[Federal Register: December 26, 2006 (Volume 71, Number 247)]
[Rules and Regulations]
[Page 77293-77309]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26de06-9]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 209
[FRA-2006-24512]
RIN 2130-AB70
Revisions to Civil and Criminal Penalties; Penalty Guidelines
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this final rule, the Federal Railroad Administration is
revising its regulations to reflect revisions to the penalty provisions
in the Hazardous Materials Transportation Safety and Security
Reauthorization Act of 2005 (Title VII of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users),
enacted on August 10, 2005. We are also revising baseline assessments
for several categories of violations, including those related to
training and security plans, in our Civil Penalty Assessment
Guidelines. We publish our Guidelines in order to provide the regulated
community and the general public with information on the hazardous
materials civil penalty assessment process for violations related to
the transportation of hazardous materials by rail.
DATES: Effective Date: This final rule is effective December 26, 2006.
FOR FURTHER INFORMATION CONTACT: Roberta Stewart, Trial Attorney,
Office of Chief Counsel, RCC-12, Mail Stop 10, FRA, 1120 Vermont Ave.,
NW., Washington, DC 20590 (telephone 202-493-6027).
SUPPLEMENTARY INFORMATION:
I. Civil and Criminal Penalties
On August 10, 2005, the President signed the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), Public Law 109-59, 119 Stat. 1144. Title VII of SAFETEA-
LU--the Hazardous Materials Transportation Safety and Security
Reauthorization Act of 2005--revises the maximum and minimum civil
penalties, and the maximum criminal penalty, for violations of Federal
hazardous materials transportation law (Federal hazmat law; 49 U.S.C.
5101 et seq.) or a regulation, order, special permit, or approval
issued under Federal hazmat law (including 49 CFR subtitle B, chapter
I, subchapters A and C). The Federal Railroad Administration (FRA) is
revising references in our regulations to the maximum and minimum civil
penalties, and the maximum criminal penalties, to reflect the following
statutory changes:
--The maximum civil penalty was increased from $32,500 to $50,000 for a
knowing violation, and to $100,000 if the violation results in death,
serious illness or severe injury to any person, or substantial
destruction of property.
--The minimum civil penalty has reverted from $275 to $250, except that
a minimum civil penalty of $450 applies to a violation related to
training.
--Criminal penalties now apply to both reckless and willful violations
of Federal hazardous material transportation law or a regulation,
order, special permit, or approval issued thereunder. The criminal
penalties also apply to a knowing violation of the prohibition in 49
U.S.C. 5104(b) against tampering with a marking, label, placard, or
description on a shipping document.
--The maximum criminal penalty of five years' imprisonment and a fine
in accordance with Title 18 of the United States Code ($250,000 for an
individual, $500,000 for a corporation) was retained, except that the
maximum amount of imprisonment has been increased to 10 years in any
case in which the violation involves the release of a hazardous
material that results in death or bodily injury to a person.
II. Revisions to Civil Penalty Guidelines
FRA's hazardous material transportation enforcement civil penalty
[[Page 77294]]
guidelines are published in Appendix B to 49 CFR Part 209, to provide
the regulated community and the general public with information
concerning the manner in which FRA generally begins its hazmat penalty
assessment process and the types of information that respondents in
enforcement cases should provide to justify reduction of proposed
penalties. These guidelines were first published in the Federal
Register on July 25, 1996 in response to a request contained in Senate
Report 103-150 that accompanied the Department of Transportation and
Related Agencies Appropriations Act of 1994. 61 FR 38644. These
guidelines are periodically updated, and we previously published
revisions to them on May 28, 2004. 69 FR 30590.
These guidelines are used by FRA's enforcement personnel and
attorneys as a means of determining a proposed civil penalty for
violations of Federal hazardous material transportation law and the
regulations issued under that law. As a general statement of agency
policy and practice, these guidelines are not fully determinative of
any issues or rights, and do not have the force of law. They are
informational, impose no requirements, and constitute a statement of
agency policy for which no notice of proposed rulemaking is necessary.
In this final rule, we are revising baseline assessments to reflect
the increase to $450 in the minimum civil penalty for a violation
related to training. We are adding baseline assessments applicable to
the failure to develop or adhere to a security plan and provide
security training when a security plan is required. We have also
revised other baseline assessments in an effort to account for the
relative severity of violations, and to update penalties to more
appropriate amounts, as some time has passed since many of the
baselines have been revised.
FRA is proceeding to a final rule without providing a notice of
proposed rulemaking or an opportunity for public comment. The
provisions adopted in this final rule simply set forth changes in the
law and our general statements of agency policy and procedure, for
which notice-and-comment procedure is not necessary.
III. Rulemaking Analyses and Notices
A. Statutory/Legal Authority for This Rulemaking
This final rule is published under the authority of 49 U.S.C. 5123
and 5124, which provide civil and criminal penalties for violations of
Federal hazardous material transportation law or a regulation, order,
special permit, or approval issued under that law. The hazardous
material transportation regulations are issued by the Pipeline and
Hazardous Materials Safety Administration (PHMSA). 49 CFR 1.53(b).
Responsibility for the enforcement of the hazardous materials
transportation law and regulations primarily in instances where
violations involve railroads and those entities who ship by rail has
been delegated to FRA. 49 CFR 1.49(s). This rule revises references in
FRA's regulations to reflect revisions to the civil and criminal
penalties in the Hazardous Materials Transportation Safety and Security
Reauthorization Act of 2005 (Title VII of SAFETEA-LU), which was
enacted on August 10, 2005. This rule also adds baseline assessments
relating to training and security plans in our penalty guidelines, and
revises other baseline assessments.
B. Executive Order 12866 and DOT Regulatory Policies and Procedures
This final rule is not considered a significant regulatory action
under section 3(f) of Executive Order 12866 and, therefore, was not
reviewed by the Office of Management and Budget. This rule is not
significant under the Regulatory Policies and Procedures of the
Department of Transportation (44 FR 11034). The economic impact of this
rule is minimal to the extent that preparation of a regulatory
evaluation is not warranted.
C. Executive Order 13132
This final rule has been analyzed in accordance with the principles
and criteria contained in Executive Order 13132 (``Federalism''). As
amended in SAFETEA-LU, 49 U.S.C. 5125(i) provides that the preemption
provisions in Federal hazardous material transportation law do ``not
apply to any * * * penalty * * * utilized by a State, political
subdivision of a State, or Indian tribe to enforce a requirement
applicable to the transportation of hazardous material.'' Accordingly,
this final rule does not have any preemptive effect on State, local, or
Indian tribe enforcement procedures and penalties, and preparation of a
federalism assessment is not warranted.
D. Regulatory Flexibility Act and Executive Order 13272
FRA certifies that this final rule will not have a significant
economic impact on a substantial number of small entities. This rule
applies to shippers, offerors and carriers of hazardous materials by
rail, manufacturers, and repairers of packagings used in the transport
of hazardous materials by rail, and any other persons involved in the
transportation of hazardous materials by rail. Some of these entities
are classified as small entities; however, there is no economic impact
on any person that complies with Federal hazardous materials law and
the regulations and orders issued under that law.
E. Paperwork Reduction Act
There are no new information requirements in this final rule.
F. Unfunded Mandates Reform Act of 1995
This final rule does not impose unfunded mandates under the
Unfunded Mandates Act of 1995. It does not result in annual costs of
$128,100,000 or more, in the aggregate, to any of the following: State,
local, or Indian tribal governments, or the private sector, and is the
least burdensome alternative to achieve the objective of the rule.
G. Environmental Assessment
There are no significant environmental impacts associated with this
final rule.
H. Regulation Identifier Number (RIN)
A regulation identifier number (RIN) is assigned to each regulatory
action listed in the Unified Agenda of Federal Regulations. The
Regulatory Information Service Center publishes the Unified Agenda in
spring and fall of each year. The RIN contained in the heading of this
document can be used to cross-reference this action with the Unified
Agenda.
List of Subjects in 49 CFR Part 209
Hazardous materials, Penalties.
0
Therefore, in consideration of the foregoing, chapter II, subtitle B of
title 49 of the Code of Federal Regulations is amended as follows:
PART 209--[AMENDED]
0
1. The authority citation for part 209 is revised to read as follows:
Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112,
20114; 28 U.S.C. 2461, note; and 49 CFR 1.49.
0
2. Section 209.3 is amended by adding a definition of Federal hazardous
material transportation law in alphabetical order to read as follows:
Sec. 209.3 Definitions.
* * * * *
Federal hazardous material transportation law means 49 U.S.C. 5101
et seq.
* * * * *
0
3. Revise Sec. 209.103 to read as follows:
[[Page 77295]]
Sec. 209.103 Minimum and maximum penalties.
(a) A person who knowingly violates a requirement of the Federal
hazardous material transportation law, an order issued thereunder,
subchapter A or C of Chapter I, subtitle B, of this title, 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 at least
$250 but not more than $50,000 for each violation, except that--
(1) The maximum civil penalty for a violation is $100,000 if the
violation results in death, serious illness or severe injury to any
person, or substantial destruction of property and
(2) A minimum $450 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) above apply to violations occurring on or after August 10, 2005.
0
4. Revise the last sentence of Sec. 209.105(c) to read as follows:
Sec. 209.105 Notice of probable violation.
* * * * *
(c) * * * In an amended notice, FRA may change the civil penalty
amount proposed to be assessed up to and including the maximum penalty
amount of $50,000 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 $100,000.
0
5. Revise Sec. 209.109(a) to read as follows:
Sec. 209.109 Payment of penalty; compromise.
(a) Payment of a civil penalty may be made by certified check,
money order, or credit card. Payments made by certified check or money
order should be made payable to the Federal Railroad Administration and
sent to DOT/FRA, Mike Monroney Aero Center, General Accounting
Division, AMZ-300, P.O. Box 25082, Oklahoma City, OK 73125. Overnight
express payments may be sent to DOT/FRA, Mike Monroney Aero Center,
General Accounting Division, AMZ-300, 6500 South MacArthur Blvd.
Headquarters Building, Room 176, Oklahoma City, OK 73169. Payment by
credit card must be made via the Internet at https://www.pay.gov/
paygov/. Instructions for online payment are found on the Web site.
* * * * *
0
6. Revise Sec. 209.131 to read as follows:
Sec. 209.131 Criminal penalties generally.
A person who knowingly violates 49 U.S.C. 5104(b) or Sec. 171.2(l)
of this title or willfully or recklessly violates a requirement of the
Federal hazardous material transportation law or a regulation, order,
special permit, or approval issued thereunder shall be fined under
title 18, United States Code, or imprisoned for not more than 5 years,
or both, except the maximum amount of imprisonment shall be 10 years in
any case in which the violation involves the release of a hazardous
material which results in death or bodily injury to any person.
0
7. Revise the first sentence of Sec. 209.133 to read as follows:
Sec. 209.133 Referral for prosecution.
If an inspector, including a certified state inspector under part
212 of this chapter, or another employee of FRA becomes aware of a
possible knowing violation of 49 U.S.C. 5104(b) or a willful or
reckless violation of the Federal hazardous materials transportation
law or a regulation issued under those laws for which FRA exercises
enforcement responsibility, he or she shall report it to the Chief
Counsel. * * *
0
8. In appendix A to part 209, revise the first two sentences of the
fourth paragraph under the heading ``Extraordinary Remedies'' to read
as follows:
Appendix A to Part 209--Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
* * * * *
Extraordinary Remedies
* * * * *
Criminal penalties are available for knowing violations of 49
U.S.C. 5104(b), or for willful or reckless violations of the Federal
hazardous materials transportation law or a regulation issued under
that law. See 49 U.S.C. Chapter 51, and 49 CFR 209.131, 133. * * *
* * * * *
0
9. Amend Appendix B to part 209 as follows:
0
A. Revise the second sentence of the first paragraph of text;
0
B. Revise the last sentence of the second paragraph of text;
0
C. Revise the last sentence of the third paragraph of text;
0
D. Revise the table in its entirety.
The revisions read as set forth below:
Appendix B to Part 209--Federal Railroad Administration Guidelines for
Initial Hazardous Materials Assessments
* * * The guideline penalty amounts reflect the best judgment of
the FRA Office of Safety Assurance and Compliance (RRS) and of the
Safety Law Division of the Office of Chief Counsel (RCC) on the
relative severity of the various violations routinely encountered by
FRA inspectors on a scale of $250 to $50,000, except the maximum
civil penalty is $100,000 if the violation results in death, serious
illness or severe injury to any person, or substantial destruction
of property, and a minimum $450 penalty applies to a violation
related to training. * * *
* * * When a violation of the Federal hazardous materials
transportation law, an order issued thereunder, the Hazardous
Materials Regulations or a special permit, approval, or order issued
under those regulations results in death, serious illness or severe
injury to any person, or substantial destruction of property, a
maximum penalty of at least $50,000 and up to and including $100,000
shall always be assessed initially.
* * * In fact, FRA reserves the express authority to amend the
NOPV to seek a penalty of up to $50,000 for each violation, and up
to $100,000 for any violation resulting in death, serious illness or
severe injury to any person, or substantial destruction of property,
at any time prior to issuance of an order. FRA periodically makes
minor updates and revisions to these guidelines, and the most
current version may be found on FRA's Web site at http://www.fra.dot.gov
.
Civil Penalty Assessment Guidelines
[As of December 26, 2006]
------------------------------------------------------------------------
Guideline
Emergency orders amount\1\
------------------------------------------------------------------------
EO16........................... Penalties for Varies.
violations of EO16
vary depending on the
circumstances.
EO17........................... Penalties for Varies.
violations of EO17
vary depending on the
circumstances.
Failure to file annual $5,000.
report.
[[Page 77296]]
EO23........................... Penalties for Varies.
violations of EO23
vary depending on the
circumstances.
------------------------------------------------------------------------
\1\ Any person who violates an emergency order issued under the
authority of 49 U.S.C. Ch. 201 is subject to a civil penalty of at
least $500 and not more than $11,000 per violation, except that where
a grossly negligent violation or a pattern of repeated violations has
created an imminent hazard of death or injury to persons, or has
caused a death or injury, a penalty not to exceed $27,000 per
violation may be assessed. Each day that the violation continues is a
separate offense. 49 U.S.C. 21301; 28 U.S.C. 2461, note.
----------------------------------------------------------------------------------------------------------------
49 CFR section Description Guideline amount \2\
----------------------------------------------------------------------------------------------------------------
PART 107--HAZARDOUS MATERIALS PROGRAM PROCEDURES
----------------------------------------------------------------------------------------------------------------
107.608.................................. Failure to register or to 1,500.
renew registration. (Note:
registration--or renewal--
is mitigation.).
107.620(d)............................... Failure to show records on 2,000.
proper request.
Deliberate attempt to hide Varies.
records-considerable
aggravation possible.
----------------------------------------------------------------------------------------------------------------
PART 171--GENERAL REGULATIONS
----------------------------------------------------------------------------------------------------------------
171.2(a), (b), (c), (e), (f)............. General duty sections--may
be cited in support of
another, more specific
citation to the actual
regulatory section
violated.
171.2(d)................................. Offering or accepting a 1,500.
hazardous material (hazmat
or HM) without being
registered.
171.2(g)................................. Representing (marking, 8,000.
certifying, selling, or
offering) a packaging as
meeting regulatory
specification when it does
not.
171.2(i)................................. Certifying that a hazardous 5,000.
material is offered for
transportation in commerce
in accordance with the
regulations (packaged,
marked, labeled, etc.)
when it is not. A more
specific citation to the
actual underlying
regulation violated should
be used instead of this
section, or accompanying
this section, if possible.
171.2(j)................................. Representing (by marking or 8,000.
otherwise) that a
container or package for
transportation of a
hazardous material is
safe, certified, or in
compliance with the
regulations when it is not.
171.2(k)................................. Representing, marking, etc. 2,000.
for the presence of HM
when no HM is present.
(Mitigation required for
shipments smaller than a
carload, e.g., single drum
penalty is $1,000.)
171.2(l)................................. Tampering with (altering, Varies--considerable aggravation
removing, defacing, or possible.
destroying) any marking,
label, placard, or
description on a document
required by hazmat law or
regulations; unlawfully
tampering with a package,
container, motor vehicle,
rail car, aircraft, or
vessel used for the
transportation of
hazardous materials.
171.2(m)................................. Falsifying or altering an Varies--considerable aggravation
exemption, approval, possible.
registration, or other
grant of authority issued
under hazmat regulations.
Offering or transporting a
hazmat under an altered
exemption, approval,
registration, or other
grant of authority without
the consent of the issuing
authority. Representing,
marking, certifying, or
selling a packaging or
container under an altered
exemption, approval,
registration, or other
grant of authority.
171.12................................... Import shipments--Importer 4,000.
not providing shipper and
forwarding agent with U.S.
requirements. Cannot be
based on inference.
Import shipments--Failure 2,000.
to certify by shipper or
forwarding agent.
171.15................................... Failure to provide 6,000.
immediate notice of
certain hazardous
materials incidents.
171.16................................... Failure to file incident 4,000.
report (form DOT 5800.1).
(Multiple failures will
aggravate the penalty.).
----------------------------------------------------------------------------------------------------------------
PART 172--SHIPPING PAPERS
----------------------------------------------------------------------------------------------------------------
172.200-.203............................. Offering hazardous materials for transportation when the material is
not properly described on the shipping paper as required by Sec.
Sec. 172.200--.203. (The ``shipping paper'' is the document
tendered by the shipper/offeror to the carrier. The original
shipping paper contains the shipper's certification at Sec.
172.204.) Considerable aggravation of penalties under these sections
is possible, particularly in case involving undeclared hazmat.
----------------------------------------------------------------------------------------------------------------
--Undeclared shipment: 15,000.
offering a hazardous
material without shipping
papers, package markings,
labels, or placards (see
also Sec. Sec. 172.300,
172.400, 172.500 for
specific requirements).
--Information on the 15,000.
shipping paper is wrong to
the extent that it caused
or materially contributed
to a reaction by emergency
responders that aggravated
the situation or caused or
materially contributed to
improper handling by the
carrier that led to or
materially contributed to
a product release.
--Total lack of hazardous 7,500.
materials information on
shipping paper. (Some
shipping names alone
contain sufficient
information to reduce the
guideline to the next
lower level, but there may
be such dangerous products
that aggravation needs to
be considered.).
--Some information is 5,000.
present, but the missing
or improper description
could cause mishandling by
the carrier or a delay or
error in emergency
response.
[[Page 77297]]
--When the improper 2,000.
description is not likely
to cause serious problem
(technical defect).
--Shipping paper includes a 7,500.
hazardous material
description and no
hazardous material is
present. (Technically,
this is also a violation
of Sec. 171.2(k); it is
presented here as a
convenience.).
Failure to include emergency response information is covered at Sec.
Sec. 172.600-604; while the normal unit of violation for shipping
papers is the whole document, failure to provide emergency response
information is a separate violation.
----------------------------------------------------------------------------------------------------------------
172.201(d)............................... Failure to put emergency 4,000.
response telephone number
on shipping paper.
172.201(e)............................... Failure to retain shipping 7,500.
paper for required period
(1 year if carrier, 2
years if offeror).
172.204.................................. Offeror's failure to 2,000.
certify.
172.205.................................. Hazardous waste manifest. Parallel the penalties for Sec. Sec.
(Applies only to defects 172.200-.203, depending on
in the Hazardous Waste circumstances.
Manifest form [EPA Form
8700-22 and 8700-22A];
shipping paper defects are
cited and penalized under
Sec. 172.200-.203.).
----------------------------------------------------------------------------------------------------------------
Marking:
----------------------------------------------------------------------------------------------------------------
172.301.............................. Failure to mark a non-bulk 1,000.
package as required (e.g.,
no commodity name on a 55-
gallon drum). (Shipment is
the unit of violation.).
172.302.............................. Failure to follow standards 2,000.
for marking bulk packaging.
172.302(a)........................... ID number missing or in 2,500.
improper location. (The
guideline is for a
portable tank; for smaller
bulk packages, the
guideline should be
mitigated downward.)
172.302(b)........................... Failure to use the correct 2,000.
size of markings. (Note:
If Sec. 172.326(a) is
also cited, it takes
precedence and Sec.
172.302(b) is not cited.
Note also: the guideline
is for a gross violation
of marking size--\1/2\''
where 2'' is required--and
mitigation should be
considered for markings
approaching the required
size.)
172.302(c)........................... Failure to place exemption 2,000.
number markings on bulk
package.
----------------------------------------------------------------------------------------------------------------
172.303.............................. Prohibited marking. (Package is marked for a hazardous material and
contains either another hazardous material or no hazardous
material.)
--The marking is wrong and 10,000.
caused or contributed to a
wrong emergency response.
--Use of a tank car 5,000.
stenciled for one
commodity to transport
another.
--Inconsistent marking; 5,000.
e.g., shipping name and ID
number do not agree.
--Marked as a hazardous 2,000.
material when package does
not contain a hazardous
material.
----------------------------------------------------------------------------------------------------------------
172.304.............................. Obscured marking........... 2,000.
172.313.............................. ``Inhalation Hazard'' not 2,500.
marked.
172.322.............................. Failure to mark for MARINE 1,500.
POLLUTANT where required.
172.325(a)........................... Improper, or missing, HOT 1,500.
mark for elevated
temperature material.
172.325(b)........................... Improper or missing 2,500.
commodity stencil.
172.326(a)........................... Failure to mark a portable 2,500.
tank with the commodity
name.
Failure to have commodity 2,500.
name visible (``legible'')
when portable tank is
loaded on intermodal
equipment.
172.326(b)........................... Owner's/lessee's name not 500.
displayed.
172.326(c)........................... Failure to mark portable 2,500.
tank with ID number.
Failure to have ID number 2,500.
visible when portable tank
is loaded on intermodal
equipment.
172.330(a)(1)(i)..................... Offering/transporting 2,500.
hazardous material in a
tank car that does not
have the required ID
number displayed on the
car.
172.330(a)(1)(ii).................... Offering/transporting 2,500.
hazardous material in a
tank car that does not
have the required shipping
name or common name
stenciled on the car. This
section ``lists'' the
materials that require
such markings on the tank.
For tank car marking
requirements for molten
aluminum and molten
sulfur, see Sec.
172.325(b).
172.330(c)........................... Failing to mark tank car as 2,500.
NON-ODORIZED or NOT
ODORIZED when offering/
transporting tank car or
multi-unit tank car
containing unodorized LPG.
172.331(b)........................... Offering bulk packaging 2,500.
other than a portable
tank, cargo tank, or tank
car (e.g., a hopper car)
not marked with ID number.
(E.g., a hopper car
carrying a hazardous
substance, where a placard
is not required).
172.332.............................. Improper display of 2,000.
identification number
markings. Citation of this
section and Sec. Sec.
172.326(c) (portable
tanks), 172.328 (cargo
tanks), or 172.330 (tank
cars) does not create two
separate violations.
172.334(a)........................... Displaying ID numbers on a 4,000.
RADIOACTIVE, EXPLOSIVES
1.1, 1.2, 1.3, 1.4, 1.5,
or 1.6, or DANGEROUS, or
subsidiary hazard placard.
172.334(b)........................... --Improper display of ID 15,000.
number that caused or
contributed to a wrong
emergency response.
--Improper display of ID 5,000.
number that could cause
carrier mishandling or
minor error in emergency
response.
--Technical error.......... 2,000.
172.334(f)........................... Displaying ID number on 1,500.
orange panel not in
proximity to the placard.
----------------------------------------------------------------------------------------------------------------
[[Page 77298]]
Labeling:
----------------------------------------------------------------------------------------------------------------
172.400-.406......................... Failure to label properly. 2,500.
(See also Sec. 172.301
regarding the marking of
packages.).
----------------------------------------------------------------------------------------------------------------
Placarding:
----------------------------------------------------------------------------------------------------------------
172.502.............................. --Placarded as hazardous 2,000.
material when car does not
contain a hazardous
material.
--Hazardous material is 4,000.
present, but the placard
does not represent hazard
of the contents.
--Display of sign or device 2,000.
that could be confused
with regulatory placard.
Photograph or good, clear
description necessary.
172.503.............................. Improper display of ID See Sec. 172.334.
number on placards.
----------------------------------------------------------------------------------------------------------------
172.504(a)........................... Failure to placard; affixing or displaying wrong placard. (See also
Sec. Sec. 172.502(a), 172.504(a), 172.505, 172.512, 172.516,
174.33, 174.59, 174.69; all applicable sections should be cited, but
the penalty should be set at the amount for the violation most
directly in point.) (Generally, the car is the unit of violation,
and penalties vary with the number of errors, typically at the rate
of $1,000 per placard.)
----------------------------------------------------------------------
--Complete failure to 7,500.
placard.
--One placard missing (add 1,000.
$1,000 per missing placard
up to a total of three;
then use the guideline
above).
--Complete failure to 2,500.
placard, but only two (2)
placards are required
(e.g., intermediate bulk
containers [IBCs]).
----------------------------------------------------------------------------------------------------------------
172.504(b)........................... Improper use of DANGEROUS 5,000.
placard for mixed loads.
172.504(c)........................... Placarded for wrong hazard 2,000.
class when no placard was
required due to ``1,001
pound'' exemption.
----------------------------------------------------------------------------------------------------------------
172.504(e)........................... Use of placard other than as specified in the table:
----------------------------------------------------------------------
--Improper placard caused 15,000.
or contributed to improper
reaction by emergency
response forces or caused
or contributed to improper
handling by carrier that
led to a product release.
--Improper placard that 5,000.
could cause improper
emergency response or
handling by carrier.
--Technical violation...... 2,500.
----------------------------------------------------------------------------------------------------------------
172.505.............................. Improper application of 5,000.
placards for subsidiary
hazards. (This is in
addition to any violation
on the primary hazard
placards.)
172.508(a)........................... Offering hazardous material 7,500.
for rail transportation
without affixing placards.
(The preferred section for
a total failure to placard
is Sec. 172.504(a); only
one section should be
cited to avoid a dual
penalty.) (Note also:
Persons offering hazardous
material for rail movement
must affix placards; if
offering for highway
movement, the placards
must be tendered to the
carrier. Sec. 172.506.)
One placard missing (per 1,000.
car). (Add $1,000 per
missing placard up to a
total of three; if all
placards are missing, the
guideline above applies.)
Placards OK, except they 500.
were International
Maritime Dangerous Goods
(IMDG) labels instead of
10'' placards. (Unit of
violation is the
packaging, usually a
portable tank.)
Placards on Container on See Sec. 172.516.
Flatcar/Trailer on Flatcar
(TOFC/COFC) units not
readily visible. (Sec.
172.516 should be cited).
172.508(b)........................... Accepting hazardous 5,000.
material for rail
transportation without
placards affixed.
172.510(a)........................... EXPLOSIVES 1.1, EXPLOSIVES 5,000.
1.2, POISON GAS, (Division
2.3, Hazard Zone A),
POISON, (Division 6.1,
Packing Group I, Hazard
Zone A), or a Division 2.1
material transported in a
Class DOT 113 tank car,
placards displayed without
square background.
172.512(a)........................... Improper placarding of Follow Sec. 172.504 guidelines.
freight containers.
172.514.............................. Improper placarding of bulk 2,000.
packaging other than a
tank car: For the
``exception'' packages in
174.514(c). Use the
regular placarding
sections for the guideline
amounts for larger bulk
packages.
172.516.............................. Placard not readily 1,000.
visible, improperly
located or displayed, or
deteriorated. Placard is
the unit of violation.
--When placards on an 2,000.
intermodal container are
not visible, for instance,
because the container is
in a well car. Container
is the unit of violation,
and, as a matter of
enforcement policy, FRA
accepts the lack of
visibility of the end
placards.
----------------------------------------------------------------------
--Note that, while placards on freight containers, portable tanks, or
TOFC vehicles may be used in lieu of placards on the rail cars, if
both are placarded, each must be done properly. Thus, for instance,
EXPLOSIVES 1.1 placards on intermodal containers do not require
white square backgrounds, but if the rail car carrying such a
container is placarded, the white square background is required on
the rail car.
----------------------------------------------------------------------
172.519(b)(4)....................... Improper display of hazard 2,500.
class on placard--primary
hazard.
[[Page 77299]]
Improper display of hazard 2,500.
class on placard--
secondary hazard.
----------------------------------------------------------------------
Emergency Response Information........... Violations of Sec. Sec. 172.600-.604 are in addition to shipping
paper violations. In citing a carrier, if the railroad's practice is
to carry an emergency response (E/R) book or to put the E/R
information as an attachment to the consist, the unit of violation
is generally the train (or the consist). ``Telephone number''
violations are generally best cited against the shipper; if against
a railroad, there should be proof that the number was given to the
railroad; that is, the number was on the original shipping document.
Considerable aggravation of the penalties under these sections is
possible.
----------------------------------------------------------------------
172.600-.602......................... Where improper emergency 15,000.
response information has
caused an improper
reaction from emergency
forces and the improper
response has aggravated
the situation.
Bad, missing, or improper 5,000.
emergency response
information that could
cause a significant
difference in response.
Bad, missing, or improper 2,500.
emergency response
information not likely to
cause a significant
difference in response.
172.602(c)........................... Failure to have emergency 15,000.
response information
``immediately
accessible,'' resulting in
delay or confusion in
emergency response.
Failure to have emergency 7,500.
response information
``immediately accessible''
with no negative effect on
emergency response.
172.604.............................. Emergency response
telephone number.
--Failure to include 4,000.
emergency response
telephone number on a
shipping paper.
--Listing an unauthorized, 4,000.
incorrect, non-working, or
unmonitored (24 hrs. a
day) emergency response
telephone number on a
shipping paper.
----------------------------------------------------------------------------------------------------------------
Training................................. NOTE: The statutory minimum penalty for training violations is $450.
----------------------------------------------------------------------------------------------------------------
172.702(a)........................... General failure to train 7,500.
hazardous material
employees.
172.702(b)........................... Hazardous material employee 1,000.
performing covered
function without training.
(Unit of violation is the
employee.)
172.704(a)........................... --Failure to train in a 2,500.
required area:
--General awareness/
familiarization;
--Function-specific;
--Safety;
--Security awareness;
--In-depth security
training.
(Unit of violation is the
``area,'' per employee.
For a total failure to
train, Sec. 172.702(a)
applies.)
172.704(c)........................... Initial and recurrent Varies.
training. (This section
should be cited with the
relevant substantive
section, e.g., Sec.
172.702(a), and use
penalty provided there.)
172.704(d)........................... Failure to maintain record 2,500.
of training. (Unit of
violation is the
employee.)
There is some evidence of 4,000.
training, but no (or
inadequate) records and
the employee demonstrates
no or very little
knowledge or skills in
doing the job.
----------------------------------------------------------------------------------------------------------------
Security:
----------------------------------------------------------------------------------------------------------------
172.800.............................. Total failure to develop 5,000 to 10,000.
security plan. Factors to
consider are the size of
the entity (is it a small
business?); the type of
hazmat handled; and the
quantities of hazmat
handled. Aggravation
should be considered, for
example, if it is a large
entity that handles
significant quantities of
chlorine or other toxic
inhalation hazard (TIH)
material.
Failure to adhere to the 1,000 to 10,000.
developed security plan--
considerable aggravation
possible. Factors to
consider include size of
entity, quantities and
types of hazmat handled,
number of security plan
components not complied
with.
172.802(a)........................... Failure to include each 2,000.
required component in
plan:
--Personnel security;
--Unauthorized access;
--En route security.
(Unit of violation is the
``area.'' For a total
failure to have a security
plan, cite Sec. 172.800
and use that penalty
instead of Sec.
172.802.)
172.802(b)........................... Failure to have security 5,000.
plan (or appropriate
portions of it) available
to implementing employees.
(A failure to have the
plan ``in writing'' is
treated as a violation of
the requirement to have a
plan and cited under Sec.
172.800, using that
penalty.)
Failure to revise/update 5,000.
the plan. (The requirement
to revise/update is based
on ``changing
circumstances.'' Specific,
clear, and detailed
explanations of the
circumstances that changed
will be necessary.)
Failure to update all 5,000.
copies of the plan to the
current level (i.e. all
copies should be
identical). (As in the
tank car quality control
area, the requirement to
conform copies applies
only to the ``official''
copies of the plan.
Uncontrolled (and non-
updated) copies of the
security plan are not a
violation if the
uncontrolled copies are
clearly marked as such.)
[[Page 77300]]
PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGES
----------------------------------------------------------------------------------------------------------------
General:
----------------------------------------------------------------------------------------------------------------
173.1................................ General duty section 2,000.
applicable to shippers;
also includes subparagraph
(b), the requirement to
train employees about
applicable regulations.
(Cite the appropriate
section in the 172.700-704
series for training
violations.).
173.9(a)............................. Early delivery of transport 5,000.
vehicle that has been
fumigated. (48 hours must
have elapsed since
fumigation.).
173.9(b)............................. Failure to display 1,000.
fumigation placard.
(Ordinarily cited against
shipper only, not against
railroad.).
173.10............................... Delivery requirements for 3,000.
gases and for flammable
liquids. See also Sec.
Sec. 174.204 and 174.304.
----------------------------------------------------------------------------------------------------------------
Preparation of Hazardous Materials for Transportation:
----------------------------------------------------------------------------------------------------------------
173.22............................... Shipper responsibility: See specific section.
This general duty section
should ordinarily be cited
only to support a more
specific charge.
173.22a.............................. Improper use of packagings 2,500.
authorized under exemption.
Failure to maintain copy of 1,000.
exemption as required.
----------------------------------------------------------------------------------------------------------------
173.24(b)(1) and 173.24(b)(2) and Securing closures: These subsections are the general ``no leak''
173.24(f)(1) and 173.24(f)(1)(ii). standard for all packagings. Sec. 173.24(b) deals primarily with
packaging as a whole, while Sec. 173.24(f) focuses on closures.
Use Sec. 173.31(d) for tank cars, when possible. Cite the sections
accordingly, using both the leak/non-leak criteria and the package
size considerations to reach the appropriate penalty. Any actual
leak will aggravate the guideline by, typically, 50%; a leak with
contact with a human being will aggravate by at least 100%, up to
the maximum of $50,000, and up to $100,000 if the violation results
in death, serious illness or injury or substantial destruction of
property. For intermodal (IM) portable tanks and other tanks of that
size range, use the tank car penalty amounts, as stated in Sec.
173.31.
----------------------------------------------------------------------
--Small bottle or box...... 1,000.
--55-gallon drum........... 2,500.
--Larger container, e.g., 5,000.
IBC; not portable tank or
tank car.
--IM portable tank, cite
Sec. 173.24(f) and use
the penalty amounts for
tank cars: Residue,
generally, Sec.
173.29(a) and, loaded,
Sec. 173.31(d).
--Residue adhering to 5,000.
outside of package (i.e.,
portable tanks, tank cars,
etc.).
----------------------------------------------------------------------------------------------------------------
173.24(c)............................ Use of package not meeting specifications, including required
stencils and markings. The most specific section for the package
involved should be cited (see below). The penalty guideline should
be adjusted for the size of the container. Any actual leak will
aggravate the guideline by, typically, 50%; a leak with contact with
a human being will aggravate by at least 100%, up to the maximum of
$50,000, and up to $100,000 if the violation results in death,
serious illness or injury or substantial destruction of property.
----------------------------------------------------------------------
--Small bottle or box...... 1,000.
--55-gallon drum........... 2,500.
--Larger container, e.g., 5,000.
IBC; not portable tank or
tank car, but this section
is applicable to a hopper
car.
----------------------------------------------------------------------
For more specific sections: Tank cars--Sec. 173.31(a), portable
tanks--Sec. 173.32, and IM portable tanks--Sec. Sec.
173.32a,173.32b, and 173.32c.
----------------------------------------------------------------------------------------------------------------
173.24a(a)(3)........................ Non-bulk packagings: 1,000.
Failure to secure and
cushion inner packagings.
--Causes leak.............. 5,000.
--Leak with any contact 15,000.
between product and any
human being.
173.24a(b) and (d)................... Non-bulk packagings: 1,000.
Exceeding filling limits.
--Causes leak.............. 5,000.
--Leak with any contact 15,000.
between product and any
human being.
173.24b(a)........................... Insufficient outage:
--< 1%...................... 3,000.
--Causes leak.............. 5,000.
Outage < 5% on PIH material. 5,000.
--Causes leak.............. 7,500.
--Leak with any contact 15,000.
between product and any
human being.
173.24b(d)(2)........................ Overloaded to exceed the 5,000.
maximum weight of lading
marked on the
specification plate.
173.26............................... Loaded beyond gross weight 5,000.
or capacity as stated in
specification. (Applies
only if quantity
limitations do not appear
in packaging requirements
of part 173.) (For tank
cars, see Sec. 179.13.)
For gross weight and
capacity requirements, see
Sec. 179.13. Sec.
173.26 should be the
citation for the violation
and civil penalty; Sec.
179.13 can be cited as a
reference section.
173.28............................... Improper reuse, 1,000.
reconditioning, or
remanufacture of
packagings.
----------------------------------------------------------------------------------------------------------------
[[Page 77301]]
173.29(a)............................ Offering residue tank car for transportation when openings are not
tightly closed (Sec. 173.31(d) is also applicable for tank cars).
The regulation requires offering ``in the same manner as when''
loaded and may be cited when a car not meeting specifications (see
Sec. 173.31(a)(1)) is released back into transportation after
unloading; same guideline amount. Guidelines vary with the type of
commodity involved. In addition to the vapor pressure factor cited
below, the RQ (reportable quantity) is a fair measure of the danger
of a commodity to the environment. For RQ values < = 10, consider
aggravating the penalties below by no less than 50 percent.
----------------------------------------------------------------------
--Hazardous material with 2,000.
insignificant vapor
pressure and without
classification as
``poison'' or ``inhalation
hazard.''.
--With actual leak......... 5,000.
--With leak allowing the 15,000.
product to contact any
human being.
--Hazardous material with 5,000.
vapor pressure
(essentially any gas or
compressed gas) and/or
with classification as
``poison'' or ``inhalation
hazard.''.
--With actual leak......... 7,500.
--With leak allowing the 15,000.
product (or fumes or
vapors) to contact any
human being. (In the case
of fumes, the ``contact''
must be substantial.).
--Where only violation is 1,000.
failure to secure a
protective housing, e.g.,
the covering for the
gaging device.
----------------------------------------------------------------------------------------------------------------
173.30............................... A general duty section that should be cited with the explicit
statement of the duty.
----------------------------------------------------------------------
173.31(a)(1)......................... Use of a tank car not meeting specifications and the ``Bulk
packaging'' authorization in Column 8 of the Sec. 172.101
Hazardous Materials Table reference is:
----------------------------------------------------------------------
Sec. 173.240............. 1,000.
Sec. 173.241............. 2,500.
Sec. 173.242............. 5,000.
Sec. 173.243............. 5,000.
Sec. 173.244............. 7,500.
Sec. 173.245............. 7,500.
Sec. 173.247............. 1,000.
Sec. 173.249............. 7,500.
Sec. 173.314............. 5,000.
Sec. 173.315............. 5,000.
Sec. 173.319............. 5,000.
Sec. 173.320............. 5,000
Sec. 173.323............. 7,500.
--Minor defect not 500.
affecting the ability of
the package to contain a
hazardous material, e.g.,
no chain on a bottom
outlet closure plug.
--Defect of greater 1,000.
importance, e.g., safety
valve tested, but test
date not stenciled on
valve.
--Tank meets specification, 1,000.
but specification is not
stenciled on car. Sec.
179.1(e) implies that only
the builder has the duty
here, but it is the
presence of the stencil
that gives the shipper the
right to rely on the
builder. (See Sec.
173.22(a)(3).).
--Tank car not stenciled 2,500.
according to Appendix C of
the Tank Car Manual. The
sub-reference is to Sec.
179.22 which requires each
tank car to be marked in
accordance with Appendix C
of the Tank Car Manual.
For example, Appendix
3.03(a)(5), requires
marking of the tank ``NOT
FOR FLAMMABLE LIQUIDS'' or
``NOT FOR FLAMMABLE OR
POISONOUS LIQUIDS.''.
----------------------------------------------------------------------------------------------------------------
173.31(a)(2)......................... Tank cars and appurtenances 7,500.
used for a material not
authorized on the
certificate of
construction (or by
addendum on Association of
American Railroads (AAR)
form R-1).
173.31(a)(3)......................... Filling a tank car overdue 7,500.
for a periodic inspection
with a hazardous material
and then offering it for
transportation. (Note:
Offering a residue car,
overdue for inspection, is
not a violation; neither
is filling the car--so
long as it is not offered
for transportation.)
(Adjust penalty if less
than one month or more
than one year overdue.).
173.31(a)(4)......................... Use of tank car without air 5,000.
brake support attachments
welded to pads..
173.31(a)(5)......................... Use of a tank car with a 15,000.
self-energized manway
located below the liquid
level of the lading.
173.31(b)(1)......................... Use of DOT-specification 10,000.
tank car, or any tank car
used for transportation of
a hazardous material,
without shelf couplers.
--Against a carrier, cite 6,000.
Sec. 174.3 and this
section..
173.31(b)(2)......................... Tank car with nonreclosing 7,500.
pressure relief device
used to transport Class 2
gases, Class 3 or 4
liquids, or Division 6.1
liquids, PG I or II.
----------------------------------------------------------------------
Tank car has a nonreclosing 1,000.
pressure relief device and
the wrong pressure is
stenciled on the tank.
Cite this section where
the standard in Sec.
179.22(a) is not met and
the respondent is other
than the builder or
manufacturer.
Where either the rupture 5,000.
disc is unmarked for
pressure or manufacturer
name or is marked but is
of the wrong pressure.
Cite this section for a
violation of Sec.
179.156(h) against other
than the builder or
manufacturer.
[[Page 77302]]
173.31(b)(3)......................... Use of a tank car for the transportation of a hazardous material
without the required tank-head protection. See paragraphs
(b)(3)(iii) and (iv) for compliance periods.
----------------------------------------------------------------------------------------------------------------
--Class 2.................. 10,000.
--Tank car constructed from 7,500.
aluminum or nickel plate.
--Against a carrier, cite 6,000.
Sec. 174.3 and this
section.
----------------------------------------------------------------------------------------------------------------
173.31(b)(4)......................... Use of a tank car for the 10,000.
transportation of a Class
2 material without the
required thermal
protection. See paragraphs
(b)(4)(i) for compliance
periods.
173.31(b)(5)......................... Use of a tank car for the 5,000.
transportation of a
hazardous material without
the required bottom-
discontinuity protection.
See the paragraph for
compliance periods.
173.31(b)(6)......................... Failure to submit a 2,500.
progress report to the FRA.
173.31(c)............................ Use of a tank car with an 10,000.
incorrect tank test
pressure.
----------------------------------------------------------------------------------------------------------------
173.31(d)............................ Offering a tank car for 5,000.
transportation with a
hazardous material, or a
residue of a hazardous
material, that is not in
proper condition or that
is unsafe for
transportation. Sections
173.24(b) and (f)
establish a ``no-leak''
design standard, and
173.31 imposes that
standard on operations. In
addition to the vapor
pressure factor cited
below, the RQ (reportable
quantity) is a fair
measure of the danger of a
commodity to the
environment. For RQ values
< = 10, consider
aggravating the penalties
below by no less than 50
percent. The unit of
violation is the car,
aggravated if necessary
for truly egregious
condition.
----------------------------------------------------------------------
Loaded car:
----------------------------------------------------------------------
--Failure to inspect the 5,000.
tank car, service
equipment, or markings
prior to offering the car
for transportation.: If
the failure to inspect
resulted in a release of
product, the appropriate
penalty amount below
applies.
--With actual leak of 10,000.
product.
--With actual leak allowing 15,000.
the product (or fumes or
vapors) to contact any
human being. (With safety
vent, be careful because
carrier might be at fault).
--Minor violation, e.g., 1,000.
bottom outlet cap loose on
tank car of molten sulfur
(because product is a
solid when shipped).
----------------------------------------------------------------------
Residue car: (The penalties are the same as in 173.29(a).)
----------------------------------------------------------------------
Offering residue tank car for transportation when openings are not
tightly closed (Sec. 173.29(a) is also applicable for tank cars)
Guidelines vary with the type of commodity involved:
----------------------------------------------------------------------
--Hazardous material with 2,000.
insignificant vapor
pressure and without
classification as
``poison'' or ``inhalation
hazard.''.
--With actual leak......... 5,000.
--With leak allowing the 15,000.
product to contact any
human being.
--Hazardous material with 5,000.
vapor pressure (esentially
any gas or compressed gas)
and/or with classification
as ``poison'' or
``inhalation hazard.''.
--With actual leak......... 7,500.
--With leak allowing the 15,000.
product (or fumes or
vapors) to contact any
human being. (In the case
of ``fumes,'' the
``contact'' must be
substantial.).
----------------------------------------------------------------------
Whether loaded or residue:
----------------------------------------------------------------------------------------------------------------
--Where the only violation 1,000.
is the failure to secure a
protective housing, e.g.,
the covering for the
gaging device.
--Where ``other 2,500 (Varies to account for
conditions'' than a loose seriousness).
closure make a tank car
not ``in proper condition
for transportation''
(e.g., loose ladders,
seals thrown into safety
valves, etc.).
----------------------------------------------------------------------------------------------------------------
173.31(e)(1)......................... Tank car with interior 7,500.
heating coils used to
transport Division 2.3 or
Division 6.1, PG I, based
on inhalation toxicity.
173.31(e)(2)......................... Use of a tank car for a 10,000.
material poisonous by
inhalation that does not
meet the minimum
specification i.e., 300
pound tank test pressure,
head protection, and a
metal jacket.) See the
paragraph for the
compliance dates.
173.31(f)............................ Use of a tank car for a 5,000.
``listed'' hazardous
substance that does not
meet the minimum
specification (i.e., 200
pound tank test pressure,
head protection, and a
metal jacket.): See the
paragraph for the
compliance dates and Sec.
173.31(f)(2) for the list
of hazardous substances.
173.31(g)(1)......................... Unloading a tank car 4,000.
without securing access to
the track to prevent entry
by other rail equipment.
Derails, lined and blocked
switches, or other
equipment that provides
equivalent level of
security is acceptable.
173.31(g)(2)......................... Unloading a tank car 2,000.
without caution signs
properly displayed. (See
Part 218, Subpart B).
[[Page 77303]]
173.31(g)(3)......................... Unloading without brakes
set and/or wheels blocked.
(The enforcement standard,
as per 1995 Hazardous
Materials Technical
Resolution Committee, is
that sufficient handbrakes
must be applied on one or
more cars to prevent
movement and each car with
a handbrake set must be
blocked in both
directions. The unloading
facility must make a
determination on how many
brakes to set.).
--No brakes set, no wheels 5,000.
blocked, or fewer brakes
set/wheels blocked than
facility's operating plan.
--No brakes set, but wheels 3,000.
blocked.
--Brakes set, but wheels 4,000.
not blocked.
----------------------------------------------------------------------------------------------------------------
173.32(a)(1)......................... Using a portable tank for 5,000.
transportation of
hazardous materials, when
tank does not meet
regulatory requirements.
(For loose closures or
leaks on portable tanks
use 173.24.).
173.32(a)(2)......................... Filling and offering 5,000.
portable tank when
periodic test or
inspection overdue.
----------------------------------------------------------------------------------------------------------------
Gases; Preparation and Packaging:
----------------------------------------------------------------------------------------------------------------
173.314(c)........................... Compressed gas loaded in 6,000.
excess of filling density
(same basic concept as
insufficient outage).
173.314(e) through (o)............... Failure to comply with a 5,000.
special requirement for a
compressed gas.
----------------------------------------------------------------------------------------------------------------
PART 174--CARRIAGE BY RAIL
----------------------------------------------------------------------------------------------------------------
General Requirements:
----------------------------------------------------------------------------------------------------------------
174.3................................ Acceptance of improperly prepared shipment. This general duty section
shall be accompanied by a citation to the specific section violated.
174.9................................ Failure to properly inspect For loaded car 5,000.
a rail car containing a For residue car 2,000.
hazardous material when
accepted for
transportation or placed
in a train: The carrier
shall inspect the rail
car, at ground level, for
required markings, labels,
placards, securement of
closures and leakage. The
inspection may be
performed in conjunction
with the inspections
required under parts 215
and 232. This requirement
will not ``trigger'' an
inspection and thereby
require a train to be
stopped. For example, in
run-through train
operations, the train crew
of the receiving railroad
simply assumes
responsibility for the
train from the delivering
crew. Acceptance of
responsibility includes
the right to receive a
penalty action for
transporting a rail car
with a non-complying
condition. Note also that
the presence of a non-
complying condition by
itself does not prove that
there was a failure to
inspect. See also Sec.
174.50 for violations
against the carrier for
loose (visible from ground
level) closures on cars.
174.14............................... Failure to expedite: 2,500.
Violation of ``48-hour
rule.''.
----------------------------------------------------------------------------------------------------------------
General Operating Requirements........... This subpart (Subpart B) of Part 174 has two sections referring to
shipment documentation: Sec. 174.24 relating to accepting
documents, and Sec. 174.26 relating to movement documents in the
possession of the train crew. Only the most relevant section should
be cited. In most cases, the unit of violation is the shipment,
although where a unified consist is used to give notice to the crew,
there is some justification for making it the train, especially
where the discrepancy was generated using automated data processing
and the error is repetitious.
----------------------------------------------------------------------------------------------------------------
174.24(a)............................ Accepting hazardous
material shipment without
properly prepared shipping
paper. (The carrier's duty
extends only to the
document received, that
is, a shipment of
hazardous material in a
non-placarded transport
vehicle with a shipping
paper showing other than a
hazardous material is not
a violation against the
carrier unless knowledge
of the contents of the
vehicle is proved.
Likewise, receipt of a
tank car placarded for
Class 3 with a shipping
paper indicating a
flammable liquid does not
create a carrier violation
if the car, in fact,
contains a corrosive. On
the other hand, receipt of
a placarded trailer with a
shipping paper listing
only FAK (``freight-all-
kinds''), imposes a duty
on the carrier to inquire
further and to reject the
shipment if it is
improperly billed.)
----------------------------------------------------------------------
--Improper hazardous 7,500.
material information that
could cause delay or error
in emergency response.
--Total absence of 5,000.
hazardous material
information.
--Technical errors, not 1,000.
likely to cause problems,
especially with emergency
response.
--Minor errors not relating 500.
to hazardous material
emergency response, e.g.,
not listing an exemption
number and the exemption
is not one affecting
emergency response.
----------------------------------------------------------------------
Failure to include emergency response information is covered at Sec.
Sec. 172.600-.604; while the normal unit of violation for movement
documents is the whole document, failure to provide emergency
response information is a separate violation.
----------------------------------------------------------------------------------------------------------------
174.24(b)............................ Failure to retain shipping 7,500.
papers for one year.
(Variation over a wide
range is not unusual,
depending upon
circumstances.).
[[Page 77304]]
174.26(a)............................ Train crew does not have a 6,000.
document indicating
position in train of each
rail car containing a
hazardous material.
Routinely aggravate by 50%
for Poison Gas, 2.3, and
Explosives, 1.1 and 1.2.
(Train is the unit of
violation--this is
generally going to be the
consist list for a train.).
Train crew has documents 2,000 to 4,000.
described above but they
have not updated the
document to account for
delivery or pickup of car
or cars. Penalty amount
may vary depending on the
number of cars not listed
or out of place, the
number of places the cars
are off, the type of
commodity in the car, and
the potential effects on
safe handling of the cars
or emergency response.
(Each failure to update is
a separate unit of
violation--if the crew
picked up one cut of cars
and failed to update the
document, that would be
one unit of violation. The
``update'' requirement
only matures when the crew
has placed the cars into
the train--or removed them
from the train--re-laced
the air hoses, and are
ready to depart.).
----------------------------------------------------------------------------------------------------------------
174.26(b)............................ Improper paperwork in possession of train crew. (Shipment is unit of
violation, although there is justification for making it the train
if a unified consist [e.g. one that shows both train car order and
hazmat information] is used to carry this information and the
violation is a pattern one throughout all, or almost all, of the
hazardous material shipments. For intermodal traffic, ``shipment''
can mean the container or trailer--e.g., a UPS trailer with several
non-disclosed hazardous material packages would be one unit.)
----------------------------------------------------------------------
--Information on the 15,000.
document possessed by the
train crew is wrong to the
extent that it caused or
materially contributed to
a reaction by emergency
responders that aggravated
the situation or caused or
materially contributed to
improper handling by the
carrier that led to or
materially contributed to
a product release.
--Information is present 3,000.
and wrong, but without
adverse emergency response
effect (e.g. insignificant
error in shipping name for
the hazmat; name is
incorrect but the
emergency response would
be the same).
--Total lack of hazardous 7,500.
material information on
movement document. (Some
shipping names alone
contain sufficient
information to reduce the
guideline to the next
lower level, but there may
be such dangerous products
that aggravation needs to
be considered.).
--Some information is 5,000.
present but the error(s)
could cause mishandling by
the carrier or a delay or
error in emergency
response. Includes missing
RESIDUE description
required by Sec.
172.203(e)(2).
--Improper information, but 3,000.
the hazardous material are
small shipments (e.g., UPS
moves) and PG III (e.g.,
the ``low hazard''
material allowed in TOFC/
COFC service without an
exemption since HM-197).
--Lack of emergency 4,000.
response phone number.
--Technical defect or minor 500-1,000.
error not likely to cause
delay or error in
emergency response or
carrier handling.
----------------------------------------------------------------------------------------------------------------
174.50............................... Forwarding a bulk packaging For loaded car 5,000.
(e.g. a tank car) that no For residue car 2,000.
longer conforms to the
hazmat regulations without
first repairing the
defect. This includes such
non-conforming conditions
as loose closures visible
from ground level (e.g.
loose bottom outlet caps),
improper stenciling or
marking.
--Forwarding a leaking, or 5,000.
non-conforming non-bulk
package containing a
hazardous material without
repair or over-packing.
--Forwarding a leaking bulk 10,000.
package beyond the
movement ``as necessary to
reduce or to eliminate an
immediate threat * * *.''
Consider mitigation for
low hazard HM (e.g., HOT)
and for bulk packages
smaller than tank cars.
--Loss of product resulted 15,000.
in human contact because
of improper carrier
handling.
--Failure to obtain 7,500.
movement approval from the
FRA for the transportation
of a bulk packaging that
no longer conforms to the
regulations.
--Failure to follow 5,000.
directives in a movement
approval.
--Failure to report 5,000.
corrective actions (or any
other reporting
requirement in the
movement approval).
----------------------------------------------------------------------------------------------------------------
General Handling and Loading Requirements:
----------------------------------------------------------------------------------------------------------------
174.55............................... Failure to block and brace as prescribed. (See also Sec. Sec.
174.61, 174.63, 174.101, 174.112, 174.115; where these more specific
sections apply, cite them.) Note: The regulatory requirement is that
hazardous material packages be loaded and securely blocked and
braced to prevent the packages from changing position, falling or
sliding into each other. If the load is tight and secure, pieces of
lumber or other material may not be necessary to achieve the ``tight
load'' requirement.
----------------------------------------------------------------------
--General failure to block 5,000.
and brace.
--Inadequate blocking and 2,500.
bracing (an attempt was
made but blocking/bracing
was insufficient).
--Inadequate blocking and 7,500.
bracing leading to a leak.
--Inadequate blocking and 15,000.
bracing leading to a leak
and human being contact.
----------------------------------------------------------------------------------------------------------------
174.59............................... Other specific placarding and marking sections may also be
applicable.
[[Page 77305]]
Marking and placarding. A railroad's placarding duties are to not
accept a car without placards [Sec. 172.508(b)], and to not
transport a car without placards [Sec. 174.59]. At each inspection
point, a railroad must determine that all placards are in place.
[Sec. 174.9]. The ``next inspection point'' replacement
requirement in this section refers to placards that disappear
between inspection points. A car at an inspection point must be
placarded because it is ``in transportation'' [49 U.S.C. 5102(12)],
even if held up at that point. Because the statute creates civil
penalty liability only if a violation is ``knowing,'' that is, ``a
reasonable person knew or should have known that an act performed by
him was in violation of the HMR,'' and because railroads are not
under a duty to inspect hazardous material cars merely standing in a
yard, violations written for unplacarded cars in yards must include
proof that the railroad knew about the unplacarded cars and took no
corrective action within a reasonable time. (Note also that the real
problem with unplacarded cars in a railyard may be a lack of
emergency response information, Sec. Sec. 172.600-172.604, and
investigation may reveal that those sections should be cited instead
of this one.)
----------------------------------------------------------------------
--Complete failure to 7,500.
placard or to replace
missing placards.
--One placard missing (per 1,000.
car). (Add $1,000 per
missing placard up to a
total of three; then use
the guideline above).
----------------------------------------------------------------------
For other placarding violations, see Sec. Sec. 172.500-.560 and
determine if one of them more correctly states the violation. For
marking violations, see Sec. Sec. 172.300-.338 and determine if
one of them more correctly states the violation. Note that marking
violations, except for the UN number, are generally applicable to
the shipper/offeror.
----------------------------------------------------------------------------------------------------------------
174.61............................... Improper transportation of 3,000.
transport vehicle or
freight container on flat
car. (If improper lading
restraint is the
violation, see Sec.
174.55; if improper
restraint of a bulk
packaging inside a closed
transport vehicle is the
violation, see Sec.
174.63(b).).
174.63(a) and (c).................... --Improper transportation 3,000.
of portable tank or other
bulk packaging in TOFC/
COFC service.
--Portable tank double 5,000.
stacked with container
above or below. (Sec.
174.63(c)(5)(i).).
--Portable tank transported 3,000.
in a well car with its
outlet valve facing
inward. (Sec.
174.63(c)(5)(ii).).
--Portable tank transported 5,000.
without securement
fittings engaged and
locked or void filling
devices not properly
deployed.
--Improper transportation 7,500.
leading to a release of
product.
--Improper transportation 15,000.
leading to a release and
human being contact.
----------------------------------------------------------------------------------------------------------------
174.63(b)............................ Improper securement of bulk packaging inside enclosed transport
vehicle or freight container.
----------------------------------------------------------------------
--General failure to secure 5,000.
--Inadequate securement (an 2,500.
attempt to secure was made
but the means of
securement were
inadequate).
--Inadequate securement 7,500.
leading to a leak.
--Inadequate securement 15,000.
leading to a leak and
human being contact.
----------------------------------------------------------------------------------------------------------------
174.63(e)............................ Transportation of cargo 7,500.
tank or multi-unit tank
car tank in TOFC or COFC
service without
authorization and in the
absence of an emergency.
174.67(a)(1)......................... Tank car transloading 5,000.
operations performed by
persons not properly
instructed (case cannot be
based on inference).
(Note: for all
transloading requirements,
there must be clear
evidence that the hazmat
shipment is continuing in
transportation by another
mode. For example,
shipping papers show
another destination than
the one where the tank car
is being unloaded/
transloaded, and the
contents of the tank car
are being transloaded into
a highway tank truck.
Otherwise, the tank car
unloading requirements
contained in section
173.31(g) apply).
----------------------------------------------------------------------------------------------------------------
174.67(a)(2)......................... Unloading/transloading hazmat without brakes set and/or wheels
blocked. (The enforcement standard, as per 1995 Hazardous Materials
Technical Resolution Committee, is that sufficient handbrakes must
be applied on one or more cars to prevent movement and each car with
a handbrake set must be blocked in both directions. The unloading
facility must make a determination on how many brakes to set.)
----------------------------------------------------------------------
--No brakes set, no wheels 5,000.
blocked, or fewer brakes
set/wheels blocked than
facility's operating plan.
--No brakes set, but wheels 3,000.
blocked.
--Brakes set, but wheels 4,000.
not blocked.
----------------------------------------------------------------------------------------------------------------
174.67(a)(3)......................... Unloading/transloading 4,000.
without securing access to
the track to prevent entry
by other rail equipment.
Derails, lined and blocked
switches, or other
equipment that provides
equivalent level of
security is acceptable.
174.67(a)(4)......................... Unloading/transloading 2,000.
without caution signs
properly displayed. (See
Part 218, Subpart B).
174.67(a)(5)......................... Failure of transloading 2,500.
facility to maintain
written safety procedures
(such as those it may
already be required to
maintain pursuant to the
Department of Labor's
Occupational Safety and
Health Administration
requirements in 29 CFR
1910.119 and 1910.120) in
a location where they are
immediately available to
hazmat employees
responsible for the
transloading operation.
----------------------------------------------------------------------
[[Page 77306]]
174.67(c)(2)......................... Failure to use non-metallic block to prop manway cover open while
unloading through bottom outlet.
----------------------------------------------------------------------
--Flammable or combustible 3,000.
liquid, or other product
with a vapor flash point
hazard.
--Material with no vapor 500.
flammability hazard.
174.67(h)............................ Insecure unloading 10,000.
connections, resulting in
actual leak of product.
Insecure unloading 5,000.
connections, no leak of
product.
174.67(i)............................ Unattended/unmonitored 5,000.
unloading. Tank car must
be attended by a
designated employee or
monitored by a signaling
system.
174.67(j)............................ Noncompliance with piping 2,000.
requirements.
----------------------------------------------------------------------
174.67(k)............................ Failure to comply with requirements for leaving tank car unloading
connections attached.
----------------------------------------------------------------------
--Hazardous material with 2,000.
insignificant vapor
pressure and without
classification as
``poison'' or ``inhalation
hazard.'' (One count can
be assessed for each
element not followed. May
also assess per tank car
if more than one is
involved in violation)..
--With actual leak......... 5,000.
--With leak allowing the 15,000.
product to contact any
human being.
--Hazardous material with 5,000.
vapor pressure
(essentially any gas or
compressed gas) and/or
with classification as
``poison'' or ``inhalation
hazard.''.
--With actual leak......... 7,500.
--With leak allowing the 15,000.
product (or fumes or
vapors) to contact any
human being). Contact with
``fumes'' must be
substantial.
174.67(l)............................ Failure to remove 2,000.
connections, tighten all
valves with a ``suitable
tool'' and tighten all
other closures once
unloading is complete.
174.81............................... --Failure to obey 6,000.
segregation requirements
for materials forbidden to
be stored or transported
together. (``X'' in the
table).
--Failure to obey 4,000.
segregation requirements
for materials that must be
separated to prevent
commingling in the event
of a leak. (``O'' in the
table).
----------------------------------------------------------------------------------------------------------------
Handling of Placarded Rail Cars, Transport Vehicles and Freight Containers:
----------------------------------------------------------------------------------------------------------------
174.83(a)............................ Improper switching of 5,000.
placarded rail cars.
174.83(b)............................ Improper switching of 8,000.
loaded rail car containing
Division 1.1/1.2, 2.3 PG I
Zone A, or Division 6.1 PG
I Zone A, or DOT 113 tank
car placarded for 2.1.
174.83(c)-(e)........................ Improper switching of 5,000.
placarded flatcar.
174.83(f)............................ Switching Division 1.1/1.2 8,000.
without a buffer car or
placement of Division 1.1/
1.2 car under a bridge or
alongside a passenger
train or platform.
174.84............................... Improper handling of 4,000.
Division 1.1/1.2, 2.3 PG I
Zone A, 6.1 PG I Zone A in
relation to guard or
escort cars.
----------------------------------------------------------------------
174.85............................... Improper Train Placement (The unit of violation under this section is
the car. Where more than one placarded car is involved, e.g., if two
(2) placarded cars are too close to the engine, both are violations.
Where both have a similar violation, e.g., a Division 1.1 car next
to a loaded tank car of a Class 3 material, each car gets the
appropriate penalty as listed below)
----------------------------------------------------------------------
RESIDUE car without at 3,000.
least 1 buffer from engine
or occupied caboose.
������������������������������������������----------------------------------------------------------------------
Placard Group 1--Division 1.1/1.2 materials (Class A explosive) See
chart at Sec. 174.85.
----------------------------------------------------------------------
--Fewer than six (6) cars 8,000.
(where train length
permits) from engine or
occupied caboose.
--As above but with at 7,000.
least one (1) buffer.
--No buffer at all (where 8,000.
train length doesn't
permit five (5) cars).
--Next to open top car or 7,000.
car with permanent
bulkheads, where lading
extends beyond car ends/
bulkheads or, if shifted,
would be beyond car ends/
bulkheads.
--Next to loaded flat car, 6,000.
except closed TOFC/COFC
equipment, auto carriers,
specially equipped car
with tie-down devices.
--Next to operating 7,000.
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded car, 7,000.
except one from same
placard group or
COMBUSTIBLE.
----------------------------------------------------------------------
Placard Group 2--Division 1.3/1.4/1.5 (Class B and C explosives);
Division 2.1/2.2 (compressed gas, other than Division 2.3, PG 1 Zone
A; Class 3 (flammable liquids); Class 4 (flammable solid); Class 5
(oxidizing materials); Class 6 (poisonous liquids), except 6.1 PG 1
Zone A; Class 8 (corrosive materials). See chart at Sec. 174.85.
----------------------------------------------------------------------
For tank cars:
----------------------------------------------------------------------
--Fewer than six (6) cars 6,000.
(where train length
permits) from engine or
occupied caboose.
--As above but with at 5,000.
least one (1) buffer.
No buffer at all (where 6,000.
train length doesn't
permit five (5)).
--Next to open top car or 5,000.
car with permanent
bulkheads, where lading
extends beyond car ends/
bulkheads or, if shifted,
would be beyond car ends/
bulkheads.
[[Page 77307]]
--Next to loaded flat car, 5,000.
except closed TOFC/COFC
equipment, auto carriers,
specially equipped car
with tie-down devices.
--Next to operating 5,000.
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded car, 5,000.
except one from same
placard group or
COMBUSTIBLE.
----------------------------------------------------------------------
For other rail cars:
----------------------------------------------------------------------
--Next to placarded car, 5,000.
except one from same
placard group or
COMBUSTIBLE.
----------------------------------------------------------------------
Placard Group 3--Divisions 2.3 (PG 1 Zone A; poisonous gases) and 6.1
(PG 1 Zone A; poisonous materials).
----------------------------------------------------------------------
For tank cars:
----------------------------------------------------------------------
--Fewer than six (6) cars 8,000.
(where train length
permits) from engine or
occupied caboose.
--As above but with at 7,000.
least one (1) buffer
No buffer at all (where 8,000.
train length doesn't
permit five (5)).
--Next to open top car or 7,000.
car with permanent
bulkheads, where lading
extends beyond car ends/
bulkheads or, if shifted,
would be beyond car ends/
bulkheads.
--Next to loaded flat car, 6,000.
except closed TOFC/COFC
equipment, auto carriers,
specially equipped car
with tie-down devices.
--Next to operating 7,000.
temperature-control
equipment or internal
combustion engine in
operation.
--Next to placarded car, 7,000.
except one from same
placard group or
COMBUSTIBLE.
----------------------------------------------------------------------
For other rail cars:
----------------------------------------------------------------------
--Next to placarded car, 5,000.
except one from same
placard group or
COMBUSTIBLE.
----------------------------------------------------------------------
Placard Group 4--Class 7 (radioactive) materials
----------------------------------------------------------------------
For rail cars:
----------------------------------------------------------------------
--Next to locomotive or 8,000.
occupied caboose.
--Next to placarded car, 5,000.
except one from same
placard group or
COMBUSTIBLE.
--Next to carload of 3,000.
undeveloped film.
----------------------------------------------------------------------------------------------------------------
174.86............................... Exceeding maximum allowable 3,000.
operating speed (15 mph)
while transporting molten
metals or molten glass.
----------------------------------------------------------------------------------------------------------------
Class 1 (Explosive) Materials:
----------------------------------------------------------------------------------------------------------------
174.101(o)(4)........................ Failure to have proper explosives placards on flatcar carrying
trailers/containers placarded for Class 1. (Except for a complete
failure to placard, the unit of violation is the placard.)
----------------------------------------------------------------------
--Complete failure to 7,500.
placard.
--One placard missing (add 1,000.
$1,000 per missing placard
up to a total of three,
then use the guideline
above).
174.104(b)........................... Car used to transport 5,000.
Division 1.1 or 1.2
materials does not meet
requirements. (Aggravation
to be considered, and may
be considerable, for
multiple failures to meet
requirements.).
174.104(c)........................... Failure to inspect and 7,500.
certify car before placing
for loading with Division
1.1 or 1.2 materials.
174.104(e)........................... Failure to supervise the 5,000.
loading and securement of
a container (of Division
1.1 or 1.2 materials) on a
flat car and failure to
certify the car. (Unit of
violation is the
container.).
174.104(f)........................... Failure to retain car 1,000.
certificates at
``forwarding station.''.
Failure to attach car 1,000.
certificates to car. (Unit
of violation is the
certificate, two (2) are
required.)
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Class 2 (Gases) Materials:
----------------------------------------------------------------------------------------------------------------
174.204.............................. Improper tank car delivery 3,000.
of gases (Class 2
materials).
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Class 3 (Flammable Liquid) Materials:
----------------------------------------------------------------------------------------------------------------
174.304.............................. Improper tank car delivery 3,000.
of flammable liquids
(Class 3 materials).
----------------------------------------------------------------------------------------------------------------
Detailed Requirements for Division 6.1 (Poisonous) Materials:
----------------------------------------------------------------------------------------------------------------
174.600.............................. Improper tank car delivery 5,000.
of materials extremely
poisonous by inhalation
(Division 2.3 Zone A or
6.1 Zone A materials).
----------------------------------------------------------------------------------------------------------------
[[Page 77308]]
PART 178--SPECIFICATIONS FOR PACKAGINGS
----------------------------------------------------------------------------------------------------------------
178.2(b)................................. Package not constructed according to specifications--also cite
specific section not complied with.
----------------------------------------------------------------------
--Bulk packages, including 8,000.
portable tanks.
--55-gallon drum........... 2,500.
--Smaller package.......... 1,000.
----------------------------------------------------------------------------------------------------------------
PART 179--SPECIFICATIONS FOR TANK CARS
----------------------------------------------------------------------------------------------------------------
179.1(e)................................. Tank car not constructed 8,000.
according to
specifications--also cite
section not complied with.
(Part 179 violations are
against the builder or
repairer. Sections in this
Part are often cited in
conjunction with
violations of Sec. Sec.
172.330 and 173.31(a) and
(b) by shippers. In such
cases, the part 179
sections are cited as
references, not as
separate alleged
violations.).
179.3.................................... Constructing tank car 10,000.
without securing approval
from Tank Car Committee.
179.5(a)................................. Failure to furnish a 7,500.
Certificate of
Construction before tank
car is placed in service.
179.6.................................... Repair procedures not in 10,000.
compliance with Appendix R
of the Tank Car Manual.
----------------------------------------------------------------------
179.7.................................... Section 179.7 requires that each tank car facility have a quality
assurance (QA) program that encompasses at least the elements in
Sec. 179.7(b). A tank car facility is an entity that manufactures,
repairs, inspects, tests, qualifies, or maintains a tank car to
ensure that the tank car conforms to parts 179 and 180, or alters
the certificate of construction of the car. As a rule, a facility
``qualifies'' a tank by ``inspecting'' it and then ``representing''
it as meeting the standard. In addition to the following penalty
amounts, the agency may ``recall'' all tanks qualified by the tank
car facility during the period the facility failed to comply with
the quality assurance requirements. See, for example, Sec.
180.509(b)(4).
----------------------------------------------------------------------
Total failure to have a 15,000.
quality assurance program.
Failure to perform 10,000.
activities as a tank car
facility other than in
accordance with the
quality assurance program.
See 180.509(l) for
applicability to tank car
maintenance activities.
Note that failures to
perform ministerial
activities such as
updating the pages in a
quality assurance manual
or calibrating an
instrument carry a lesser
penalty (e.g. $2,500),
unless they are the cause
of a release or an injury
or death.
The quality assurance 7,500.
program does not contain
one or more of the
elements in Sec.
179.7(b). (The ``element''
is the unit of violation.).
Failure to provide written 7,500.
procedures to its
employees.
Use of an employee to 10,000.
perform nondestructive
testing on a tank when
that employee does not
have the qualifications
for that type of
nondestructive testing.
179.11................................... Use of an employee to 10,000.
perform welding on a tank
when that employee does
not have the
qualifications for that
type of welding procedure.
Note: also reference Sec.
Sec. 179.100-9, 179.200-
10, 179.220-10, 179.300-9,
and 179.400-11 as
appropriate.
179.13................................... Tank cars may not be built Varies. See 173.26 for overloaded cars.
or converted to exceed
34,500 gallons capacity or
263,000 pounds gross
weight on rail. This is
the building specification
only; for tank cars loaded
beyond capacity or gross
weight see 173.26.
179.15................................... Pressure relief device 5,000.
(e.g. rupture disc) that
does not conform to the
requirements (loaded car).
May also cite 173.31(d).
179.201-3(a)............................. Failure to properly line a 7,500.
rubber-lined tank car.
179.201-3(b)............................. Three possible violations 5,000.
under this section:
(1) Failure to produce
report certifying that
tank car and its equipment
have been brought into
compliance with
specification. Must occur
prior to lining tank car
with rubber or rubber
compound.
(2) Failure of tank car
liner to provide copy of
report and certification
that tank has been lined
in compliance with specs
to tank car owner.
(3) Failure of tank car
owner to retain reports of
latest lining application
until next re-lining has
been accomplished and
recorded.
----------------------------------------------------------------------------------------------------------------
PART 180--CONTINUING QUALIFICATION AND MAINTENANCE OF PACKAGINGS
----------------------------------------------------------------------------------------------------------------
180...................................... Part 180 prescribes the requirements applicable to any person that
manufactures, fabricates, marks, maintains, repairs, inspects, or
services tank cars to ensure that the tank cars are in proper
condition for transportation. In addition to the following penalty
amounts, the agency may ``recall'' all tanks qualified by the tank
car facility during the period the facility failed to comply with
the quality assurance requirements. See, for example, Sec.
180.509(b)(4).
----------------------------------------------------------------------------------------------------------------
180.505.................................. This section brings the quality assurance requirements of Sec.
179.7 (car construction) into the tank car maintenance arena. See
Sec. 179.7 for penalty guidelines, cite this section and reference
the applicable paragraph(s) or subparagraph(s). No dual penalty will
apply. (Part 180 applies the construction standards of Part 179 to
service life maintenance and requalification of tank cars.)
----------------------------------------------------------------------------------------------------------------
Tank car specific provisions:
----------------------------------------------------------------------------------------------------------------
[[Page 77309]]
180.509(a)........................... Failure to comply with requirements for inspection and test.
----------------------------------------------------------------------
--Failure to mark a car See Sec. 180.515.
passing a periodic
inspection and test.
--Failure to prepare See Sec. 180.517.
written report for
inspection and test
performed under this
section.
180.509(b)........................... Failure to perform 5,000.
inspection and test when
at least one of the
qualifying conditions has
been met.
180.509(c)........................... Failure to perform 5,000.
inspection and test at
specified interval.
180.509(d)........................... Failure to properly perform 7,500.
visual inspection.
180.509(e)........................... Failure to properly perform 10,000.
structural integrity
inspection and test.
180.509(f)........................... Failure to properly perform 10,000.
thickness test.
180.509(h)........................... Failure to properly inspect 7,500.
safety systems.
180.509(i)........................... Failure to properly perform 10,000.
lining and coating
inspection and test.
180.509(j)........................... Failure to properly perform 7,500.
leakage pressure test.
180.509(l)........................... Failure to perform 10,000.
inspection and test in
accordance with the
quality assurance program.
(Applies to all non-DOT
specification tank cars as
of July 1, 2000, but see
Sec. 180.509(l)(3) for
``20-year'' cars. See also
Sec. 179.7(f).).
180.513.............................. Failure to repair the tank 10,000.
according to Appendix R of
the AAR Tank Car Manual.
Use of an employee to 10,000.
perform welding on a tank
when that employee does
not have the
qualifications for that
type of welding procedure.
180.515.............................. Failure to mark the tank as 7,500.
required.
180.517.............................. Failure to report, record, 7,500.
and retain required
documentation.
----------------------------------------------------------------------------------------------------------------
Provisions for tank cars other than single unit tank car tanks:
----------------------------------------------------------------------------------------------------------------
180.519(a)........................... Failure to retest at Cite 180.519(b)(5).
required interval.
180.519(b)(1)........................ Failure to perform 7,500.
hydrostatic pressure/
expansion test as required.
180.519(b)(2)........................ Failure to perform interior 7,500.
air pressure test as
required.
180.519(b)(3)........................ Failure to test pressure 7,500.
relief valves as required.
180.519(b)(4)........................ Failure to remove and 5,000.
inspect frangible discs
and fusible plugs.
180.519(b)(5)........................ Failure to retest at 3,000.
required interval.
180.519(b)(6)........................ Failure to stamp tank as 5,000.
required.
180.519(c)........................... Failure to visually inspect 5,000.
as required.
Failure to use competent 5,000.
persons to perform visual
inspection.
180.519(d)........................... Failure to record and 7,500.
retain documentation.
Mitigate/aggravate
depending on the extent of
the violation.
----------------------------------------------------------------------------------------------------------------
\2\ A person who knowingly violates the hazardous materials transportation law, or regulation, special permit,
approval, or order issued thereunder, is subject to a civil penalty of at least $250 but not more than $50,000
for each violation, except that the maximum civil penalty for a violation is $100,000 if the violation results
in death, serious illness or severe injury to any person, or substantial destruction of property; and a
minimum $450 civil penalty applies to a violation related to training. Each day that the violation continues
is a separate offense. 49 U.S.C. 5123; 28 U.S.C. 2461, note.
Issued in Washington, DC on December 14, 2006.
Joseph H. Boardman,
Administrator, Federal Railroad Administration.
[FR Doc. E6-21850 Filed 12-22-06; 8:45 am]
BILLING CODE 4910-06-P