[Code of Federal Regulations] [Title 49, Volume 2] [Revised as of October 1, 2005] From the U.S. Government Printing Office via GPO Access [CITE: 49CFR107.1] [Page 18-21] TITLE 49--TRANSPORTATION CHAPTER I--PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION PART 107_HAZARDOUS MATERIALS PROGRAM PROCEDURES--Table of Contents Subpart A_Definitions Sec. 107.1 Definitions. Subpart A_Definitions Sec. 107.1 Definitions. Subpart B_Exemptions 107.101 Purpose and scope. 107.105 Application for exemption. 107.107 Application for party status. 107.109 Application for renewal. 107.111 Withdrawal. 107.113 Application processing and evaluation. 107.117 Emergency processing. 107.121 Modification, suspension or termination of exemption or grant of party status. 107.123 Reconsideration. 107.125 Appeal. 107.127 Availability of documents for public inspection. Subpart C_Preemption 107.201 Purpose and scope. 107.202 Standards for determining preemption. Preemption Determinations 107.203 Application. 107.205 Notice. 107.207 Processing. 107.209 Determination. 107.211 Petition for reconsideration. 107.213 Judicial review. Waiver of Preemption Determinations 107.215 Application. 107.217 Notice. 107.219 Processing. 107.221 Determination. 107.223 Petition for reconsideration. 107.227 Judicial review. Subpart D_Enforcement 107.301 Delegated authority for enforcement. 107.303 Purpose and scope. 107.305 Investigations. Compliance Orders and Civil Penalties 107.307 General. 107.309 Warning letters. 107.310 Ticketing. 107.311 Notice of probable violation. 107.313 Reply. 107.315 Admission of violations. 107.317 Informal response. 107.319 Request for a hearing. 107.321 Hearing. 107.323 ALJ's decision. 107.325 Appeals. 107.327 Compromise and settlement. 107.329 Maximum penalties. 107.331 Assessment considerations. Criminal Penalties 107.333 Criminal penalties generally. 107.335 Referral for prosecution. 107.336 Limitation on fines and penalties. Injunctive Action 107.337 Injunctions generally. 107.339 Imminent hazards. Appendix A to Subpart D of Part 107--Guidelines for Civil Penalties Subpart E_Designation of Approval and Certification Agencies 107.401 Purpose and scope. 107.402 Application for designation as an approval or certification agency. 107.403 Designation of approval agencies. [[Page 19]] 107.404 Conditions of designation. 107.405 Termination of designation. Subpart F_Registration of Cargo Tank and Cargo Tank Motor Vehicle Manufacturers, Assemblers, Repairers, Inspectors, Testers, and Design Certifying Engineers 107.501 Scope. 107.502 General registration requirements. 107.503 Registration statement. 107.504 Period of registration, updates, and record retention. Subpart G_Registration of Persons Who Offer or Transport Hazardous Materials 107.601 Applicability. 107.606 Exceptions. 107.608 General registration requirements. 107.612 Amount of fee. 107.616 Payment procedures. 107.620 Recordkeeping requirements. Subpart H_Approvals, Registrations and Submissions 107.701 Purpose and scope. 107.705 Registrations, reports, and applications for approval. 107.709 Processing of an application for approval, including an application for renewal or modification. 107.711 Withdrawal. 107.713 Approval modification, suspension or termination. 107.715 Reconsideration. 107.717 Appeal. 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. 107.803 Approval of independent inspection agency. 107.805 Approval of cylinder requalifiers. 107.807 Approval of non-domestic chemical analyses and tests. Authority: 49 U.S.C. 5101-5127, 44701; Pub. L. 101-410 section 4 (28 U.S.C. 2461 note); Pub. L. 104-121 sections 212-213; Pub. L. 104-134 section 31001; 49 CFR 1.45, 1.53. Editorial Note: Nomenclature changes to part 107 appear at 67 FR 61011, Sept. 27, 2002 and 70 FR 56089, Sept. 23, 2005. 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 an exemption, approval, registration, a renewed or modified exemption or approval, or party status to an exemption is requested to be issued. Application means a request under subpart B of this part for an exemption, a renewal or modification of an exemption, party status to an exemption, or a request under subpart H of this part for an approval, or renewal or modification of an approval. Approval means written consent, including a competent authority approval, from the Associate Administrator or other designated Department official, to perform a function that requires prior consent 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 [[Page 20]] 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) An exemption 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. Exemption means a document issued by the Associate Administrator under the authority of 49 U.S.C. 5117. The document permits 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 through 5127 (e.g., Federal Motor Carrier Safety routing requirements.) 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. Holder means the person in whose name an exemption 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 Sec. 171.15 or Sec. 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). Investigation includes investigations authorized under 49 U.S.C. 5121 and inspections authorized under 49 U.S.C. 5118 and 5121. Manufacturing exemption means an exemption 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 exemption is an exemption issued to a manufacturer of packagings who does not offer for transportation or transport hazardous materials in packagings subject to the exemption. Party means a person, other than a holder, authorized to act under the terms of an exemption. 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. [[Page 21]] 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. 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. [Amdt. 107-3, 41 FR 38170, Sept. 9, 1976] Editorial Note: For Federal Register citations affecting Sec. 107.1, see the List of CFR Sections Affected which appears in the Finding Aids section of the printed volume and on GPO Access.