[Federal Register Volume 61, Number 144 (Thursday, July 25, 1996)]
[Rules and Regulations]
[Pages 38644-38656]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18823]
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DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Part 209
RIN 2130-AB00
Federal Railroad Administration Enforcement of the Hazardous
Materials Regulations: Penalty Guidelines
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Policy statement; final rule.
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SUMMARY: FRA is publishing the penalty guideline amounts it uses in
initial determinations of proposed civil penalty assessments for
documented violations of DOT's Hazardous Materials Regulations. This
action will make those against whom FRA enforces the Hazardous
Materials Regulations more aware of the potential consequences for
documented violations. FRA intends the publication of these penalty
guidelines to increase compliance with the Hazardous Materials
Regulations and, thereby, to enhance safety. FRA is also revising its
enforcement procedures to reflect the current statutory minimum and
maximum penalties for violations of the Federal hazardous materials
transportation safety laws.
EFFECTIVE DATE: These guidelines, and the final rule amendments, are
effective July 25, 1996.
FOR FURTHER INFORMATION CONTACT: Raymond V. Kasey, Hazardous Materials
Specialist, Office of Safety Assurance and Compliance, (202) 366-6769;
or Thomas A. Phemister, Trial Attorney, Office of the Chief Counsel,
(202) 366-0628, Federal Railroad Administration, U.S. Department of
Transportation, 400 Seventh Street, S.W., Washington, D.C. 20590.
SUPPLEMENTARY INFORMATION: FRA promulgates and enforces regulations
implementing the Federal railroad safety laws, 49 U.S.C. 20101 et seq.;
49 CFR 1.49, Parts 209, 213-240. For railroads and those who ship
hazardous materials by railroad, FRA enforces regulations implementing
the Federal hazardous materials transportation safety laws, 49 U.S.C.
5101 et seq.; 49 CFR 1.49(s), 107, 171-180. FRA works with its partner
DOT agency, the Research and Special Programs Administration (RSPA), in
the promulgation of railroad-oriented regulations implementing the
Federal hazardous materials transportation law.
In all areas of its railroad safety enforcement authority except
hazardous materials, FRA's traditional practice has been to issue a
penalty schedule
[[Page 38645]]
assigning to each particular regulation specific dollar amounts for
initial penalty assessments. The schedules generally constitute a
statement of agency policy and are ordinarily issued as an appendix to
the relevant part of the Code of Federal Regulations. The same has not
been true for FRA's enforcement of the Hazardous Materials Regulations
against railroads and those who ship by rail. Two main reasons
supported this policy. First, the Research and Special Programs
Administration (RSPA), in partnership with FRA, issues the Hazardous
Materials Regulations promulgated by the Department. On March 6, 1995,
RSPA published its own penalty guidelines (60 FR 12139), taking an
appropriate lead in this area. The guidelines issued by FRA today
complement RSPA's penalty guidelines, which together provide clear
direction to carriers and shippers in this unique intermodal area.
Second, the nature of hazardous materials transportation is such that a
simple penalty schedule (a violation of Sec. X equates to a penalty of
$Y), as used by FRA in most other areas of its enforcement activities,
can only cover the broad categories of violation and does not account
for the vast differences in the hazards between, for instance,
liquefied carbon dioxide and hydrocyanic acid. With the publication of
the guidelines in this document, FRA believes it has given its
customers counsel and direction that a mere schedule of monetary
penalties cannot convey.
Following discussions among the administrations and in response to
a request contained in Senate Report 103-150 that accompanied the
Department of Transportation and Related Agencies Appropriations Act,
1994, FRA has decided to publish an additional appendix to its
enforcement procedures at 49 CFR Part 209. Appendix A--Statement of
Agency Policy Concerning Enforcement of the Federal Railroad Safety
Laws--will continue as the fundamental repository of agency enforcement
policy; Appendix B, published with this notice, will augment it with
penalty guideline information specific to violations of the Hazardous
Materials Regulations. FRA's customers in the regulated community will
now be more aware of the specific potential civil penalty consequences
of not following the regulations, and teams from FRA's Office of Safety
Assurance and Compliance will have a flexible tool to foster
consistency in their recommendations for civil penalties.
FRA does not necessarily take a formal enforcement action every
time it discovers a deviation from the Federal railroad safety laws.
Under the Safety Assurance and Compliance Program announced by FRA in
1995, FRA's efforts are focused on producing safety results, not
imposing punishment. Many deficiencies can be corrected through a
simple conversation between the inspector and the shipper or carrier
personnel on scene. Correction of others may become the focus of FRA
outreach meetings or may be worked into corporate safety action plans.
However, when these efforts do not produce regulatory compliance and
safe practices or when FRA decides that enforcement action is called
for, it has a range of enforcement tools and has the authority to
choose those best suited to the circumstances. One of these tools (the
emergency order, under 49 U.S.C. 20104(a)) can be used to address an
immediate hazard even if no existing law has been violated.
Wide discretion in choosing the means of enforcement calls for
general guidelines to ensure effectiveness, fairness, and an acceptable
level of consistency. The purpose of guidelines is not to dictate
absolutely identical treatment of identical situations; that would be
an unrealistic ideal based on the false assumption that each of the
many variables going into an enforcement decision could objectively and
accurately be quantified. Instead, the purpose of the agency's
hazardous materials civil penalty guidelines is to control the
necessarily subjective elements of this process as much as is feasible
by requiring that those making enforcement decisions weigh the same
factors and make full use of objective information bearing on those
factors. In this way, the appropriate enforcement tool is applied,
responsible discretionary judgments are made, and an acceptable level
of consistency in similar situations is achieved.
FRA's Statement of Agency Policy Concerning Enforcement of the
Federal Railroad Safety Laws (49 CFR Part 209, Appendix A) stresses
that discretion begins at the field and regional levels: Inspectors
make initial determinations on the need for enforcement action, and
regional specialists play an active role in reviewing those
determinations with an eye toward effectiveness and consistency. Office
of Safety Assurance and Compliance headquarters personnel are
responsible for spotting national trends in the data that require
enforcement action and for providing guidance to the regional and field
staffs on difficult enforcement policy issues.
FRA's policy statement sets forth seven factors to be considered in
making enforcement decisions:
The inherent seriousness of the condition or action.
The kind and degree of potential safety hazard the
condition or action poses in light of the immediate factual situation.
Any actual harm to persons or property already caused by
the condition or action.
The offending person's general level of current compliance
as revealed by the inspection as a whole.
The person's recent history of compliance with the
relevant set of regulations, especially at the specific location (or
division of the railroad involved).
Which enforcement remedy is most appropriate under the
circumstances.
Such other factors as the immediate circumstances make
relevant.
Just as there are a series of considerations that inform the
decision to take enforcement action, so there are considerations to be
applied to determining the amount of a civil penalty. By statute, the
following are considered: (a) The nature, circumstances, extent, and
gravity of the violation; (b) with respect to the violator, the degree
of culpability, any history of violations, the ability to pay, and any
effect on the ability to continue to do business; and (c) other matters
as justice requires. (49 U.S.C. Secs. 5123(c) and 21301(a)(3).) FRA has
developed penalty guidelines for hazardous materials cases to aid in
applying these assessment criteria at the initial penalty assessment
stage, based on the information known about a particular case. Because
the guidelines in this notice are merely a general statement of agency
policy and practice, are non-binding, and are periodically updated,
they are being published as an informational appendix to FRA's
enforcement regulations, as Appendix B to 49 CFR Part 209. They are
published without public notice or comment because they are merely
informational, are not finally determinative of any issues or rights,
and do not have the force of law. For a discussion of relevant case
law, see the preamble to RSPA's publication of its penalty guidelines,
60 FR 12139.
The guidelines published in this notice are a preliminary
assessment tool used by FRA personnel, and they create no rights in any
party. They contain baseline amounts for violations that frequently
have been cited by FRA hazardous materials inspectors. When a violation
not described in the guidelines is encountered, a new guideline is
developed, typically by analogy to a similar violation in the
guidelines. Their application is a starting point to
[[Page 38646]]
promote consistency. No two cases are identical. The baseline amount or
range is an initial reflection of the nature, extent, circumstances,
and gravity of the violation as compared with other types of
violations. The FRA attorney can vary from the guidelines as necessary
to reflect a case's particular facts. This notice publishes the
guidelines as they existed on March 31, 1996; FRA plans to publish
updated and revised guidelines from time to time.
A respondent receives the first notice that FRA may be seeking
civil penalties when the FRA inspector informs him/her that a violation
will be recommended. If the inspector's report is approved by the
regional office and passes legal review in the Office of Chief Counsel,
the respondent will receive a Notice of Probable Violation (NOPV) in
which a charge of violation is made, accompanied by a summary of the
alleged violations and the penalty amounts FRA proposes. A separate
document sent with the NOPV lists the respondent's three options: Pay
the penalty proposed, seek an informal conference, or request a formal
hearing before a hearing officer. The election to pursue informal
resolution does not preclude respondent from later seeking a formal
hearing.
During the informal resolution process, the respondent and the FRA
attorney assigned to the case review any defenses or mitigating
information presented. The new information presented and arguments made
since the initial penalty assessment often leads to a re-evaluation of
the penalty in light of statutory considerations. One very important
factor is any remedial action taken by the respondent to prevent a
recurrence of similar violations. Following discussions between the FRA
attorney and the respondent, they typically reach an agreement on the
amount of penalty, if any, to be paid. FRA's findings of fact and the
agreement on the penalty amount are then memorialized in an Order
Assessing Civil Penalty. The respondent pays the penalty, and the case
is closed. Under FRA's procedures, the respondent who will not agree to
a compromise settlement can request a formal hearing.
If the respondent makes such a request, the matter is assigned to a
hearing officer who hears both sides and renders a decision. FRA
retains the right to amend its NOPV prior to hearing and to seek the
maximum statutory amount for each violation. If the decision is against
the respondent, the hearing officer is bound only by the statutory
maximum and minimum civil penalty amounts and the statutory penalty
considerations.
To summarize, the FRA guidelines consist of a listing of violations
and the baseline penalty, or range of penalties, proposed for each as
of March 31, 1996. The guidelines presuppose flexibility in their
application, and FRA proposes to re-publish the then-current guidelines
as appropriate.
The Hazardous Materials Transportation Uniform Safety Act of 1990
(P.L. 101-615), March 16, 1990) amended the penalty provisions for
violations of the Federal hazardous materials transportation safety
laws. The maximum penalty had been $10,000; the 1990 Act increased it
to $25,000 and established a minimum of $250. Accordingly, FRA is
amending the statutory references and minimum and maximum penalty
amounts in its enforcement procedures to reflect current law. FRA also
clarifies that its authority to amend an NOPV at any time prior to
issuance of an order includes authority to amend the proposed penalty
to the statutory maximum. Finally, FRA makes technical amendments to
reflect recodification of the Federal railroad safety laws by Pub. L.
103-272. These amendments affect 49 CFR 209.101, 209.103, 209.105,
209.131, 209.133, and 209.201.
Rulemaking Analyses and Notices
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. This rule is not
significant under the Regulatory Policies and Procedures of the
Department of Transportation (44 FR 11034). The economic impact of this
final rule is minimal to the extent that preparation of a regulatory
evaluation is not warranted.
Executive Order 12612
This final rule merely updates recodified statutory references in a
portion of the CFR; no requirements are changed as a result. The policy
statement is an informational appendix and imposes no requirements.
Thus, preparation of a federalism assessment is not warranted.
Regulatory Flexibility Act
I certify that this final rule will not have a significant economic
impact on a substantial number of small entities. This rule applies to
shippers of hazardous materials by railroad, to manufacturers of
packagings used for the transportation of hazardous materials by
railroad, and to railroads. Some of these are small entities; however,
there will be no significant economic impact.
Paperwork Reduction Act
There are no new information requirements in this final rule.
List of Subjects in 49 CFR Part 209
Administrative practices and procedure, Hazardous materials
transportation, Penalties, Reporting and recordkeeping requirements.
In consideration of the foregoing, 49 CFR Part 209 is amended as
follows:
PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES
1. The authority citation for part 209 continues to read as
follows:
Authority: 49 U.S.C. Chs. 51, 57, 201, and 213; 49 CFR 1.49.
2. Section 209.101(a) is revised to read as follows:
Sec. 209.101 Civil penalties generally.
(a) Sections 209.101 through 209.121 prescribe rules of procedure
for the assessment of civil penalties pursuant to the Federal hazardous
materials transportation safety law, 49 U.S.C. Chapter 51.
* * * * *
3. Section 209.103 is revised to read as follows:
Sec. 209.103 Minimum and maximum penalties.
A person who knowingly violates a requirement of 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 $25,000 for each violation. When the
violation is a continuing one, each day of the violation constitutes a
separate offense. 49 U.S.C. 5123.
4. Section 209.105 is amended by revising paragraphs (a) and (c) to
read as follows:
Sec. 209.105 Notice of probable violation.
(a) FRA, through the Chief Counsel, begins a civil penalty
proceeding by serving a notice of probable violation on a person
charging him or her with having violated one or more provisions of
subchapter A or C of chapter I, subtitle B of this title. Appendix B to
this part contains guidelines used by the chief counsel in making
initial penalty assessments.
* * * * *
(c) The FRA may amend the notice of probable violation at any time
prior to the entry of an order assessing a civil penalty. If the
amendment contains any
[[Page 38647]]
new material allegation of fact, the respondent is given an opportunity
to respond. In an amended notice, FRA may change the penalty amount
proposed to be assessed up to and including the maximum penalty amount
of $25,000 for each violation.
5. Section 209.131 is revised to read as follows:
Sec. 209.131 Criminal penalties generally.
The Federal hazardous materials transportation safety laws (49
U.S.C. 5124) provide a criminal penalty of a fine under title 18,
United States Code, and imprisonment for not more than 5 years, or
both, for any person who knowingly violates 49 U.S.C. 5104(b) or who
willfully violates chapter 51 of title 49, United States Code, or a
regulation prescribed or order issued under that chapter.
6. Section 209.133 is revised 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 other employee of FRA becomes aware of a
possible willful violation of the Federal hazardous materials
transportation safety laws (49 U.S.C. Chapter 51) or a regulation
issued under those laws for which FRA exercises enforcement
responsibility, he or she reports it to the Chief Counsel. If evidence
exists tending to establish a prima facie case, and if it appears that
assessment of a civil penalty would not be an adequate deterrent to
future violations, the Chief Counsel refers the report to the
Department of Justice for criminal prosecution of the offender.
7. Section 209.201 is revised to read as follows:
Sec. 209.201 Compliance orders generally.
(a) This subpart prescribes rules of procedure leading to the
issuance of compliance orders pursuant to the Federal railroad safety
laws at 49 U.S.C. 5121(a) and/or 20111(b).
(b) The FRA may commence a proceeding under this subpart when FRA
has reason to believe that a person is engaging in conduct or a pattern
of conduct that involves one or more violations of the Federal railroad
safety laws or any regulation or order issued under those laws for
which FRA exercises enforcement authority.
8. Appendix B is added to Part 209 to read as follows:
Appendix B to Part 209--Federal Railroad Administration Guidelines
for Initial Hazardous Materials Assessments
These guidelines establish benchmarks to be used in determining
initial civil penalty assessments for violations of the Hazardous
Materials Regulations (HMR). 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, on a scale of $250 to
$25,000, of the various violations routinely encountered by FRA
inspectors. (49 U.S.C. 5123) Unless otherwise specified, the
guideline amounts refer to average violations, that is, violations
involving a hazardous material with a medium level of hazard, and a
violator with an average compliance history. In an ``average
violation,'' the respondent has committed the acts due to a failure
to exercise reasonable care under the circumstances (``knowingly'').
For some sections, the guidelines contain a breakdown according to
relative severity of the violation, for example, the guidelines for
shipping paper violations at 49 CFR Secs. 172.200-.203. All
penalties in these guidelines are subject to change depending upon
the circumstances of the particular case. The general duty sections,
for example Secs. 173.1 and 174.7, are not ordinarily cited as
separate violations; they are primarily used as explanatory
citations to demonstrate applicability of a more specific section
where applicability is otherwise unclear.
FRA believes that infractions of the regulations that lead to
personal injury are especially serious; this is directly in line
with Department of Transportation policy that hazardous materials
are only safe for transportation when they are securely sealed in a
proper package. (Some few containers, such as tank cars of carbon
dioxide, are designed to vent off excess internal pressure. They are
exceptions to the ``securely sealed'' rule.) ``Personal injury'' has
become somewhat of a term of art, especially in the fields of
occupational safety and of accident reporting. To avoid confusion,
these penalty guidelines use the notion of ``human contact'' to
trigger penalty aggravation. In essence, any contact by a hazardous
material on a person during transportation is a per se injury and
proof will not be required regarding the extent of the physical
contact or its consequences. When a violation of the Hazardous
Materials Regulations causes a death or serious injury, the maximum
penalty of $25,000 shall always be assessed initially.
These guidelines are a preliminary assessment tool for FRA's
use. They create no rights in any party. FRA is free to vary from
them when it deems appropriate and may amend them from time to time
without prior notice. Moreover, FRA is not bound by any amount it
initially proposes should litigation become necessary. In fact, FRA
reserves the express authority to amend the NOPV to seek a penalty
of up to $25,000 for each violation at any time prior to issuance of
an order.
Penalty Assessment Guidelines
------------------------------------------------------------------------
Emergency orders Guideline
------------------------------------------------------------------------
EO16............................... Penalties for 5,000
violations of EO16
vary depending on the
circumstances.
EO17............................... Penalties for (\1\)
violations of EO17
vary depending on the
circumstances.
Failure to file annual 5,000
report.
------------------------------------------------------------------------
\1\ Varies.
------------------------------------------------------------------------
49 CFR section Description Guideline
------------------------------------------------------------------------
PART 107
------------------------------------------------------------------------
107.608............................ Failure to register or 1,000
to renew
registration. (Note:
registration--or
renewal--is
mitigation.).
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PART 171
------------------------------------------------------------------------
171.2(c)........................... Representing (marking, 8,000
certifying, selling,
or offering) a
packaging as meeting
regulatory
specification when it
does not.
171.2(f)(2)........................ Billing, marking, etc. 2,000
for the presence of
HM when no HM is
present. (Mitigation
required for
shipments smaller
than a carload, i.e.,
single drum penalty
is 1,000).
171.12............................. Import shipments-- 4,000
Importer not
providing shipper and
forwarding agent with
US requirements.
Cannot be based on
inference.
Import shipments-- 2,000
Failure to certify by
shipper or forwarding
agent.
171.15............................. Failure to provide 6,000
immediate notice of
certain hazardous
materials incidents.
[[Page 38648]]
171.16............................. Failure to file 4,000
incident report (form
DOT 5800.1). (Note:
Multiple failures
will aggravate the
penalty; see the
expert attorney.).
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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 Secs.
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.).
--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 7,500
hazardous materials
information on
shipping paper. (Some
shipping names alone
contain sufficient
information to reduce
the guideline to the
next lower level, but
they 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.
--When the improper 2,000
description is not
likely to cause
serious problem
(technical defect).
--Shipping paper 7,500
includes a hazardous
materials description
and no hazardous
materials are present.
Note: Failure to
include emergency
response information
is covered at Secs.
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.
172.204........................ Shipper's failure to 2,000
certify.
172.205........................ Hazardous waste 4,000
manifest. (Applies
only to defects in
the Hazardous Waste
Manifest form [EPA
Form 8700-22 and 8700-
22A]; shipping paper
defects are cited and
penalized under Sec.
172.200-.203.).
Marking............................ The guidelines for
``marking''
violations
contemplate a total
lack of the
prescribed mark.
Obviously, where the
package (including a
whole car) is
partially marked,
mitigation should be
applied.
172.301........................ Failure to mark a non- 1,000
bulk package as
required (e.g., no
commodity name on a
55-gallon drum).
(Shipment is the unit
of violation.).
172.302........................ Failure to follow 2,000
standards for marking
bulk packaging.
(Note: If a more
specific section
applies, cite it and
its penalty
guideline.).
172.302(a)..................... ID number missing or 2,500
in 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 2,000
correct size of
markings. (Note: If
Sec. 172.326(a) is
also cited, it takes
precedence and
.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 2,000
exemption 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 10,000
and caused or
contributed to a
wrong emergency
response.
--Inconsistent 5,000
marking; e.g.,
Shipping name and ID
number do not agree.
--Marked as a 2,000
hazardous material
when package does not
contain a hazardous
material.
172.313........................ ''Inhalation Hazard'' 2,500
not marked.
172.322........................ Failure to mark for 1,500
MARINE POLLUTANT
where required.
172.325(a)..................... Improper, or missing, 1,500
HOT mark for elevated
temperature material.
172.326(a)..................... Failure to mark a 2,500
portable tank with
the commodity name.
172.326(b)..................... Owner's/lessee's name 500
not displayed.
172.326(c)..................... Failure to mark 2,500
portable tank with ID
number.
172.330(a)(1)(i)............... Offering/transporting 2,500
hazardous materials
in a tank car that
does not have the
required shipping
name or common name
stenciled on the car;
include reference to
section requiring
stenciling, such as
Sec. 173.314(b) (5)
or (6).
172.330(a)(1)(ii).............. Offering/transporting 2,500
hazardous materials
in a tank car that
does not have the
required ID number
displayed on the car.
172.331(b)..................... Offering bulk 2,500
packaging other than
a portable tank,
cargo tank, or tank
car (e.g., a hopper
car) not marked with
UN/NA number. (I.e.,
a hopper car carrying
a hazardous
substance, where a
placard is not
required).
172.332........................ Improper display of 2,000
identification number
markings. Note:
Citation of this
section and Secs.
172.326 (portable
tanks), 172.328
(cargo tanks), or
172.330 (tank cars)
does not create two
separate violations.
172.334(a)..................... Displaying ID numbers 4,000
on a 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 15,000
ID number that caused
or contributed to a
wrong emergency
response.
--Improper display of 5,000
ID number that could
cause carrier
mishandling or minor
error in emergency
response.
--Technical error..... 2,000
172.334(f)..................... Displaying ID number 1,500
on orange panel not
in proximity to the
placard.
Labeling:
172.400-.450................... Failure to label 2,500
properly. (See also
Sec. 172.301
regarding the marking
of packages.).
[[Page 38649]]
Placarding......................... The guidelines for
``placarding''
violations
contemplate a total
lack of the
prescribed placard.
Obviously, where the
package (including a
whole car) is
partially placarded,
mitigation should be
applied.
172.502........................ --Placarded as 2,000
hazardous material
when car does not
contain a hazardous
material.
--Placard does not 2,000
represent hazard of
the contents.
--Display of sign or 2,000
device that could be
confused with
regulatory placard.
Photograph or good,
clear description
necessary.
172.503........................ Improper display of ID (\1\)
number on placards.
(Note: Do not cite
this section; cite
Sec. 172.334.).
172.504(a)..................... Failure to placard;
affixing or
displaying wrong
placard. (See also
Secs. 172.502(a),
172.504(a), 172.505,
172.510(c), 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 1,000
(add $1,000 per
missing placard up to
a total of three;
then use the
guideline above).
-- Complete failure to 2,500
placard, but only 2
placards are required
(e.g., intermediate
bulk containers
[IBCs]).
172.504(b)..................... Improper use of 5,000
DANGEROUS placard for
mixed loads.
172.504(c)..................... Placarded for wrong 2,000
hazard 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 15,000
caused 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 5,000
that could cause
improper emergency
response or handling
by carrier.
--Technical violation. 2,500
172.505........................ Improper application 5,000
of placards for
subsidiary hazards.
(Note: This is in
addition to any
violation on the
primary hazard
placards.).
172.508(a)..................... Offering hazardous 7,500
material for rail
transportation
without affixing
placards. (Note: The
preferred section for
a total failure to
placard is
172.504(a); only one
section should be
cited to avoid a dual
penalty.) (Note also:
Persons offering
hazardous materials
for rail movement
must affix placards;
if offering for
highway movement, the
placards must be
tendered to the
carrier. Sec.
172.506.).
Placards OK, except 500
they were IMDG labels
instead of 10''
placards. (Unit of
violation is the
packaging, usually a
portable tank.).
Placards on TOFC/COFC (\2\)
units not readily
visible. (Note: Do
not cite this
section, cite Sec.
172.516 instead.).
172.508(b)..................... Accepting hazardous 5,000
material for rail
transportation
without placards
affixed.
172.510(a)..................... EXPLOSIVES 1.1, 5,000
EXPLOSIVES 1.2,
POISON GAS, POISON
GAS-RESIDUE,
(Division 2.3, Hazard
Zone A), POISON, or
POISON-RESIDUE
(Division 6.1,
Packing Group I,
Hazard Zone A)
placards displayed
without square
background.
172.510(c)..................... Improper use of
RESIDUE placard.
--Placarded RESIDUE 4,000
when loaded.
--Placarded loaded 1,000
when car contains
only a residue.
--Placarded EMPTY when 500
RESIDUE is required.
172.514........................ Improper placarding of 2,000
bulk packaging other
than a tank car: For
the ``exception''
packages in
174.514(c). Note: 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. Good
color photos
``essential'' to
prove deterioration,
and considerable
weathering is
permissible. 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.
Emergency Response Information..... Violations of Secs.
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
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, it was on the
original shipping
document.
172.600-.602................... Where improper 15,000
emergency response
information has
caused an improper
reaction from
emergency forces and
the improper response
has aggravated the
situation. Note:
Proof of this will be
rigorous. For
instance, if the
emergency response
forces had chemical
information with the
correct response and
they relied, instead,
on shipper/carrier
information to their
detriment; the
$15,000 penalty
guideline applies.
Bad, missing, or 4,000
improper emergency
response information.
(Be careful in
transmitting
violations of this
section against a
railroad; there are
many sources of E/R
information and it
does not necessarily
``travel'' with the
shipping documents.).
172.602(c)..................... Failure to have 15,000
emergency response
information
``immediately
accessible''.
172.604........................ Improper or missing 2,500
emergency response
telephone number.
Training:
172.702(a)..................... General failure to 5,000
train hazmat
employees.
172.702(b)..................... Hazmat employee 1,000
performing covered
function without
training. (Unit of
violation is the
employee; see the
expert attorney if
more than 10
employees are
involved.).
172.704(a)..................... Failure to train in 2,500
the required areas:
--General awareness/
familiarization
[[Page 38650]]
--Function-specific
--Safety
(Unit of violation is
the ``area,'' and,
for a total failure
to train, cite
172.702(a) and use
that penalty instead
of 172.704.)
172.704(c)..................... Initial and recurrent (\3\)
training. (Note: Cite
this and the relevant
substantive section,
e.g., 172.702(a), and
use penalty provided
there.).
172.704(d)..................... Failure to maintain 2,500
record of training.
(Unit of violation is
the record.).
------------------------------------------------------------------------
PART 173
------------------------------------------------------------------------
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 5,000
transport 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 3,000
for gases and for
flammable liquids.
See also 174.204 and
174.304.
173.22............................. Shipper (\4\)
responsibility: This
general duty section
should ordinarily be
cited only to support
a more specific
charge.
173.22a............................ Improper use of 2,500
packagings authorized
under exemption.
Failure to maintain 1,000
copy of exemption as
required..
173.24(b)(1) & 173.24(b)(2) and Securing closures:
173.24(f)(1) & 173.24(f)(1)(ii). These subsections are
the general ``no
leak'' standard for
all packagings. Sec.
173.24(b) deals
primarily with
packaging as a whole,
while Sec. 173.24(f)
focuses on closures.
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 $25,000 if
the HMR violation
causes the injury.
With tank cars, Sec.
173.31(b) applies,
and IM portable tanks
[Sec. 173.32c], and
other tanks of that
size range, should
use the tank car
penalty amounts,
stated in reference
to that section.
--Small bottle or box. 1,000
--55-gallon drum...... 2,500
--Larger container, 5,000
e.g., IBC; not
portable tank or tank
car.
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 $25,000 if
the HMR violation
causes the injury.
--Small bottle or box. 1,000
--55-gallon drum...... 2,500
--Larger container, 5,000
e.g., IBC; not
portable tank or tank
car.
For more specific
sections: Tank cars--
Sec. 173.31(a),
portable tanks--Sec.
173.32, and IM
portable tanks--Secs.
173.32a, .32b, and
.32c, q.v
173.24a(a)(3)...................... Non-bulk packagings: 1,000
Failure to secure and
cushion inner
packagings.
--Causes leak......... 3,000
--Leak with any 10,000
contact between
product and any human
being.
173.24a(b)&(d)..................... Non-bulk packagings: 1,000
Exceeding filling
limits.
--Causes leak......... 3,000
--Leak with any 10,000
contact between
product and any human
being.
173.24b(a) Insufficient outage:.. 3,000
--<1% --causes="" leak.........="" 5,000="" --leak="" with="" any="" 10,000="" contact="" between="" product="" and="" any="" human="" being.="" 173.24b(a)(3)......................="" outage=""><5% on="" pih="" 5,000="" material.="" --causes="" leak.........="" 7,500="" --leak="" with="" any="" 10,000="" contact="" between="" product="" and="" any="" human="" being.="" 173.26.............................="" loaded="" beyond="" gross="" 5,000="" weight="" or="" capacity="" as="" stated="" in="" specification.="" (applies="" only="" if="" quantity="" limitations="" do="" not="" appear="" in="" packaging="" requirements="" of="" part="" 173.).="" 173.28.............................="" improper="" reuse,="" 1,000="" reconditioning,="" or="" remanufacture="" of="" packagings..="" 173.29(a)..........................="" offering="" residue="" tank="" car="" for="" transportation="" when="" openings="" are="" not="" tightly="" closed="" (sec.="" 174.67(k)="" is="" also="" usually="" applicable).="" 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:="" --hazardous="" material="" 2,000="" with="" insignificant="" vapor="" pressure="" and="" without="" classification="" as="" ``poison''="" or="" ``inhalation="" hazard''.="" --with="" actual="" leak....="" 5,000="" --with="" leak="" allowing="" 15,000="" the="" product="" to="" contact="" any="" human="" being.="" --hazardous="" material="" 5,000="" with="" 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="" 15,000="" the="" product="" (or="" fumes="" or="" vapors)="" to="" contact="" any="" human="" being.="" (in="" the="" case="" of="" fumes,="" the="" ``contact''="" must="" be="" substantial.).="" --where="" only="" violation="" 1,000="" is="" failure="" to="" secure="" a="" protective="" housing,="" e.g.,="" the="" covering="" for="" the="" gaging="" device.="" [[page="" 38651]]="" 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.="" 173.314,="" .315...="" 5,000="" --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.="" tank="" meets="" 1,000="" specification,="" but="" specification="" is="" not="" stenciled="" on="" car.="" note:="" 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="" ``not="" for="" flammable="" liquids,''="" and="" it="" should="" be.="" (aar="" tank="" car="" manual,="" appendix="" c,="" c3.03(a)5.)="" --most="" cars...........="" 2,500="" --molten="" sulfur="" car...="" 500="" --if="" flammable="" liquid="" 5,000="" is="" actually="" in="" the="" car.="" 173.31(a)(4).......................="" use="" of="" a="" tank="" car="" 5,000="" stenciled="" for="" one="" commodity="" to="" transport="" another.="" 173.31(a)(5).......................="" use="" of="" dot-="" 10,000="" specification="" tank="" car="" without="" shelf="" couplers.="" (note:="" prior="" to="" november="" 15,="" 1992,="" this="" did="" not="" apply="" to="" a="" car="" not="" carrying="" hazardous="" materials.).="" --against="" a="" carrier,="" 6,000="" cite="" sec.="" 174.3="" and="" this="" section.="" 173.31(a)(6).......................="" use="" of="" non-dot="" 10,000="" specification="" car="" without="" shelf="" couplers="" to="" carry="" hazardous="" materials.="" (applies="" only="" since="" november="" 15,="" 1990.).="" --against="" a="" carrier,="" 6,000="" cite="" sec.="" 174.3="" and="" this="" section.="" 173.31(a)(7).......................="" use="" of="" tank="" car="" 5,000="" without="" air="" brake="" support="" attachments="" welded="" to="" pads.="" (effective="" july="" 1,="" 1991).="" 173.31(a)(15)......................="" tank="" car="" with="" 7,500="" nonreclosing="" pressure="" relief="" device="" used="" to="" transport="" class="" 2="" gases,="" class="" 3="" or="" 4="" liquids,="" or="" division="" 6.1="" liquids,="" pg="" i="" or="" ii.="" 173.31(a)(17)......................="" 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(b)(1),="" 173.31(b)(3).........="" shipper="" failure="" to="" 5,000="" determine="" (to="" the="" extent="" practicable)="" that="" tank,="" safety="" appurtenances,="" and="" fittings="" are="" in="" proper="" condition="" for="" transportation;="" failure="" to="" properly="" secure="" closures.="" (sections="" 173.31(b)(1)="" &="" .31(b)(3),="" often="" cited="" as="" together="" for="" loose="" closure="" violations,="" are="" taken="" as="" one="" violation.)="" the="" unit="" of="" violation="" is="" the="" car,="" aggravated="" if="" necessary="" for="" truly="" egregious="" condition.="" sections="" 173.24(b)="" &="" (f)="" establish="" a="" ``no-="" leak''="" design="" standard,="" and="" 173.31="" imposes="" that="" standard="" on="" operations.="" --with="" actual="" leak="" of="" 10,000="" product.="" --with="" actual="" leak="" 15,000="" allowing="" the="" product="" (or="" fumes="" or="" vapors)="" to="" contact="" any="" human="" being.="" (with="" safety="" vent,="" be="" careful="" because="" carrier="" might="" be="" at="" fault.).="" --minor="" violation,="" 1,000="" e.g.,="" bottom="" outlet="" cap="" loose="" on="" tank="" car="" of="" molten="" sulfur="" (because="" product="" is="" a="" solid="" when="" shipped).="" --failure="" (.31(b)(1))="" 1,000="" to="" have="" bottom="" outlet="" cap="" off="" during="" loading.="" 173.31(b)(4).......................="" filling="" and="" offering="" 6,000="" for="" transportation="" a="" tank="" car="" overdue="" for="" retest="" of="" tank,="" interior="" heater="" system,="" and/or="" safety="" relief="" valve.="" note="" that="" the="" car="" may="" be="" filled="" while="" in-date,="" held,="" and="" then="" shipped="" out-of-date.="" (adjust="" penalty="" if="" less="" than="" one="" month="" or="" more="" than="" one="" year="" overdue.).="" 173.31(c)(1).......................="" tank,="" interior="" heater="" system,="" and/or="" safety="" valve="" overdue="" for="" retest.="" if="" these="" conditions="" exist,="" the="" violation="" is="" of="" sec.="" 173.31(b)(4).="" if="" the="" violation="" is="" for="" improperly="" conducting="" the="" test(s),="" see="" the="" expert="" attorney.="" 173.31(c)(10)......................="" failure="" to="" properly="" 1,000="" stencil="" a="" retest="" that="" was="" performed.="" 173.32c............................="" loose="" closures="" on="" an="" 5,000="" im="" portable="" tank="" (sec.="" 173.24="" establishes="" the="" ``tight="" closure''="" standard;="" sec.="" 172.32c="" applies="" it="" to="" im="" portable="" tanks.)="" (the="" scale="" of="" penalties="" is="" the="" same="" as="" for="" tank="" cars.).="" --with="" actual="" leak="" of="" 10,000="" product.="" --with="" actual="" leak="" and="" 15,000="" human="" being="" contact.="" --minor="" violation.....="" 1,000="" 173.314(b)(5)......................="" no="" commodity="" stencil,="" 2,500="" compressed="" gas="" tank="" car.="" (see="" also="" sec.="" 172.330).="" 173.314(c).........................="" compressed="" gas="" loaded="" 6,000="" in="" excess="" of="" filling="" density="" (same="" basic="" concept="" as="" insufficient="" outage).="" --``t''="" car="" with="" 5,000="" excessive="" voids="" in="" the="" thermal="" coating,="" such="" that="" the="" car="" no="" longer="" complies="" with="" the="" dot="" specification.="" section="" 173.31(a)(1)="" requires="" tank="" cars="" used="" to="" transport="" hazardous="" materials="" to="" meet="" the="" requirements="" of="" the="" applicable="" specification="" and="" this="" section="" (sec.="" 173..314(c))="" lists="" 112t/114t="" cars="" as="" allowed="" for="" compressed="" gases.="" ------------------------------------------------------------------------="" part="" 174="" ------------------------------------------------------------------------="" general="" requirements:="" 174.3..........................="" acceptance="" of="" improperly="" prepared="" shipment.="" this="" general="" duty="" section="" must="" be="" accompanied="" by="" a="" citation="" to="" the="" specific="" section="" violated.="" 174.7..........................="" carrier's="" failure="" to="" (\5\)="" instruct="" employees;="" cannot="" be="" based="" on="" inference;="" secs.="" 172.700-.704="" are="" preferred="" citations.="" 174.8(b).......................="" --failure="" to="" inspect="" 4,000="" hazardous="" materials="" (and="" adjacent)="" cars="" at="" point="" where="" train="" is="" required="" to="" be="" inspected.="" (unit="" of="" violation="" is="" the="" train.)="" (note:="" for="" all="" ``failure="" to="" inspect''="" citations,="" the="" mere="" presence="" of="" a="" nonconforming="" condition="" does="" not="" prove="" a="" failure="" to="" inspect.).="" [[page="" 38652]]="" --allowing="" unsafe="" 8,000="" loaded="" placarded="" car="" to="" continue="" in="" transportation="" beyond="" point="" where="" inspection="" was="" required).="" (unit="" of="" violation="" is="" the="" car.).="" --failure="" to="" determine="" 5,000="" whether="" placards="" are="" in="" place="" and="" conform="" to="" shipping="" papers="" (at="" a="" required="" inspection="" point).="" (unit="" of="" violation="" is="" the="" car.).="" 174.9(a).......................="" failure="" to="" properly="" 4,000="" inspect="" loaded,="" placarded="" tank="" car="" at="" origin="" or="" interchange.="" 174.9(b).......................="" loose="" or="" insecure="" 1,000="" closures="" on="" tank="" car="" containing="" a="" residue="" of="" a="" hazardous="" material.="" (fra="" policy="" is="" that,="" against="" a="" railroad,="" this="" violation="" must="" be="" observable="" from="" the="" ground="" because,="" for="" reasons="" of="" safety,="" railroad="" inspectors="" do="" not="" climb="" on="" cars="" absent="" an="" indication="" of="" a="" leak.).="" 174.9(c).......................="" failure="" to="" ``card''="" a="" 3,000="" tank="" car="" overdue="" for="" tank="" retest.="" 174.10(c)......................="" offering="" a="" 3,000="" noncomplying="" shipment="" in="" interchange.="" 174.10(d)......................="" offering="" leaking="" car="" 10,000="" of="" hazardous="" materials="" in="" interchange.="" 174.12.........................="" improper="" performance="" 3,000="" of="" intermediate="" shipper/carrier="" duties;="" applies="" to="" forwarders="" and="" highway="" carriers="" delivering="" tofc/cofc="" shipments="" to="" railroads.="" 174.14.........................="" failure="" to="" expedite:="" 1,000="" violation="" of="" ``48-="" hour="" rule.''="" note:="" does="" not="" apply="" to="" cars="" ``held="" short''="" of="" destination="" or="" constructively="" placed.="" general="" operating="" requirements.....="" note:="" this="" subpart="" (subpart="" b)="" of="" part="" 174="" has="" three="" sections="" referring="" to="" shipment="" documentation:="" sec.="" 174.24="" relating="" to="" accepting="" documents,="" sec.="" 174.25="" relating="" to="" the="" preparation="" of="" movement="" 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.........................="" accepting="" hazardous="" materials="" shipment="" without="" properly="" prepared="" shipping="" paper.="" (note:="" the="" carrier's="" duty="" extends="" only="" to="" the="" document="" received,="" that="" is,="" a="" shipment="" of="" hazardous="" materials="" in="" an="" unplacarded="" 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="" materials="" information="" that="" could="" cause="" delay="" or="" error="" in="" emergency="" response.="" --total="" absence="" of="" 5,000="" hazardous="" materials="" information.="" --technical="" errors,="" 1,000="" not="" likely="" to="" cause="" problems,="" especially="" with="" emergency="" response.="" --minor="" errors="" not="" 500="" relating="" to="" hazardous="" materials="" emergency="" response,="" e.g.,="" not="" listing="" an="" exemption="" number="" and="" the="" exemption="" is="" not="" one="" affecting="" emergency="" response.="" 174.25.........................="" preparing="" improper="" movement="" documents.="" (similar="" to="" the="" requirements="" in="" sec.="" 174.24,="" here="" the="" carrier="" is="" held="" responsible="" for="" preparing="" a="" movement="" document="" that="" accurately="" reflects="" the="" shipping="" paper="" tendered="" to="" it.="" with="" no="" hazardous="" materials="" information="" on="" the="" shipper's="" bill="" of="" lading,="" the="" carrier="" is="" not="" in="" violation--absent="" knowledge="" of="" hazardous="" contents--="" for="" preparing="" a="" nonhazardous="" movement="" document.="" while="" ``movement="" documents''="" in="" the="" rail="" industry="" used="" to="" be="" waybills="" or="" switch="" tickets="" (almost="" exclusively),="" carriers="" are="" now="" incorporating="" the="" essential="" information="" into="" a="" consist,="" expanded="" from="" its="" former="" role="" as="" merely="" a="" listing="" of="" the="" cars="" in="" the="" train.)="" --information="" on="" the="" 15,000="" movement="" document="" is="" wrong="" to="" the="" extent="" that="" it="" actually="" 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="" 7,500="" hazardous="" materials="" information="" on="" movement="" document.="" (some="" shipping="" names="" alone="" contain="" sufficient="" information="" to="" reduce="" the="" guideline="" to="" the="" next="" lower="" level,="" but="" they="" 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,="" including="" missing="" residue="" description="" required="" by="" sec.="" 174.25(c).="" --missing/improper="" 3,500="" endorsement,="" unless="" on="" a="" switch="" ticket="" as="" allowed="" under="" sec.="" 174.25(b).="" --movement="" document="" 2,500="" does="" not="" indicate,="" for="" a="" flatcar="" carrying="" trailers="" or="" containers,="" which="" trailers="" or="" containers="" contain="" hazardous="" materials.="" (if="" all="" trailers="" or="" containers="" on="" the="" flatcar="" contain="" hazardous="" materials,="" there="" is="" no="" violation.).="" --when="" the="" improper="" 1,000="" description="" is="" not="" likely="" to="" cause="" serious="" problem="" (technical="" defect).="" --minor="" errors="" not="" 500="" related="" to="" hazardous="" materials="" emergency="" response,="" e.g.,="" not="" listing="" an="" exemption="" number="" and="" the="" exemption="" is="" not="" one="" affecting="" emergency="" response.="" note:="" failure="" to="" include="" emergency="" response="" information="" is="" covered="" at="" 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.="" 174.26(a)......................="" failure="" to="" execute="" the="" 5,000="" required="" poison="" gas="" and="" explosives="" 1.1/="" 1.2="" notices.="" (the="" notice="" is="" the="" unit="" of="" violation,="" because="" one="" notice="" can="" cover="" several="" shipments.).="" failure="" to="" deliver="" the="" 5,000="" required="" poison="" gas="" and="" explosives="" 1.1/="" 1.2="" notices="" to="" train="" and="" engine="" crew.="" (cite="" this,="" or="" the="" above,="" as="" appropriate.).="" failure="" to="" transfer="" 3,000="" notice="" from="" crew="" to="" crew.="" (note="" that="" this="" is="" very="" likely="" an="" individual="" liability="" situation;="" the="" penalty="" guideline="" listed="" here,="" however,="" presumes="" action="" against="" a="" railroad.).="" failure="" to="" keep="" copy="" 1,000="" of="" notice="" on="" file.="" 174.26(b)......................="" train="" crew="" does="" not="" 6,000="" have="" a="" document="" indicating="" position="" in="" train="" of="" each="" loaded,="" placarded="" car.="" aggravate="" by="" 50%="" for="" poison="" gas,="" 2.3,="" and="" explosives,="" 1.1="" and="" 1.2.="" (train="" is="" the="" unit="" of="" violation.).="" --technical="" violation,="" 1,000="" e.g.,="" car="" is="" listed="" in="" correct="" relative="" order,="" but="" not="" in="" exact="" numerical="" order,="" usually="" because="" of="" addition="" of="" car="" or="" cars="" to="" head="" or="" tail="" of="" train.="" (note:="" applies="" only="" if="" the="" actual="" location="" is="" off="" by="" 10="" or="" fewer="" cars.).="" [[page="" 38653]]="" 174.26(c)......................="" improper="" paperwork="" in="" possession="" of="" train="" crew.="" (if="" the="" investigation="" of="" an="" accident="" reveals="" a="" violation="" of="" this="" section="" and="" sec.="" 174.25,="" cite="" this="" section.)="" (shipment="" is="" unit="" of="" violation,="" although="" there="" is="" justification="" for="" making="" it="" the="" train="" if="" a="" unified="" consist="" is="" used="" to="" carry="" this="" information="" and="" the="" violation="" is="" a="" pattern="" one="" throughout="" all,="" or="" almost="" all,="" of="" the="" hazardous="" materials="" shipments.="" for="" intermodal="" traffic,="" ``shipment''="" can="" mean="" the="" container="" or="" trailer--e.g.,="" a="" ups="" trailer="" with="" several="" non-disclosed="" hazardous="" materials="" 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.="" --total="" lack="" of="" 7,500="" hazardous="" materials="" information="" on="" movement="" document.="" (some="" shipping="" names="" alone="" contain="" sufficient="" information="" to="" reduce="" the="" guideline="" to="" the="" next="" lower="" level,="" but="" they="" 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.="" 174.25(c).="" --improper="" 3,500="" information,="" but="" the="" hazardous="" materials="" are="" small="" shipments="" (e.g.,="" ups="" moves)="" and="" pg="" iii="" (e.g.,="" the="" ``low="" hazard''="" materials="" allowed="" in="" tofc/cofc="" service="" without="" an="" exemption="" since="" hm-197).="" --technical="" defect="" not="" 1,000="" likely="" to="" cause="" delay="" or="" error="" in="" emergency="" response="" or="" carrier="" handling.="" --minor="" error="" not="" 500="" relating="" to="" emergency="" response="" or="" carrier="" handling,="" e.g.,="" not="" listing="" the="" exemption="" number="" on="" document="" and="" the="" exemption="" is="" not="" one="" affecting="" emergency="" response.="" 174.33.........................="" --failure="" to="" maintain="" ``an="" adequate="" supply="" of="" placards.''="" [the="" violation="" is="" for="" ``failure="" to="" replace'';="" if="" missing="" placards="" are="" replaced,="" the="" supply="" is="" obviously="" adequate,="" if="" not,="" failure="" to="" have="" a="" placard="" is="" not="" a="" separate="" violation="" from="" failure="" to="" replace="" it.]="" --failure="" to="" replace="" 1,000="" lost="" or="" destroyed="" placards="" based="" on="" shipping="" paper="" information.="" (this="" is="" in="" addition="" to="" the="" basic="" placarding="" mistakes="" in,="" for="" instance,="" sec.="" 172.504.).="" note:="" a="" railroad's="" placarding="" duties="" are="" to="" not="" accept="" a="" car="" without="" placards="" [sec.="" 172.508(b)];="" to="" maintain="" an="" ``adequate="" supply''="" of="" placards="" and="" to="" replace="" them="" based="" on="" shipping="" paper="" information="" [sec.="" 174.33];="" 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.="" 172.8(b)]="" the="" ``next="" inspection="" point''="" replacement="" requirement="" in="" sec.="" 174.59,="" q.v.,="" refers="" to="" placards="" that="" disappear="" between="" inspection="" points;="" a="" car="" at="" an="" inspection="" point="" must="" be="" placarded="" because="" it="" is="" in="" transportation,="" even="" if="" held="" up="" at="" that="" point.="" [49="" u.s.c.="" 5102(12)]="" 174.45.........................="" failure="" to="" report="" hazardous="" materials="" accidents="" or="" incidents.="" cite="" secs.="" 171.15="" or="" 171.16="" as="" appropriate.="" 174.50.........................="" moving="" leaking="" tank="" 7,500="" car="" unnecessarily.="" failure="" to="" stencil="" 3,500="" leaking="" tank="" car.="" loss="" of="" product="" 15,000="" resulted="" in="" human="" being="" contact="" because="" of="" improper="" carrier="" handling.="" 174.55.........................="" failure="" to="" block="" and="" brace="" as="" prescribed.="" (see="" also="" secs.="" 174.61,="" .63,="" .101,="" .112,="" .115;="" where="" these="" more="" specific="" sections="" apply,="" cite="" them.)="" note:="" the="" regulatory="" requirement="" is="" that="" hazardous="" materials="" packages="" be="" loaded="" and="" securely="" blocked="" and="" braced="" to="" prevent="" the="" packages="" from="" changing="" position,="" falling="" to="" the="" floor,="" or="" sliding="" into="" each="" other.="" if="" the="" load="" is="" tight="" and="" secure,="" pieces="" of="" lumber="" or="" other="" materials="" may="" not="" be="" necessary="" to="" achieve="" the="" ``tight="" load''="" requirement.="" be="" careful="" on="" these="" and="" consult="" freely="" with="" the="" expert="" attorney="" and="" specialists="" in="" the="" hazardous="" materials="" division.="" --general="" failure="" to="" 5,000="" block="" and="" brace.="" --inadequate="" blocking="" 2,500="" and="" bracing="" (an="" attempt="" was="" made="" but="" blocking/bracing="" was="" insufficient.).="" --inadequate="" blocking="" 7,500="" and="" bracing="" leading="" to="" a="" leak.="" --inadequate="" blocking="" 15,000="" and="" bracing="" leading="" to="" a="" leak="" and="" human="" being="" contact.="" 174.59.........................="" marking="" and="" placarding.="" note:="" as="" stated="" elsewhere,="" a="" railroad's="" placarding="" duties="" are="" to="" not="" accept="" a="" car="" without="" placards="" [sec.="" 172.508(b)],="" to="" maintain="" an="" ``adequate="" supply''="" of="" placards="" and="" to="" replace="" them="" based="" on="" shipping="" paper="" information="" [sec.="" 174.33],="" 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.="" 172.8(b)]="" 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="" materials="" 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,="" secs.="" 172.600-.604,="" and="" investigation="" may="" reveal="" that="" those="" sections="" should="" be="" cited="" instead="" of="" this="" one.)="" --complete="" failure="" to="" 7,500="" placard.="" --one="" placard="" missing="" 1,000="" (add="" $1,000="" per="" missing="" placard="" up="" to="" a="" total="" of="" three;="" then="" use="" the="" guideline="" above).="" for="" other="" placarding="" violations,="" see="" secs.="" 172.500-.560="" and="" determine="" if="" one="" of="" them="" more="" correctly="" states="" the="" violation.="" 174.61.........................="" improper="" 3,000="" transportation="" of="" transport="" vehicle="" or="" freight="" container="" on="" flat="" car.="" (note:="" 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)="" &="" (c)................="" --improper="" 3,000="" transportation="" of="" portable="" tank="" or="" other="" bulk="" packaging="" in="" tofc/cofc="" service.="" --improper="" 7,500="" transportation="" leading="" to="" a="" release="" of="" product.="" [[page="" 38654]]="" --improper="" 15,000="" transportation="" 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="" 5,000="" secure.="" --inadequate="" 2,500="" securement="" (an="" attempt="" to="" secure="" was="" made="" but="" the="" means="" of="" securement="" were="" inadequate).="" --inadequate="" 7,500="" securement="" leading="" to="" a="" leak.="" --inadequate="" 15,000="" securement="" leading="" to="" a="" leak="" and="" human="" being="" contact.="" 174.63(e)......................="" transportation="" of="" 7,500="" cargo="" tank="" or="" multi-="" unit="" tank="" car="" tank="" without="" authorization="" and="" in="" the="" absence="" of="" an="" emergency.="" 174.67(a)(1)...................="" tank="" car="" unloading="" 2,500="" operations="" performed="" by="" persons="" not="" properly="" instructed="" (case="" cannot="" be="" based="" on="" inference).="" 174.67(a)(2)...................="" 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="" 5,000="" wheels="" blocked,="" or="" fewer="" brakes="" set/="" wheels="" blocked="" than="" facility's="" operating="" plan.="" --no="" brakes="" set,="" but="" 3,000="" wheels="" blocked.="" --brakes="" set,="" but="" 4,000="" wheels="" not="" blocked.="" 174.67(a)(3)...................="" unloading="" without="" 2,000="" cautions="" signs="" properly="" displayed.="" (see="" part="" 218,="" subpart="" b).="" 174.67(c)(2)...................="" failure="" to="" use="" non-="" metallic="" block="" to="" prop="" manway="" cover="" open="" while="" unloading="" through="" bottom="" outlet.="" --flammable="" or="" 3,000="" combustible="" liquid,="" or="" other="" product="" with="" a="" vapor="" flash="" point="" hazard.="" --material="" with="" no="" 500="" vapor="" flammability="" hazard.="" 174.67(h)......................="" insecure="" unloading="" 10,000="" connections,="" such="" that="" product="" is="" actually="" leaking.="" 174.67(i)......................="" unattended="" unloading..="" 5,000="" 174.67(j)......................="" discontinued="" unloading="" 2,000="" without="" disconnecting="" all="" unloading="" connections,="" tightening="" valves,="" and="" applying="" closures="" to="" all="" other="" openings.="" (note:="" if="" the="" car="" is="" attended,="" this="" subsection="" does="" not="" apply.).="" 174.67(k)......................="" preparation="" of="" car="" after="" unloading:="" removal="" of="" unloading="" connections="" is="" required,="" as="" is="" the="" closing="" of="" all="" openings="" with="" a="" ``suitable="" tool.''="" note:="" this="" subsection="" requires="" unloading="" connections="" to="" be="" ``removed''="" when="" unloading="" is="" complete,="" sec.="" 174.67(j)="" requires="" them="" to="" be="" ``disconnected''="" for="" a="" temporary="" cessation="" of="" unloading.="" the="" penalties="" recommended="" here="" mirror="" those="" in="" sec.="" 173.29,="" dealing="" with="" insecure="" closures="" generally.="" --hazardous="" material="" 2,000="" with="" insignificant="" vapor="" pressure="" and="" without="" classification="" as="" ``poison''="" or="" ``inhalation="" hazard''.="" --with="" actual="" leak....="" 5,000="" --with="" leak="" allowing="" 15,000="" the="" product="" to="" contact="" any="" human="" being.="" --hazardous="" material="" 5,000="" with="" 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="" 15,000="" the="" product="" (or="" fumes="" or="" vapors)="" to="" contact="" any="" human="" being).="" note:="" contact="" with="" fumes="" must="" be="" substantial.="" 174.69.........................="" --complete="" failure="" to="" 6,000="" remove="" loaded="" placards="" and="" replace="" with="" residue="" placard="" on="" tank="" cars.="" --partial="" failure.="" 1,000="" (unit="" of="" violation="" is="" the="" placard;="" the="" guideline="" is="" used="" for="" each="" placard="" up="" to="" 3,="" then="" the="" penalty="" above="" is="" applicable.).="" 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).="" 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/="" 8,000="" 1.2="" 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="" 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="" (class="" a="" explosive)="" materials="" --fewer="" than="" 6="" cars="" 8,000="" (where="" train="" length="" permits)="" from="" engine="" or="" occupied="" caboose.="" --as="" above="" but="" with="" at="" 7,000="" least="" 1="" buffer.="" --no="" buffer="" at="" all="" 8,000="" (where="" train="" length="" doesn't="" permit="" 5).="" --next="" to="" open="" top="" car="" 7,000="" with="" lading="" beyond="" car="" ends="" or,="" if="" shifted,="" would="" be="" beyond="" car="" ends.="" --next="" to="" loaded="" flat="" 6,000="" car,="" except="" closed="" tofc/cofc="" equipment,="" auto="" carriers,="" specially="" equipped="" car="" with="" tie-down="" devices,="" or="" car="" with="" permanent="" bulkhead.="" --next="" to="" operating="" 7,000="" temperature-control="" equipment="" or="" internal="" combustion="" engine="" in="" operation.="" --next="" to="" placarded="" 7,000="" car,="" except="" one="" from="" same="" placard="" group="" or="" combustible.="" placard="" group="" 2--="" division="" 1.3/1.4/1.5="" (class="" b="" and="" c="" explosives);="" class="" 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).="" [[page="" 38655]]="" for="" tank="" cars:="" --fewer="" than="" 6="" cars="" 6,000="" (where="" train="" length="" permits)="" from="" engine="" or="" occupied="" caboose.="" --as="" above="" but="" with="" at="" 5,000="" least="" 1="" buffer.="" no="" buffer="" at="" all="" 6,000="" (where="" train="" length="" doesn't="" permit="" 5).="" --next="" to="" open="" top="" car="" 5,000="" with="" lading="" beyond="" car="" ends="" or,="" if="" shifted,="" would="" be="" beyond="" car="" ends.="" --next="" to="" loaded="" flat="" 4,000="" car,="" except="" closed="" tofc/cofc="" equipment,="" auto="" carriers,="" specially="" equipped="" car="" with="" tie-down="" devices,="" or="" car="" with="" permanent="" bulkhead.="" --next="" to="" operating="" 5,000="" temperature-control="" equipment="" or="" internal="" combustion="" engine="" in="" operation.="" --next="" to="" placarded="" 5,000="" car,="" except="" one="" from="" same="" placard="" group="" or="" combustible.="" for="" other="" rail="" cars:="" --next="" to="" placarded="" 5,000="" car,="" 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="" 6="" cars="" 8,000="" (where="" train="" length="" permits)="" from="" engine="" or="" occupied="" caboose.="" --as="" above="" but="" with="" at="" 7,000="" least="" 1="" buffer.="" no="" buffer="" at="" all="" 8,000="" (where="" train="" length="" doesn't="" permit="" 5).="" --next="" to="" open="" top="" car="" 7,000="" with="" lading="" beyond="" car="" ends="" or,="" if="" shifted,="" would="" be="" beyond="" car="" ends.="" --next="" to="" loaded="" flat="" 6,000="" car,="" except="" closed="" tofc/cofc="" equipment,="" auto="" carriers,="" specially="" equipped="" car="" with="" tie-down="" devices,="" or="" car="" with="" permanent="" bulkhead.="" --next="" to="" operating="" 7,000="" temperature-control="" equipment="" or="" internal="" combustion="" engine="" in="" operation.="" --next="" to="" placarded="" 7,000="" car,="" except="" one="" from="" same="" placard="" group="" or="" combustible.="" for="" other="" rail="" cars:="" --next="" to="" placarded="" 5,000="" car,="" except="" one="" from="" same="" placard="" group="" or="" combustible.="" placard="" group="" 4--class="" 7="" (radioactive)="" materials.="" for="" rail="" cars:="" --next="" to="" locomotive="" 8,000="" or="" occupied="" caboose.="" --next="" to="" placarded="" 5,000="" car,="" except="" one="" from="" same="" placard="" group="" or="" combustible.="" --next="" to="" carload="" of="" 3,000="" undeveloped="" film.="" 174.86.........................="" exceeding="" maximum="" 3,000="" allowable="" operating="" speed="" (15="" mph)="" while="" transporting="" molten="" metals="" or="" molten="" glass.="" 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="" 1,000="" (add="" $1,000="" per="" missing="" placard="" up="" to="" a="" total="" of="" three,="" then="" use="" the="" guideline="" above).="" 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,="" 2="" are="" required.).="" 174.204........................="" improper="" tank="" car="" 3,000="" delivery="" of="" gases="" (class="" 2="" materials).="" 174.304........................="" improper="" tank="" car="" 3,000="" delivery="" of="" flammable="" liquids="" (class="" 3="" materials).="" 174.600........................="" improper="" tank="" car="" 5,000="" delivery="" of="" materials="" extremely="" poisonous="" by="" inhalation="" (division="" 2.3="" zone="" a="" or="" 6.1="" zone="" a="" materials).="" ------------------------------------------------------------------------="" part="" 178="" ------------------------------------------------------------------------="" 178.2(b)...........................="" package="" not="" constructed="" according="" to="" specifications--="" also="" cite="" section="" not="" complied="" with.="" --bulk="" packages,="" 8,000="" including="" portable="" tanks.="" --55-gallon="" drum......="" 2,500="" --smaller="" package.....="" 1,000="" ------------------------------------------------------------------------="" part="" 179="" ------------------------------------------------------------------------="" 179.1(e)...........................="" tank="" car="" not="" 8,000="" constructed="" according="" to="" specifications--="" also="" cite="" section="" not="" complied="" with.="" (note:="" part="" 179="" violations="" are="" against="" the="" builder="" or="" repairer.="" sections="" in="" this="" part="" are="" often="" cited="" in="" conjunction="" with="" violations="" of="" secs.="" 172.330="" and="" 173.31="" (a)&(b)="" by="" shippers.="" in="" such="" cases,="" the="" part="" 179="" sections="" are="" cited="" as="" references,="" not="" as="" separate="" alleged="" violations.).="" 179.6..............................="" repair="" procedures="" not="" 5,000="" in="" compliance="" with="" appendix="" r="" of="" the="" tank="" car="" manual.="" ------------------------------------------------------------------------="" \1\="" see="" sec.="" 172.334.="" \2\="" see="" sec.="" 172.516.="" \3\="" varies.="" \4\="" see="" specific="" section.="" \5\="" see="" penalties:="" 172.700-.704.="" [[page="" 38656]]="" donald="" m.="" itzkoff,="" deputy="" administrator.="" [fr="" doc.="" 96-18823="" filed="" 7-24-96;="" 8:45="" am]="" billing="" code="" 4910-06-p="">