Hazardous Materials Regulations; Penalty Guidelines

Federal RegisterJan 21, 1997

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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

49 CFR Parts 107 and 171

[Docket No. HM-207F; Amdt. Nos. 107-40; 171-152]

RIN 2137-AC96

Hazardous Materials Regulations; Penalty Guidelines

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Final rule.

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SUMMARY: In this final rule, RSPA is increasing the maximum civil

penalty, from $25,000 to $27,500, for a knowing violation of Federal

hazardous materials transportation law or the Hazardous Materials

Regulations. RSPA is also publishing revised baseline assessments for

frequently cited violations of the Hazardous Materials Regulations, in

order to provide the regulated community and the general public with

more current information on RSPA's hazardous material penalty

assessment process. These revisions to RSPA's baseline penalty

assessments consider the increase in the maximum civil penalty to

$27,500.

EFFECTIVE DATE: This rule is effective January 21, 1997.

FOR FURTHER INFORMATION CONTACT: John J. O'Connell, Jr., Office of

Hazardous Materials Enforcement, (202) 366-4700; or Edward H.

Bonekemper, III, Office of the Chief Counsel, (202) 366-4400, Research

and Special Programs Administration, U.S. Department of Transportation,

400 Seventh Street, SW., Washington, DC 20590-0001.

SUPPLEMENTARY INFORMATION:

I. Increase in Maximum Penalty

Under Section 4 of the Federal Civil Penalties Inflation Act of

1990 (the Act), 28 U.S.C. 2461 note, as amended by the Debt Collection

Improvement Act of 1996 (Pub. L. 104-134), all Federal agencies must

adjust civil penalties they administer to consider the effects of

inflation. These adjustments were to be made no later than October 23,

1996, and must be made at least once every 4 years thereafter, and must

be published in the Federal Register. A formula for determining the

amount of a periodic adjustment in civil penalty amounts is set forth

in Section 5 of the Act; however, the 1996 amendment provided that the

initial adjustment may not exceed 10 percent. Any increased civil

penalty amount applies only to violations that occur after the date the

increase takes effect.

The Credit and Debt Management Division of the Department of the

Treasury's Financial Management Service has calculated that the new

maximum civil penalty for a knowing violation of the Federal hazardous

material transportation law, 49 U.S.C. 5101 et seq. or the Hazardous

Materials Regulations (HMR), 49 CFR Parts 171-180, is $27,500. To carry

out the statutory mandate, RSPA is adding a new Sec. 171.1(c) to the

HMR specifying that the maximum civil penalty for violations of the

Federal hazardous materials transportation law or the HMR, that occur

after January 21, 1997, is $27,500. RSPA is also amending the

references to the maximum civil penalty in Sec. 107.329 and Appendix A

to Part 107, subpart D, to set forth the increased maximum civil

penalty applicable to violations that occur after January 21, 1997. In

a future rulemaking, RSPA will propose changes to other sections of the

HMR that refer to the maximum civil penalty.

There is no change in the statutory minimum $250 civil penalty for

a knowing violation of the Federal hazardous material transportation

law or HMR.

II. Revisions to Civil Penalty Baseline Guidelines

On March 6, 1995, RSPA published its hazardous material

transportation enforcement civil penalty guidelines as Appendix A to 49

CFR Part 107, subpart D, in response to a request contained in Senate

Report 103-150 that accompanied the Department of Transportation and

Related Agencies Appropriations Act of 1994. See Docket No. HM-207D, 60

FR 12139. Publication of these guidelines provides the regulated

community and the general public with information concerning the manner

in which RSPA generally begins its hazmat penalty assessment process

and the types of information that respondents in enforcement cases

should provide to justify reduction of proposed penalties.

At that time, RSPA explained that its enforcement personnel and

attorneys use these guidelines as a partial means of determining a

baseline civil penalty for selected violations of the HMR or the

Federal hazardous material transportation law. RSPA also explained that

the penalty guidelines are periodically updated and were being

published as they existed on January 18, 1995. As a general statement

of agency policy and practice, these guidelines are informational,

impose no requirements, are not finally determinative of any issues or

rights, and do not have the force of law. For a further discussion of

the nature and RSPA's use of these penalty guidelines, as a statement

of agency policy for which no notice of proposed rulemaking is

necessary, please see the preamble of the March 6, 1995 final rule. 60

FR 12139-40.

This final rule publishes revisions that RSPA has made to the List

of Frequently Cited Violations, and their baseline assessments, since

publication of the penalty guidelines in March 1995. These revisions to

Part II of the guidelines were the result of an overall review RSPA

conducted of its penalty

[[Page 2971]]

guidelines during the past year. These revisions consider the increase

in the maximum civil penalty to $27,500, in accordance with the Federal

Civil Penalties Inflation Adjustment Act of 1990, as amended by the

Debt Collection Improvement Act of 1996, as discussed above.

RSPA has also changed many of the baseline assessments in an effort

to more appropriately reflect the risks posed by, and the likely

consequences of, the particular violation of the HMR. For example, the

range of penalties applicable to shipping a hazardous material in an

unauthorized packaging has been restated as three different numbers for

materials in Packing Group I, II, and III, respectively, with the

greatest baseline amount for a Packing Group I material in order to

reflect the greater hazards posed by that material. Similarly, RSPA has

increased the baseline assessment for certain violations that increase

the likelihood of a failure of a compressed gas cylinder, with

catastrophic results (such as the failure to condemn a cylinder with

excessive permanent expansion), while penalties for some violations

that appear to have no effect on the actual performance of a cylinder

(such as illegible markings) have been reduced. In a few instances

where the baseline assessment is stated as a range (e.g., $5,000 to

$10,000), the factors generally considered in determining an amount

within that range are indicated within the description of the violation

(e.g., the length of time that a continuing violation has lasted).

Otherwise, RSPA generally uses the middle of the range for the

``normal'' type of violation.

RSPA has also revised, added, deleted or combined individual

violations from the List of Frequently Cited Violations, as considered

appropriate, in order to make the guidelines a more useful device for

both the public and RSPA personnel. Citations to sections of the HMR

were supplied for certain violations, and the wording ``Various''

(rather than ``N/A'') is being used when a generally stated violation

may be covered by more than one section of the HMR (e.g., the testing

requirements applicable to the manufacture of each different DOT

specification cylinder are contained in different sections of 49 CFR

Part 178). The table has also been reorganized to place offeror

violations together, and references to violations of the regulations

concerning manufacture and use of packagings have been revised to

reflect the fact that, after October 1, 1996, non-bulk packagings

manufactured to DOT specifications are no longer authorized (unless

filled before October 1, 1996) in place of packagings that must meet

the performance-oriented packaging standards adopted in RSPA's

rulemaking Docket No. HM-181 and located in 49 CFR Part 178, subpart M.

See 49 CFR 171.14(a)(2).

RSPA created and uses these penalty guidelines to promote

consistency and provide a standard for imposing similar penalties in

similar cases. When a violation not described in the guidelines is

encountered, RSPA often determines a baseline assessment by analogy to

a similar violation in the guidelines. However, as emphasized in Parts

III and IV of the guidelines, the baseline assessments are only the

starting point for assessing a penalty for a violation. Because no two

cases are identical, rigid use of the guidelines would produce

arbitrary results and, most significantly, would ignore the statutory

mandate to consider several specific assessment criteria set forth in

49 U.S.C. 5123 and 49 CFR 107.331. Therefore, regardless of whether or

not the guidelines are used to determine a baseline amount for a

violation, RSPA enforcement and legal personnel must apply the

statutory assessment criteria to all relevant information in the record

concerning any alleged violation and the apparent violator.

Consideration of these criteria often warrants a final penalty that is

less or greater than the initial baseline assessment.

These penalty guidelines remain subject to revision, and, in any

particular case, RSPA's Office of Hazardous Materials Enforcement

(OHME) and Office of the Chief Counsel will use the version of the

guidelines in effect at the time a matter is referred by OHME for

possible issuance of a notice of probable violation. Questions

concerning RSPA's penalty guidelines and any comments or suggested

revisions may be addressed to the persons identified above, in FOR

FURTHER INFORMATION CONTACT.

Rulemaking Analyses and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

This final rule is not considered a significant regulatory action

under section 3(f) of Executive Order 12866 and, therefore, was not

reviewed by the Office of Management and Budget. This rule is not

significant under the Regulatory Policies and Procedures of the

Department of Transportation (44 FR 11034). The economic impact of this

final rule is minimal to the extent that preparation of a regulatory

evaluation is not warranted.

B. Executive Order 12612

This final rule has been analyzed in accordance with the principles

and criteria contained in Executive Order 12612 (``Federalism'').

Because this final rule carries out a statutory mandate without

interpretation and revises an informational appendix without imposing

any requirements, preparation of a federalism assessment is not

warranted.

C. Regulatory Flexibility Act

I certify that this final rule will not have a significant economic

impact on a substantial number of small entities. This rule applies to

shippers and carriers of hazardous materials, some of which are small

entities; however, there is no economic impact on any person who

complies with Federal hazardous materials law and the HMR.

D. Paperwork Reduction Act

There are no new information requirements in this final rule.

E. Regulation Identifier Number (RIN)

A regulation identifier number (RIN) is assigned to each regulatory

action listed in the Unified Agenda of Federal Regulations. The

Regulatory Information Service Center publishes the Unified Agenda in

spring and fall of each year. The RIN contained in the heading of this

document can be used to cross-reference this action with the Unified

Agenda.

List of Subjects

49 CFR Part 107

Administrative practices and procedure, Hazardous materials

transportation, Packaging and containers, Penalties, Reporting and

recordkeeping requirements.

49 CFR Part 171

Exports, Hazardous materials transportation, Hazardous Waste,

Imports, Incorporation by reference, Penalties, Reporting and

recordkeeping requirements.

In consideration of the foregoing, 49 CFR Chapter I is amended as

follows:

PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES

1. The authority citation for part 107 is revised to read as

follows:

Authority: 49 U.S.C. 5101-5127, 44701; 49 CFR 1.45 and 1.53;

Pub. L. 101-410 Sec. 4 (28 U.S.C. 2461 note); Pub. L. 104-134

Sec. 31001.

Sec. 107.329 [Amended]

2. In Sec. 107.329 (a) and (b), the parenthetical phrase ``($27,500

for a

[[Page 2972]]

violation occurring after January 21, 1997)'' is added after

``$25,000.''

3. Appendix A to subpart D of part 107 is amended by replacing the

List of Frequently Cited Violations (Part II) to read as follows:

Appendix A--[Amended]

Appendix A to Subpart D of Part 107--Guidelines for Civil Penalties

* * * * *

II. List of Frequently Cited Violations

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Violation description Section or cite Baseline assessment

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PART 107--REQUIREMENTS

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Failure to register as a 107.608............. $1,000 +, $500 each

carrier or shipper of add'l year.

hazardous material.

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PART 171--REQUIREMENTS

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Failure to give immediate 171.15.............. $3,000.

telephone notice of a

reportable hazardous

materials incident.

Failure to file a DOT 5800.1 171.16.............. $500 to $2,500.

Hazardous Materials

Incident Report within 30

days following an

unintentional release of

hazardous materials in

transportation.

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PART 172--REQUIREMENTS

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Shipping Papers (Sec.

172.200--172.205):

Failure to execute a 172.201............. $3,000 to $6,000.

shipping paper for a

shipment of hazardous

materials.

Failure to follow one or 172.201(a)(1)....... $1,200.

more of the three

approved formats for

listing hazardous

materials on a shipping

paper.

Failure to include a 172.202............. $800 to $1,600.

proper shipping name in

the shipping

description or using an

incorrect proper

shipping name.

Failure to include a 172.202............. $1,000 to $2,000.

hazard class/division

number in the shipping

description.

Using an incorrect 172.202.............

hazard class/

identification number.

-that does not .................. $800,

affect

compatibility

requirements.

-that affects .................. $3,000 to $6,000.

compatibility

requirements.

Failure to include an 172.202............. $1,000 to $2,000.

identification number

in the shipping

description.

Using an incorrect 172.202.............

identification number.

-that does not .................. $800,

change the response

information.

-that changes the .................. $3,000 to $6,000.

response

information.

Using a shipping 172.202............. $800.

description that

includes additional

unauthorized

information (extra or

incorrect words).

Using a shipping 172.202............. $500.

description not in

required sequence.

Using a shipping 172.202.............

description with two or

more required elements

missing or incorrect.

-such that the .................. $3,000.

material is

misdescribed.

-such that the .................. $6,000.

material is

misclassified.

Failure to include the 172.202(c).......... $400.

total quantity of

hazardous material

covered by a shipping

description.

The letters ``RQ'' are 172.203(c)(2)....... $500.

not used in the

shipping description to

identify materials that

are hazardous

substances.

Using a shipping 172.203(d).......... $2,000 to $4,000.

description for Class 7

(radioactive) material

that fails to contain

the required additional

entries, or contains

incorrect information

for these additional

entries.

Failure to include a 172.203(k).......... $1,000.

required technical name

in parentheses for a

listed generic or

``nos'' material.

Failure to list an 172.203(a).......... $800.

exemption number in

association with the

shipping description.

Failure to include the 172.204(a).......... $1,000.

required shipper's

certification on a

shipping paper.

Failure to execute the 172.204............. $800.

required shipper's

certification on a

shipping paper.

Emergency Response

Information Requirements

(Sec. 172.600--172.604):

Providing or listing 172.602.............

incorrect emergency

response information

with or on a shipping

paper.

-no significant .................. $800,

difference in

response.

-significant .................. $3,000 to $6,000.

difference in

response.

Failure to include an 172.604............. $2,600.

emergency response

telephone number on a

shipping paper.

Failure to have the 172.604............. $1,300.

emergency response

telephone number

monitored while a

hazardous material is

in transportation or

listing multiple

telephone numbers

(without specifying the

times for each) that

are not monitored 24

hours a day.

Listing a fraudulent 172.604............. $2,600 to $4,200.

emergency response

telephone number on a

shipping paper.

Listing an incorrect or 172.604............. $1,300.

non-working emergency

response telephone

number on a shipping

paper.

Failure to provide 172.604............. $1,300.

required technical

information when the

listed emergency

response telephone

number is contacted.

Package Marking Requirements

(Sec. 172.300--172.338):

Failure to mark the 172.301(a).......... $800 to $1,600.

proper shipping name on

a package or marking an

incorrect shipping name

on a package.

[[Page 2973]]

Failure to mark the 172.301(a).......... $1,000 to $2,000.

identification number

on a package.

Marking a package with 172.301(a)..........

an incorrect

identification number.

-that does not .................. $800,

change the response

information.

-that changes the .................. $3,000 to $6,000.

response

information.

Failure to mark the 172.301(a).......... $3,000 to $6,000.

proper shipping name

and identification

number on a package.

Marking a package with 172.301(a)..........

an incorrect shipping

name and identification

number.

-that does not .................. $1,500 to $3,000.

change the response

information.

-that changes the .................. $3,000 to $6,000.

response

information.

Failure to include the 172.301(c).......... $1,000.

required technical

name(s) in parentheses

for a listed generic or

``no'' entry.

Failure to mark a 172.312............. $2,500 to $3,500.

package containing

liquid hazardous

materials with required

orientation marks.

Package Labeling

Requirements (Sec. 172.400-

172.450):

Failure to label a 172.400............. $5,000.

package..

Placing a label that 172.400............. $5,000.

represents a hazard

other than the hazard

presented by the

hazardous material in

the package..

Placing a label on a 172.401(a).......... $800.

package that does not

contain a hazardous

material..

Placing a label on Class 172.403............. $5,000.

7 (radioactive)

material that

understates the proper

label category..

Placing a label on Class 172.403(g).......... $2,000 to $4,000.

7 (radioactive)

material that fails to

contain, or has

erroneous, entries for

the name of the

radionuclide(s),

activity, and transport

index..

Placing a label not 172.407(c).......... $800.

conforming to size

requirements on a

package..

Placing a label on a 172.406(a).......... $800.

different surface of

the package than, or

far away from, the

proper shipping name..

Placing a label that 172.407(d).......... $600 to $2,500.

does not meet color

specification

requirements on a

package (depending on

the variance)..

Failure to place a 172.402............. $500 to $2,500.

required subsidiary

label on a package..

Failure to provide an 172.411............. $2,500.

appropriate class or

division number on a

label..

Placarding Requirements

(Sec. 172.500-172.560):

Failure to properly 172.504............. $1,000 to $9,000.

placard a freight

container or vehicle

containing hazardous

materials when Table 1

is applicable..

Failure to properly 172.504............. $800 to $7,500.

placard a freight

container or vehicle

containing hazardous

materials when Table 2

is applicable..

Training Requirements (Sec.

172.700-172.704):

Failure to train hazmat 172.702.............

employees in the three

required areas of

training.

-more than 10 hazmat .................... $2,400 and up.

employees..

-10 hazmat employees .................... $1,500 and up.

or less..

Failure to train hazmat 172.702.............

employees in any one of

the three required

areas of training.

-more than 10 hazmat .................... $800 and up.

employees..

-10 hazmat employees .................... $500 and up.

or less..

Failure to maintain 172.704.............

training records.

-more than 10 hazmat .................... 800 and up.

employees..

-10 hazmat employees .................... $500 and up.

or less..

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PART 173--REQUIREMENTS

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Overpack Requirements (Sec.

173.25)

Failure to mark an 173.25(a)(4)........ $3,000.

overpack with a

statement indicating

that the inside

packages comply with

prescribed

specifications when

specification packaging

is required..

Reconditioner Requirements

(Sec. 173.28):

Representing, marking, 173.28(c) & (d)..... $6,000 to $10,800.

or certifying a drum as

a reconditioned UN

standard packaging,

when the drum did not

meet a UN standard..

Marking an incorrect 173.28(b)(2)(ii)....

registration number on

a reconditioned

packaging.

-incorrect number... .................... $800.

-fraudulent use of .................... $7,200.

another

reconditioner's

number..

Failure to properly 173.28(b)(2)(i).....

conduct alternate

leakage test.

-improper test...... .................... $2,000.

-no test at all..... .................... $4,000.

Representing, marking, 173.28(d)........... $500.

or certifying a drum as

altered from one

standard to another,

when the drum had not

actually been altered..

Portable and IM Tank

Requirements (Secs.

173.32(e), 173.32c,

173.315)

Offering hazardous 173.32(a)(1), $3,500 to $7,000.

materials for 173.315(a),

transportation in a DOT Applicable

specification or Exemption.

exemption portable tank

which is out of test..

Offering an IM portable 173.32c(c).......... $3,500.

tank for transportation

that has not been

hydrostatically tested

within the last 2\1/2\

years per 173.32b(a)..

Offering an IM portable 173.32c(c).......... $3,500.

tank for transportation

that has not been

visually inspected in

last five years per

173.32b(b)..

[[Page 2974]]

Offering an IM portable 173.32c(c).......... $7,000.

tank for transportation

that has not been

visually or

hydrostatically tested

as required, or failing

to remove the safety

relief valves during

testing..

Offering a hazardous 173.32c(g)..........

material for

transportation in an IM

portable tank equipped

with bottom outlets,

when the material

contained is prohibited

from being offered in

this type of packaging.

-Packing Group II... .................... $7,000.

-Packing Group III.. .................... $5,000.

Failure to provide the 173.32c(k).......... $6,000 to $12,000.

required outage for a

shipment of hazardous

materials, that results

in the release of

hazardous materials..

Offering a hazardous 173.32(e)(3), $3,000.

material for 173.32b(d).

transportation in an

DOT, exemption, or IM

portable tank which

fails to bear markings

that it has been

properly retested..

Cylinder Retesters (Secs.

173.23, 173.34, and

173.302):

Failure to remark as DOT 173.23(c)........... $600.

3AL an aluminum

cylinder manufactured

under a former

exemption..

Certifying or marking as 173.34.............. $800.

retested a

nonspecification

cylinder.

Marking a cylinder in or 173.34(c)(1)........ $6,000 to $10,800.

on the sidewall area

when not permitted by

the applicable

specification.

Failure to maintain 173.34(e)........... $800.

legible markings on a

cylinder.

Failure to perform 173.34(e)........... $2,100 to $5,200.

hydrostatic retesting

at the minimum of 5/3

times the service

pressure, or at the

minimum specified test

pressure.

Failure to conduct a 173.34(e)(1)........ $2,100 to $5,200.

complete visual

external and internal

examination.

Failure to have a 173.34(e)(1)(i)..... $4,000.

retester's

identification number

(RIN).

Failure to have current 173.34)(e)(1)(i).... $2,000.

authority due to

failure to renew a

retester's

identification number.

Failure to have a 173.34(e)(1)(i)..... $7,200.

retester's

identification number

and marking another RIN

on a cylinder.

Marking a RIN before 173.34(e)(1)(ii).... $800.

successfully completing

a hydrostatic retest.

Requalifying a DOT 173.34(e)(1)(ii).... $4,200 to $10,400.

cylinder without

performing the visual

inspection or

hydrostatic retest.

Performing hydrostatic 173.34(e)(3)........ $2,100 to $5,200.

retesting without

demonstrating the

accuracy of the testing

equipment.

Failure to hold 173.34(e)(3)........ $3,100.

hydrostatic test

pressure for 30 seconds

or sufficiently longer

to allow for complete

expansion.

Failure to perform a 173.34(e)(3)........ $3,100.

second retest, after

equipment failure, at a

pressure of 10% more or

100 psi more, whichever

is less (includes

exceeding 90% of test

pressure prior to

conducting a retest).

Failure to condemn a 173.34(e)(4)........ $10,000.

cylinder with permanent

expansion of 10% or

greater (5% for certain

exemption cylinders);

failure to condemn

cylinders with evidence

of internal or external

corrosion, denting,

bulging, or rough usage.

Marking an FRP cylinder Applicable Exemption $6,000 to $10,800.

with steel stamps in

the FRP area of the

cylinder such that the

integrity of the

cylinder is compromised.

Failure to keep complete

and accurate records of

cylinder reinspection

and retest.

--No records kept... .................... $4,000.

--Incomplete or 173.34(e)(5)........ $1,000 to $3,000.

inaccurate records.

Improper marking of the 173.34(e)(5)........ $800

RIN or retest date on a

cylinder.

Marking a DOT 3HT 173.34(e)(13) (iv).. $6,000 to $10,800.

cylinder with a steel

stamp other than a low-

stress steel stamp.

Marking a ``+'' sign on 173.302(c)(3)....... $3,000 to $4,000.

a cylinder without

determining the average

or maximum wall stress,

by calculation or

reference to CGA

Pamphlet C-5.

Representing, marking, 171.2(c), Applicable $2,000 to $6,000.

or certifying a Exemption.

cylinder as meeting the

requirements of an

exemption, when the

cylinder was not

maintained or retested

in accordance with the

exemption.

Rebuilder Requirements (Sec.

173.34):

Representing a DOT-4 173.34(l)........... $6,000 to $10,800.

series cylinder as

meeting the

requirements of the

Hazardous Materials

Regulations without

being authorized to do

so by the Associate

Administrator for

Hazardous Materials

Safety.

Offeror Requirements

(General):

Offering a hazardous Various.............

material for

transportation in an

unauthorized non-UN

standard or

nonspecification

packaging (includes the

failure to comply with

the terms of an

exemption authorizing

the use of a

nonstandard or

nonspecification

packaging).

--Packing Group I .................... $9,000.

(includes Sec. 172

504 Table 1

materials).

--Packing Group II.. .................... $7,000.

-Packing Group III.. .................... $5,000.

Offering a hazardous 178.3(a), 178.503(a) $3,600.

material for

transportation in a

packaging that has

successfully been

tested to an applicable

UN standard, but is not

marked with the

required UN marking.

Offering a hazardous 173.24(b)...........

material for

transportation in a

packaging that leaks

during conditions

normally incident to

transportation.

--Packing Group I .................... $12,000.

(includes Sec.

172.504 Table 2

materials).

--Packing Group II.. .................... $9,000.

--Packing Group III. .................... $6,000.

Overfilling a package so 173.24(b)...........

that the effectiveness

is substantially

reduced.

--Packing Group I .................... $9,000.

(includes Sec.

172.504 Table 1

materials).

--Packing Group II.. .................... $6,000.

--Packing Group III. .................... $3,000.

Offering a hazardous 171.14..............

material for

transportation after

October 1, 1996, in an

unauthorized non-UN

standard packaging

marked as manufactured

to a DOT specification.

[[Page 2975]]

--packaging meets .................... $3,000.

DOT specification.

--packaging does not .................... $5,000 to $9,000.

meet DOT

specification.

Offeror Requirements (Class

1--Explosives):

------------------------------------------------------------------------

Failing to mark the 172.320............. $1,200.

``EX'' approval number

on a package containing

an explosive.

Offering an unapproved 173.54 and 173.56(b)

explosive for

transportation.

--Div 1.3 & 1.4 .................... $5,0000 to $10,000.

fireworks meeting

the chemistry

requirements (both

quantity and type)

of APA Standard 87-

--all other .................... $10,000 to $27,500.

explosives

(including

forbidden

explosives).

Offering a leaking or 173.54(c)........... $10,000 to $27,500.

damaged package of

explosives for

transportation.

Offeror Requirements (Class

7--Radioactive Materials):

Offering a DOT 173.415(a), 173.461.

specification 7A

packaging without

maintaining complete

documentation of tests

and an engineering

evaluation or

comparative data.

-tests and .................... $8,400.

evaluation not

performed.

-complete records .................... $2,000 to $5,000.

not maintained.

Offering a Type B 173.416(b),

packaging without 173.471(d).

holding a valid NRC

approval certificate.

-never having .................... $2,500.

obtained one.

-holding an expired .................... $1,000.

certificate.

Offering a limited 177.421(d).......... $5,000 and up.

quantity of radioactive

materials without

marking the inner (or

single) packaging

``Radioactive.''

Offering low specific 173.425(b)(9) & $800.

activity (LSA) (c)(7).

radioactive materials

consigned as exclusive

use without providing

instructions for

maintenance of

exclusive use shipment

controls.

Offering a package that 173.441............. $10,000 and up.

exceeds the permitted

limits for surface

radiation or transport

index.

Offering a package 173.443............. $5,000 and up.

without determining the

level of removable

external contamination,

or that exceeds the

limit for removable

external contamination.

Storing packages of 173.447(a).......... $5,000 and up.

radioactive material in

a group with a total

transport index more

than 50.

Offering special form 173.476(a) & (b).... $2,500.

radioactive materials

without maintaining a

complete safety

analysis or Certificate

of Competent Authority.

Offeror Requirements

(Cylinders):

Offering a compressed 173.301(c).......... $4,200 to $10,400.

gas for transportation

in a cylinder that is

out of test.

Failure to check each 173.303(d).......... $5,000.

day the pressure of a

cylinder charged with

acetylene that is

representative of that

day's compression,

after the cylinder has

cooled to a settled

temperature, or failure

to keep a record of

this test for at least

30 days.

Offering a limited 173.306(a)(3), (h).. $1,500 to $6,000.

quantity of a

compressed gas in a

metal container for the

purpose of propelling a

nonpoisonous material

and failing to heat the

cylinder until the

pressure is equivalent

to the equilibrium

pressure at 130 deg. F,

without evidence of

leakage, distortion, or

other defect.

------------------------------------------------------------------------

PART 178--REQUIREMENTS

------------------------------------------------------------------------

Third-Party Packaging

Certifiers (General):

Issuing a certification 1171.2(e), $500 per item.

that directs the 1178.2(b),

packaging manufacturer 178.3(a),

to improperly mark a 178.503(a).

packaging (e.g., steel

drum to be marked UN

4G).

Manufacturers (General):

Failure to insure a 178.601(b)..........

packaging certified as

meeting the UN standard

is capable of passing

the required

performance testing.

--Packing Group I .................... $10,800.

(includes Sec.

172.504 Table 1

materials).

--Packing Group II.. .................... $8,400.

--Packing Group III. .................... $6,000.

Certifying a packaging 178.601(d)..........

as meeting a UN

standard when design

qualification testing

was not performed.

--Packing Group I .................... $10,800.

(includes Sec. 172

504 Table 2

materials).

--Packing Group II.. .................... $8,400.

--Packing Group III. .................... $6,000.

Failure to conduct 178.601(e).......... $2,000 to $10,800.

periodic retesting on

UN standard packaging

(depending on length of

time and Packing Group).

Failure to properly ....................

conduct testing for UN

standard packaging

(e.g., testing with

less weight than marked

on packaging; drop

testing from lesser

height than required;

failing to condition

fiberboard boxes before

design test).

--design 178.601(d).......... $2,000 to $10,800.

qualification

testing.

--periodic retesting 178.601(e).......... $500 to $10,800.

[[Page 2976]]

Marking, or causing the 178.2(b), 178.3(a), $7,200.

marking of, a packaging 178.503(a)(8).

with the symbol of a

manufacturer or

packaging certifier

other than the company

that actually

manufactured or

certified the packaging.

Failure to maintain 178.601(1)..........

testing records.

--design .................... $1,000 to $5,000.

qualification

testing.

--periodic retesting .................... $500 to $2,000.

Improper marking of UN 178.503............. $500 per item.

certification.

Manufacturing DOT 171.14

specification packaging

after October 1, 1994

that is not marked as

meeting a UN

performance standard.

--if packaging does .................... $3,000.

meet DOT

specification.

--if packaging does .................... $6,000 to $10,800.

not meet DOT

specification.

Manufacturing Requirements--

Drums

Failure to properly 178.604(b)(1)

conduct production

leakproofness test.

--improper testing.. 173.28.............. $2,000.

--no testing .................... $2,000 to $10,800.

performed.

Manufacturing Requirements--

Cylinders

Manufacturing, Various............. $7,500 to $15,000.

representing, marking,

certifying, or selling

a DOT high-pressure

cylinder that was not

inspected and verified

by an approved

independent inspection

agency.

Failure to have a Various............. $800.

registration number or

failure to mark the

registration number on

the cylinder.

Marking another Various............. $7,200.

company's number on a

cylinder.

Failure to mark the date 178 65-14........... $3,000.

of manufacture or lot

number on a DOT-39

cylinder.

Failure to have a Various............. $5,000.

chemical analysis

performed in the US for

a material manufactured

outside the US/failure

to obtain a chemical

analysis from the

foreign manufacturer.

Failure to meet wall Various............. $7,500 to $15,000.

thickness requirements.

Failure to heat treat Various............. $5,000 to $15,000.

cylinders prior to

testing.

Failure to conduct a Various............. $2,500 to $6,200.

complete visual

internal examination.

Failure to conduct a Various............. $2,500 to $6,200.

hydrostatic test, or

conducting a

hydrostatic test with

inaccurate test

equipment.

Failure to conduct a Various............. $7,500 to $15,000.

flattening test.

Failure to conduct a 178.65-11........... $5,000 to $15,000.

burst test on a DOT-39

cylinder.

Failure to have Various............. $7,500 to $15,000.

inspections and

verifications performed

by an inspector.

Failure to maintain a Various.............

required inspector's

reports.

--no reports at all. .................... $5,000.

--incomplete or .................... $1,000 to $4,000.

inaccurate reports.

------------------------------------------------------------------------

Other Requirements

------------------------------------------------------------------------

Carrier Requirements:

Transporting packages of 177.834(a) & (g).... $3,000.

hazardous materials

that have not been

secured against

movement within the

vehicle.

Transporting explosives 177.835(i).......... $5,200.

in a motor vehicle

containing metal or