62 FR 2970 - Hazardous Materials Regulations; Penalty Guidelines | Regulus

Passage 1[Federal Register Volume 62, Number 13 (Tuesday, January 21, 1997)] [Rules and Regulations] [Pages 2970-2977] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 97-1398] ======================================================================= ----------------------------------------------------------------------- Research and Special Programs Administration [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. ----------------------------------------------------------------------- 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.#

Passage 2Under 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#

Passage 3On 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#

Passage 4guidelines 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 re#

Passage 5vised 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. A. Executive Order 12866 and DOT Regulatory Policies and Procedures#

Passage 6This 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. 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. 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. There are no new information requirements in this final rule. 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. Administrative practices and procedure, Hazardous materials transportation, Packaging and containers, Penalties, Reporting and recordkeeping requirements. 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. 2. In Sec. 107.329 (a) and (b), the parenthetical phrase ``($27,500 for a#

Passage 7violation 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 to Subpart D of Part 107--Guidelines for Civil Penalties#

Passage 8------------------------------------------------------------------------ Violation description Section or cite Baseline assessment ------------------------------------------------------------------------ PART 107--REQUIREMENTS ------------------------------------------------------------------------ Failure to register as a 107.608............. $1,000 +, $500 each carrier or shipper of add'l year. hazardous material. ------------------------------------------------------------------------ PART 171--REQUIREMENTS ------------------------------------------------------------------------ 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. ------------------------------------------------------------------------ PART 172--REQUIREMENTS ------------------------------------------------------------------------ Shipping Papers (Sec. 172.200--172.205): Failure to execute a 172.201............. $3,000 to $6,000. shipping paper for a shipment of hazardous materials. Failure to follow one or 172.201(a)(1)....... $1,200. more of the three approved formats for listing hazardous materials on a shipping paper. Failure to include a 172.202............. $800 to $1,600. proper shipping name in the shipping description or using an incorrect proper shipping name. Failure to include a 172.202............. $1,000 to $2,000. hazard class/division number in the shipping description. Using an incorrect 172.202............. hazard class/ identification number. -that does not .................. $800, affect compatibility requirements. -that affects .................. $3,000 to $6,000. compatibility requirements. Failure to include an 172.202............. $1,000 to $2,000. identification number in the shipping description. Using an incorrect 172.202............. identification number. -that does not .................. $800, change the response information. -that changes the .................. $3,000 to $6,000. response information. Using a shipping 172.202............. $800. description that includes additional unauthorized information (extra or incorrect words). Using a shipping 172.202............. $500. description not in required se#

Passage 9quence. 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 packa#

Passage 10ge or marking an incorrect shipping name on a package.#

Passage 11Failure 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 hazardou#

Passage 12s materials when Table 1 is applicable.. Failure to properly 172.504............. $800 to $7,500. placard a freight container or vehicle containing hazardous materials when Table 2 is applicable.. Training Requirements (Sec. 172.700-172.704): Failure to train hazmat 172.702............. employees in the three required areas of training. -more than 10 hazmat .................... $2,400 and up. employees.. -10 hazmat employees .................... $1,500 and up. or less.. Failure to train hazmat 172.702............. employees in any one of the three required areas of training. -more than 10 hazmat .................... $800 and up. employees.. -10 hazmat employees .................... $500 and up. or less.. Failure to maintain 172.704............. training records. -more than 10 hazmat .................... 800 and up. employees.. -10 hazmat employees .................... $500 and up. or less.. ------------------------------------------------------------------------ PART 173--REQUIREMENTS ------------------------------------------------------------------------ Overpack Requirements (Sec. 173.25) Failure to mark an 173.25(a)(4)........ $3,000. overpack with a statement indicating that the inside packages comply with prescribed specifications when specification packaging is required.. Reconditioner Requirements (Sec. 173.28): Representing, marking, 173.28(c) & (d)..... $6,000 to $10,800. or certifying a drum as a reconditioned UN standard packaging, when the drum did not meet a UN standard.. Marking an incorrect 173.28(b)(2)(ii).... registration number on a reconditioned packaging. -incorrect number... .................... $800. -fraudulent use of .................... $7,200. another reconditioner's number.. Failure to properly 173.28(b)(2)(i)..... conduct alternate leakage test. -improper test...... .................... $2,000. -no test at all..... .................... $4,000. Representing, marking, 173.28(d)........... $500. or certifying a drum as altered from one standard to another, when the drum had not actually been altered.. Portable and IM Tank Requirements (Secs. 173.32(e), 173.32c, 173.315) Offering hazardous 173.32(a)(1), $3,500 to $7,000. materials for 173.315(a), transportation in a DOT Applicable specification or Exemption. exemption portable tank which is out of test.. Offering an IM portable 173.32c(c).......... $3,500. tank for transportation tha#

Passage 13t 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)..#

Passage 14Offering 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 pressur#

Passage 15e 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#

Passage 16that 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.#

Passage 17--packaging meets .................... $3,000. DOT specification. --packaging does not .................... $5,000 to $9,000. meet DOT specification. Offeror Requirements (Class 1--Explosives): ------------------------------------------------------------------------ Failing to mark the 172.320............. $1,200. ``EX'' approval number on a package containing an explosive. Offering an unapproved 173.54 and 173.56(b) explosive for transportation. --Div 1.3 & 1.4 .................... $5,0000 to $10,000. fireworks meeting the chemistry requirements (both quantity and type) of APA Standard 87- 1. --all other .................... $10,000 to $27,500. explosives (including forbidden explosives). Offering a leaking or 173.54(c)........... $10,000 to $27,500. damaged package of explosives for transportation. Offeror Requirements (Class 7--Radioactive Materials): Offering a DOT 173.415(a), 173.461. specification 7A packaging without maintaining complete documentation of tests and an engineering evaluation or comparative data. -tests and .................... $8,400. evaluation not performed. -complete records .................... $2,000 to $5,000. not maintained. Offering a Type B 173.416(b), packaging without 173.471(d). holding a valid NRC approval certificate. -never having .................... $2,500. obtained one. -holding an expired .................... $1,000. certificate. Offering a limited 177.421(d).......... $5,000 and up. quantity of radioactive materials without marking the inner (or single) packaging ``Radioactive.'' Offering low specific 173.425(b)(9) & $800. activity (LSA) (c)(7). radioactive materials consigned as exclusive use without providing instructions for maintenance of exclusive use shipment controls. Offering a package that 173.441............. $10,000 and up. exceeds the permitted limits for surface radiation or transport index. Offering a package 173.443............. $5,000 and up. without determining the level of removable external contamination, or that exceeds the limit for removable external contamination. Storing packages of 173.447(a).......... $5,000 and up. radioactive material in a group with a total transport index more than 50. Offering special form 173.476(a) & (b).... $2,500. radioactive materials without maintaining a complete safety analysis or Certificate of Competent Authority. Offeror Requirements (Cylinders): Offering a c#

Passage 18ompressed 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.#

Passage 19Marking, 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. ins#

Passage 20pections and verifications performed by an inspector. Failure to maintain a Various............. required inspector's reports. --no reports at all. .................... $5,000. --incomplete or .................... $1,000 to $4,000. inaccurate reports. ------------------------------------------------------------------------ Other Requirements ------------------------------------------------------------------------ Carrier Requirements: Transporting packages of 177.834(a) & (g).... $3,000. hazardous materials that have not been secured against movement within the vehicle. Transporting explosives 177.835(i).......... $5,200. in a motor vehicle containing metal or other articles or materials likely to damage such explosives or any package in which they are contained, without segregating in different parts of the load or securing them in place in or on the motor vehicle and separated by bulkheads or other suitable means to prevent such damage. Transporting railway 171.2(b)............ $7,000. track torpedoes outside of flagging kits, in violation of E-7991. Transporting Class 7 177.842(a)......... $5,000 and up. (radioactive) material having a total transport index more than 50. Transporting Class 7 177.842(b)......... $5,000 and up. (radioactive) material without maintaining the required separation distance. Failing to comply with 171.2(b)............ requirements of an exemption authorizing the transportation of Class 7 (radioactive) material having a total transport index more than 50. -failure to have the .................... $5,000. radiation survey record required by Paras. 7(f), 8(b)(3). -failure to have .................... $500 each. other accompanying documents required by para. 8(b). -other violations of .................... $5,000 and up. Paras. 7 and 8. Exemptions: Offering or transporting 171.2(a), (b), (c), $1,000 + $500 each hazardous materials, or Various. add'l year. otherwise performing a function, covered by an exemption after expiration of the exemption. ------------------------------------------------------------------------ 4. In Appendix A to subpart D of part 107, under the section entitled ``Penalty Increase for Multiple Counts'' (Section IV.C.), the parenthetical phrase ``($27,500 for a violation occurring after January 21, 1997)'' is added after ``$25,000.' PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS#

Passage 215. The authority citation for part 171 is revised to read as follows: Authority: 49 U.S.C. 5101-5127, 44701; 49 CFR 1.45 and 1.53; Pub. L. 101-410, Sec. 4 (28 U.S.C. 2461 note); Pub. L. 104-134, Sec. 31001. 6. In Sec. 171.1, as revised in the final rule under Docket No. HM- 200 on January 8, 1997 (62 FR 1215), new paragraph (c) is added to read as follows: * * * * * (c) Any person who knowingly violates a requirement of the Federal hazardous material transportation law, an order issued thereunder, subchapter A, an exemption issued under subchapter A, of this subchapter, is liable for a civil penalty of not more than $25,000 ($27,500 for a violation that occurs after January 21, 1997) and not less than $250 for each violation. When the violation is a continuing one and involves the transporting of hazardous materials or the causing of them to be transported or shipped, each day of the violation constitutes a separate offense. Any person who knowingly violates Sec. 171.2(g) of this subchapter or willfully violates a provision of the Federal hazardous material transportation law or an order or regulation issued thereunder shall be fined under Title 18, United States Code, or imprisoned for not more than 5 years, or both. Issued in Washington, DC on January 14, 1997, under authority delegated in 49 CFR part 1. Kelley S. Coyner, Deputy Administrator. [FR Doc. 97-1398 Filed 1-17-97; 8:45 am] BILLING CODE 4910-60-P#