Marine pollutants. Except for marine pollutants (see § 171.8) transported in accordance with the IMDG Code, marine pollutants transported in bulk packages must meet the shipping paper requirements in § 172.203(l) of this subchapter and the package marking requirements in § 172.322 of this subchapter.
(8) Organic peroxides. Organic peroxides not identified by technical name in the Organic Peroxide Table in § 173.225(c) of this subchapter must be approved by the Associate Administrator in accordance with § 173.128(d) of this subchapter.
(9) [Reserved]
(10) Poisonous by inhalation materials. A material poisonous by inhalation (see § 171.8) must conform to the following requirements:
(i) The words “Poison-Inhalation Hazard” or “Toxic-Inhalation Hazard” and the words “Zone A,” “Zone B,” “Zone C,” or “Zone D” for gases, or “Zone A” or “Zone B” for liquids, as appropriate, must be entered on the shipping paper immediately following the basic shipping description. The word “Poison” or “Toxic” or the phrase “Poison-Inhalation Hazard” or “Toxic-Inhalation Hazard” need not be repeated if it otherwise appears in the shipping description;
(ii) The material must be packaged in accordance with the requirements of this subchapter;
(iii) The package must be marked in accordance with § 172.313 of this subchapter; and
(iv) Except as provided in subparagraph (B) of this paragraph (b)(10)(iv) and for a package containing anhydrous ammonia prepared in accordance with the Transport Canada TDG Regulations, the package must be labeled or placarded with POISON INHALATION HAZARD or POISON GAS, as appropriate, in accordance with Subparts E and F of part 172 of this subchapter.
(A) For a package transported in accordance with the IMDG Code in a closed transport vehicle or freight container, a label or placard conforming to the IMDG Code specifications for a “Class 2.3” or “Class 6.1” label or placard may be substituted for the POISON GAS or POISON INHALATION HAZARD label or placard, as appropriate. The transport vehicle or freight container must be marked with the identification numbers for the hazardous material in the manner specified in § 172.313(c) of this subchapter and placarded as required by subpart F of part 172 of this subchapter.
(B) For a package transported in accordance with the Transport Canada TDG Regulations in a closed transport vehicle or freight container, a label or placard conforming to the TDG Regulations specifications for a “Class 2.3” or “Class 6.1” label or placard may be substituted for the POISON GAS or POISON INHALATION HAZARD label or placard, as appropriate. The transport vehicle or freight container must be marked with the identification numbers for the hazardous material in the manner specified in § 172.313(c) of this subchapter and placarded as required by subpart F of part 172 of this subchapter. While in transportation in the United States, the transport vehicle or freight container may also be placarded in accordance with the appropriate TDG Regulations in addition to being placarded with the POISON GAS or POISON INHALATION HAZARD placards.
(11) Class 7 (radioactive) materials. (i) Highway route controlled quantities (see § 173.403 of this subchapter) must be shipped in accordance with §§ 172.203(d)(4) and (d)(10); 172.507, and 173.22(c) of this subchapter;
(ii) For fissile materials and Type B, Type B(U), and Type B(M) packagings, the competent authority certification and any necessary revalidation must be obtained from the appropriate competent authorities as specified in §§ 173.471, 173.472, and 173.473 of this subchapter, and all requirements of the certificates and revalidations must be met;
(iii) Type A package contents are limited in accordance with § 173.431 of this subchapter;
(iv) The country of origin for the shipment must have adopted the edition of SSR-6 of the IAEA Regulations referenced in § 171.7.
(v) The shipment must conform to the requirements of § 173.448, when applicable;
(vi) The definition for “radioactive material” in § 173.403 of this subchapter must be applied to radioactive materials transported under the provisions of this subpart;
(vii) Except for limited quantities, the shipment must conform to the requirements of § 172.204(c)(4) of this subchapter; and
(viii) Excepted packages of radioactive material, instruments or articles, or articles containing natural uranium or thorium must conform to the requirements of § 173.421, § 173.424, or § 173.426 of this subchapter, as appropriate.
(ix) Packages containing fissile materials must conform to the requirements of § 173.453 to be otherwise excepted from the requirements of subpart I of part 173 for fissile materials.
(12) Self-reactive materials. Self-reactive materials not identified by technical name in the Self-reactive Materials Table in § 173.224(b) of this subchapter must be approved by the Associate Administrator in accordance with § 173.124(a)(2)(iii) of this subchapter.
§ 171.24 Additional requirements for the use of the ICAO Technical Instructions.
(a) A hazardous material that is offered for transportation or transported within the United States by aircraft, and by motor vehicle or rail either before or after being transported by aircraft in accordance with the ICAO Technical Instructions (IBR, see § 171.7), as authorized in paragraph (a) of § 171.22, must conform to the requirements in § 171.22, as applicable, and this section.
(b) Any person who offers for transportation or transports a hazardous material in accordance with the ICAO Technical Instructions must comply with the following additional conditions and requirements:
(1) All applicable requirements in parts 171 and 175 of this subchapter (also see 14 CFR 121.135, 121.401, 121.433a, 135.323, 135.327 and 135.333);
(2) The quantity limits prescribed in the ICAO Technical Instructions for transportation by passenger-carrying or cargo aircraft, as applicable;
(3) The conditions or requirements of a United States variation, when specified in the ICAO Technical Instructions.
(c) Highway transportation. For transportation by highway prior to or after transportation by aircraft, a shipment must conform to the applicable requirements of part 177 of this subchapter, and the motor vehicle must be placarded in accordance with subpart F of part 172 of this subchapter.
(d) Conditions and requirements specific to certain materials. Hazardous materials offered for transportation or transported in accordance with the ICAO Technical Instructions must conform to the following specific conditions and requirements, as applicable:
(1) Batteries – (i) Nonspillable wet electric storage batteries. Nonspillable wet electric storage batteries are not subject to the requirements of this subchapter provided –
(A) The battery meets the conditions specified in Special Provision 67 of the ICAO Technical Instructions;
(B) The battery, its outer packaging, and any overpack are plainly and durably marked “NONSPILLABLE” or “NONSPILLABLE BATTERY”; and
(C) The batteries or battery assemblies are offered for transportation or transported in a manner that prevents short circuiting or forced discharge, including, but not limited to, protection of exposed terminals.
(ii) Lithium metal cells and batteries. Lithium metal cells and batteries (UN3090) are forbidden for transport aboard passenger-carrying aircraft. The outside of each package that contains lithium metal cells or lithium metal batteries (UN3090) transported in accordance with Packing Instruction 968, Section II must be marked “PRIMARY LITHIUM BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT” or “LITHIUM METAL BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”, or labeled with a CARGO AIRCRAFT ONLY label specified in § 172.448 of this subchapter.
(iii) Low production runs or prototypes lithium cells or batteries. Production runs consisting of not more than 100 lithium cells or batteries per year, or prototype lithium cells or batteries (including cells or batteries packed with, or contained in, equipment or motor vehicles) not of a type proven to meet the requirements of section 38.3 of the UN Manual of Tests and Criteria (IBR, see § 171.7 of this subchapter), must be approved by the Associate Administrator prior to transportation aboard aircraft.
(2) A package containing Oxygen, compressed, or any of the following oxidizing gases must be packaged as required by parts 173 and 178 of this subchapter: carbon dioxide and oxygen mixtures, compressed; compressed gas, oxidizing, n.o.s.; liquefied gas, oxidizing, n.o.s.; nitrogen trifluoride; and nitrous oxide.
§ 171.25 Additional requirements for the use of the IMDG Code.
(a) A hazardous material may be offered for transportation or transported to, from or within the United States by vessel, and by motor carrier and rail in accordance with the IMDG Code (IBR, see § 171.7), as authorized in § 171.22, provided all or part of the movement is by vessel. Such shipments must conform to the requirements in § 171.22, as applicable, and this section.
(b) Any person who offers for transportation or transports a hazardous material in accordance with the IMDG Code must conform to the following additional conditions and requirements:
(1) Unless specified otherwise in this subchapter, a shipment must conform to the requirements in part 176 of this subchapter. For transportation by rail or highway prior to or subsequent to transportation by vessel, a shipment must conform to the applicable requirements of parts 174 and 177 respectively, of this subchapter, and the motor vehicle or rail car must be placarded in accordance with subpart F of part 172 of this subchapter. When a hazardous material regulated by this subchapter for transportation by highway is transported by motor vehicle on a public highway or by rail under the provisions of subpart C of part 171, the segregation requirements of Part 7, Chapter 7.2 of the IMDG Code are authorized.
(2) For transportation by vessel, the stowage and segregation requirements in Part 7 of the IMDG Code may be substituted for the stowage and segregation requirements in part 176 of this subchapter.
(3) The outside of each package containing lithium metal cells or batteries (UN3090) transported in accordance with special provision 188 of the IMDG Code must be marked “PRIMARY LITHIUM BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT” or “LITHIUM METAL BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”, or labeled with a CARGO AIRCRAFT ONLY label specified in § 172.448 of this subchapter. The provisions of this paragraph do not apply to packages that contain 5 kg (11 pounds) net weight or less of lithium metal cells or batteries that are packed with, or contained in, equipment.
(4) Material consigned under UN3166 and UN3171 (e.g., Engines, internal combustion, etc., Vehicles, etc. and Battery-powered equipment) may be prepared in accordance with the IMDG Code or this subchapter.
(c) Conditions and requirements for bulk packagings. Except for IBCs and UN portable tanks used for the transportation of liquids or solids, bulk packagings must conform to the requirements of this subchapter. Additionally, the following requirements apply:
(1) UN portable tanks must conform to the requirements in Special Provisions TP37, TP38, TP44 and TP45 when applicable, and any applicable bulk special provisions assigned to the hazardous material in the Hazardous Materials Table in § 172.101 of this subchapter;
(2) IMO Type 5 portable tanks must conform to DOT Specification 51 or UN portable tank requirements, unless specifically authorized in this subchapter or approved by the Associate Administrator;
(3) Except as specified in this subpart, for a material poisonous (toxic) by inhalation, the T Codes specified in Column 13 of the Dangerous Goods List in the IMDG Code may be applied to the transportation of those materials in IM, IMO and DOT Specification 51 portable tanks, when these portable tanks are authorized in accordance with the requirements of this subchapter; and
(4) No person may offer an IM or UN portable tank containing liquid hazardous materials of Class 3, PG I or II, or PG III with a flash point less than 100 °F (38 °C); Division 5.1, PG I or II; or Division 6.1, PG I or II, for unloading while it remains on a transport vehicle with the motive power unit attached, unless it conforms to the requirements in § 177.834(o) of this subchapter.
(d) Use of IMDG Code in port areas. (1) Except for Division 1.1, 1.2, and Class 7 materials, a hazardous material being imported into or exported from the United States or passing through the United States in the course of being shipped between locations outside the United States may be offered and accepted for transportation and transported by motor vehicle within a single port area, including contiguous harbors, when packaged, marked, classed, labeled, stowed and segregated in accordance with the IMDG Code, offered and accepted in accordance with the requirements of subparts C and F of part 172 of this subchapter pertaining to shipping papers and placarding, and otherwise conforms to the applicable requirements of part 176 of this subchapter.
(2) The requirement in § 172.201(d) of this subchapter for an emergency telephone number does not apply to shipments made in accordance with the IMDG Code if the hazardous material is not offloaded from the vessel, or is offloaded between ocean vessels at a U.S. port facility without being transported by public highway.
§ 171.26 Additional requirements for the use of the IAEA Regulations.
A Class 7 (radioactive) material being imported into or exported from the United States or passing through the United States in the course of being shipped between places outside the United States may be offered for transportation or transported in accordance with the IAEA Regulations (IBR, see § 171.7) as authorized in paragraph (a) of § 171.22, provided the requirements in § 171.22, as applicable, are met.
PART 172 – HAZARDOUS MATERIALS TABLE, SPECIAL PROVISIONS, HAZARDOUS MATERIALS COMMUNICATIONS, EMERGENCY RESPONSE INFORMATION, TRAINING REQUIREMENTS, AND SECURITY PLANS
Subpart A – General
§ 172.1 Purpose and scope.
This part lists and classifies those materials which the Department has designated as hazardous materials for purposes of transportation and prescribes the requirements for shipping papers, package marking, labeling, and transport vehicle placarding applicable to the shipment and transportation of those hazardous materials.
§ 172.3 Applicability.
(a) This part applies to –
(1) Each person who offers a hazardous material for transportation, and
(2) Each carrier by air, highway, rail, or water who transports a hazardous material.
(b) When a person, other than one of those provided for in paragraph (a) of this section, performs a packaging labeling or marking function required by this part, that person shall perform the function in accordance with this part.
Subpart B – Table of Hazardous Materials and Special Provisions
§ 172.101 Purpose and use of hazardous materials table.
(a) The Hazardous Materials Table (Table) in this section designates the materials listed therein as hazardous materials for the purpose of transportation of those materials. For each listed material, the Table identifies the hazard class or specifies that the material is forbidden in transportation, and gives the proper shipping name or directs the user to the preferred proper shipping name. In addition, the Table specifies or references requirements in this subchapter pertaining to labeling, packaging, quantity limits aboard aircraft and stowage of hazardous materials aboard vessels.
(b) Column 1: Symbols. Column 1 of the Table contains six symbols (“ + ”, “A”, “D”, “G”, “I” and “W”) as follows:
(1) The plus (+) sign fixes the proper shipping name, hazard class and packing group for that entry without regard to whether the material meets the definition of that class, packing group or any other hazard class definition. When the plus sign is assigned to a proper shipping name in Column (1) of the § 172.101 Table, it means that the material is known to pose a risk to humans. When a plus sign is assigned to mixtures or solutions containing a material where the hazard to humans is significantly different from that of the pure material or where no hazard to humans is posed, the material may be described using an alternative shipping name that represents the hazards posed by the material. An appropriate alternate proper shipping name and hazard class may be authorized by the Associate Administrator.
(2) The letter “A” denotes a material that is subject to the requirements of this subchapter only when offered or intended for transportation by aircraft, unless the material is a hazardous substance or a hazardous waste. A shipping description entry preceded by an “A” may be used to describe a material for other modes of transportation provided all applicable requirements for the entry are met.
(3) The letter “D” identifies proper shipping names which are appropriate for describing materials for domestic transportation but may be inappropriate for international transportation under the provisions of international regulations (e.g., IMO, ICAO). An alternate proper shipping name may be selected when either domestic or international transportation is involved.
(4) The letter “G” identifies proper shipping names for which one or more technical names of the hazardous material must be entered in parentheses, in association with the basic description. (See § 172.203(k).)
(5) The letter “I” identifies proper shipping names which are appropriate for describing materials in international transportation. An alternate proper shipping name may be selected when only domestic transportation is involved.
(6) The letter “W” denotes a material that is subject to the requirements of this subchapter only when offered or intended for transportation by vessel, unless the material is a hazardous substance or a hazardous waste. A shipping description entry preceded by a “W” may be used to describe a material for other modes of transportation provided all applicable requirements for the entry are met.
(c) Column 2: Hazardous materials descriptions and proper shipping names. Column 2 lists the hazardous materials descriptions and proper shipping names of materials designated as hazardous materials. Modification of a proper shipping name may otherwise be required or authorized by this section. Proper shipping names are limited to those shown in Roman type (not italics).
(1) Proper shipping names may be used in the singular or plural and in either capital or lower case letters. Words may be alternatively spelled in the same manner as they appear in the ICAO Technical Instructions or the IMDG Code. For example “aluminum” may be spelled “aluminium” and “sulfur” may be spelled “sulphur”. However, the word “inflammable” may not be used in place of the word “flammable”.
(2) Punctuation marks and words in italics are not part of the proper shipping name, but may be used in addition to the proper shipping name. The word “or” in italics indicates that there is a choice of terms in the sequence that may alternately be used as the proper shipping name or as part of the proper shipping name, as appropriate. For example, for the hazardous materials description “Carbon dioxide, solid or Dry ice” either “Carbon dioxide, solid” or “Dry ice” may be used as the proper shipping name; and for the hazardous materials description “Articles, pressurized pneumatic or hydraulic,” either “Articles, pressurized pneumatic” or “Articles, pressurized hydraulic” may be used as the proper shipping name.
(3) The word “poison” or “poisonous” may be used interchangeably with the word “toxic” when only domestic transportation is involved. The abbreviation “n.o.i.” or “n.o.i.b.n.” may be used interchangeably with “n.o.s.”.
(4) Except for hazardous wastes, when qualifying words are used as part of the proper shipping name, their sequence in the package markings and shipping paper description is optional. However, the entry in the Table reflects the preferred sequence.
(5) When one entry references another entry by use of the word “see”, if both names are in Roman type, either name may be used as the proper shipping name (e.g., Ethyl alcohol, see Ethanol).
(6) When a proper shipping name includes a concentration range as part of the shipping description, the actual concentration, if it is within the range stated, may be used in place of the concentration range. For example, an aqueous solution of hydrogen peroxide containing 30 percent peroxide may be described as “Hydrogen peroxide, aqueous solution with not less than 20 percent but not more than 40 percent hydrogen peroxide” or “Hydrogen peroxide, aqueous solution with 30 percent hydrogen peroxide.” Also, the percent sign (%) may be used in place of the word “percent” when words in italics containing the word “percent” are used in addition to the proper shipping name.
(7) Use of the prefix “mono” is optional in any shipping name, when appropriate. Thus, Iodine monochloride may be used interchangeably with Iodine chloride. In “Glycerol alpha-monochlorohydrin” the term “mono” is considered a prefix to the term “chlorohydrin” and may be deleted.
(8) Use of the word “liquid” or “solid”. The word “liquid” or “solid” may be added to a proper shipping name when a hazardous material specifically listed by name may, due to differing physical states, be a liquid or solid. When the packaging specified in Column 8 is inappropriate for the physical state of the material, the table provided in paragraph (i)(4) of this section should be used to determine the appropriate packaging section.
(9) Hazardous wastes. If the word “waste” is not included in the hazardous material description in Column 2 of the Table, the proper shipping name for a hazardous waste (as defined in § 171.8 of this subchapter), shall include the word “Waste” preceding the proper shipping name of the material. For example: Waste acetone.
(10) Mixtures and solutions. (i) A mixture or solution meeting the definition of one or more hazard class that is not identified specifically by name, comprised of a single predominant hazardous material identified in the Table by technical name and one or more hazardous and/or non-hazardous material, must be described using the proper shipping name of the hazardous material and the qualifying word “mixture” or “solution”, as appropriate, unless –
(A) Except as provided in § 172.101(i)(4) the packaging specified in Column 8 is inappropriate to the physical state of the material;
(B) The shipping description indicates that the proper shipping name applies only to the pure or technically pure hazardous material;
(C) The hazard class, packing group, or subsidiary hazard of the mixture or solution is different from that specified for the entry;
(D) There is a significant change in the measures to be taken in emergencies;
(E) The material is identified by special provision in Column 7 of the § 172.101 Table as a material poisonous by inhalation; however, it no longer meets the definition of poisonous by inhalation or it falls within a different hazard zone than that specified in the special provision; or
(F) The material can be appropriately described by a shipping name that describes its intended application, such as “Coating solution”, “Extracts, flavoring” or “Compound, cleaning liquid.”.
(ii) If one or more of the conditions in paragraphs (c)(10)(i)(A) through (F) of this section is satisfied then the proper shipping name selection process in (c)(12)(ii) must be used.
(iii) A mixture or solution meeting the definition of one or more hazard class that is not identified in the Table specifically by name, comprised of two or more hazardous materials in the same hazard class, must be described using an appropriate shipping description (e.g., “Flammable liquid, n.o.s.”). The name that most appropriately describes the material shall be used; e.g., an alcohol not listed by its technical name in the Table shall be described as “Alcohol, n.o.s.” rather than “Flammable liquid, n.o.s.”. Some mixtures may be more appropriately described according to their application, such as “Coating solution” or “Extracts, flavoring liquid” rather than by an n.o.s. entry. Under the provisions of subparts C and D of this part, the technical names of at least two components most predominately contributing to the hazards of the mixture or solution may be required in association with the proper shipping name.
(11) Except for a material subject to or prohibited by § 173.21, § 173.54, § 173.56(d), § 173.56(e), § 173.224(c) or § 173.225(b) of this subchapter, a material that is considered to be a hazardous waste or a sample of a material for which the hazard class is uncertain and must be determined by testing may be assigned a tentative proper shipping name, hazard class, identification number and packing group, if applicable, based on the shipper’s tentative determination according to:
(i) Defining criteria in this subchapter;
(ii) The hazard precedence prescribed in § 173.2a of this subchapter;
(iii) The shipper’s knowledge of the material;
(iv) In addition to paragraphs (c)(11)(i) through (iii) of this section, for a sample of a material other than a waste, the following must be met:
(A) Except when the word “Sample” already appears in the proper shipping name, the word “Sample” must appear as part of the proper shipping name or in association with the basic description on the shipping paper.
(B) When the proper shipping description for a sample is assigned a “G” in Column (1) of the § 172.101 Table, and the primary constituent(s) for which the tentative classification is based are not known, the provisions requiring a technical name for the constituent(s) do not apply; and
(C) A sample must be transported in a combination packaging that conforms to the requirements of this subchapter that are applicable to the tentative packing group assigned, and may not exceed a net mass of 2.5 kg (5.5 pounds) per package.
For the transportation of samples of self-reactive materials, organic peroxides, explosives or lighters, see § 173.224(c)(3), § 173.225(c)(2), § 173.56(d) or § 173.308(b)(2) of this subchapter, respectively.
(12) Except when the proper shipping name in the Table is preceded by a plus (+) –
(i) If it is specifically determined that a material meets the definition of a hazard class, packing group or hazard zone, other than the class, packing group or hazard zone shown in association with the proper shipping name, or does not meet the defining criteria for a subsidiary hazard shown in Column 6 of the Table, the material shall be described by an appropriate proper shipping name listed in association with the correct hazard class, packing group, hazard zone, or subsidiary hazard for the material.
(ii) Generic or n.o.s. descriptions. If an appropriate technical name is not shown in the Table, selection of a proper shipping name shall be made from the generic or n.o.s. descriptions corresponding to the specific hazard class, packing group, hazard zone, or subsidiary hazard, if any, for the material. The name that most appropriately describes the material shall be used; e.g., an alcohol not listed by its technical name in the Table shall be described as “Alcohol, n.o.s.” rather than “Flammable liquid, n.o.s.”. Some mixtures may be more appropriately described according to their application, such as “Coating solution” or “Extracts, flavoring, liquid”, rather than by an n.o.s. entry, such as “Flammable liquid, n.o.s.” It should be noted, however, that an n.o.s. description as a proper shipping name may not provide sufficient information for shipping papers and package markings. Under the provisions of subparts C and D of this part, the technical name of one or more constituents which makes the product a hazardous material may be required in association with the proper shipping name.
(iii) Multiple hazard materials. If a material meets the definition of more than one hazard class, and is not identified in the Table specifically by name (e.g., acetyl chloride), the hazard class of the material shall be determined by using the precedence specified in § 173.2a of this subchapter, and an appropriate shipping description (e.g., “Flammable liquid, corrosive n.o.s.”) shall be selected as described in paragraph (c)(12)(ii) of this section.
(iv) If it is specifically determined that a material is not a forbidden material and does not meet the definition of any hazard class, the material is not a hazardous material.
(13) Self-reactive materials and organic peroxides. A generic proper shipping name for a self-reactive material or an organic peroxide, as listed in Column 2 of the Table, must be selected based on the material’s technical name and concentration, in accordance with the provisions of § 173.224 or § 173.225 of this subchapter, respectively.
(14) A proper shipping name that describes all isomers of a material may be used to identify any isomer of that material if the isomer meets criteria for the same hazard class or division, subsidiary risk(s) and packing group, unless the isomer is specifically identified in the Table.
(15) Unless a hydrate is specifically listed in the Table, a proper shipping name for the equivalent anhydrous substance may be used, if the hydrate meets the same hazard class or division, subsidiary risk(s) and packing group.
(16) Unless it is already included in the proper shipping name in the § 172.101 Table, the qualifying words “liquid” or “solid” may be added in association with the proper shipping name when a hazardous material specifically listed by name in the § 172.101 Table may, due to the differing physical states of the various isomers of the material, be either a liquid or a solid (for example “Dinitrotoluenes, liquid” and “Dinitrotoluenes, solid”). Use of the words “liquid” or “solid” is subject to the limitations specified for the use of the words “mixture” or “solution” in paragraph (c)(10) of this section. The qualifying word “molten” may be added in association with the proper shipping name when a hazardous material, which is a solid in accordance with the definition in § 171.8 of this subchapter, is offered for transportation in the molten state (for example, “Alkylphenols, solid, n.o.s., molten”).
(17) Unless it is already included in the proper shipping name in the § 172.101 Table, the qualifying word “stabilized” may be added in association with the proper shipping name, as appropriate, where without stabilization the substance would be forbidden for transportation according to § 173.21(f) of this subchapter.
(d) Column 3: Hazard class or Division. Column 3 contains a designation of the hazard class or division corresponding to each proper shipping name, or the word “Forbidden”.
(1) A material for which the entry in this column is “Forbidden” may not be offered for transportation or transported. This prohibition does not apply if the material is diluted, stabilized or incorporated in a device and it is classed in accordance with the definitions of hazardous materials contained in part 173 of this subchapter.
(2) When a reevaluation of test data or new data indicates a need to modify the “Forbidden” designation or the hazard class or packing group specified for a material specifically identified in the Table, this data should be submitted to the Associate Administrator.
(3) A basic description of each hazard class and the section reference for class definitions appear in § 173.2 of this subchapter.
(4) Each reference to a Class 3 material is modified to read “Combustible liquid” when that material is reclassified in accordance with § 173.150(e) or (f) of this subchapter or has a flash point above 60 °C (140 °F) but below 93 °C (200 °F).
(e) Column 4: Identification number. Column 4 lists the identification number assigned to each proper shipping name. Those preceded by the letters “UN” are associated with proper shipping names considered appropriate for international transportation as well as domestic transportation. Those preceded by the letters “NA” are associated with proper shipping names not recognized for transportation outside of the United States. Identification numbers in the “NA9000” series are associated with proper shipping names not appropriately covered by international hazardous materials (dangerous goods) transportation standards, or not appropriately addressed by international transportation standards for emergency response information purposes, except for transportation in the United States. Those preceded by the letters “ID” are associated with proper shipping names recognized by the ICAO Technical Instructions (see § 171.7 of this subchapter for availability).
(f) Column 5: Packing group. Column 5 specifies one or more packing groups assigned to a material corresponding to the proper shipping name and hazard class for that material. Class 2, Class 7, Division 6.2 (other than regulated medical wastes), and ORM-D materials, do not have packing groups. Articles in other than Class 1 are not assigned to packing groups. For packing purposes, any requirement for a specific packaging performance level is set out in the applicable packing authorizations of part 173. Packing Groups I, II and III indicate the degree of danger presented by the material is great, medium or minor, respectively. If more than one packing group is indicated for an entry, the packing group for the hazardous material is determined using the criteria for assignment of packing groups specified in subpart D of part 173. When a reevaluation of test data or new data indicates a need to modify the specified packing group(s), the data should be submitted to the Associate Administrator. Each reference in this column to a material which is a hazardous waste or a hazardous substance, and whose proper shipping name is preceded in Column 1 of the Table by the letter “A” or “W”, is modified to read “III” on those occasions when the material is offered for transportation or transported by a mode in which its transportation is not otherwise subject to requirements of this subchapter.
(g) Column 6: Labels. Column 6 specifies codes which represent the hazard warning labels required for a package filled with a material conforming to the associated hazard class and proper shipping name, unless the package is otherwise excepted from labeling by a provision in subpart E of this part, or part 173 of this subchapter. The first code is indicative of the primary hazard of the material. Additional label codes are indicative of subsidiary hazards. Provisions in § 172.402 may require that a label other than that specified in Column 6 be affixed to the package in addition to that specified in Column 6. No label is required for a material classed as a combustible liquid or for a Class 3 material that is reclassed as a combustible liquid. For “Empty” label requirements, see § 173.428 of this subchapter. The codes contained in Column 6 are defined according to the following table:
Label Substitution Table
| Label code | Label name |
|---|---|
| 1 | Explosive |
| 1.1 1 | Explosive 1.1 1 |
| 1.2 1 | Explosive 1.2 1 |
| 1.3 1 | Explosive 1.3 1 |
| 1.4 1 | Explosive 1.4 1 |
| 1.5 1 | Explosive 1.5 1 |
| 1.6 1 | Explosive 1.6 1 |
| 2.1 | Flammable Gas |
| 2.2 | Non-Flammable Gas |
| 2.3 | Poison Gas |
| 3 | Flammable Liquid |
| 4.1 | Flammable Solid |
| 4.2 | Spontaneously Combustible |
| 4.3 | Dangerous When Wet |
| 5.1 | Oxidizer |
| 5.2 | Organic Peroxide |
| 6.1 (inhalation hazard, Zone A or B) | Poison Inhalation Hazard |
| 6.1 (other than inhalation hazard, Zone A or B) 2 | Poison |
| 6.2 | Infectious substance |
| 7 | Radioactive |
| 8 | Corrosive |
| 9 | Class 9 |
1 Refers to the appropriate compatibility group letter.
2 The packing group for a material is indicated in column 5 of the table.
(h) Column 7: Special provisions. Column 7 specifies codes for special provisions applicable to hazardous materials. When Column 7 refers to a special provision for a hazardous material, the meaning and requirements of that special provision are as set forth in § 172.102 of this subpart.
(i) Column 8: Packaging authorizations. Columns 8A, 8B and 8C specify the applicable sections for exceptions, non-bulk packaging requirements and bulk packaging requirements, respectively, in part 173 of this subchapter. Columns 8A, 8B and 8C are completed in a manner which indicates that “§ 173.” precedes the designated numerical entry. For example, the entry “202” in Column 8B associated with the proper shipping name “Gasoline” indicates that for this material conformance to non-bulk packaging requirements prescribed in § 173.202 of this subchapter is required. When packaging requirements are specified, they are in addition to the standard requirements for all packagings prescribed in § 173.24 of this subchapter and any other applicable requirements in subparts A and B of part 173 of this subchapter.
(1) Exceptions. Column 8A contains exceptions from some of the requirements of this subchapter. The referenced exceptions are in addition to those specified in subpart A of part 173 and elsewhere in this subchapter. A “None” in this column means no packaging exceptions are authorized, except as may be provided by special provisions in Column 7.
(2) Non-bulk packaging. Column 8B references the section in part 173 of this subchapter which prescribes packaging requirements for non-bulk packagings. A “None” in this column means non-bulk packagings are not authorized, except as may be provided by special provisions in Column 7. Each reference in this column to a material which is a hazardous waste or a hazardous substance, and whose proper shipping name is preceded in Column 1 of the Table by the letter “A” or “W”, is modified to include “§ 173.203” or “§ 173.213”, as appropriate for liquids and solids, respectively, on those occasions when the material is offered for transportation or transported by a mode in which its transportation is not otherwise subject to the requirements of this subchapter.
(3) Bulk packaging. Column (8C) specifies the section in part 173 of this subchapter that prescribes packaging requirements for bulk packagings, subject to the limitations, requirements, and additional authorizations of Columns (7) and (8B). A “None” in Column (8C) means bulk packagings are not authorized, except as may be provided by special provisions in Column (7) and in packaging authorizations Column (8B). Additional authorizations and limitations for use of UN portable tanks are set forth in Column 7. For each reference in this column to a material that is a hazardous waste or a hazardous substance, and whose proper shipping name is preceded in Column 1 of the Table by the letter “A” or “W” and that is offered for transportation or transported by a mode in which its transportation is not otherwise subject to the requirements of this subchapter:
(4) For a hazardous material which is specifically named in the Table and whose packaging sections specify packagings not applicable to the form of the material (e.g., packaging specified is for solid material and the material is being offered for transportation in a liquid form) the following table should be used to determine the appropriate packaging section:
| Packaging section reference for solid materials | Corresponding packaging section for liquid materials |
|---|---|
| § 173.187 | § 173.181 |
| § 173.211 | § 173.201 |
| § 173.212 | § 173.202 |
| § 173.213 | § 173.203 |
| § 173.240 | § 173.241 |
| § 173.242 | § 173.243 |
(5) Cylinders. For cylinders, both non-bulk and bulk packaging authorizations are set forth in Column (8B). Notwithstanding a designation of “None” in Column (8C), a bulk cylinder may be used when specified through the section reference in Column (8B).
(j) Column 9: Quantity limitations. Columns 9A and 9B specify the maximum quantities that may be offered for transportation in one package by passenger-carrying aircraft or passenger-carrying rail car (Column 9A) or by cargo aircraft only (Column 9B), subject to the following:
(1) “Forbidden” means the material may not be offered for transportation or transported in the applicable mode of transport.
(2) The quantity limitation is “net” except where otherwise specified, such as for “Consumer commodity” which specifies “30 kg gross.”
(3) When articles or devices are specifically listed by name, the net quantity limitation applies to the entire article or device (less packaging and packaging materials) rather than only to its hazardous components.
(4) A package offered or intended for transportation by aircraft and which is filled with a material forbidden on passenger-carrying aircraft but permitted on cargo aircraft only, or which exceeds the maximum net quantity authorized on passenger-carrying aircraft, shall be labelled with the CARGO AIRCRAFT ONLY label specified in § 172.448 of this part.
(5) The total net quantity of hazardous material for an outer non-bulk packaging that contains more than one hazardous material may not exceed the lowest permitted maximum net quantity per package as shown in Column 9A or 9B, as appropriate. If one material is a liquid and one is a solid, the maximum net quantity must be calculated in kilograms. See § 173.24a(c)(1)(iv).
(k) Column 10: Vessel stowage requirements. Column 10A [Vessel stowage] specifies the authorized stowage locations on board cargo and passenger vessels. Column 10B [Other provisions] specifies codes for stowage and handling requirements for specific hazardous materials. Hazardous materials offered for transportation as limited quantities are allocated stowage category A and are not subject to the stowage codes assigned by column 10B. The meaning of each code in Column 10B is set forth in § 176.84 of this subchapter. Section 176.63 of this subchapter sets forth the physical requirements for each of the authorized locations listed in Column 10A. (For bulk transportation by vessel, see 46 CFR parts 30 to 40, 70, 98, 148, 151, 153 and 154.) The authorized stowage locations specified in Column 10A are defined as follows:
(1) Stowage category “A” means the material may be stowed “on deck” or “under deck” on a cargo vessel or on a passenger vessel.
(2) Stowage category “B” means –
(i) The material may be stowed “on deck” or “under deck” on a cargo vessel and on a passenger vessel carrying a number of passengers limited to not more than the larger of 25 passengers, or one passenger per each 3 m of overall vessel length; and
(ii) “On deck only” on passenger vessels in which the number of passengers specified in paragraph (k)(2)(i) of this section is exceeded.
(3) Stowage category “C” means the material must be stowed “on deck only” on a cargo vessel or on a passenger vessel.
(4) Stowage category “D” means the material must be stowed “on deck only” on a cargo vessel or on a passenger vessel carrying a number of passengers limited to not more than the larger of 25 passengers or one passenger per each 3 m of overall vessel length, but the material is prohibited on a passenger vessel in which the limiting number of passengers is exceeded.
(5) Stowage category “E” means the material may be stowed “on deck” or “under deck” on a cargo vessel or on a passenger vessel carrying a number of passengers limited to not more than the larger of 25 passengers, or one passenger per each 3 m of overall vessel length, but is prohibited from carriage on a passenger vessel in which the limiting number of passengers is exceeded.
(6) Stowage category “01” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) or on a passenger vessel.
(7) Stowage category “02” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) or “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a passenger vessel.
(8) Stowage category “03” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(9) Stowage category “04” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in closed cargo transports on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(10) Stowage category “05” means the material may be stowed “on deck” in closed cargo transport units on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(l) Changes to the Table. (1) Unless specifically stated otherwise in a rule document published in the
(i) Such a change does not apply to the shipment of any package filled prior to the effective date of the amendment; and
(ii) Stocks of preprinted shipping papers and package markings may be continued in use, in the manner previously authorized, until depleted or for a one-year period, subsequent to the effective date of the amendment, whichever is less.
(2) Except as otherwise provided in this section, any alteration of a shipping description or associated entry which is listed in the § 172.101 Table must receive prior written approval from the Associate Administrator.
(3) The proper shipping name of a hazardous material changed in the May 6, 1997 final rule, in effect on October 1, 1997, only by the addition or omission of the word “compressed,” “inhibited,” “liquefied” or “solution” may continue to be used to comply with package marking requirements, until January 1, 2003.
§ 172.101 Hazardous Materials Table
| Symbols | Hazardous materials descriptions and proper shipping names | Hazard class or Division | Identification Numbers | PG | Label Codes | Special provisions (§ 172.102) | (8) | (9) | (10) Vessel stowage | ||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Packaging (§ 173.***) | Quantity limitations (see §§ 173.27 and 175.75) | Location | Other | ||||||||||
| Exceptions | Non-bulk | Bulk | Passenger aircraft/rail | Cargo aircraft only | |||||||||
| (1) | (2) | (3) | (4) | (5) | (6) | (7) | (8A) | (8B) | (8C) | (9A) | (9B) | (10A) | (10B) |
| Acetal | 3 | UN1088 | II | 3 | IB2, T4, TP1 | 150 | 202 | 242 | 5 L | 60 L | E | ||
| Acetaldehyde | 3 | UN1089 | I | 3 | B16, T11, TP2, TP7 | None | 201 | 243 | Forbidden | 30 L | E | ||
| A | Acetaldehyde ammonia | 9 | UN1841 | III | 9 | IB8, IP3, IP7, T1, TP33 | 155 | 204 | 240 | 200 kg | 200 kg | A | 34 |
| Acetaldehyde oxime | 3 | UN2332 | III | 3 | B1, IB3, T4, TP1 | 150 | 203 | 242 | 60 L | 220 L | A | ||
| Acetic acid, glacial | 8 | UN2789 | II | 8, 3 | A3, A7, A10, B2, IB2, T7, TP2 | 154 | 202 | 243 | 1 L | 30 L | A | 53, 58 | |
| Acetic acid solution, | 8 | UN2790 | II | 8 | 148, A3, A7, A10, B2, IB2, T7, TP2 | 154 | 202 | 242 | 1 L | 30 L | A | 53, 58 | |
| Acetic acid solution, | 8 | UN2790 | III | 8 | 148, IB3, T4, TP1 | 154 | 203 | 242 | 5 L | 60 L | A | 53, 58 | |
| Acetic anhydride | 8 | UN1715 | II | 8, 3 | A3, A7, A10, B2, IB2, T7, TP2 | 154 | 202 | 243 | 1 L | 30 L | A | 40, 53, 58 | |
| Acetone | 3 | UN1090 | II | 3 | IB2, T4, TP1 | 150 | 202 | 242 | 5 L | 60 L | B | ||
| Acetone cyanohydrin, stabilized | 6.1 | UN1541 | I | 6.1 | 2, B9, B14, B32, B76, B77, N34, T20, TP2, TP13, TP38, TP45 | None | 227 | 244 | Forbidden | Forbidden | D | 25, 40, 52, 53 | |
| Acetone oils | 3 | UN1091 | II | 3 | IB2, T4, TP1, TP8 | 150 | 202 | 242 | 5 L | 60 L | B | ||
| Acetonitrile | 3 | UN1648 | II | 3 | IB2, T7, TP2 | 150 | 202 | 242 | 5 L | 60 L | B | 40 | |
| Forbidden | |||||||||||||
| Forbidden | |||||||||||||
| Acetyl bromide | 8 | UN1716 | II | 8 | B2, IB2, T8, TP2 | 154 | 202 | 242 | 1 L | 30 L | C | 40, 53, 58 | |
| Acetyl chloride | 3 | UN1717 | II | 3, 8 | A3, A7, IB1, N34, T8, TP2 | 150 | 202 | 243 | 1 L | 5 L | B | 40, 53, 58 | |
| Forbidden | |||||||||||||
| Acetyl iodide | 8 | UN1898 | II | 8 | B2, IB2, T7, TP2, TP13 | 154 | 202 | 242 | 1 L | 30 L | C | 40, 53, 58 | |
| Acetyl methyl carbinol | 3 | UN2621 | III | 3 | B1, IB3, T2, TP1 | 150 | 203 | 242 | 60 L | 220 L | A | ||
| Forbidden | |||||||||||||
| Acetylene, dissolved | 2.1 | UN1001 | 2.1 | N86, N88 | None | 303 | None | Forbidden | 15 kg | D | 25, 40, 57 | ||
| Forbidden | |||||||||||||
| Forbidden | |||||||||||||
| Forbidden | |||||||||||||
| Acid, sludge, | |||||||||||||
| Acridine | 6.1 | UN2713 | III | 6.1 | IB8, IP3, T1, TP33 | 153 | 213 | 240 | 100 kg | 200 kg | A | ||
| Acrolein dimer, stabilized | 3 | UN2607 | III | 3 | 387, B1, IB3, T2, TP1 | 150 | 203 | 242 | 60 L | 220 L | C | 25, 40 | |
| Acrolein, stabilized | 6.1 | UN1092 | I | 6.1, 3 | 1, 380, 387, B9, B14, B30, B42, B77, T22, TP2, TP7, TP13, TP38, TP44 | None | 226 | 244 | Forbidden | Forbidden | D | 25, 40 | |
| Acrylamide, solid | 6.1 | UN2074 | III | 6.1 | IB8, IP3, T1, TP33 | 153 | 213 | 240 | 100 kg | 200 kg | A | 12, 25 | |
| Acrylamide solution | 6.1 | UN3426 | III | 6.1 | IB3, T4, TP1 | 153 | 203 | 241 | 60 L | 220 L | A | 12, 25 | |
| Acrylic acid, stabilized | 8 | UN2218 | II | 8, 3 | 387, B2, IB2, T7, TP2 | 154 | 202 | 243 | 1 L | 30 L | C | 25, 40, 53, 58 | |
| Acrylonitrile, stabilized | 3 | UN1093 | I | 3, 6.1 | 387, B9, T14, TP2, TP13 | None | 201 | 243 | Forbidden | 30 L | D | 25, 40 | |
| Adhesives, | 3 | UN1133 | I | 3 | T11, TP1, TP8, TP27 | 150 | 201 | 243 | 1 L | 30 L | B | ||
| II | 3 | 149, B52, IB2, T4, TP1, TP8 | 150 | 173 | 242 | 5 L | 60 L | B | |||||
| III | 3 | B1, B52, IB3, T2, TP1 | 150 | 173 | 242 | 60 L | 220 L | A | |||||
| Adiponitrile | 6.1 | UN2205 | III | 6.1 | IB3, T3, TP1 | 153 | 203 | 241 | 60 L | 220 L | A | ||
| G | Adsorbed gas, n.o.s | 2.2 | UN3511 | 2.2 | None | 302c | None | 75 kg | 150 kg | A | |||
| G | Adsorbed gas, flammable, n.o.s | 2.1 | UN3510 | 2.1 | None | 302c | None | Forbidden | 150 kg | D | 40 | ||
| G | Adsorbed gas, oxidizing, n.o.s | 2.2 | UN3513 | 2.2, 5.1 | None | 302c | None | 75 kg | 150 kg | D | |||
| G | Adsorbed gas, toxic, n.o.s. | 2.3 | UN3512 | 2.3 | 1 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, n.o.s. | 2.3 | UN3512 | 2.3 | 2, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, n.o.s. | 2.3 | UN3512 | 2.3 | 3, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, n.o.s. | 2.3 | UN3512 | 2.3 | 4 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, corrosive, n.o.s. | 2.3 | UN3516 | 2.3, 8 | 1, 379 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, corrosive, n.o.s. | 2.3 | UN3516 | 2.3, 8 | 2, 379, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, corrosive, n.o.s. | 2.3 | UN3516 | 2.3, 8 | 3, 379, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, corrosive, n.o.s. | 2.3 | UN3516 | 2.3, 8 | 4, 379 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, flammable, n.o.s. | 2.3 | UN3514 | 2.3, 2.1 | 1 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, flammable, n.o.s. | 2.3 | UN3514 | 2.3, 2.1 | 2, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, flammable, n.o.s. | 2.3 | UN3514 | 2.3, 2.1 | 3, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, flammable, n.o.s. | 2.3 | UN3514 | 2.3, 2.1 | 4 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, flammable, corrosive, n.o.s. | 2.3 | UN3517 | 2.3, 2.1, 8 | 1 | None | 302c | None | Forbidden | Forbidden | D | 17, 40 | |
| G | Adsorbed gas, toxic, flammable, corrosive, n.o.s. | 2.3 | UN3517 | 2.3, 2.1, 8 | 2, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 17, 40 | |
| G | Adsorbed gas, toxic, flammable, corrosive, n.o.s. | 2.3 | UN3517 | 2.3, 2.1, 8 | 3, B14 | None | 302c | None | Forbidden | Forbidden | D | 17, 40 | |
| G | Adsorbed gas, toxic, flammable, corrosive, n.o.s. | 2.3 | UN3517 | 2.3, 2.1, 8 | 4 | None | 302c | None | Forbidden | Forbidden | D | 17, 40 | |
| G | Adsorbed gas, toxic, oxidizing, n.o.s. | 2.3 | UN3515 | 2.3, 5.1 | 1 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, oxidizing, n.o.s. | 2.3 | UN3515 | 2.3, 5.1 | 2, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, oxidizing, n.o.s. | 2.3 | UN3515 | 2.3, 5.1 | 3, B14 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, oxidizing, n.o.s. | 2.3 | UN3515 | 2.3, 5.1 | 4 | None | 302c | None | Forbidden | Forbidden | D | 40 | |
| G | Adsorbed gas, toxic, oxidizing, corrosive, n.o.s. | 2.3 | UN3518 | 2.3, 5.1, 8 | 1 | None | 302c | None | Forbidden | Forbidden | D | 40, 89, 90 | |
| G | Adsorbed gas, toxic, oxidizing, corrosive, n.o.s. | 2.3 | UN3518 | 2.3, 5.1, 8 | 2, B9, B14 | None | 302c | None | Forbidden | Forbidden | D | 40, 89, 90 | |
| G | Adsorbed gas, toxic, oxidizing, corrosive, n.o.s. | 2.3 | UN3518 | 2.3, 5.1, 8 | 3, B14 | None | 302c | None | Forbidden | Forbidden | D | 40, 89, 90 | |
| G | Adsorbed gas, toxic, oxidizing, corrosive, n.o.s. | 2.3 | UN3518 | 2.3, 5.1, 8 | 4 | None | 302c | None | Forbidden | Forbidden | D | 40, 89, 90 | |
| Aerosols, | 2.2 | UN1950 | 2.2, 8 | A34 | 306 | None | None | 75 kg | 150 kg | A | 25, 87, 126 | ||
| Aerosols, | 2.1 | UN1950 | 2.1 | N82 | 306 | None | None | 75 kg | 150 kg | A | 25, 87, 126 | ||
| Aerosols, flammable, n.o.s. | 2.1 | UN1950 | 2.1 | N82 | 306 | 304 | None | Forbidden | 150 kg | A | 25, 87, 126 | ||
| Aerosols, | 2.2 | UN1950 | 2.2 | 306 | None | None | 75 kg | 150 kg | A | 25, 87, 126 | |||
| Aerosols, | 2.2 | UN1950 | 2.2, 6.1 | 306 | None | None | Forbidden | Forbidden | A | 25, 87, 126 | |||
| Air, compressed | 2.2 | UN1002 | 2.2 | 78 | 306, 307 | 302 | 302 | 75 kg | 150 kg | A | |||
| Air, refrigerated liquid, | 2.2 | UN1003 | 2.2, 5.1 | T75, TP5, TP22 | 320 | 316 | 318, 319 | Forbidden | Forbidden | D | 51 | ||
| Air, refrigerated liquid, | 2.2 | UN1003 | 2.2, 5.1 | T75, TP5, TP22 | 320 | 316 | 318, 319 | Forbidden | Forbidden | D | 51 | ||
| Aircraft hydraulic power unit fuel tank | 3 | UN3165 | I | 3, 6.1, 8 | None | 172 | None | Forbidden | 42 L | E | 21, 40, 49, 100 | ||
| G | Alcoholates solution, n.o.s., | 3 | UN3274 | II | 3, 8 | IB2 | 150 | 202 | 243 | 1 L | 5 L | B | |
| Alcoholic beverages | 3 | UN3065 | II | 3 | 24, 149, B1, IB2, T4, TP1 | 150 | 202 | 242 | 5 L | 60 L | A | ||
| III | 3 | 24, B1, IB3, N11, T2, TP1 | 150 | 203 | 242 | 60 L | 220 L | A | |||||
| Alcohols, n.o.s. | 3 | UN1987 | I | 3 | 172, T11, TP1, TP8, TP27 | 4b | 201 | 243 | 1 L | 30 L | E | ||
| II | 3 | 172, IB2, T7, TP1, TP8, TP28 | 4b, 150 | 202 | 242 | 5 L | 60 L | B | |||||
| III | 3 | 172, B1, IB3, T4, TP1, TP29 | 4b, 150 | 203 | 242 | 60 L | 220 L | A | |||||
| G | Alcohols, flammable, toxic n.o.s | 3 | UN1986 | I | 3, 6.1 | T14, TP2, TP13, TP27 | None | 201 | 243 | Forbidden | 30 L | E | 40 |
| II | 3, 6.1 | IB2, T11, TP2, TP27 | 150 | 202 | 243 | 1 L | 60 L | B | 40 | ||||
| III | 3, 6.1 | B1, IB3, T7, TP1, TP28 | 150 | 203 | 242 | 60 L | 220 L | A | |||||
| Aldehydes, n.o.s. | 3 | UN1989 | I | 3 | T11, TP1, TP27 | None | 201 | 243 | 1 L | 30 L | E | ||
| II | 3 | IB2, T7, TP1, TP8, TP28 | 150 | 202 | 242 | 5 L | 60 L | B | |||||
| III | 3 | B1, IB3, T4, TP1, TP29 | 150 | 203 | 242 | 60 L | 220 L | A | |||||
| G | Aldehydes, flammable, toxic, n.o.s. | 3 | UN1988 | I | 3, 6.1 | T14, TP2, TP13, TP27 | None | 201 | 243 | Forbidden | 30 L | E | 40 |
| II | 3, 6.1 | IB2, T11, TP2, TP27 | 150 | 202 | 243 | 1 L | 60 L | B | 40 | ||||
| III | 3, 6.1 | B1, IB3, T7, TP1, TP28 | 150 | 203 | 242 | 60 L | 220 L | A | |||||
| Aldol | 6.1 | UN2839 | II | 6.1 | IB2, T7, TP2 | 153 | 202 | 243 | 5 L | 60 L | A | 12, 25 | |
| G | Alkali metal alcoholates, self-heating, corrosive, n.o.s | 4.2 | UN3206 | II | 4.2, 8 | 64, A7, IB5, IP2, T3, TP33, W31 | None | 212 | 242 | 15 kg | 50 kg | B | |
| III | 4.2, 8 | 64, A7, IB8, IP3, T1, TP33, W31 | None | 213 | 242 | 25 kg | 100 kg | B | |||||
| Alkali metal alloys, liquid, n.o.s | 4.3 | UN1421 | I | 4.3 | A2, A7, B48, N34, W31 | None | 201 | 244 | Forbidden | 1 L | D | 13, 52, 148 | |
| Alkali metal amalgam, liquid | 4.3 | UN1389 | I | 4.3 | A2, A7, N34, W31 | None | 201 | 244 | Forbidden | 1 L | D | 13, 40, 52, 148 | |
| Alkali metal amalgam, solid | 4.3 | UN3401 | I | 4.3 | IB4, IP1, N40, T9, TP7, TP33, W31 | None | 211 | 242 | Forbidden | 15 kg | D | 13, 52, 148 | |
| Alkali metal amides | 4.3 | UN1390 | II | 4.3 | A6, A7, A8, A19, A20, IB7, IP2, IP21, T3, TP33, W31, W40 | 151 | 212 | 241 | 15 kg | 50 kg | E | 13, 40, 52, 148 | |
| Alkali metal dispersions, flammable | 4.3 | UN3482 | I | 4.3, 3 | A2, A7, W31 | None | 201 | 244 | Forbidden | 1 L | D | 13, 52, 148 | |
| Alkali metal dispersions, | 4.3 | UN1391 | I | 4.3 | A2, A7, W31 | None | 201 | 244 | Forbidden | 1 L | D | 13, 52, 148 | |
| G | Alkaline earth metal alcoholates, n.o.s | 4.2 | UN3205 | II | 4.2 | 65, A7, IB6, IP2, T3, TP33, W31 | None | 212 | 241 | 15 kg | 50 kg | B | |
| III | 4.2 | 65, A7, IB8, IP3, T1, TP33, W31 | None | 213 | 241 | 25 kg | 100 kg | B | |||||
| Alkaline earth metal alloys, n.o.s | 4.3 | UN1393 | II | 4.3 | A19, IB7, IP2, IP4, T3, TP33, W31, W40 | 151 | 212 | 241 | 15 kg | 50 kg | E | 13, 52, 148 | |
| Alkaline earth metal amalgams, liquid | 4.3 | UN1392 | I | 4.3 | A19, N34, N40, W31 | None | 201 | 244 | Forbidden | 1 L | E | 13, 40, 52, 148 | |
| Alkaline earth metal amalgams, solid | 4.3 | UN3402 | I | 4.3 | A19, N34, N40, T9, TP7, TP33, W31 | None | 211 | 242 | Forbidden | 15 kg | D | 13, 52, 148 | |
| G | Alkaloids, liquid, n.o.s., | 6.1 | UN3140 | I | 6.1 | A4, T14, TP2, TP27 | None | 201 | 243 | 1 L | 30 L | A | |
| II | 6.1 | IB2, T11, TP2, TP27 | 153 | 202 | 243 | 5 L | 60 L | A | |||||
| III | 6.1 | IB3, T7, TP1, TP28 | 153 | 203 | 241 | 60 L | 220 L | A | |||||
| G | Alkaloids, solid, n.o.s. | 6.1 | UN1544 | I | 6.1 | IB7, IP1, T6, TP33 | None | 211 | 242 | 5 kg | 50 kg | A | |
| II | 6.1 | IB8, IP2, IP4, T3, TP33 | 153 | 212 | 242 | 25 kg | 100 kg | A | |||||
| III | 6.1 | IB8, IP3, T1, TP33 | 153 | 213 | 240 | 100 kg | 200 kg | A | |||||
| Alkyl sulfonic acids, liquid | 8 | ||||||||||||