[Code of Federal Regulations]
[Title 49, Volume 2]
[Revised as of October 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR107.1]

[Page 19-22]
 
                        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_Special Permits

107.101 Purpose and scope.
107.105 Application for special permit.
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 special permit 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.
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.

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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 an independent inspection agency (IIA).
107.805 Approval of cylinder and pressure receptacle requalifiers.
107.807 Approval of non-domestic chemical analyses and tests.
107.809 Conditions of UN pressure receptacle approvals.

    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, 70 FR 56089, Sept. 23, 2005, and 70 FR 73159, 
Dec. 9, 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 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.
    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 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 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

[[Page 21]]

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.
    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 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 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 under the authority of 49 U.S.C. 5117

[[Page 22]]

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). The terms ``special permit'' and ``exemption'' 
have the same meaning for purposes of subchapter A or C of this chapter 
or other regulations issued under 49 U.S.C. 5101 through 5127. An 
exemption issued prior to October 1, 2005 remains valid until it is past 
its expiration date, terminated by the Associate Administrator, or is 
issued as a special permit, whichever occurs first.
    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.