1625-0062 Statutory Authority

Page 47

TITLE 46—SHIPPING

signatory. The Committee expects that the regulatory
flexibility being provided will not reduce the present
vessel inspection requirements that have been historically developed.
Section 3305(a) establishes the statutory scope of the
Coast Guard’s vessel inspection authority and duty.
The inspection process shall ensure that a vessel is of
suitable structure, equipment, and accommodations, is
maintained in an operating condition consistent with
safety of life and property, and complies with applicable marine safety laws and regulations.
Subsection (b) requires that defective life preservers
and firehose be destroyed in the presence of the inspecting official, normally a qualified Coast Guard marine inspector. The Committee believes that if this
equipment is defective for use on an inspected vessel, it
should be destroyed so that it cannot be used on an uninspected or recreational vessel.
Subsection (c) provides flexibility in the inspection of
various sizes of nautical school vessels.
AMENDMENTS
2006—Subsec. (a)(2). Pub. L. 109–241 realigned margins.
2004—Subsec. (a). Pub. L. 108–293, § 416(b), designated
existing provisions as par. (1), redesignated former
pars. (1) to (6) as subpars. (A) to (F), respectively, of
par. (1), and added par. (2).
Subsec. (a)(4) to (6). Pub. L. 108–293, § 416(a), added
par. (4) and redesignated former pars. (4) and (5) as (5)
and (6), respectively.
2002—Subsec. (c). Pub. L. 107–217 substituted ‘‘section
558 of title 40’’ for ‘‘section 13 of the Coast Guard Authorization Act of 1986’’.
1986—Subsec. (c). Pub. L. 99–640 inserted ‘‘or by an
educational institution under section 13 of the Coast
Guard Authorization Act of 1986’’.
1985—Subsec. (b). Pub. L. 99–36 substituted ‘‘lifesaving’’ and ‘‘life preserver, lifesaving device, or firehose’’
for ‘‘life-saving’’ and ‘‘life preserver or firehose’’, respectively.

§ 3306. Regulations
(a) To carry out this part and to secure the
safety of individuals and property on board vessels subject to inspection, the Secretary shall
prescribe necessary regulations to ensure the
proper execution of, and to carry out, this part
in the most effective manner for—
(1) the design, construction, alteration, repair, and operation of those vessels, including
superstructures, hulls, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, boilers, unfired pressure vessels, piping, electric installations, and accommodations for passengers and crew, sailing school
instructors, and sailing school students;
(2) lifesaving equipment and its use;
(3) firefighting equipment, its use, and precautionary measures to guard against fire;
(4) inspections and tests related to paragraphs (1), (2), and (3) of this subsection; and
(5) the use of vessel stores and other supplies
of a dangerous nature.
(b)(1) Equipment and material subject to regulation under this section may not be used on any
vessel without prior approval of the Secretary.
(2) Except with respect to use on a public vessel, the Secretary may treat an approval of
equipment or materials by a foreign government
as approval by the Secretary for purposes of
paragraph (1) if the Secretary determines that—
(A) the design standards and testing procedures used by that government meet the requirements of the International Convention
for the Safety of Life at Sea, 1974;

§ 3306

(B) the approval of the equipment or material by the foreign government will secure the
safety of individuals and property on board
vessels subject to inspection; and
(C) for lifesaving equipment, the foreign government—
(i) has given equivalent treatment to approvals of lifesaving equipment by the Secretary; and
(ii) otherwise ensures that lifesaving
equipment approved by the Secretary may
be used on vessels that are documented and
subject to inspection under the laws of that
country.
(c) In prescribing regulations for sailing school
vessels, the Secretary shall consult with representatives of the private sector having experience in the operation of vessels likely to be certificated as sailing school vessels. The regulations shall—
(1) reflect the specialized nature of sailing
school vessel operations, and the character,
design, and construction of vessels operating
as sailing school vessels; and
(2) include requirements for notice to sailing
school instructors and sailing school students
about the specialized nature of sailing school
vessels and applicable safety regulations.
(d) In prescribing regulations for nautical
school vessels operated by the United States
Merchant Marine Academy or by a State maritime academy (as defined in section 51102 of this
title), the Secretary shall consider the function,
purpose, and operation of the vessels, their
routes, and the number of individuals who may
be carried on the vessels.
(e) When the Secretary finds it in the public
interest, the Secretary may suspend or grant exemptions from the requirements of a regulation
prescribed under this section related to lifesaving and firefighting equipment, muster lists,
ground tackle and hawsers, and bilge systems.
(f) In prescribing regulations for offshore supply vessels, the Secretary shall consider the
characteristics, methods of operation, and the
nature of the service of offshore supply vessels.
(g) In prescribing regulations for fish processing or fish tender vessels, the Secretary shall
consult with representatives of the private sector having experience in the operation of these
vessels. The regulations shall reflect the specialized nature and economics of fish processing or
fish tender vessel operations and the character,
design, and construction of fish processing or
fish tender vessels.
(h) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for vessels of at
least 100 gross tons but less than 300 gross tons
as measured under section 14502 of this title, or
an alternate tonnage measured under section
14302 of this title as prescribed by the Secretary
under section 14104 of this title carrying not
more than 150 passengers on domestic voyages,
which meet the eligibility criteria of section
2113(4) of this title.
(i) The Secretary shall establish appropriate
structural fire protection, manning, operating,
and equipment requirements for former public
vessels of the United States of at least 100 gross

§ 3306

TITLE 46—SHIPPING

tons but less that 500 gross tons as measured
under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104 of this title carrying not more than
150 passengers on domestic voyages, which meet
the eligibility criteria of section 2113(5) of this
title.
(j) The Secretary may establish by regulation
a safety management system appropriate for the
characteristics, methods of operation, and nature of service of towing vessels.
(k)(1) Each vessel of the United States that is
constructed under a contract entered into after
the date of enactment of the Maritime Safety
Act of 2010, or that is delivered after January 1,
2011, with an aggregate capacity of 600 cubic meters or more of oil fuel, shall comply with the
requirements of Regulation 12A under Annex I
to the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973, entitled ‘‘Oil Fuel Tank
Protection’’.
(2) The Secretary may prescribe regulations to
apply the requirements described in Regulation
12A to vessels described in paragraph (1) that are
not otherwise subject to that convention. Any
such regulation shall be considered to be an interpretive rule for the purposes of section 553 of
title 5.
(3) In this subsection the term ‘‘oil fuel’’
means any oil used as fuel in connection with
the propulsion and auxiliary machinery of the
vessel in which such oil is carried.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 513; Pub. L.
98–364, title IV, § 402(5), July 17, 1984, 98 Stat. 446;
Pub. L. 103–206, title V, § 512(a), Dec. 20, 1993, 107
Stat. 2442; Pub. L. 104–324, title VI, § 604(a), (c),
title VII, § 712, Oct. 19, 1996, 110 Stat. 3930, 3931,
3936; Pub. L. 108–293, title IV, § 415(b), Aug. 9,
2004, 118 Stat. 1047; Pub. L. 109–304, § 15(12), Oct.
6, 2006, 120 Stat. 1703; Pub. L. 111–281, title VI,
§ 612, Oct. 15, 2010, 124 Stat. 2970.)
HISTORICAL AND REVISION NOTES
Revised section
3306 ..............................................

Source section (U.S. Code)
46:366
46:369
46:375
46:390b
46:392
46:404
46:408
46:411
46:412
46:416
46:420
46:445
46:459
46:473
46:477
46:478
46:479
46:481
46:482
46:483
46:489
46:526p
46:1295f(c)

Section 3306 contains broad authority to prescribe
regulations for the proper inspection and certification
of vessels. It provides regulatory flexibility for meeting
technological changes. The section also permits flexibility in prescribing regulations for nautical school
vessels operated by the United States Merchant Marine
Academy or by a State maritime academy. The Secretary may suspend or grant exemptions to certain lim-

Page 48

ited inspection requirements when the Secretary finds
that this is necessary in the public interest. It also contains the requirement that in regulating offshore supply vessels consideration must be given to the special
nature of their operations.
REFERENCES IN TEXT
The date of enactment of the Maritime Safety Act of
2010, referred to in subsec. (k)(1), is the date of enactment of title VI of Pub. L. 111–281, which was approved
Oct. 15, 2010.
AMENDMENTS
2010—Subsec. (k). Pub. L. 111–281 added subsec. (k).
2006—Subsec. (d). Pub. L. 109–304 substituted ‘‘section
51102 of this title’’ for ‘‘section 1302(3) of the Merchant
Marine Act, 1936 (46 App. U.S.C. 1295a(3))’’.
2004—Subsec. (j). Pub. L. 108–293 added subsec. (j).
1996—Subsec. (a)(4). Pub. L. 104–324, § 604(c), substituted ‘‘paragraphs (1), (2), and (3)’’ for ‘‘clauses
(1)–(3)’’.
Subsec. (b). Pub. L. 104–324, § 604(a), amended subsec.
(b) generally. Prior to amendment, subsec. (b) read as
follows: ‘‘Equipment subject to regulation under this
section may not be used on any vessel without prior approval as prescribed by regulation.’’
Subsec. (h). Pub. L. 104–324, § 712(1), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘300 gross tons’’.
Subsec. (i). Pub. L. 104–324, § 712(2), inserted ‘‘as measured under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this title as
prescribed by the Secretary under section 14104 of this
title’’ after ‘‘500 gross tons’’.
1993—Subsecs. (h), (i). Pub. L. 103–206 added subsecs.
(h) and (i).
1984—Subsec. (g). Pub. L. 98–364 added subsec. (g).
REGULATIONS
Pub. L. 103–206, title V, § 512(b), (c), Dec. 20, 1993, 107
Stat. 2442, provided that:
‘‘(b) The Secretary of Transportation shall, within
twenty-four months of the date of enactment of this
Act [Dec. 20, 1993], prescribe regulations establishing
the structural fire protection, manning, operating, and
equipment requirements for vessels which meet the requirements of subsections (h) and (i) of section 3306 of
title 46, United States Code, as amended by this Act.
‘‘(c) Before the Secretary of Transportation prescribes regulations under subsections (h) and (i) of section 3306 of title 46, United States Code, as amended by
this Act, the Secretary may prescribe the route, service, manning, and equipment for those vessels based on
existing passenger vessel and small passenger vessel
regulations.’’
TOWING VESSELS
Pub. L. 111–281, title VII, § 701(c), Oct. 15, 2010, 124
Stat. 2980, provided that: ‘‘No later than 90 days after
the date of enactment of this Act [Oct. 15, 2010], the
Secretary shall issue a notice of proposed rulemaking
regarding inspection requirements for towing vessels
required under section 3306(j) of title 46, United States
Code. The Secretary shall issue a final rule pursuant to
that rulemaking no later than 1 year after the date of
enactment of this Act.’’
[‘‘Secretary’’ as used in section 701(c) of Pub. L.
111–281, set out above, probably means the Secretary of
the department in which the Coast Guard is operating,
see section 701(a)(1) of Pub. L. 111–281, set out as a note
under section 1321 of Title 33, Navigation and Navigable
Waters.]
FOREIGN APPROVALS
Pub. L. 104–324, title VI, § 604(b), Oct. 19, 1996, 110 Stat.
3931, provided that: ‘‘The Secretary of Transportation,
in consultation with other interested Federal agencies,

Page 49

§ 3309

TITLE 46—SHIPPING

shall work with foreign governments to have those governments approve the use of the same equipment and
materials on vessels documented under the laws of
those countries that the Secretary requires on United
States documented vessels.’’
INTERNATIONAL CONVENTION FOR SAFETY OF LIFE AT
SEA
For International Conventions for the Safety of Life
at Sea to which the United States has been a party, see
section 1602 of Title 33, Navigation and Navigable Waters, and notes thereunder.

§ 3307. Frequency of inspection
Each vessel subject to inspection under this
part shall undergo an initial inspection for certification before being put into service. After
being put into service—
(1) each passenger vessel, nautical school
vessel, and small passenger vessel allowed to
carry more than 12 passengers on a foreign
voyage shall be inspected at least once a year;
and
(2) any other vessel shall be inspected at
least once every 5 years.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 514; Pub. L.
104–324, title VI, § 605(a), Oct. 19, 1996, 110 Stat.
3931.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3307(1) ..........................................
3307(2) ..........................................
3307(3) ..........................................

46:391(c)
46:1295f(c)
46:390a(a)
46:404–1(6)(i)
46:391(b)
46:392(b)
46:404–1(6)(ii)

Section 3307 requires each vessel subject to inspection
to undergo an initial inspection prior to being placed in
service. This is normally started during the construction or reconstruction phase and is a continuing process until final certification for operation in a particular trade. Subsequent periodic inspections are also required for various types of vessels. It is to be noted
that a freight vessel of less than 100 gross tons shall be
inspected at 3 year intervals while the larger freight
vessel has a 2 year inspection period. This is being done
to retain the existing procedure of issuing 3 year certificates of inspection to smaller vessels, however, this
does not prevent periodic inspections or examinations
at intervening periods.
AMENDMENTS
1996—Par. (1). Pub. L. 104–324, § 605(a)(1), substituted
‘‘, nautical school vessel, and small passenger vessel allowed to carry more than 12 passengers on a foreign
voyage’’ for ‘‘and nautical school vessel’’ and inserted
‘‘and’’ at end.
Pars. (2), (3). Pub. L. 104–324, § 605(a)(2), (3), redesignated par. (3) as (2), substituted ‘‘5 years’’ for ‘‘2 years’’,
and struck out former par. (2) which read as follows:
‘‘each small passenger vessel, freight vessel or offshore
supply vessel of less than 100 gross tons, and sailing
school vessel shall be inspected at least once every 3
years; and’’.

§ 3308. Examinations
In addition to inspections required by section
3307 of this title, the Secretary shall examine or
have examined—
(1) each vessel subject to inspection at proper times to ensure compliance with law and
regulations; and
(2) crewmember accommodations on each
vessel subject to inspection at least once a

month or when the vessel enters United States
ports to ensure that the accommodations are—
(A) of the size required by law and regulations;
(B) properly ventilated and in a clean and
sanitary condition; and
(C) equipped with proper plumbing and mechanical appliances required by law and regulations, and the appliances are in good
working condition.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 514; Pub. L.
104–324, title VI, § 603(c), Oct. 19, 1996, 110 Stat.
3930.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3308 ..............................................

46:435
46:660a
46:660b

Section 3308 requires the Secretary to carry out additional inspections as might be necessary to ensure compliance with applicable laws and regulations, and to ensure that accommodations are maintained in a sanitary
condition and that all appliances are in good working
order.
AMENDMENTS
1996—Pub. L. 104–324 inserted ‘‘or have examined’’
after ‘‘examine’’ in introductory provisions.

§ 3309. Certificate of inspection
(a) When an inspection under section 3307 of
this title has been made and a vessel has been
found to be in compliance with the requirements
of law and regulations, a certificate of inspection, in a form prescribed by the Secretary,
shall be issued to the vessel.
(b) The Secretary may issue a temporary certificate of inspection in place of a regular certificate of inspection issued under subsection (a)
of this section.
(c) At least 30 days before the current certificate of inspection issued to a vessel under subsection (a) of this section expires, the owner,
charterer, managing operator, agent, master, or
individual in charge of the vessel shall submit to
the Secretary in writing a notice that the vessel—
(1) will be required to be inspected; or
(2) will not be operated so as to require an
inspection.
(d) A certificate of inspection issued under
this section shall be signed by the senior Coast
Guard member or civilian employee who inspected the vessel, in addition to the officer in
charge of marine inspection.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 515; Pub. L.
98–498, title II, § 211(a), Oct. 19, 1984, 98 Stat. 2303;
Pub. L. 104–324, title VI, § 606, Oct. 19, 1996, 110
Stat. 3931; Pub. L. 111–281, title V, § 522(c), Oct.
15, 2010, 124 Stat. 2957.)
HISTORICAL AND REVISION NOTES
Revised section
3309 ..............................................

Source section (U.S. Code)
46:390c
46:391a(8)
46:395(d)
46:399

Section 3309 provides for the issuance of a certificate
of inspection that attests to the fact that the vessel has

Page 63

TITLE 46—SHIPPING

(c) This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross
tons as measured under section 14502 of this
title, or an alternate tonnage measured under
section 14302 of this title as prescribed by the
Secretary under section 14104 of this title when
engaged only in the fishing industry.
(d) This chapter does not apply to a fish processing vessel of not more than 5,000 gross tons as
measured under section 14502 of this title, or an
alternate tonnage measured under section 14302
of this title as prescribed by the Secretary under
section 14104 of this title. However, the vessel is
subject to regulation by the Secretary when carrying flammable or combustible liquid cargo in
bulk.
(e) This chapter does not apply to a foreign
vessel on innocent passage on the navigable waters of the United States.
(f) This chapter does not apply to an oil spill
response vessel if—
(1) the vessel is used only in response-related
activities; or
(2) the vessel is—
(A) not more than 500 gross tons as measured under section 14502 of this title, or an
alternate tonnage measured under section
14302 of this title as prescribed by the Secretary under section 14104 of this title;
(B) designated in its certificate of inspection as an oil spill response vessel; and
(C) engaged in response-related activities.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 521; Pub. L.
98–364, title IV, § 402(6), July 17, 1984, 98 Stat. 446;
Pub. L. 104–324, title VII, § 714, title XI, § 1104(b),
Oct. 19, 1996, 110 Stat. 3936, 3966; Pub. L. 111–281,
title VI, § 617(a)(2), Oct. 15, 2010, 124 Stat. 2973.)
HISTORICAL AND REVISION NOTES
Revised section

Source section (U.S. Code)

3702 ..............................................

46:391a

Section 3702, with certain exceptions, makes this
chapter applicable to any tank vessel operating in the
navigable waters of the United States or transferring
oil or hazardous materials in any port or place subject
to the jurisdiction of the United States, and which carries oil or any hazardous materials in bulk as cargo or
in residue, regardless of tonnage, size or manner of propulsion; whether it is self-propelled or not; whether it
is carrying freight or passengers for hire or not; and
whether it is a vessel of the United States or a foreign
vessel.
It exempts certain small vessels documented in the
service of oil exploitation, certain small tender and
fishing vessels used in the Northwest salmon or crab
fisheries, certain vessels used in the processing and assembling of fishery products used in the Northwest
fisheries, public vessels, and foreign vessels engaged on
innocent passage on the navigable waters of the United
States. However, processing vessels, while not treated
as tank vessels, are still subject to regulation when
carrying flammable or combustible liquid cargo in
bulk.
AMENDMENTS
2010—Subsec. (b)(1) to (3). Pub. L. 111–281 redesignated
pars. (2) and (3) as (1) and (2), respectively, and struck
out former par. (1), which read as follows: ‘‘not more
than 500 gross tons as measured under section 14502 of
this title, or an alternate tonnage measured under section 14302 of this title as prescribed by the Secretary
under section 14104 of this title;’’.

§ 3703

1996—Subsec. (b)(1). Pub. L. 104–324, § 714(1), inserted
‘‘as measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104
of this title’’ after ‘‘500 gross tons’’.
Subsec. (c). Pub. L. 104–324, § 714(2), inserted ‘‘as measured under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this title as
prescribed by the Secretary under section 14104 of this
title’’ after ‘‘500 gross tons’’.
Subsec. (d). Pub. L. 104–324, § 714(3), inserted ‘‘as
measured under section 14502 of this title, or an alternate tonnage measured under section 14302 of this title
as prescribed by the Secretary under section 14104 of
this title’’ after ‘‘5,000 gross tons’’.
Subsec. (f). Pub. L. 104–324, § 1104(b), added subsec. (f).
1984—Subsec. (c). Pub. L. 98–364, § 402(6)(A), substituted ‘‘This chapter does not apply to a fishing or
fish tender vessel of not more than 500 gross tons when
engaged only in the fishing industry’’ for ‘‘This chapter
does not apply to a cannery tender, fishing tender, or
fishing vessel of not more than 500 gross tons, used in
the salmon or crab fisheries of Alaska, Oregon, or
Washington, when engaged only in the fishing industry’’.
Subsec. (d). Pub. L. 98–364, § 402(6)(B), substituted
‘‘This chapter does not apply to a fish processing vessel
of not more than 5,000 gross tons’’ for ‘‘This chapter
does not apply to a vessel of not more than 5,000 gross
tons used in processing and assembling fishery products
of the fisheries of Alaska, Oregon, and Washington’’.

§ 3703. Regulations
(a) The Secretary shall prescribe regulations
for the design, construction, alteration, repair,
maintenance, operation, equipping, personnel
qualification, and manning of vessels to which
this chapter applies, that may be necessary for
increased protection against hazards to life and
property, for navigation and vessel safety, and
for enhanced protection of the marine environment. The Secretary may prescribe different
regulations applicable to vessels engaged in the
domestic trade, and also may prescribe regulations that exceed standards set internationally.
Regulations prescribed by the Secretary under
this subsection are in addition to regulations
prescribed under other laws that may apply to
any of those vessels. Regulations prescribed
under this subsection shall include requirements
about—
(1) superstructures, hulls, cargo holds or
tanks, fittings, equipment, appliances, propulsion machinery, auxiliary machinery, and
boilers;
(2) the handling or stowage of cargo, the
manner of handling or stowage of cargo, and
the machinery and appliances used in the handling or stowage;
(3) equipment and appliances for lifesaving,
fire protection, and prevention and mitigation
of damage to the marine environment;
(4) the manning of vessels and the duties,
qualifications, and training of the officers and
crew;
(5) improvements in vessel maneuvering and
stopping ability and other features that reduce the possibility of marine casualties;
(6) the reduction of cargo loss if a marine
casualty occurs; and
(7) the reduction or elimination of discharges during ballasting, deballasting, tank
cleaning, cargo handling, or other such activity.

§ 3703

TITLE 46—SHIPPING

(b) In prescribing regulations under subsection
(a) of this section, the Secretary shall consider
the types and grades of cargo permitted to be on
board a tank vessel.
(c) In prescribing regulations under subsection
(a) of this section, the Secretary shall establish
procedures for consulting with, and receiving
and considering the views of—
(1) interested departments, agencies, and instrumentalities of the United States Government;
(2) officials of State and local governments;
(3) representatives of port and harbor authorities and associations;
(4) representatives of environmental groups;
and
(5) other interested parties knowledgeable or
experienced in dealing with problems involving vessel safety, port and waterways safety,
and protection of the marine environment.
(Pub. L. 98–89, Aug. 26, 1983, 97 Stat. 522.)
HISTORICAL AND REVISION NOTES
Revised section
3703 ..............................................

Source section (U.S. Code)
46:391a(6)
46:391a(12)

Section 3703 requires the Secretary to issue regulations to implement this section. Specific items are listed to be included within the regulations issued. The
regulatory authority must be exercised under the Administrative Procedure Act and, in prescribing these
regulations, the Secretary must consider the kinds and
grades of cargo carried on board. Furthermore, in addition to any requirements of the Administrative Procedure Act, the Secretary must establish specific consultation procedures for considering the views of various specified interested officials, groups, and individuals. The procedures are intended to provide for consultation as early as possible in the regulatory process.
OIL FUEL TANK PROTECTION
Pub. L. 111–281, title VI, § 617(e), Oct. 15, 2010, 124 Stat.
2973, provided that:
‘‘(1) APPLICATION.—An offshore supply vessel of at
least 6,000 gross tons as measured under section 14302 of
title 46, United States Code, that is constructed under
a contract entered into after the date of enactment of
this Act [Oct. 15, 2010], or that is delivered after August
1, 2010, with an aggregate capacity of 600 cubic meters
or more of oil fuel, shall comply with the requirements
of Regulation 12A under Annex I to the Protocol of 1978
relating to the International Convention for the Prevention of Pollution from Ships, 1973, entitled Oil Fuel
Tank Protection, regardless of whether such vessel is
engaged in the coastwise trade or on an international
voyage.
‘‘(2) DEFINITION.—In this subsection the term ‘oil fuel’
means any oil used as fuel in connection with the propulsion and auxiliary machinery of the vessel in which
such oil is carried.’’
REGULATIONS FOR OFFSHORE SUPPLY VESSELS OF AT
LEAST 6,000 GROSS TONS
Pub. L. 111–281, title VI, § 617(f), Oct. 15, 2010, 124 Stat.
2974, as amended by Pub. L. 111–330, § 1(8), Dec. 22, 2010,
124 Stat. 3569, provided that:
‘‘(1) IN GENERAL.—Not later than January 1, 2012, the
Secretary of the department in which the Coast Guard
is operating shall promulgate regulations to implement
the amendments and authorities enacted by this section [amending sections 2101, 3702, 7312, and 8104 of this
title, enacting provisions set out as a note under this
section, and amending provisions set out as a note
under section 2101 of this title] for offshore supply ves-

Page 64

sels of at least 6,000 gross tons as measured under section 14302 of title 46, United States Code, and to ensure
the safe carriage of oil, hazardous substances, and individuals in addition to the crew on such vessels. The
final rule issued pursuant to such rulemaking may supersede the interim final rule promulgated under paragraph (2) of this subsection. In promulgating regulations under this subsection, the Secretary shall take
into consideration the characteristics of offshore supply vessels, their methods of operation, and their service in support of exploration, exploitation, or production of offshore mineral or energy resources.
‘‘(2) INTERIM FINAL RULE AUTHORITY.—As soon as is
practicable and without regard to the provisions of
chapters 5 and 6 of title 5, United States Code, the Secretary shall issue an interim final rule as a temporary
regulation implementing this section (including the
amendments made by this section) for offshore supply
vessels of at least 6,000 gross tons as measured under
section 14302 of title 46, United States Code, and to ensure the safe carriage of oil, hazardous substances, and
individuals in addition to the crew on such vessels.
‘‘(3) INTERIM PERIOD.—After the effective date of this
Act [Oct. 15, 2010], prior to the effective date of the regulations prescribed by paragraph (2) of this subsection,
and without regard to the provisions of chapters 5 and
6 of title 5, United States Code, and the offshore supply
vessel tonnage limits of applicable regulations and policy guidance promulgated prior to the date of enactment of this Act [Oct. 15, 2010], the Secretary of the department in which the Coast Guard is operating may—
‘‘(A) issue a certificate of inspection under section
3309 of title 46, United States Code, to an offshore
supply vessel of at least 6,000 gross tons as measured
under section 14302 of that title if the Secretary determines that such vessel’s arrangements and equipment meet the current Coast Guard requirements for
certification as a cargo and miscellaneous vessel;
‘‘(B) authorize a master, mate, or engineer who possesses an ocean or near coastal license and endorsement under part 11 of subchapter B of title 46, Code
of Federal Regulations, (or any successor regulation)
that qualifies the licensed officer for service on offshore supply vessels of at least 3,000 gross tons but
less than 6,000 gross tons, as measured under section
14302 of title 46, United States Code, to operate offshore supply vessels of at least 6,000 gross tons, as
measured under such section; and
‘‘(C) authorize any such master, mate, or engineer
who also possesses an ocean or near coastal license
and endorsement under such part that qualifies the
licensed officer for service on non trade-restricted
vessels of at least 1,600 gross tons but less than 3,000
gross tons, as measured under such section, to increase the tonnage limitation of such license and endorsement under section 11.402(c) of such part, using
service on vessels certificated under both subchapters
I and L of such title and measured only under such
section, except that such tonnage limitation shall
not exceed 10,000 gross tons as measured under such
section.’’
OIL TRANSFERS FROM VESSELS
Pub. L. 111–281, title VII, § 702, Oct. 15, 2010, 124 Stat.
2980, as amended by Pub. L. 111–330, § 1(10), Dec. 22, 2010,
124 Stat. 3570, provided that:
‘‘(a) REGULATIONS.—Within 1 year after the date of
enactment of this Act [Oct. 15, 2010], the Secretary of
the department in which the Coast Guard is operating
shall promulgate regulations to reduce the risks of oil
spills in operations involving the transfer of oil from or
to a tank vessel. The regulations—
‘‘(1) shall focus on operations that have the highest
risks of discharge, including operations at night and
in inclement weather;
‘‘(2) shall consider—
‘‘(A) requirements for the use of equipment, such
as putting booms in place for transfers, safety, and
environmental impacts;
‘‘(B) operational procedures such as manning
standards, communications protocols, and restrictions on operations in high-risk areas; or

Page 65

TITLE 46—SHIPPING

‘‘(C) both such requirements and operational procedures; and
‘‘(3) shall take into account the safety of personnel
and effectiveness of available procedures and equipment for preventing or mitigating transfer spills.
‘‘(b) APPLICATION WITH STATE LAWS.—The regulations
promulgated under subsection (a) do not preclude the
enforcement of any State law or regulation the requirements of which are at least as stringent as requirements under the regulations (as determined by the Secretary) that—
‘‘(1) applies in State waters; and
‘‘(2) does not conflict with, or interfere with the enforcement of, requirements and operational procedures under the regulations.’’
IMPROVEMENTS TO REDUCE HUMAN ERROR AND NEAR
MISS INCIDENTS
Pub. L. 111–281, title VII, § 703, Oct. 15, 2010, 124 Stat.
2981, as amended by Pub. L. 111–330, § 1(11), Dec. 22, 2010,
124 Stat. 3570, provided that:
‘‘(a) REPORT.—Within 1 year after the date of enactment of this Act [Oct. 15, 2010], the Secretary of the department in which the Coast Guard is operating shall
transmit a report to the Senate Committee on Commerce, Science, and Transportation and the House
Committee on Transportation and Infrastructure that,
using available data—
‘‘(1) identifies the types of human errors that, combined, could cause oil spills, with particular attention
to human error caused by fatigue, in the past 10
years;
‘‘(2) in consultation with representatives of industry and labor and experts in the fields of marine casualties and human factors, identifies the most frequent types of near-miss oil spill incidents involving
vessels such as collisions, allisions, groundings, and
loss of propulsion in the past 10 years;
‘‘(3) describes the extent to which there are gaps in
the data required under paragraphs (1) and (2), including gaps in the ability to define and identify fatigue,
and explains the reason for those gaps; and
‘‘(4) includes recommendations by the Secretary
and representatives of industry and labor and experts
in the fields of marine casualties and human factors
to address the identified types of errors and any such
gaps in the data.
‘‘(b) MEASURES.—Based on the findings contained in
the report required by subsection (a), the Secretary
shall take appropriate action to reduce the risk of oil
spills caused by human error.
‘‘(c) CONFIDENTIALITY OF VOLUNTARILY SUBMITTED INFORMATION.—The identity of a person making a voluntary disclosure under this section, and any information obtained from any such voluntary disclosure, shall
be treated as confidential.
‘‘(d) DISCOVERY OF VOLUNTARILY SUBMITTED INFORMATION.—
‘‘(1) IN GENERAL.—Except as provided in this subsection, a party in a judicial proceeding may not use
discovery to obtain information or data collected or
received by the Secretary for use in the report required in subsection (a).
‘‘(2) EXCEPTION.—
‘‘(A) Notwithstanding paragraph (1), a court may
allow discovery by a party in a judicial proceeding
of data described in paragraph (1) if, after an in
camera review of the information or data, the court
decides that there is a compelling reason to allow
the discovery.
‘‘(B) When a court allows discovery in a judicial
proceeding as permitted under this paragraph, the
court shall issue a protective order—
‘‘(i) to limit the use of the data to the judicial
proceeding; and
‘‘(ii) to prohibit dissemination of the data to
any person who does not need access to the data
for the proceeding.
‘‘(C) A court may allow data it has decided is discoverable under this paragraph to be admitted into

§ 3703

evidence in a judicial proceeding only if the court
places the data under seal to prevent the use of the
data for a purpose other than for the proceeding.
‘‘(3) APPLICATION.—Paragraph (1) shall not apply
to—
‘‘(A) any disclosure made with actual knowledge
that the disclosure was false, inaccurate, or misleading; or
‘‘(B) any disclosure made with reckless disregard
as to the truth or falsity of that disclosure.
‘‘(e) RESTRICTION ON USE OF DATA.—Data that is voluntarily submitted for the purpose of the study required under subsection (a) shall not be used in an administrative action under chapter 77 of title 46, United
States Code.’’
[Pub. L. 111–330, § 1(11), Dec. 22, 2010, 124 Stat. 3570,
which directed amendment of section 703(a) of Pub. L.
111–281, set out above, by inserting ‘‘of the department
in which the Coast Guard is operating’’ after ‘‘Secretary’’, was executed by making the insertion after
‘‘Secretary’’ the first place appearing, to reflect the
probable intent of Congress.]
PRESERVATION OF STATE AUTHORITY
Pub. L. 111–281, title VII, § 711(c), Oct. 15, 2010, 124
Stat. 2987, provided that: ‘‘Nothing in this Act [see
Tables for classification] or in any other provision of
Federal law related to the regulation of maritime
transportation of oil shall affect, or be construed or interpreted as preempting, the authority of any State or
political subdivision thereof which require the escort
by one or more tugs of laden oil tankers in the areas
which are specified in section 4116(c) of the Oil Pollution Act of 1990 [Pub. L. 101–380] (46 U.S.C. 3703 note).’’
STUDIES ADDRESSING VARIOUS SOURCES OF OIL SPILL
RISK
Pub. L. 104–324, title IX, § 903, Oct. 19, 1996, 110 Stat.
3947, provided that:
‘‘(a) STUDY OF GROUP-5 FUEL OIL SPILLS.—
‘‘(1) DEFINITION.—In this subsection, the term
‘group-5 fuel oil’ means a petroleum-based oil that
has a specific gravity of greater than 1.0.
‘‘(2) COORDINATION OF STUDY.—The Secretary of
Transportation shall coordinate with the Marine
Board of the National Research Council to conduct a
study of the relative environmental and public health
risks posed by discharges of group-5 fuel oil.
‘‘(3) MATTERS TO BE INCLUDED.—The study under
this subsection shall include a review and analysis
of—
‘‘(A) the specific risks posed to the public health
or welfare of the United States, including fish,
shellfish and wildlife, public and private property,
shorelines, beaches, habitat, and other natural resources under the jurisdiction or control of the
United States, as a result of an actual or threatened discharge of group-5 fuel oil from a vessel or
facility;
‘‘(B) cleanup technologies currently available to
address actual or threatened discharge of group-5
fuel oil; and
‘‘(C) any technological and financial barriers that
prevent the prompt remediation of discharges of
group-5 fuel oil.
‘‘(4) REPORT.—Not later than 18 months after the
date of enactment of this Act [Oct. 19, 1996], the Secretary of Transportation shall submit to the Committee on Environment and Public Works and the Committee on Commerce, Science, and Transportation of
the Senate, and the Committee on Transportation
and Infrastructure of the House of Representatives a
report on the results of the study under this subsection.
‘‘(5) RULEMAKING.—If the Secretary of Transportation determines, based on the results of the study
under this subsection, that there are significant risks
to public health or the environment resulting from
the actual or threatened discharge of group-5 fuel oil

§ 3703

TITLE 46—SHIPPING

from a vessel or facility that cannot be technologically or economically addressed by existing or anticipated cleanup efforts, the Secretary may initiate
a rulemaking to take such action as is necessary to
abate the threat.
‘‘(b) STUDY OF AUTOMATIC FUELING SHUTOFF EQUIPMENT.—
‘‘(1) COORDINATION OF STUDY.—The Secretary of
Transportation shall coordinate with the Marine
Board of the National Research Council to conduct a
study of the unintentional or accidental discharge of
fuel oil during lightering or fuel loading or off-loading activity.
‘‘(2) MATTERS TO BE INCLUDED.—The study under
this subsection shall include a review and analysis of
current monitoring and fueling practices to determine the need for automatic fuel shutoff equipment
to prevent the accidental discharge of fuel oil, and
whether such equipment is needed as a supplement to
or replacement of existing preventive equipment or
procedures.
‘‘(3) REPORT.—Not later than 18 months after the
date of enactment of this Act [Oct. 19, 1996], the Secretary of Transportation shall submit to the Committee on Environment and Public Works and the Committee on Commerce, Science, and Transportation of
the Senate and the Committee on Transportation and
Infrastructure of the House of Representatives a report on the results of the study under this subsection.
‘‘(4) RULEMAKING.—If the Secretary of Transportation determines, based on the results of the study
conducted under this subsection, that the use of automatic oil shutoff equipment is necessary to prevent
the actual or threatened discharge of oil during
lightering or fuel loading or off[-]loading activity,
the Secretary may initiate a rulemaking to take such
action as is necessary to abate a threat to public
health or the environment.
‘‘(c) LIGHTERING STUDY.—The Secretary of Transportation shall coordinate with the Marine Board of the
National Research Council on a study into the actual
incidence and risk of oil spills from lightering operations off the coast of the United States. Among other
things, the study shall address the manner in which existing regulations are serving to reduce oil spill risks.
The study shall take into account current or proposed
international rules and standards and also include recommendations on measures that would be likely to further reduce the risks of oil spills from lightering operations. Not later than 18 months after the date of enactment of this Act [Oct. 19, 1996], the Secretary shall
submit a report on the study to the Committee on
Commerce, Science, and Transportation of the Senate
and the Committee on Transportation and Infrastructure of the House of Representatives.’’
EXISTING TANK VESSEL RESEARCH
Pub. L. 104–324, title XI, § 1134, Oct. 19, 1996, 110 Stat.
3985, provided that:
‘‘(a) FUNDING.—The Secretary of Transportation shall
take steps to allocate funds appropriated for research,
development, testing, and evaluation, including the
combination of funds from any source available and authorized for this purpose, to ensure that any Government-sponsored project intended to evaluate double
hull alternatives that provide equal or greater protection to the marine environment, or interim solutions
to remediate potential environmental damage resulting
from oil spills from existing tank vessels, commenced
prior to the date of enactment of this section [Oct. 19,
1996], is fully funded for completion by the end of fiscal
year 1997. Any vessel construction or repair necessary
to carry out the purpose of this section must be performed in a shipyard located in the United States.
‘‘(b) USE OF PUBLIC VESSELS.—The Secretary may
provide vessels owned by, or demise chartered to, and
operated by the Government and not engaged in commercial service, without reimbursement, for use in and
the support of projects sponsored by the Government
for research, development, testing, evaluation, and

Page 66

demonstration of new or improved technologies that
are effective in preventing or mitigating oil discharges
and protecting the environment.’’
OIL SPILL PREVENTION AND RESPONSE TECHNOLOGY
TEST AND EVALUATION PROGRAM
Pub. L. 103–206, title III, § 310, Dec. 20, 1993, 107 Stat.
2425, provided that:
‘‘(a) Not later than 6 months after the date of enactment of this Act [Dec. 20, 1993], the Secretary of Transportation shall establish a program to evaluate the
technological feasibility and environmental benefits of
having tank vessels carry oil spill prevention and response technology. To implement the program the Secretary shall—
‘‘(1) publish in the Federal Register an invitation
for submission of proposals including plans and procedures for testing; and
‘‘(2) review and evaluate technology using, to the
maximum extent possible, existing evaluation and
performance standards.
‘‘(b) The Secretary shall, to the maximum extent possible, incorporate in the program established in subsection (a), the results of existing studies and evaluations of oil spill prevention and response technology
carried on tank vessels.
‘‘(c) Not later than 2 years after the date of the enactment of this Act [Dec. 20, 1993], the Secretary shall
evaluate the results of the program established in subsection (a) and submit a report to Congress with recommendations on the feasibility and environmental benefits of, and appropriate equipment and utilization
standards for, requiring tank vessels to carry oil spill
prevention and response equipment.
‘‘(d) Not later than 6 months after the date of the enactment of this Act [Dec. 20, 1993], the Secretary shall
evaluate and report to the Congress on the feasibility
of using segregated ballast tanks for emergency transfer of cargo and storage of recovered oil.’’
REGULATIONS REQUIRING PERIODIC GAUGING OF PLATING THICKNESS FOR OIL CARRYING COMMERCIAL VESSELS

Pub. L. 101–380, title IV, § 4109, Aug. 18, 1990, 104 Stat.
515, provided that: ‘‘Not later than 1 year after the date
of the enactment of this Act [Aug. 18, 1990], the Secretary shall issue regulations for vessels constructed or
adapted to carry, or that carry, oil in bulk as cargo or
cargo residue—
‘‘(1) establishing minimum standards for plating
thickness; and
‘‘(2) requiring, consistent with generally recognized
principles of international law, periodic gauging of
the plating thickness of all such vessels over 30 years
old operating on the navigable waters or the waters
of the exclusive economic zone.’’
REGULATIONS REQUIRING USE OF OVERFILL AND TANK
LEVEL OR MONITORING DEVICES ON OIL CARRYING
COMMERCIAL VESSELS
Pub. L. 101–380, title IV, § 4110, Aug. 18, 1990, 104 Stat.
515, as amended by Pub. L. 108–293, title VII, § 702(a),
Aug. 9, 2004, 118 Stat. 1068, provided that:
‘‘(a) STANDARDS.—The Secretary may establish, by
regulation, minimum standards for devices for warning
persons of overfills and tank levels of oil in cargo tanks
and devices for monitoring the pressure of oil cargo
tanks.
‘‘(b) USE.—No sooner than 1 year after the Secretary
prescribes regulations under subsection (a), the Secretary may issue regulations establishing, consistent
with generally recognized principles of international
law, requirements concerning the use of—
‘‘(1) overfill devices, and
‘‘(2) tank level or pressure monitoring devices,
which are referred to in subsection (a) and which meet
any standards established by the Secretary under subsection (a), on vessels constructed or adapted to carry,
or that carry, oil in bulk as cargo or cargo residue on

Page 67

TITLE 46—SHIPPING

the navigable waters and the waters of the exclusive
economic zone.’’
TANKER NAVIGATION SAFETY STANDARDS STUDY
Pub. L. 101–380, title IV, § 4111, Aug. 18, 1990, 104 Stat.
515, directed Secretary, not later than 2 years after
Aug. 18, 1990, to conduct a study and report to Congress
on whether existing laws and regulations are adequate
to ensure safe navigation of vessels transporting oil or
hazardous substances in bulk on navigable waters and
waters of the exclusive economic zone.
RULES GOVERNING OPERATION OF VESSELS ON AUTOPILOT OR WITH UNATTENDED ENGINE ROOM
Pub. L. 101–380, title IV, § 4114(a), Aug. 18, 1990, 104
Stat. 517, provided that: ‘‘In order to protect life, property, and the environment, the Secretary shall initiate
a rulemaking proceeding within 180 days after the date
of the enactment of this Act [Aug. 18, 1990] to define
the conditions under, and designate the waters upon,
which tank vessels subject to section 3703 of title 46,
United States Code, may operate in the navigable waters with the auto-pilot engaged or with an unattended
engine room.’’
REGULATIONS REQUIRING ESCORTS FOR CERTAIN
TANKERS; ‘‘TANKER’’ DEFINED
Pub. L. 101–380, title IV, § 4116(c), (d), Aug. 18, 1990, 104
Stat. 523, as amended by Pub. L. 111–281, title VII,
§ 711(b)(1), Oct. 15, 2010, 124 Stat. 2987, provided that:
‘‘(c) ESCORTS FOR CERTAIN TANKERS.—
‘‘(1) IN GENERAL.—The Secretary shall initiate issuance of regulations under section 3703(a)(3) of title 46,
United States Code, to define those areas, including
Prince William Sound, Alaska, and Rosario Strait
and Puget Sound, Washington (including those portions of the Strait of Juan de Fuca east of Port Angeles, Haro Strait, and the Strait of Georgia subject to
United States jurisdiction), on which single hulled
tankers over 5,000 gross tons transporting oil in bulk
shall be escorted by at least two towing vessels (as
defined under section 2101 of title 46, United States
Code) or other vessels considered appropriate by the
Secretary.
‘‘(2) PRINCE WILLIAM SOUND, ALASKA.—
‘‘(A) IN GENERAL.—The requirement in paragraph
(1) relating to single hulled tankers in Prince William Sound, Alaska, described in that paragraph
being escorted by at least 2 towing vessels or other
vessels considered to be appropriate by the Secretary (including regulations promulgated in accordance with section 3703(a)(3) of title 46, United
States Code, as set forth in part 168 of title 33, Code
of Federal Regulations (as in effect on March 1,
2009) implementing this subsection with respect to
those tankers) shall apply to double hulled tankers
over 5,000 gross tons transporting oil in bulk in
Prince William Sound, Alaska.
‘‘(B) IMPLEMENTATION OF REQUIREMENTS.—The
Secretary of the department in which the Coast
Guard is operating shall prescribe interim final regulations to carry out subparagraph (A) as soon as
practicable without notice and hearing pursuant to
section 553 of title 5 of the United States Code.’’
‘‘(d) TANKER DEFINED.—In this section [amending section 8502 of this title] the term ‘tanker’ has the same
meaning the term has in section 2101 of title 46, United
States Code.’’
[Pub. L. 111–281, title VII, § 711(b)(2), Oct. 15, 2010, 124
Stat. 2987, provided that: ‘‘The amendments made by
subsection (b) [amending section 4116(c) of Pub. L.
101–380, set out above] take effect on the date that is 90
days after the date of enactment of this Act [Oct. 15,
2010].’’]

§ 3703a. Tank vessel construction standards
(a) Except as otherwise provided in this section, a vessel to which this chapter applies shall
be equipped with a double hull—

§ 3703a

(1) if it is constructed or adapted to carry, or
carries, oil in bulk as cargo or cargo residue;
and
(2) when operating on the waters subject to
the jurisdiction of the United States, including the Exclusive Economic Zone.
(b) This section does not apply to—
(1) a vessel used only to respond to a discharge of oil or a hazardous substance;
(2) a vessel of less than 5,000 gross tons as
measured under section 14502 of this title, or
an alternate tonnage measured under section
14302 of this title as prescribed by the Secretary under section 14104 of this title
equipped with a double containment system
determined by the Secretary to be as effective
as a double hull for the prevention of a discharge of oil;
(3) before January 1, 2015—
(A) a vessel unloading oil in bulk at a
deepwater port licensed under the Deepwater
Port Act of 1974 (33 U.S.C. 1501 et seq.); or
(B) a delivering vessel that is offloading in
lightering activities—
(i) within a lightering zone established
under section 3715(b)(5) of this title; and
(ii) more than 60 miles from the baseline
from which the territorial sea of the
United States is measured;
(4) a vessel documented under chapter 121 of
this title that was equipped with a double hull
before August 12, 1992;
(5) a barge of less than 1,500 gross tons (as
measured under chapter 145 of this title) carrying refined petroleum product in bulk as
cargo in or adjacent to waters of the Bering
Sea, Chukchi Sea, and Arctic Ocean and waters tributary thereto and in the waters of the
Aleutian Islands and the Alaskan Peninsula
west of 155 degrees west longitude; or
(6) a vessel in the National Defense Reserve
Fleet pursuant to section 11 of the Merchant
Ship Sales Act of 1946 (50 App. U.S.C. 1744).
(c)(1) In this subsection, the age of a vessel is
determined from the later of the date on which
the vessel—
(A) is delivered after original construction;
(B) is delivered after completion of a major
conversion; or
(C) had its appraised salvage value determined by the Coast Guard and is qualified for
documentation as a wrecked vessel under section 12112 of this title.
(2) A vessel of less than 5,000 gross tons as
measured under section 14502 of this title, or an
alternate tonnage measured under section 14302
of this title as prescribed by the Secretary under
section 14104 of this title for which a building
contract or contract for major conversion was
placed before June 30, 1990, and that is delivered
under that contract before January 1, 1994, and
a vessel of less than 5,000 gross tons as measured
under section 14502 of this title, or an alternate
tonnage measured under section 14302 of this
title as prescribed by the Secretary under section 14104 of this title that had its appraised salvage value determined by the Coast Guard before June 30, 1990, and that qualifies for documentation as a wrecked vessel under section

§ 5103

TITLE 49—TRANSPORTATION

Par. (3)(B)(ii). Pub. L. 109–59, § 7102(2)(D)(ii), as amended by Pub. L. 110–244, § 302(a)(1), added cl. (ii) and struck
out former cl. (ii) which read as follows: ‘‘manufactures, reconditions, or tests containers, drums, and
packagings represented as qualified for use in transporting hazardous material;’’.
Par. (3)(C). Pub. L. 109–59, § 7102(2)(C), as amended by
Pub. L. 110–244, § 302(a)(1), redesignated subpar. (C) as
(B).
Par. (4). Pub. L. 109–59, § 7102(3), amended par. (4) generally. Prior to amendment, par. (4) consisted of subpars. (A) to (C), which included within definition of
‘‘hazmat employer’’ a person using at least one employee in connection with transporting or containers
for transporting hazardous material, an owner-operator
of a motor vehicle transporting hazardous material in
commerce, and a department, agency, or instrumentality of the United States Government, or an authority
of a State, political subdivision of a State, or Indian
tribe, carrying out certain described activities.
Par. (5). Pub. L. 109–59, § 7102(4), inserted ‘‘relating to
hazardous material’’ after ‘‘of a condition’’.
Par. (7). Pub. L. 109–59, § 7102(5), amended par. (7) generally. Prior to amendment, par. (7) read as follows:
‘‘ ‘motor carrier’ means a motor carrier, motor private
carrier, and freight forwarder as those terms are defined in section 13102 of this title.’’
Par. (8). Pub. L. 109–59, § 7102(6), substituted ‘‘National
Response Team’’ for ‘‘national response team’’ in two
places and ‘‘National Contingency Plan’’ for ‘‘national
contingency plan’’.
Par. (9)(A). Pub. L. 109–59, § 7102(7), amended subpar.
(A) generally. Prior to amendment, subpar. (A) read as
follows: ‘‘includes a government, Indian tribe, or authority of a government or tribe offering hazardous material for transportation in commerce or transporting
hazardous material to further a commercial enterprise;
but’’.
Pars. (11) to (14). Pub. L. 109–59, § 7102(8), added par.
(11) and redesignated former pars. (11) to (13) as (12) to
(14), respectively.
1995—Par. (7). Pub. L. 104–88 substituted ‘‘motor carrier, motor private’’ for ‘‘motor common carrier, motor
contract carrier, motor private’’ and ‘‘section 13102’’ for
‘‘section 10102’’.
1994—Pars. (3)(C)(ii), (4)(A)(iii). Pub. L. 103–311 substituted ‘‘packagings’’ for ‘‘packages’’.
EFFECTIVE DATE OF 2008 AMENDMENT
Amendment by Pub. L. 110–244 effective as of the date
of enactment of Pub. L. 109–59 (Aug. 10, 2005) and to be
treated as included in Pub. L. 109–59 as of that date, and
provisions of Pub. L. 109–59, as in effect on the day before June 6, 2008, that are amended by Pub. L. 110–244
to be treated as not enacted, see section 121(b) of Pub.
L. 110–244, set out as a note under section 101 of Title
23, Highways.

§ 5103. General regulatory authority
(a) DESIGNATING MATERIAL AS HAZARDOUS.—
The Secretary shall designate material (including an explosive, radioactive material, infectious substance, flammable or combustible liquid, solid, or gas, toxic, oxidizing, or corrosive
material, and compressed gas) or a group or
class of material as hazardous when the Secretary determines that transporting the material in commerce in a particular amount and
form may pose an unreasonable risk to health
and safety or property.
(b) REGULATIONS FOR SAFE TRANSPORTATION.—
(1) The Secretary shall prescribe regulations for
the safe transportation, including security, of
hazardous material in intrastate, interstate, and
foreign commerce. The regulations—
(A) apply to a person who—
(i) transports hazardous material in commerce;

Page 134

(ii) causes hazardous material to be transported in commerce;
(iii) designs, manufactures, fabricates, inspects, marks, maintains, reconditions, repairs, or tests a package, container, or packaging component that is represented,
marked, certified, or sold as qualified for use
in transporting hazardous material in commerce;
(iv) prepares or accepts hazardous material
for transportation in commerce;
(v) is responsible for the safety of transporting hazardous material in commerce;
(vi) certifies compliance with any requirement under this chapter; or
(vii) misrepresents whether such person is
engaged in any activity under clause (i)
through (vi); and
(B) shall govern safety aspects, including security, of the transportation of hazardous material the Secretary considers appropriate.
(2) A proceeding to prescribe the regulations
must be conducted under section 553 of title 5,
including an opportunity for informal oral presentation.
(c) CONSULTATION.—When prescribing a security regulation or issuing a security order that
affects the safety of the transportation of hazardous material, the Secretary of Homeland Security shall consult with the Secretary of Transportation.
(d) BIENNIAL REPORT.—The Secretary of Transportation shall submit to the Committee on
Transportation and Infrastructure of the House
of Representatives and the Senate Committee
on Commerce, Science, and Transportation a biennial report providing information on whether
the Secretary has designated as hazardous materials for purposes of chapter 51 of such title all
by-products of the methamphetamine-production process that are known by the Secretary to
pose an unreasonable risk to health and safety
or property when transported in commerce in a
particular amount and form.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 761;
Pub. L. 103–311, title I, § 117(a)(2), Aug. 26, 1994,
108 Stat. 1678; Pub. L. 103–429, § 6(3), Oct. 31, 1994,
108 Stat. 4378; Pub. L. 107–296, title XVII,
§ 1711(a), Nov. 25, 2002, 116 Stat. 2319; Pub. L.
109–59, title VII, §§ 7103, 7126, Aug. 10, 2005, 119
Stat. 1893, 1909; Pub. L. 109–177, title VII, § 741,
Mar. 9, 2006, 120 Stat. 272.)
HISTORICAL AND REVISION NOTES
PUB. L. 103–272
Revised
Section

Source (U.S. Code)

5103(a) ........

49 App.:1803.

5103(b) ........

49 App.:1804(a)
(1)–(3).

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 104, 88 Stat. 2156.
Jan. 3, 1975, Pub. L. 93–633,
§ 105(a)(1)–(3), 88 Stat. 2157;
restated Nov. 16, 1990,
Pub. L. 101–615, § 4, 104
Stat. 3247.

In subsection (a), the words ‘‘such quantity and form
of material’’ and ‘‘in his discretion’’ are omitted as surplus.
In subsection (b)(1), before clause (A), the words ‘‘in
accordance with section 553 of title 5’’ are omitted because 5:553 applies unless otherwise stated. In clause
(A)(i), the words ‘‘hazardous material in commerce’’,

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TITLE 49—TRANSPORTATION

and in clause (A)(ii), the words ‘‘hazardous material
. . . in commerce’’, are added for consistency in this
chapter.
PUB. L. 103–429
This amends 49:5103(b)(2) to clarify the restatement of
49 App.:1804(a)(2) by section 1 of the Act of July 5, 1994
(Public Law 103–272, 108 Stat. 761).
AMENDMENTS
2006—Subsec. (d). Pub. L. 109–177 added subsec. (d).
2005—Subsec. (a). Pub. L. 109–59, § 7126, substituted
‘‘Secretary shall designate’’ for ‘‘Secretary of Transportation shall designate’’.
Pub. L. 109–59, § 7103(a), substituted ‘‘infectious substance, flammable or combustible liquid, solid, or gas,
toxic, oxidizing, or corrosive material,’’ for ‘‘etiologic
agent, flammable or combustible liquid or solid, poison,
oxidizing or corrosive material,’’ and ‘‘determines’’ for
‘‘decides’’.
Subsec. (b)(1)(A). Pub. L. 109–59, § 7103(b), amended
subpar. (A) generally. Prior to amendment, subpar. (A)
read as follows: ‘‘apply to a person—
‘‘(i) transporting hazardous material in commerce;
‘‘(ii) causing hazardous material to be transported
in commerce; or
‘‘(iii) manufacturing, fabricating, marking, maintaining, reconditioning, repairing, or testing a packaging or a container that is represented, marked, certified, or sold by that person as qualified for use in
transporting hazardous material in commerce; and’’.
Subsec. (b)(1)(C). Pub. L. 109–59, § 7103(c)(1), struck out
heading and text of subpar. (C). Text read as follows:
‘‘When prescribing a security regulation or issuing a security order that affects the safety of the transportation of hazardous material, the Secretary of Homeland Security shall consult with the Secretary.’’
Subsec. (c). Pub. L. 109–59, § 7103(c)(2), added subsec.
(c).
2002—Subsec. (b)(1). Pub. L. 107–296, § 1711(a)(1), substituted ‘‘transportation, including security,’’ for
‘‘transportation’’ in introductory provisions.
Subsec. (b)(1)(B). Pub. L. 107–296, § 1711(a)(2), substituted ‘‘aspects, including security,’’ for ‘‘aspects’’.
Subsec. (b)(1)(C). Pub. L. 107–296, § 1711(a)(3), added
subpar. (C).
1994—Subsec. (b)(1)(A)(iii). Pub. L. 103–311 substituted
‘‘a packaging or a’’ for ‘‘a package or’’.
Subsec. (b)(2). Pub. L. 103–429 substituted ‘‘be conducted under section 553 of title 5, including’’ for ‘‘include’’ and ‘‘presentation’’ for ‘‘presentations’’.
EFFECTIVE DATE OF 2002 AMENDMENT
Amendment by Pub. L. 107–296 effective 60 days after
Nov. 25, 2002, see section 4 of Pub. L. 107–296, set out as
an Effective Date note under section 101 of Title 6, Domestic Security.
EFFECTIVE DATE OF 1994 AMENDMENT
Amendment by Pub. L. 103–429 effective July 5, 1994,
see section 9 of Pub. L. 103–429, set out as a note under
section 321 of this title.
RAILROAD CARRIER EMPLOYEE EXPOSURE TO RADIATION
STUDY
Pub. L. 110–432, div. A, title IV, § 411, Oct. 16, 2008, 122
Stat. 4888, provided that:
‘‘(a) STUDY.—The Secretary of Transportation shall,
in consultation with the Secretary of Energy, the Secretary of Labor, the Administrator of the Environmental Protection Agency, and the Chairman of the
Nuclear Regulatory Commission, as appropriate, conduct a study of the potential hazards to which employees of railroad carriers and railroad contractors or subcontractors are exposed during the transportation of
high-level radioactive waste and spent nuclear fuel (as
defined in section 5101(a) [probably means section
5105(a)] of title 49, United States Code), supplementing
the report submitted under section 5101(b) [probably

§ 5103

means section 5105(b)] of that title, which may include—
‘‘(1) an analysis of the potential application of ‘as
low as reasonably achievable’ principles for exposure
to radiation to such employees with an emphasis on
the need for special protection from radiation exposure for such employees during the first trimester of
pregnancy or who are undergoing or have recently
undergone radiation therapy;
‘‘(2) the feasibility of requiring real-time dosimetry
monitoring for such employees;
‘‘(3) the feasibility of requiring routine radiation
exposure monitoring in fixed railroad locations, such
as yards and repair facilities; and
‘‘(4) a review of the effectiveness of the Department’s packaging requirements for radioactive materials.
‘‘(b) REPORT.—Not later than 18 months after the date
of enactment of this Act [Oct. 16, 2008], the Secretary
of Transportation shall transmit a report on the results
of the study required by subsection (a) and any recommendations to further protect employees of a railroad
carrier or of a contractor or subcontractor to a railroad
carrier from unsafe exposure to radiation during the
transportation of high-level radioactive waste and
spent nuclear fuel to the Senate Committee on Commerce, Science, and Transportation and the House of
Representatives Committee on Transportation and Infrastructure.
‘‘(c) REGULATORY AUTHORITY.—The Secretary of
Transportation may issue regulations that the Secretary determines appropriate, pursuant to the report
required by subsection (b), to protect railroad employees from unsafe exposure to radiation during the transportation of radioactive materials.’’
[For definitions of ‘‘railroad carrier’’, ‘‘Department’’,
‘‘railroad’’, and ‘‘Secretary’’, as used in section 411 of
Pub. L. 110–432, set out above, see section 2(a) of Pub.
L. 110–432, set out as a note under section 20102 of this
title.]
SAFE PLACEMENT OF TRAIN CARS
Section 111 of Pub. L. 103–311 provided that: ‘‘The
Secretary of Transportation shall conduct a study of
existing practices regarding the placement of cars on
trains, with particular attention to the placement of
cars that carry hazardous materials. In conducting the
study, the Secretary shall consider whether such placement practices increase the risk of derailment, hazardous materials spills, or tank ruptures or have any other
adverse effect on safety. The results of the study shall
be submitted to Congress within 1 year after the date
of enactment of this Act [Aug. 26, 1994].’’
FIBER DRUM PACKAGING
Pub. L. 104–88, title IV, § 406, Dec. 29, 1995, 109 Stat.
957, provided that:
‘‘(a) IN GENERAL.—In the administration of chapter 51
of title 49, United States Code, the Secretary of Transportation shall issue a final rule within 60 days after
the date of the enactment of this Act [Dec. 29, 1995] authorizing the continued use of fiber drum packaging
with a removable head for the transportation of liquid
hazardous materials with respect to those liquid hazardous materials transported by such drums pursuant
to regulations in effect on September 30, 1991, if—
‘‘(1) the packaging is in compliance with regulations of the Secretary under the Hazardous Materials
Transportation Act [former 49 U.S.C. 1801 et seq.] as
in effect on September 30, 1991; and
‘‘(2) the packaging will not be used for the transportation of hazardous materials that include materials
which are poisonous by inhalation or materials in
Packing Groups I and II.
‘‘(b) EXPIRATION.—The regulation referred to in subsection (a) shall expire on the later of September 30,
1997, or the date on which funds are authorized to be appropriated to carry out chapter 51 of title 49, United
States Code (relating to transportation of hazardous

§ 5103a

TITLE 49—TRANSPORTATION

materials), for fiscal years beginning after September
30, 1997.
‘‘(c) STUDY.—
‘‘(1) IN GENERAL.—Within 90 days after the date of
the enactment of this Act [Dec. 29, 1995], the Secretary shall contract with the National Academy of
Sciences to conduct a study—
‘‘(A) to determine whether the requirements of
section 5103(b) of title 49, United States Code (relating to regulations for safe transportation), as they
pertain to fiber drum packaging with a removable
head can be met for the transportation of liquid
hazardous materials (with respect to those liquid
hazardous materials transported by such drums
pursuant to regulations in effect on September 30,
1991) with standards (including fiber drum industry
standards set forth in a June 8, 1992, exemption application submitted to the Department of Transportation), other than the performance-oriented packaging standards adopted under docket number
HM–181 contained in part 178 of title 49, Code of
Federal Regulations; and
‘‘(B) to determine whether a packaging standard
(including such fiber drum industry standards),
other than such performance-oriented packaging
standards, will provide an equal or greater level of
safety for the transportation of liquid hazardous
materials than would be provided if such performance-oriented packaging standards were in effect.
‘‘(2) COMPLETION.—The study shall be completed before March 1, 1997 and shall be transmitted to the
Committee on Commerce, Science, and Transportation of the Senate and the Transportation and Infrastructure Committee of the House of Representatives.
‘‘(d) SECRETARIAL ACTION.—By September 30, 1997, the
Secretary shall issue final regulations to determine
what standards should apply to fiber drum packaging
with a removable head for transportation of liquid hazardous materials (with respect to those liquid hazardous materials transported by such drums pursuant to
regulations in effect on September 30, 1991) after September 30, 1997. In issuing such regulations, the Secretary shall give full and substantial consideration to
the results of the study conducted in subsection (c).’’
Section 122 of Pub. L. 103–311 provided that:
‘‘(a) INITIATION OF RULEMAKING PROCEEDING.—Not
later than the 60th day following the date of enactment
of this Act [Aug. 26, 1994], the Secretary of Transportation shall initiate a rulemaking proceeding to determine whether the requirements of section 5103(b) of
title 49, United States Code (relating to regulations for
safe transportation), as they pertain to open head fiber
drum packaging can be met for the domestic transportation of liquid hazardous materials (with respect to
those classifications of liquid hazardous materials
transported by such drums pursuant to regulations in
effect on September 30, 1991) with standards other than
the performance-oriented packaging standards adopted
under docket number HM–181 contained in part 178 of
title 49, Code of Federal Regulations.
‘‘(b) ISSUANCE OF STANDARDS.—If the Secretary of
Transportation determines, as a result of the rulemaking proceeding initiated under subsection (a), that
a packaging standard other than the performance-oriented packaging standards referred to in subsection (a)
will provide an equal or greater level of safety for the
domestic transportation of liquid hazardous materials
than would be provided if such performance-oriented
packaging standards were in effect, the Secretary shall
issue regulations which implement such other standard
and which take effect before October 1, 1996.
‘‘(c) COMPLETION OF RULEMAKING PROCEEDING.—The
rulemaking proceeding initiated under subsection (a)
shall be completed before October 1, 1995.
‘‘(d) LIMITATIONS.—
‘‘(1) The provisions of subsections (a), (b), and (c)
shall not apply to packaging for those hazardous materials regulated by the Department of Transportation as poisonous by inhalation under chapter 51 of
title 49, United States Code.

Page 136

‘‘(2) Nothing in this section shall be construed to
prohibit the Secretary of Transportation from issuing
or enforcing regulations for the international transportation of hazardous materials.’’

§ 5103a. Limitation on issuance of hazmat licenses
(a) LIMITATION.—
(1) ISSUANCE OF LICENSES.—A State may not
issue to any individual a license to operate a
motor vehicle transporting in commerce a
hazardous material unless the Secretary of
Homeland Security has first determined, upon
receipt of a notification under subsection
(d)(1)(B), that the individual does not pose a
security risk warranting denial of the license.
(2) RENEWALS INCLUDED.—For the purposes of
this section, the term ‘‘issue’’, with respect to
a license, includes renewal of the license.
(b) HAZARDOUS MATERIALS DESCRIBED.—The
limitation in subsection (a) shall apply with respect to any material defined as hazardous material by the Secretary of Transportation for
which the Secretary of Transportation requires
placarding of a commercial motor vehicle transporting that material in commerce.
(c) RECOMMENDATIONS ON CHEMICAL AND BIOLOGICAL MATERIALS.—The Secretary of Health
and Human Services shall recommend to the
Secretary of Transportation any chemical or biological material or agent for regulation as a
hazardous material under section 5103(a) if the
Secretary of Health and Human Services determines that such material or agent poses a significant risk to the health of individuals.
(d) BACKGROUND RECORDS CHECK.—
(1) IN GENERAL.—Upon the request of a State
regarding issuance of a license described in
subsection (a)(1) to an individual, the Attorney General—
(A) shall carry out a background records
check regarding the individual; and
(B) upon completing the background
records check, shall notify the Secretary of
Homeland Security of the completion and
results of the background records check.
(2) SCOPE.—A background records check regarding an individual under this subsection
shall consist of the following:
(A) A check of the relevant criminal history data bases.
(B) In the case of an alien, a check of the
relevant data bases to determine the status
of the alien under the immigration laws of
the United States.
(C) As appropriate, a check of the relevant
international
data
bases
through
Interpol–U.S. National Central Bureau or
other appropriate means.
(e) REPORTING REQUIREMENT.—Each State
shall submit to the Secretary of Homeland Security, at such time and in such manner as the
Secretary of Homeland Security may prescribe,
the name, address, and such other information
as the Secretary of Homeland Security may require, concerning—
(1) each alien to whom the State issues a license described in subsection (a); and
(2) each other individual to whom such a license is issued, as the Secretary of Homeland
Security may require.

Page 139

§ 5106

TITLE 49—TRANSPORTATION

1994—Subsec. (a)(1). Pub. L. 103–429 inserted ‘‘applicable’’ after ‘‘each’’.
Pub. L. 103–311 substituted ‘‘, package, or packaging
(or a component of a container, package, or packaging)’’ for ‘‘or package’’ in two places.

HISTORICAL AND REVISION NOTES
Revised
Section
5105(a) ........

Source (U.S. Code)
49 App.:1813(e).

EFFECTIVE DATE OF 1994 AMENDMENT
Amendment by Pub. L. 103–429 effective July 5, 1994,
see section 9 of Pub. L. 103–429, set out as a note under
section 321 of this title.

49 App.:1813 (note).
5105(b) ........

49 App.:1813(a).

5105(c) ........
5105(d) ........
5105(e) ........

49 App.:1813(b).
49 App.:1813(c).
49 App.:1813(d).

§ 5105. Transporting certain highly radioactive
material
(a) DEFINITIONS.—In this section, ‘‘high-level
radioactive waste’’ and ‘‘spent nuclear fuel’’
have the same meanings given those terms in
section 2 of the Nuclear Waste Policy Act of 1982
(42 U.S.C. 10101).
(b) TRANSPORTATION SAFETY STUDY.—In consultation with the Secretary of Energy, the Nuclear Regulatory Commission, potentially affected States and Indian tribes, representatives
of the rail transportation industry, and shippers
of high-level radioactive waste and spent nuclear fuel, the Secretary shall conduct a study
comparing the safety of using trains operated
only to transport high-level radioactive waste
and spent nuclear fuel with the safety of using
other methods of rail transportation for transporting that waste and fuel. The Secretary shall
submit to Congress not later than November 16,
1991, a report on the results of the study.
(c) SAFE RAIL TRANSPORTATION REGULATIONS.—Not later than November 16, 1992, after
considering the results of the study conducted
under subsection (b) of this section, the Secretary shall prescribe amendments to existing
regulations that the Secretary considers appropriate to provide for the safe rail transportation
of high-level radioactive waste and spent nuclear fuel, including trains operated only for
transporting high-level radioactive waste and
spent nuclear fuel.
(d) INSPECTIONS OF MOTOR VEHICLES TRANSPORTING CERTAIN MATERIAL.—(1) Not later than
November 16, 1991, the Secretary shall require by
regulation that before each use of a motor vehicle to transport a highway-route-controlled
quantity of radioactive material in commerce,
the vehicle shall be inspected and certified as
complying with this chapter and applicable
United States motor carrier safety laws and regulations. The Secretary may require that the inspection be carried out by an authorized United
States Government inspector or according to appropriate State procedures.
(2) The Secretary may allow a person, transporting or causing to be transported a highwayroute-controlled quantity of radioactive material, to inspect the motor vehicle used to transport the material and to certify that the vehicle
complies with this chapter. The inspector qualification requirements the Secretary prescribes
for an individual inspecting a motor vehicle
apply to an individual conducting an inspection
under this paragraph.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 762;
Pub. L. 109–59, title VII, §§ 7107, 7126, Aug. 10,
2005, 119 Stat. 1897, 1909.)

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
88 Stat. 2156, § 116(e);
added Oct. 24, 1992, Pub. L.
102–508, § 505(2), 106 Stat.
3311.
Nov. 16, 1990, Pub. L. 101–615,
§ 16(e), 104 Stat. 3263.
Jan. 3, 1975, Pub. L. 93–633,
88 Stat. 2156, § 116(a)–(d);
added Oct. 30, 1984, Pub. L.
98–559, § 3, 98 Stat. 2907; restated Nov. 16, 1990, Pub.
L. 101–615, § 15, 104 Stat.
3261; Oct. 24, 1992, Pub. L.
102–508, § 505(1), 106 Stat.
3311.

In subsection (a), section 16(e) of the Hazardous Materials Transportation Uniform Safety Act of 1990 (Public
Law 101–615, 104 Stat. 3263) is included to correct a mistake in the source provisions being restated. See section 16(a)(1) of the Act of 1990 (Public Law 101–615, 104
Stat. 3262), stating that the meanings of ‘‘high-level
radioactive waste’’ and ‘‘spent nuclear fuel’’ are as defined in 49 App.:1813, as added by section 15 of the Act
(104 Stat. 3261). See also Cong. Rec. S16863 (daily ed.,
Oct. 23, 1990).
In subsection (b), the words ‘‘Secretary of Energy’’
are substituted for ‘‘Department of Energy’’ because of
42:7131.
In subsection (c), the word ‘‘regulations’’ is substituted for ‘‘rule’’ for consistency in the revised title
and with other titles of the United States Code and because ‘‘rule’’ and ‘‘regulation’’ are synonymous.
In subsection (d), before clause (1), the words ‘‘In
combination’’ are omitted as surplus.
AMENDMENTS
2005—Subsecs. (b), (c). Pub. L. 109–59, § 7126, substituted ‘‘Secretary shall’’ for ‘‘Secretary of Transportation shall’’ wherever appearing.
Subsec. (d). Pub. L. 109–59, § 7126, substituted ‘‘Secretary shall’’ for ‘‘Secretary of Transportation shall’’
in par. (1) and ‘‘Secretary may’’ for ‘‘Secretary of
Transportation may’’ in par. (2).
Pub. L. 109–59, § 7107, redesignated subsec. (e) as (d)
and struck out former subsec. (d) which related to a
study to be conducted not later than Nov. 16, 1991, to
decide which factors, if any, shippers and carriers
should consider when selecting routes and modes that
would enhance overall public safety related to the
transportation of high-level radioactive waste and
spent nuclear fuel.
Subsec. (e). Pub. L. 109–59, § 7107(2), redesignated subsec. (e) as (d).

§ 5106. Handling criteria
The Secretary may prescribe criteria for handling hazardous material, including—
(1) a minimum number of personnel;
(2) minimum levels of training and qualifications for personnel;
(3) the kind and frequency of inspections;
(4) equipment for detecting, warning of, and
controlling risks posed by the hazardous material;
(5) specifications for the use of equipment
and facilities used in handling and transporting the hazardous material; and
(6) a system of monitoring safety procedures
for transporting the hazardous material.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 763;
Pub. L. 109–59, title VII, § 7126, Aug. 10, 2005, 119
Stat. 1909.)

§ 5107

TITLE 49—TRANSPORTATION
HISTORICAL AND REVISION NOTES

Revised
Section
5106 ............

Source (U.S. Code)
49 App.:1805(a).

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 106(a), 88 Stat. 2157.

Before clause (1), the text of 49 App.:1805(a) (last sentence) is omitted as being included in ‘‘prescribe’’. In
clause (4), the words ‘‘to be used’’ are omitted as surplus. In clause (6), the word ‘‘assurance’’ is omitted as
surplus.
AMENDMENTS
2005—Pub. L. 109–59 substituted ‘‘Secretary’’ for ‘‘Secretary of Transportation’’ in introductory provisions.

§ 5107. Hazmat employee training requirements
and grants
(a) TRAINING REQUIREMENTS.—The Secretary
shall prescribe by regulation requirements for
training that a hazmat employer must give
hazmat employees of the employer on the safe
loading, unloading, handling, storing, and transporting of hazardous material and emergency
preparedness for responding to an accident or incident involving the transportation of hazardous
material. The regulations—
(1) shall establish the date, as provided by
subsection (b) of this section, by which the
training shall be completed; and
(2) may provide for different training for different classes or categories of hazardous material and hazmat employees.
(b) BEGINNING AND COMPLETING TRAINING.—A
hazmat employer shall begin the training of
hazmat employees of the employer not later
than 6 months after the Secretary prescribes the
regulations under subsection (a) of this section.
The training shall be completed within a reasonable period of time after—
(1) 6 months after the regulations are prescribed; or
(2) the date on which an individual is to
begin carrying out a duty or power of a
hazmat employee if the individual is employed
as a hazmat employee after the 6-month period.
(c) CERTIFICATION OF TRAINING.—After completing the training, each hazmat employer
shall certify, with documentation the Secretary
may require by regulation, that the hazmat employees of the employer have received training
and have been tested on appropriate transportation areas of responsibility, including at least
one of the following:
(1) recognizing and understanding the Department of Transportation hazardous material classification system.
(2) the use and limitations of the Department hazardous material placarding, labeling,
and marking systems.
(3) general handling procedures, loading and
unloading techniques, and strategies to reduce
the probability of release or damage during or
incidental to transporting hazardous material.
(4) health, safety, and risk factors associated
with hazardous material and the transportation of hazardous material.
(5) appropriate emergency response and communication procedures for dealing with an accident or incident involving hazardous material transportation.

Page 140

(6) the use of the Department Emergency
Response Guidebook and recognition of its
limitations or the use of equivalent documents
and recognition of the limitations of those
documents.
(7) applicable hazardous material transportation regulations.
(8) personal protection techniques.
(9) preparing a shipping document for transporting hazardous material.
(d) COORDINATION OF TRAINING REQUIREMENTS.—In consultation with the Administrator
of the Environmental Protection Agency and
the Secretary of Labor, the Secretary shall ensure that the training requirements prescribed
under this section do not conflict with or duplicate—
(1) the requirements of regulations the Secretary of Labor prescribes related to hazard
communication, and hazardous waste operations, and emergency response that are contained in part 1910 of title 29, Code of Federal
Regulations; and
(2) the regulations the Agency prescribes related to worker protection standards for hazardous waste operations that are contained in
part 311 of title 40, Code of Federal Regulations.
(e) TRAINING GRANTS.—
(1) IN GENERAL.—Subject to the availability
of funds under section 5128(c), the Secretary
shall make grants under this subsection—
(A) for training instructors to train
hazmat employees; and
(B) to the extent determined appropriate
by the Secretary, for such instructors to
train hazmat employees.
(2) ELIGIBILITY.—A grant under this subsection shall be made to a nonprofit hazmat
employee organization that demonstrates—
(A) expertise in conducting a training program for hazmat employees; and
(B) the ability to reach and involve in a
training program a target population of
hazmat employees.
(f) TRAINING OF CERTAIN EMPLOYEES.—The Secretary shall ensure that maintenance-of-way
employees and railroad signalmen receive general awareness and familiarization training and
safety training pursuant to section 172.704 of
title 49, Code of Federal Regulations.
(g) RELATIONSHIP TO OTHER LAWS.—(1) Chapter
35 of title 44 does not apply to an activity of the
Secretary under subsections (a)–(d) of this section.
(2) An action of the Secretary under subsections (a)–(d) of this section and section 5106 is
not an exercise, under section 4(b)(1) of the Occupational Safety and Health Act of 1970 (29
U.S.C. 653(b)(1)), of statutory authority to prescribe or enforce standards or regulations affecting occupational safety or health.
(h) EXISTING EFFORT.—No grant under subsection (e) shall supplant or replace existing employer-provided hazardous materials training efforts or obligations.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 763;
Pub. L. 103–311, title I, §§ 106, 119(c)(1)–(3), Aug.
26, 1994, 108 Stat. 1674, 1680; Pub. L. 109–59, title

Page 155

this subsection, the working group shall transmit to the Secretary a report containing recommendations for establishing uniform forms and
procedures described in subsection (b).
(f) REGULATIONS.—Not later than 18 months
after the date the working group’s report is delivered to the Secretary, the Secretary shall
issue regulations to carry out such recommendations of the working group as the Secretary considers appropriate. In developing such
regulations, the Secretary shall consider the
State needs associated with the transition to
and implementation of a uniform forms and procedures program.
(g) LIMITATION ON STATUTORY CONSTRUCTION.—
Nothing in this section shall be construed as
prohibiting a State from voluntarily participating in a program of uniform forms and procedures until such time as the Secretary issues
regulations under subsection (f).
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 777;
Pub. L. 104–287, § 5(9), Oct. 11, 1996, 110 Stat. 3389;
Pub. L. 109–59, title VII, § 7116, Aug. 10, 2005, 119
Stat. 1901.)
HISTORICAL AND REVISION NOTES
Revised
Section
5119(a) ........

5119(b) ........
5119(c)(1) ....
5119(c)(2) ....
5119(c)(3) ....
5119(d) ........

§ 5121

TITLE 49—TRANSPORTATION

Source (U.S. Code)
49 App.:1819(a).

49
49
49
49
49

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
88 Stat. 2156, § 121(a)–(g);
added Nov. 16, 1990, Pub.
L. 101–615, § 22, 104 Stat.
3271; Oct. 24, 1992, Pub. L.
102–508, § 507, 106 Stat.
3312.

App.:1819(b), (c).
App.:1819(d).
App.:1819(e).
App.:1819(f).
App.:1819(g).

In subsection (a), before clause (1), the words ‘‘As
soon as practicable after November 16, 1990’’ are omitted as obsolete.
In subsection (c)(1), the words ‘‘Subject to the provisions of this subsection’’ and ‘‘to the Secretary’’ are
omitted as surplus.
REFERENCES IN TEXT
The date of enactment of this subsection, referred to
in subsec. (e), is the date of enactment of Pub. L. 109–59,
which was approved Aug. 10, 2005.
AMENDMENTS
2005—Pub. L. 109–59 reenacted section catchline without change and amended text generally. Prior to
amendment, section consisted of subsecs. (a) to (d) relating to establishment of working group, consultation
and reporting, regulations, and relationship to other
laws.
1996—Subsec. (b)(2), Pub. L. 104–287 substituted
‘‘Transportation and Infrastructure’’ for ‘‘Public Works
and Transportation’’.

§ 5120. International uniformity of standards and
requirements
(a) PARTICIPATION IN INTERNATIONAL FORUMS.—
Subject to guidance and direction from the Secretary of State, the Secretary of Transportation
shall participate in international forums that
establish or recommend mandatory standards
and requirements for transporting hazardous
material in international commerce.
(b) CONSULTATION.—The Secretary may consult with interested authorities to ensure that,
to the extent practicable, regulations the Sec-

retary prescribes under sections 5103(b), 5104,
5110, and 5112 of this title are consistent with
standards and requirements related to transporting hazardous material that international
authorities adopt.
(c) DIFFERENCES WITH INTERNATIONAL STANDARDS AND REQUIREMENTS.—This section—
(1) does not require the Secretary to prescribe a standard or requirement identical to a
standard or requirement adopted by an international authority if the Secretary decides the
standard or requirement is unnecessary or unsafe; and
(2) does not prohibit the Secretary from prescribing a safety standard or requirement
more stringent than a standard or requirement adopted by an international authority if
the Secretary decides the standard or requirement is necessary in the public interest.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 778;
Pub. L. 109–59, title VII, §§ 7117, 7126, Aug. 10,
2005, 119 Stat. 1902, 1909.)
HISTORICAL AND REVISION NOTES
Revised
Section

Source (U.S. Code)

5120(a) ........

49 App.:1804(d)(1).

5120(b) ........

49 App.:1804(d)(2)
(1st sentence).
49 App.:1804(d)(2)
(last sentence).

5120(c) ........

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 105(d), 88 Stat. 2157; restated Nov. 16, 1990, Pub.
L. 101–615 § 4, 104 Stat.
3252.

AMENDMENTS
2005—Subsec. (b). Pub. L. 109–59, § 7126, substituted
‘‘Secretary may’’ for ‘‘Secretary of Transportation
may’’.
Pub. L. 109–59, § 7117(a), inserted ‘‘and requirements’’
after ‘‘standards’’.
Subsec. (c)(1). Pub. L. 109–59, § 7126, substituted ‘‘Secretary to prescribe’’ for ‘‘Secretary of Transportation
to prescribe’’.
Pub. L. 109–59, § 7117(b)(1), inserted ‘‘or requirement’’
after ‘‘standard’’ wherever appearing.
Subsec. (c)(2). Pub. L. 109–59, § 7117(b)(2), struck out
‘‘included in a standard’’ before ‘‘adopted’’ and inserted
‘‘standard or’’ before ‘‘requirement’’ wherever appearing.

§ 5121. Administrative
(a) GENERAL AUTHORITY.—To carry out this
chapter, the Secretary may investigate, conduct
tests, make reports, issue subpenas, conduct
hearings, require the production of records and
property, take depositions, and conduct research, development, demonstration, and training activities. Except as provided in subsections
(c) and (d), after notice and an opportunity for a
hearing, the Secretary may issue an order requiring compliance with this chapter or a regulation prescribed, or an order, special permit, or
approval issued, under this chapter.
(b) RECORDS, REPORTS, AND INFORMATION.—A
person subject to this chapter shall—
(1) maintain records and property, make reports, and provide information the Secretary
by regulation or order requires; and
(2) make the records, property, reports, and
information available for inspection when the
Secretary undertakes an investigation or
makes a request.

§ 5121

TITLE 49—TRANSPORTATION

(c) INSPECTIONS AND INVESTIGATIONS.—
(1) IN GENERAL.—A designated officer, employee, or agent of the Secretary—
(A) may inspect and investigate, at a reasonable time and in a reasonable manner,
records and property relating to a function
described in section 5103(b)(1);
(B) except in the case of packaging immediately adjacent to its hazardous material
contents, may gain access to, open, and examine a package offered for, or in, transportation when the officer, employee, or agent
has an objectively reasonable and articulable belief that the package may contain a
hazardous material;
(C) may remove from transportation a
package or related packages in a shipment
offered for or in transportation for which—
(i) such officer, employee, or agent has
an objectively reasonable and articulable
belief that the package may pose an imminent hazard; and
(ii) such officer, employee, or agent contemporaneously documents such belief in
accordance with procedures set forth in
guidance or regulations prescribed under
subsection (e);
(D) may gather information from the offeror, carrier, packaging manufacturer or
tester, or other person responsible for the
package, to ascertain the nature and hazards
of the contents of the package;
(E) as necessary, under terms and conditions specified by the Secretary, may order
the offeror, carrier, packaging manufacturer
or tester, or other person responsible for the
package to have the package transported to,
opened, and the contents examined and analyzed, at a facility appropriate for the conduct of such examination and analysis; and
(F) when safety might otherwise be compromised, may authorize properly qualified
personnel to assist in the activities conducted under this subsection.
(2) DISPLAY OF CREDENTIALS.—An officer, employee, or agent acting under this subsection
shall display proper credentials when requested.
(3) SAFE RESUMPTION OF TRANSPORTATION.—
In instances when, as a result of an inspection
or investigation under this subsection, an imminent hazard is not found to exist, the Secretary, in accordance with procedures set
forth in regulations prescribed under subsection (e), shall assist—
(A) in the safe and prompt resumption of
transportation of the package concerned; or
(B) in any case in which the hazardous material being transported is perishable, in the
safe and expeditious resumption of transportation of the perishable hazardous material.
(d) EMERGENCY ORDERS.—
(1) IN GENERAL.—If, upon inspection, investigation, testing, or research, the Secretary
determines that a violation of a provision of
this chapter, or a regulation prescribed under
this chapter, or an unsafe condition or practice, constitutes or is causing an imminent
hazard, the Secretary may issue or impose
emergency restrictions, prohibitions, recalls,

Page 156

or out-of-service orders, without notice or an
opportunity for a hearing, but only to the extent necessary to abate the imminent hazard.
(2) WRITTEN ORDERS.—The action of the Secretary under paragraph (1) shall be in a written emergency order that—
(A) describes the violation, condition, or
practice that constitutes or is causing the
imminent hazard;
(B) states the restrictions, prohibitions,
recalls, or out-of-service orders issued or imposed; and
(C) describes the standards and procedures
for obtaining relief from the order.
(3) OPPORTUNITY FOR REVIEW.—After taking
action under paragraph (1), the Secretary shall
provide for review of the action under section
554 of title 5 if a petition for review is filed
within 20 calendar days of the date of issuance
of the order for the action.
(4) EXPIRATION OF EFFECTIVENESS OF ORDER.—
If a petition for review of an action is filed
under paragraph (3) and the review under that
paragraph is not completed by the end of the
30-day period beginning on the date the petition is filed, the action shall cease to be effective at the end of such period unless the Secretary determines, in writing, that the imminent hazard providing a basis for the action
continues to exist.
(5) OUT-OF-SERVICE ORDER DEFINED.—In this
subsection, the term ‘‘out-of-service order’’
means a requirement that an aircraft, vessel,
motor vehicle, train, railcar, locomotive,
other vehicle, transport unit, transport vehicle, freight container, potable tank, or other
package not be moved until specified conditions have been met.
(e) REGULATIONS.—
(1) TEMPORARY REGULATIONS.—Not later than
60 days after the date of enactment of the Hazardous Materials Transportation Safety and
Security Reauthorization Act of 2005, the Secretary shall issue temporary regulations to
carry out subsections (c) and (d). The temporary regulations shall expire on the date of
issuance of the regulations under paragraph
(2).
(2) FINAL REGULATIONS.—Not later than 1
year after such date of enactment, the Secretary shall issue regulations to carry out subsections (c) and (d) in accordance with subchapter II of chapter 5 of title 5.
(f) FACILITY, STAFF, AND REPORTING SYSTEM ON
RISKS, EMERGENCIES, AND ACTIONS.—(1) The Secretary shall—
(A) maintain a facility and technical staff
sufficient to provide, within the United States
Government, the capability of evaluating a
risk related to the transportation of hazardous
material and material alleged to be hazardous;
(B) maintain a central reporting system and
information center capable of providing information and advice to law enforcement and
firefighting personnel, other interested individuals, and officers and employees of the Government and State and local governments on
meeting an emergency related to the transportation of hazardous material; and
(C) conduct a continuous review on all aspects of transporting hazardous material to

Page 157

§ 5121

TITLE 49—TRANSPORTATION

decide on and take appropriate actions to ensure safe transportation of hazardous material.
(2) Paragraph (1) of this subsection does not
prevent the Secretary from making a contract
with a private entity for use of a supplemental
reporting system and information center operated and maintained by the contractor.
(g) GRANTS AND COOPERATIVE AGREEMENTS.—
The Secretary may enter into grants and cooperative agreements with a person, agency, or instrumentality of the United States, a unit of
State or local government, an Indian tribe, a
foreign government (in coordination with the
Department of State), an educational institution, or other appropriate entity—
(1) to expand risk assessment and emergency
response capabilities with respect to the security of transportation of hazardous material;
(2) to enhance emergency communications
capacity as determined necessary by the Secretary, including the use of integrated, interoperable emergency communications technologies where appropriate;
(3) to conduct research, development, demonstration, risk assessment, and emergency
response planning and training activities; or
(4) to otherwise carry out this chapter.
(h) REPORT.—The Secretary shall, once every 2
years, prepare and transmit to the Committee
on Transportation and Infrastructure of the
House of Representatives and the Committee on
Commerce, Science, and Transportation of the
Senate a comprehensive report on the transportation of hazardous materials during the preceding 2 calendar years. The report shall include—
(1) a statistical compilation of accidents and
casualties related to the transportation of
hazardous material;
(2) a list and summary of applicable Government regulations, criteria, orders, and special
permits;
(3) a summary of the basis for each special
permit;
(4) an evaluation of the effectiveness of enforcement activities relating to a function
regulated by the Secretary under section
5103(b)(1) and the degree of voluntary compliance with regulations;
(5) a summary of outstanding problems in
carrying out this chapter in order of priority;
and
(6) recommendations for appropriate legislation.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 779;
Pub. L. 103–311, title I, §§ 108, 117(a)(2), Aug. 26,
1994, 108 Stat. 1674, 1678; Pub. L. 109–59, title VII,
§§ 7118, 7126, Aug. 10, 2005, 119 Stat. 1902, 1909;
Pub. L. 110–244, title III, § 302(e), June 6, 2008, 122
Stat. 1618.)
HISTORICAL AND REVISION NOTES
Revised
Section

Source (U.S. Code)

Source (Statutes at Large)

5121(a) ........

49 App.:1808(a) (1st
sentence, last sentence words before semicolon).

Jan. 3, 1975, Pub. L. 93–633,
§ 109(a) (1st sentence, last
sentence
words
before
semicolon), (b), (c), 88
Stat. 2159.

5121(b) ........
5121(c) ........

49 App.:1808(b).
49 App.:1808(c).

HISTORICAL AND REVISION NOTES—CONTINUED
Revised
Section

Source (U.S. Code)

5121(d) ........

49 App.:1808(d).

5121(e) ........

49 App.:1808(e).

Source (Statutes at Large)
Jan. 3, 1975, Pub. L. 93–633,
§ 109(d), 88 Stat. 2159; Oct.
30, 1984, Pub. L. 98–559,
§ 1(a), 98 Stat. 2907; Nov.
16, 1990, Pub. L. 101–615,
§ 11, 104 Stat. 3259.
Jan. 3, 1975, Pub. L. 93–633,
§ 109(e), 88 Stat. 2159; Oct.
30, 1984, Pub. L. 98–559,
§ 1(b), 98 Stat. 2907.

In subsection (a), the words ‘‘to the extent necessary
. . . his responsibilities under’’ and ‘‘relevant’’ are
omitted as surplus. The word ‘‘documents’’ is omitted
as being included in ‘‘records’’. The words ‘‘directly or
indirectly’’ are omitted as surplus. The word ‘‘prescribed’’ is substituted for ‘‘issued’’ for consistency in
the revised title and with other titles of the United
States Code.
In subsection (b), before clause (1), the words ‘‘requirements under’’ are omitted as surplus. In clause (1),
the words ‘‘establish and’’ are omitted as surplus. The
word ‘‘requires’’ is substituted for ‘‘prescribe’’ for clarity and consistency.
In subsection (c)(1), before clause (A), the words
‘‘enter upon . . . and examine’’ and ‘‘of persons to the
extent such records and properties’’ are omitted as surplus. In clause (B), the words ‘‘or shipment by any person’’ are omitted as surplus.
In subsection (d)(1), before clause (A), the words ‘‘establish and’’ are omitted as executed. In clause (B), the
words ‘‘capable of’’ are substituted for ‘‘so as to be able
to’’ to eliminate unnecessary words. The words ‘‘technical and other’’ and ‘‘of communities’’ are omitted as
surplus. The words ‘‘and employees’’ are added for consistency in the revised title and with other titles of the
Code. In clause (C), the words ‘‘in order’’ and ‘‘to be
able to’’ are omitted as surplus.
In subsection (e), before clause (1), the words ‘‘prepare and’’ and ‘‘comprehensive’’ are omitted as surplus.
In clause (1), the word ‘‘thorough’’ is omitted as surplus. In clause (2), the words ‘‘in effect’’ are omitted as
surplus. In clause (3), the words ‘‘granted or maintained’’ are omitted as surplus. In clause (6), the words
‘‘additional . . . as are deemed necessary or’’ are omitted as surplus.
REFERENCES IN TEXT
The date of enactment of the Hazardous Materials
Transportation Safety and Security Reauthorization
Act of 2005, referred to in subsec. (e), is the date of enactment of title VII of Pub. L. 109–59, which was approved Aug. 10, 2005.
AMENDMENTS
2008—Subsec. (h)(2). Pub. L. 110–244, § 302(e)(1), substituted ‘‘special permits’’ for ‘‘exemptions’’.
Subsec. (h)(3). Pub. L. 110–244, § 302(e)(2), substituted
‘‘special permit’’ for ‘‘exemption’’.
2005—Subsec. (a). Pub. L. 109–59, § 7126, substituted
‘‘Secretary may investigate’’ for ‘‘Secretary of Transportation may investigate’’.
Pub. L. 109–59, § 7118(a), inserted ‘‘conduct tests,’’
after ‘‘investigate,’’ and substituted ‘‘Except as provided in subsections (c) and (d), after’’ for ‘‘After’’ and
‘‘regulation prescribed, or an order, special permit, or
approval issued,’’ for ‘‘regulation prescribed’’.
Subsec. (b)(1). Pub. L. 109–59, § 7118(b)(1), inserted
‘‘and property’’ after ‘‘records’’.
Subsec. (b)(2). Pub. L. 109–59, § 7118(b)(2), inserted
‘‘property,’’ after ‘‘records,’’ and ‘‘for inspection’’ after
‘‘available’’ and substituted ‘‘undertakes an investigation or makes a request’’ for ‘‘requests’’.
Subsec. (c). Pub. L. 109–59, § 7118(c), amended heading
and text of subsec. (c) generally. Prior to amendment,
text read as follows:
‘‘(1) The Secretary may authorize an officer, employee, or agent to inspect, at a reasonable time and in
a reasonable way, records and property related to—

§ 5122

TITLE 49—TRANSPORTATION

‘‘(A) manufacturing, fabricating, marking, maintaining, reconditioning, repairing, testing, or distributing a packaging or a container for use by a person
in transporting hazardous material in commerce; or
‘‘(B) the transportation of hazardous material in
commerce.
‘‘(2) An officer, employee, or agent under this subsection shall display proper credentials when requested.’’
Subsecs. (d), (e). Pub. L. 109–59, § 7118(d), added subsecs. (d) and (e). Former subsecs. (d) and (e) redesignated (f) and (h), respectively.
Subsec. (f). Pub. L. 109–59, § 7118(d)(1), redesignated
subsec. (d) as (f).
Subsec. (g). Pub. L. 109–59, § 7118(e), added subsec. (g).
Subsec. (h). Pub. L. 109–59, § 7118(f)(1), substituted
‘‘transmit to the Committee on Transportation and Infrastructure of the House of Representatives and the
Committee on Commerce, Science, and Transportation
of the Senate’’ for ‘‘submit to the President for transmittal to the Congress’’ in introductory provisions.
Pub. L. 109–59, § 7118(d)(1), redesignated subsec. (e) as
(h).
Subsec. (h)(4). Pub. L. 109–59, § 7118(f)(2), inserted ‘‘relating to a function regulated by the Secretary under
section 5103(b)(1)’’ after ‘‘activities’’.
1994—Subsec. (c)(1)(A). Pub. L. 103–311, § 117(a)(2), substituted ‘‘a packaging or a’’ for ‘‘a package or’’.
Subsec. (e). Pub. L. 103–311, § 108, substituted ‘‘Report’’ for ‘‘Annual Report’’ in heading and substituted
first sentence for former first sentence which read as
follows: ‘‘The Secretary shall submit to the President,
for submission to Congress, not later than June 15th of
each year, a report about the transportation of hazardous material during the prior calendar year.’’
TOLL FREE NUMBER FOR REPORTING
Section 116 of Pub. L. 103–311 provided that: ‘‘The Secretary of Transportation shall designate a toll free
telephone number for transporters of hazardous materials and other individuals to report to the Secretary
possible violations of chapter 51 of title 49, United
States Code, or any order or regulation issued under
that chapter.’’

§ 5122. Enforcement
(a) GENERAL.—At the request of the Secretary,
the Attorney General may bring a civil action in
an appropriate district court of the United
States to enforce this chapter or a regulation
prescribed or order, special permit, or approval
issued under this chapter. The court may award
appropriate relief, including a temporary or permanent injunction, punitive damages, and assessment of civil penalties considering the same
penalty amounts and factors as prescribed for
the Secretary in an administrative case under
section 5123.
(b) IMMINENT HAZARDS.—(1) If the Secretary
has reason to believe that an imminent hazard
exists, the Secretary may bring a civil action in
an appropriate district court of the United
States—
(A) to suspend or restrict the transportation
of the hazardous material responsible for the
hazard; or
(B) to eliminate or mitigate the hazard.
(2) On request of the Secretary, the Attorney
General shall bring an action under paragraph
(1) of this subsection.
(c) WITHHOLDING OF CLEARANCE.—(1) If any
owner, operator, or individual in charge of a vessel is liable for a civil penalty under section 5123
of this title or for a fine under section 5124 of
this title, or if reasonable cause exists to believe

Page 158

that such owner, operator, or individual in
charge may be subject to such a civil penalty or
fine, the Secretary of Homeland Security, upon
the request of the Secretary, shall with respect
to such vessel refuse or revoke any clearance required by section 60105 of title 46.
(2) Clearance refused or revoked under this
subsection may be granted upon the filing of a
bond or other surety satisfactory to the Secretary.
(Pub. L. 103–272, § 1(d), July 5, 1994, 108 Stat. 780;
Pub. L. 104–324, title III, § 312(a), Oct. 19, 1996, 110
Stat. 3920; Pub. L. 109–59, title VII, §§ 7119, 7126,
Aug. 10, 2005, 119 Stat. 1905, 1909; Pub. L. 109–304,
§ 17(h)(1), Oct. 6, 2006, 120 Stat. 1709.)
HISTORICAL AND REVISION NOTES
Revised
Section

Source (U.S. Code)

Source (Statutes at Large)

5122(a) ........

49 App.:1808(a) (last
sentence words
after semicolon).

Jan. 3, 1975, Pub. L. 93–633,
§§ 109(a)
(last
sentence
words after semicolon),
111(a), 88 Stat. 2159, 2161.

5122(b) ........

49 App.:1810(a).
49 App.:1810(b).

Jan. 3, 1975, Pub. L. 93–633,
§ 111(b), 88 Stat. 2161; Nov.
16, 1990, Pub. L. 101–615,
§ 3(b), 104 Stat. 3247.

In this section, the words ‘‘bring a civil action’’ are
substituted for ‘‘bring an action in’’ in 49 App.:1810 and
‘‘petition . . . for an order . . . for such other order’’ for
consistency in the revised title and with other titles of
the United States Code.
In subsection (a), the text of 49 App.:1808(a) (last sentence words after semicolon) and the words ‘‘for equitable relief’’ in 49 App.:1810(a) are omitted as surplus.
The words ‘‘enforce this chapter’’ are substituted for
‘‘redress a violation by any person of a provision of this
chapter’’ to eliminate unnecessary words. The words
‘‘regulation prescribed or order issued’’ are substituted
for ‘‘order or regulation issued’’ for consistency in the
revised title and with other titles of the Code. The
words ‘‘The court may award appropriate relief, including’’ are substituted for ‘‘Such district courts shall
have jurisdiction to determine such actions and may
grant such relief as is necessary or appropriate, including mandatory or prohibitive injunctive relief, interim
equitable relief, and’’ to eliminate unnecessary words.
In subsection (b)(1), before clause (A), the words ‘‘as
is necessary’’ are omitted as surplus.
AMENDMENTS
2006—Subsec. (c)(1). Pub. L. 109–304 substituted ‘‘Secretary of Homeland Security’’ and ‘‘section 60105 of
title 46’’ for ‘‘Secretary of the Treasury’’ and ‘‘section
4197 of the Revised Statutes of the United States (46
App. U.S.C. 91)’’, respectively.
2005—Subsec. (a). Pub. L. 109–59, § 7126, substituted
‘‘Secretary’’ for ‘‘Secretary of Transportation’’.
Pub. L. 109–59, § 7119(a), substituted ‘‘this chapter or a
regulation prescribed or order, special permit, or approval’’ for ‘‘this chapter or a regulation prescribed or
order’’ and ‘‘The court may award appropriate relief,
including a temporary or permanent injunction, punitive damages, and assessment of civil penalties considering the same penalty amounts and factors as prescribed for the Secretary in an administrative case
under section 5123’’ for ‘‘The court may award appropriate relief, including punitive damages’’.
Subsec. (b)(1)(B). Pub. L. 109–59, § 7119(b), substituted
‘‘or mitigate the hazard’’ for ‘‘or ameliorate the hazard’’.
1996—Subsec. (c). Pub. L. 104–324 added subsec. (c).

§ 5123. Civil penalty
(a) PENALTY.—(1) A person that knowingly violates this chapter or a regulation, order, special