49 C.F.R. §§ 209.101–209.121

§209.101. Civil penalties generally.

49 C.F.R. § 209.101

(a)

Sections 209.101 through 209.121 prescribe rules of procedure for the assessment of civil penalties pursuant to the Federal hazardous materials transportation safety law, 49 U.S.C. Chapter 51.

(b)

When the FRA has reason to believe that a person has knowingly committed an act which is a violation of any provision of subchapter B or C of chapter I, subtitle B of this title for which the FRA exercises enforcement responsibility or any waiver or order issued thereunder, it may conduct a proceeding to assess a civil penalty.

Notes, amendments, and revision history

Amendments

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

Amendments

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]

§209.103. Minimum and maximum penalties.

49 C.F.R. § 209.103

(a)

A person who knowingly violates a requirement of the Federal hazardous materials transportation laws, an order issued thereunder, 49 CFR subchapter A or C of chapter I, subtitle B, or a special permit or approval issued under subchapter A or C of chapter I, subtitle B, of this title is liable for a civil penalty of not more than $102,348 for each violation, except that—

(1)

The maximum civil penalty for a violation is $238,809 if the violation results in death, serious illness, or severe injury to any person, or substantial destruction of property; and

(2)

A minimum $617 civil penalty applies to a violation related to training.

(b)

When the violation is a continuing one, each day of the violation constitutes a separate offense. 49 U.S.C. 5123.

(c)

The maximum and minimum civil penalties described in paragraph (a) of this section apply to violations occurring on or after December 30, 2024.

Notes, amendments, and revision history

Amendments

[78 FR 9846, Feb. 12, 2013, as amended at 81 FR 43104, July 1, 2016; 82 FR 16131, Apr. 3, 2017; 83 FR 60744, Nov. 27, 2018; 84 FR 37071, July 31, 2019; 86 FR 1756, Jan. 11, 2021; 86 FR 23252, May 3, 2021; 87 FR 15866, Mar. 21, 2022; 88 FR 1125, Jan. 6, 2023; 88 FR 89561, Dec. 28, 2023; 89 FR 106294, Dec. 30, 2024]

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

Amendments

[78 FR 9846, Feb. 12, 2013, as amended at 81 FR 43104, July 1, 2016; 82 FR 16131, Apr. 3, 2017; 83 FR 60744, Nov. 27, 2018; 84 FR 37071, July 31, 2019; 86 FR 1756, Jan. 11, 2021; 86 FR 23252, May 3, 2021; 87 FR 15866, Mar. 21, 2022; 88 FR 1125, Jan. 6, 2023; 88 FR 89561, Dec. 28, 2023; 89 FR 106294, Dec. 30, 2024]

§209.105. Notice of probable violation.

49 C.F.R. § 209.105

(a)

FRA, through the Office of the Chief Counsel, begins a civil penalty proceeding by serving a notice of probable violation on a person charging him or her with having violated one or more provisions of subchapter A or C of chapter I, subtitle B of this title. FRA's website at https://railroads.dot.gov/contains guidelines used by the Office of the Chief Counsel in making initial penalty assessments.

(b)

A notice of probable violation issued under this section includes—

(1)

A statement of the provision(s) which the respondent is believed to have violated;

(2)

A statement of the factual allegations upon which the proposed civil penalty is being sought;

(3)

Notice of the maximum amount of civil penalty for which the respondent may be liable;

(4)

Notice of the amount of the civil penalty proposed to be assessed;

(5)

A description of the manner in which the respondent should make payment of any money to the United States;

(6)

A statement of the respondent's right to present written explanations, information or any materials in answer to the charges or in mitigation of the penalty; and

(7)

A statement of the respondent's right to request a hearing and the procedures for requesting a hearing.

(c)

The FRA may amend the notice of probable violation at any time prior to the entry of an order assessing a civil penalty. If the amendment contains any new material allegation of fact, the respondent is given an opportunity to respond. In an amended notice, FRA may change the civil penalty amount proposed to be assessed up to and including the maximum penalty amount of $102,348 for each violation, except that if the violation results in death, serious illness or severe injury to any person, or substantial destruction of property, FRA may change the penalty amount proposed to be assessed up to and including the maximum penalty amount of $238,809.

Notes, amendments, and revision history

Amendments

[42 FR 56742, Oct. 28, 1977]

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

Amendments

[42 FR 56742, Oct. 28, 1977]

§209.107. Reply.

49 C.F.R. § 209.107

(a)

Within thirty (30) days of the service of a notice of probable violation issued under § 209.105, the respondent may—

(1)

Pay as provided in § 209.109(a) and thereby close the case;

(2)

Make an informal response as provided in § 209.111; or

(3)

Request a hearing as provided in § 209.113.

(b)

The Chief Counsel may extend the thirty (30) days period for good cause shown.

(c)

Failure of the respondent to reply by taking one of the three actions described in paragraph (a) of this section within the period provided constitutes a waiver of his or her right to appear and contest the allegations and authorizes the Chief Counsel, without further notice to the respondent, to find the facts to be as alleged in the notice of probable violation and to assess an appropriate civil penalty.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

§209.109. Payment of penalty; compromise.

49 C.F.R. § 209.109

(a)

Payment of a civil penalty must be made via the internet at https://www.pay.gov/paygov/. Instructions for online payment are found on the website.

(b)

At any time before an order assessing a penalty is referred to the Attorney General for collection, the respondent may offer to compromise for a specific amount by contacting the Office of the Chief Counsel.

Notes, amendments, and revision history

Amendments

[91 FR 22064, Apr. 24, 2026]

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

Amendments

[91 FR 22064, Apr. 24, 2026]

§209.111. Informal response and assessment.

49 C.F.R. § 209.111

(a)

If a respondent elects to make an informal response to a notice of probable violation, respondent shall submit to the Chief Counsel such written explanations, information or other materials as respondent may desire in answer to the charges or in mitigation of the proposed penalty.

(b)

The respondent may include in his or her informal written response a request for a conference. Upon receipt of such a request, the Chief Counsel arranges for a conference as soon as practicable at a time and place of mutual convenience.

(c)

Written explanations, information or materials, submitted by the respondent and relevant information presented during any conference held under this section are considered by the Chief Counsel in reviewing the notice of proposed violation and determining the fact of violation and the amount of any penalty to be assessed.

(d)

After consideration of an informal response, including any relevant information presented at a conference, the Chief Counsel may dismiss the notice of probable violation in whole or in part. If he or she does not dismiss it in whole, he or she may issue an order assessing a civil penalty.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

§209.113. Request for hearing.

49 C.F.R. § 209.113

(a)

If a respondent elects to request a hearing, he or she must submit a written request to the Chief Counsel referring to the case number which appeared on the notice of the probable violation. The request must—

(1)

State the name and address of the respondent and of the person signing the request if different from the respondent;

(2)

State with respect to each allegation whether it is admitted or denied; and

(3)

State with particularity the issues to be raised by the respondent at the hearing.

(b)

After a request for hearing which complies with the requirements of paragraph (a) of this section, the Chief Counsel schedules a hearing for the earliest practicable date.

(c)

The Chief Counsel or the hearing officer appointed under § 209.115 may grant extensions of the time of the commencement of the hearing for good cause shown.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

§209.115. Hearing.

49 C.F.R. § 209.115

(a)

When a hearing is requested and scheduled under § 209.113, a hearing officer designated by the Chief Counsel convenes and presides over the hearing. If requested by respondent and if practicable, the hearing is held in the general vicinity of the place where the alleged violation occurred, or at a place convenient to the respondent. Testimony by witnesses shall be given under oath and the hearing shall be recorded verbatim.

(b)

The presiding official may—

(1)

Administer oaths and affirmations;

(2)

Issue subpoenas as provided by § 209.7;

(3)

Adopt procedures for the submission of evidence in written form;

(4)

Take or cause depositions to be taken;

(5)

Rule on offers of proof and receive relevant evidence;

(6)

Examine witnesses at the hearing;

(7)

Convene, recess, reconvene, and adjourn and otherwise regulate the course of the hearing;

(8)

Hold conferences for settlement, simplification of the issues or any other proper purpose; and

(9)

Take any other action authorized by or consistent with the provisions of this subpart pertaining to civil penalties and permitted by law which may expedite the hearing or aid in the disposition of an issue raised, therein.

(c)

The Chief Counsel has the burden of providing the facts alleged in the notice of proposed violation and may offer such relevant information as may be necessary fully to inform the presiding officer as to the matter concerned.

(d)

The respondent may appear and be heard on his or her own behalf or through counsel of his or her choice. The respondent or his or her counsel may offer relevant information including testimony which he or she believes should be considered in defense of the allegations or which may bear on the penalty proposed to be assessed and conduct such cross-examination as may be required for a full disclosure of the material facts.

(e)

At the conclusion of the hearing or as soon thereafter as the hearing officer shall provide, the parties may file proposed findings and conclusions, together with supporting reasons.

Notes, amendments, and revision history

Amendments

[42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov. 21, 1977]

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

Amendments

[42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov. 21, 1977]

§209.117. Presiding officer's decision.

49 C.F.R. § 209.117

(a)

After consideration of the evidence of record, the presiding officer may dismiss the notice of probable violation in whole or in part. If the presiding officer does not dismiss it in whole, he or she will issue and serve on the respondent an order assessing a civil penalty. The decision of the presiding officer will include a statement of findings and conclusions as well as the reasons therefor on all material issues of fact, law, and discretion.

(b)

If, within twenty (20) days after service of an order assessing a civil penalty, the respondent does not pay the civil penalty or file an appeal as provided in § 209.121, the case may be referred to the Attorney General with a request that an action to collect the penalty be brought in the appropriate United States District Court.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

§209.119. Assessment considerations.

49 C.F.R. § 209.119

The assessment of a civil penalty under § 209.117 is made only after considering:

(a)

The nature and circumstances of the violation;

(b)

The extent and gravity of the violation;

(c)

The degree of the respondent's culpabilty;

(d)

The respondent's history of prior offenses;

(e)

The respondent's ability to pay;

(f)

The effect on the respondent's ability to continue in business; and

(g)

Such other matters as justice may require.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.

§209.121. Appeal.

49 C.F.R. § 209.121

(a)

Any party aggrieved by a presiding officer's decision or order issued under § 209.117 assessing a civil penalty may file an appeal with the Administrator. The appeal must be filed within twenty (20) days of service of the presiding officer's order.

(b)

Prior to rendering a final determination on an appeal, the Administrator may remand the case for further proceedings before the hearing officer.

(c)

In the case of an appeal by a respondent, if the Administrator affirms the assessment and the respondent does not pay the civil penalty within twenty (20) days after service of the Administrator's decision on appeal, the matter may be referred to the Attorney General with a request that an action to collect the penalty be brought in the appropriate United States District Court.

Notes, amendments, and revision history

Authority

Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112, 20114; 28 U.S.C. 2461 note; and 49 CFR 1.89.

Source

Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.