DOT 49 CFR PART 107-2010 HAZARDOUS MATERIALS PROGRAM PROCEDURES.pdf

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1、19 Pipeline and Hazardous Materials Safety Admin., DOT Pt. 107 (3) If we decide to grant your appeal, we may schedule further proceedings and an opportunity to comment. (4) PHMSA will notify you, in writ-ing, of the action on your appeal with-in 90 days after the date that PHMSA published the final

2、rule or withdrawal of notice of proposed rulemaking at issue in the FEDERAL REGISTER. If we do not issue a decision on your appeal within the 90-day period and we antici-pate a substantial delay, we will notify you directly about the delay and will give you an expected decision date. We will also pu

3、blish a notice of the delay in the FEDERAL REGISTER. (b) Appeal of a decision. (1) We will not consider your appeal if it merely repeats arguments that PHMSA has previously rejected. (2) PHMSA will notify you, in writ-ing, of the action on your appeal with-in 90 days after the date that PHMSA served

4、 you with written notice of its decision on your petition for rule-making. If we do not issue a decision on your appeal within the 90-day pe-riod, and we anticipate a substantial delay, we will notify you directly about the delay and will give you an expected decision date. PART 107HAZARDOUS MATERIA

5、LS PROGRAM PROCEDURES Subpart ADefinitions Sec. 107.1 Definitions. Subpart BSpecial 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 evalua-tion. 10

6、7.117 Emergency processing. 107.121 Modification, suspension or termi-nation of special permit or grant of party status. 107.123 Reconsideration. 107.125 Appeal. 107.127 Availability of documents for public inspection. Subpart CPreemption 107.201 Purpose and scope. 107.202 Standards for determining

7、preemp-tion. 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. 10

8、7.223 Petition for reconsideration. 107.227 Judicial review. Subpart DEnforcement 107.301 Delegated authority for enforce-ment. 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 prob

9、able violation. 107.313 Reply. 107.315 Admission of violations. 107.317 Informal response. 107.319 Request for a hearing. 107.321 Hearing. 107.323 ALJs decision. 107.325 Appeals. 107.327 Compromise and settlement. 107.329 Maximum penalties. 107.331 Assessment considerations. CRIMINAL PENALTIES 107.3

10、33 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 EDesignation of Approval and Certificati

11、on Agencies 107.401 Purpose and scope. 107.402 Application for designation as an ap-proval or certification agency. 107.403 Designation of approval agencies. 107.404 Conditions of designation. 107.405 Termination of designation. Subpart FRegistration of Cargo Tank and Cargo Tank Motor Vehicle Manufa

12、c-turers, Assemblers, Repairers, Inspec-tors, Testers, and Design Certifying En-gineers 107.501 Scope. VerDate Mar2010 15:30 Dec 30, 2010 Jkt 220213 PO 00000 Frm 00029 Fmt 8010 Sfmt 8010 Q:49X49220213.XXX ofr150 PsN: PC150Provided by IHSNot for ResaleNo reproduction or networking permitted without l

13、icense from IHS-,-,-20 49 CFR Ch. I (10110 Edition) 107.1 107.502 General registration requirements. 107.503 Registration statement. 107.504 Period of registration, updates, and record retention. Subpart GRegistration of Persons Who Offer or Transport Hazardous Materials 107.601 Applicability. 107.6

14、06 Exceptions. 107.608 General registration requirements. 107.612 Amount of fee. 107.616 Payment procedures. 107.620 Recordkeeping requirements. Subpart HApprovals, Registrations and Submissions 107.701 Purpose and scope. 107.705 Registrations, reports, and applica-tions for approval. 107.709 Proces

15、sing of an application for ap-proval, including an application for re-newal or modification. 107.711 Withdrawal. 107.713 Approval modification, suspension or termination. 107.715 Reconsideration. 107.717 Appeal. Subpart IApproval of Independent In-spection Agencies, Cylinder Requali-fiers, and Non-d

16、omestic Chemical Analyses and Tests of DOT Specifica-tion Cylinders 107.801 Purpose and scope. 107.803 Approval of an independent inspec-tion agency (IIA). 107.805 Approval of cylinder and pressure re-ceptacle requalifiers. 107.807 Approval of non-domestic chemical analyses and tests. 107.809 Condit

17、ions of UN pressure receptacle approvals. AUTHORITY: 49 U.S.C. 51015128, 44701; Pub. L. 101410 section 4 (28 U.S.C. 2461 note); Pub. L. 104121 sections 212213; Pub. L. 104134 section 31001; 49 CFR 1.45, 1.53. EDITORIAL NOTE: Nomenclature changes to part 107 appear at 67 FR 61011, Sept. 27, 2002, 70

18、FR 56089, Sept. 23, 2005, and 70 FR 73159, Dec. 9, 2005. Subpart ADefinitions 107.1 Definitions. All terms defined in 49 U.S.C. 5102 are used in their statutory meaning. Other terms used in this part are defined as follows: Acting knowingly means acting or failing to act while (1) Having actual know

19、ledge of the facts giving rise to the violation, or (2) Having the knowledge that a rea-sonable person acting in the same cir-cumstances and exercising due care would have had. Administrator means the Adminis-trator, Pipeline and Hazardous Mate-rials Safety Administration or his or her delegate. App

20、licant means the person in whose name a special permit, approval, reg-istration, 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 per-mit, a renewal or modification

21、of a spe-cial 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, in-cluding a competent authority ap-proval, from the Associate Adminis-trator or other designated Department o

22、fficial, to perform a function that re-quires prior consent under subchapter C of this chapter (49 CFR parts 171 through 180). Approval Agency means an organiza-tion or a person designated by the PHMSA to certify packagings as hav-ing been designed, manufactured, test-ed, modified, marked or maintai

23、ned in compliance with applicable DOT regu-lations. Associate Administrator means the As-sociate Administrator for Hazardous Materials Safety, Pipeline and Haz-ardous Materials Safety Administra-tion. Competent Authority means a national agency that is responsible, under its national law, for the co

24、ntrol or regula-tion of some aspect of hazardous mate-rials (dangerous goods) transportation. Another term for Competent Authority is Appropriate authority, which is used in the International Civil Avia-tion Organizations (ICAO) Technical Instructions for the Safe Transport of Dangerous Goods by Air

25、. The Associate Administrator is the United States Competent Authority for purposes of this part 107. Competent Authority Approval means an approval by the competent author-ity that is required under an inter-national standard (for example, the VerDate Mar2010 15:30 Dec 30, 2010 Jkt 220213 PO 00000

26、Frm 00030 Fmt 8010 Sfmt 8010 Q:49X49220213.XXX ofr150 PsN: PC150Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-21 Pipeline and Hazardous Materials Safety Admin., DOT 107.1 ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air

27、and the International Maritime Dangerous Goods Code). Any of the fol-lowing may be considered a competent authority approval if it satisfies the re-quirement of an international stand-ard: (1) A specific regulation in sub-chapter A or C of this chapter. (2) A special permit or approval issued under

28、subchapter A or C of this chapter. (3) A separate document issued to one or more persons by the Associate Ad-ministrator. DOT or Department means U.S. De-partment of Transportation. Federal hazardous material transpor-tation law means 49 U.S.C. 5101 et seq. Filed means received by the appro-priate P

29、HMSA or other designated of-fice within the time specified in a regu-lation 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 sub-stantial likelihood that death, serious illn

30、ess, severe personal injury, or sub-stantial endangerment to health, prop-erty, or the environment may occur be-fore the reasonably foreseeable comple-tion of an administrative hearing or other formal proceeding initiated to abate the risks of those effects. Incident means an event resulting in the

31、unintended and unanticipated re-lease of a hazardous material or an event meeting incident reporting re-quirements in 171.15 or 171.16 of this chapter. Indian Tribe has the same meaning given that term in section 4 of the In-dian Self-Determination and Education Assistance Act (25 U.S.C. 450b). Inve

32、stigation includes investigations authorized under 49 U.S.C. 5121 and in-spections 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

33、requali-fying, inspecting, and testing), selling or offering a packaging or container as meeting the requirements of sub-chapter C of this chapter governing its use in the transportation in commerce of a hazardous material. A manufac-turing special permit is a special per-mit issued to a manufacture

34、r of pack-agings who does not offer for transpor-tation or transport hazardous mate-rials in packagings subject to the spe-cial permit. Party means a person, other than a holder, authorized to act under the terms of a special permit. Person means an individual, firm, co-partnership, corporation, com

35、pany, as-sociation, or joint-stock association (including any trustee, receiver, as-signee, or similar representative); or a government or Indian tribe (or an agency or instrumentality of any gov-ernment or Indian tribe) that trans-ports a hazardous material to further a commercial enterprise or off

36、ers a haz-ardous 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 pur-poses of 49 U.S.C. 5123 (civil penalties) and 5124 (criminal penalties.) (3) Any government

37、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 ac-knowledgment from the Associate Ad-ministrator that a registrant is author-ized to perform a function for which registrat

38、ion is required under sub-chapter C of this chapter (e.g., registra-tion in accordance with 49 CFR 178.503 regarding marking of packagings). For purposes of subparts A through E, registration does not include reg-istration under subpart F or G of this part. Report means information, other than an ap

39、plication, 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

40、by the Associate Administrator, VerDate Mar2010 15:30 Dec 30, 2010 Jkt 220213 PO 00000 Frm 00031 Fmt 8010 Sfmt 8010 Q:49X49220213.XXX ofr150 PsN: PC150Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-22 49 CFR Ch. I (10110 Edition) 107.101 or other de

41、signated Department offi-cial, under the authority of 49 U.S.C. 5117 permitting a person to perform a function that is not otherwise per-mitted under subchapters A or C of this chapter, or other regulations issued under 49 U.S.C. 5101 et seq. (e.g., Federal Motor Carrier Safety routing require-ments

42、). The terms special permit and exemption have the same mean-ing for purposes of subchapters A or C of this chapter or other regulations issued under 49 U.S.C. 5101 through 5128. State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of

43、the Northern Mar-iana Islands, the Virgin Islands, Amer-ican Samoa, Guam, or any other terri-tory 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. 1073, 41

44、FR 38170, Sept. 9, 1976 EDITORIAL NOTE: For FEDERAL REGISTER ci-tations affecting 107.1, see the List of CFR Sections Affected which appears in the Find-ing Aids section of the printed volume and on GPO Access. Subpart BSpecial Permits SOURCE: Amdt. 10738, 61 FR 21095, May 9, 1996, unless otherwise

45、noted. 107.101 Purpose and scope. This subpart prescribes procedures for the issuance, modification and ter-mination of special permits from re-quirements of this subchapter, sub-chapter C of this chapter, or regula-tions issued under chapter 51 of 49 U.S.C. 107.105 Application for special per-mit.

46、(a) General. Each application for a special permit or modification of a spe-cial permit must be written in English and submitted for timely consideration at least 120 days before the requested effective date and must (1)(i) Be submitted in duplicate to: Associate Administrator for Hazardous Material

47、s Safety (Attention: Special Permits, PHH31), Pipeline and Haz-ardous Materials Safety Administra-tion, U.S. Department of Transpor-tation, East Building, 1200 New Jersey Avenue, SE., Washington, DC 20590 0001; (ii) Be submitted in duplicate with any attached supporting documenta-tion by facsimile (

48、fax) to: (202) 3663753 or (202) 3663308; or (iii) Be submitted by electronic mail (e-mail) to: Specialpermitsdot.gov. Electronic submissions need not be submitted in duplicate; (2) State the name, street and mail-ing addresses, e-mail address (if avail-able), US DOT Registration number (if applicabl

49、e), and telephone number of the applicant. If the applicant is not an individual, also state the name, street and mailing addresses, e-mail address (if available), and telephone number of an individual designated as an agent of the applicant for all purposes related to the application; (3) Include a designation of agent of service for process in accordance with 105.40 of this part if the applicant is not a resident of the United State