Part II
[Federal Register: December 5, 2006 (Volume 71, Number 233)]
[Proposed Rules]
[Page 70589-70637]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr05de06-17]
[[Page 70589]]
Part II
Department of Transportation
Federal Railroad Administration
49 CFR Parts 213, 214 et al.
Proposed Revisions to the Schedules of Civil Penalties for a Violation of a Federal Railroad Safety Law or Federal Railroad Administration Safety Regulation; Proposed Rule
[[Page 70590]]
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241
[Docket No. FRA-2006-25274]
RIN 2130-AB81
Proposed Revisions to the Schedules of Civil Penalties for a Violation of a Federal Railroad Safety Law or Federal Railroad Administration Safety Regulation
AGENCY: Federal Railroad Administration (FRA), Department of Transportation (DOT).
ACTION: Proposed schedules of civil penalties with request for comments.
SUMMARY: FRA is issuing for comment proposed statements of agency policy that would amend the 25 schedules of civil penalties (Schedules) issued as appendixes to FRA's safety regulations to reflect more accurately the safety risks associated with a violation of each section or subsection of the regulations, as well as to make sure that the civil monetary penalty amounts (CMP) are consistent across all the safety regulations. These proposed revisions to the Schedules are being published to inform members and representatives of the regulated community and the general public of the amount of the civil penalty that a respondent would likely be assessed for a given violation and to invite their comments on those proposed amounts. In addition, FRA is proposing to correct any obvious errors or omissions in the Schedules.
DATES: Written comments must be received by January 4, 2007. Comments received after that date will be considered to the extent possible without incurring additional delay or expense.
ADDRESSES: Comments: Comments related to this Docket No. FRA 2006- 25274, Notice No. 1, may be submitted by any of the following methods:
Web Site: http://dms.dot.gov. Follow the instructions for
submitting comments on the DOT electronic docket site.
Fax: 202-493-2251.
Mail: Docket Management Facility, U.S. Department of Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, Washington, DC 20590.
Hand Delivery: Room PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays.
Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
Instructions: All submissions must include the agency name and docket number or Regulatory Identification Number (RIN) for this rulemaking. Note that all comments received will be posted without change to http://dms.dot.gov including any personal information.
Docket: For access to the docket to read background documents or comments received go to http://dms.dot.gov at any time or to PL-401 on
the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m., Monday through Friday, except Federal Holidays.
FOR FURTHER INFORMATION CONTACT: Edward Pritchard, Director, Office of Safety Assurance and Compliance, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6247), edward.pritchard@dot.gov; or Carolina Mirabal, Trial Attorney, Office
of Chief Counsel, FRA, 1120 Vermont Avenue, NW., Mail Stop 10, Washington, DC 20590 (telephone 202-493-6043), carolina.mirabal@dot.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents for Supplementary Information
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Background II. FRA's Approach to Reevaluating the Schedules of Civil Penalties III. Rankings of the Sections or Subsections of Each of the Rail Safety Regulations
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Motive Power and Equipment Regulations (CFR Parts 215, 218 (Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))
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Track and Workplace Safety Regulations (CFR Parts 213 and 214)
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Grade Crossing Signal Systems and Signal and Train Control Regulations (CFR Parts 233, 234, 235, and 236)
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Operating Practices Regulations (CFR Parts 214, 217, 218 (Partially), 219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 241) List of Subjects in 49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241
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Background
FRA last published comprehensive revisions to the Schedules of its safety regulations on December 29, 1988. 53 FR 52918. The revisions reflected the higher maximum penalty amounts made available by the enactment of the Rail Safety Improvement Act of 1988 (RSIA) (Pub. L. 100-342). 53 FR 52918. With the exception of the penalties relating to the hours of service laws (49 U.S.C. Ch. 211), RSIA raised the maximum CMP for any ordinary violation from $2,500 to $10,000 (the ordinary maximum) and to $20,000 (the aggravated maximum) for a grossly negligent violation or a pattern of repeated violations that has created an imminent hazard of death or injury or caused death or injury. Therefore, FRA published amendments to the Schedules in order to ``give effect to the full range of civil penalties * * * permitted to be assessed for violation of specific regulations.'' 53 FR 52918. These amendments revised not only the maximum civil penalty amount for any violation, but also the individual line-item penalties for specific sections or subsections of the regulations.
The Rail Safety Enforcement and Review Act (RSERA) of 1992 (Pub. L. 102-365) increased the maximum CMP from $1,000 to $10,000 and in some cases to $20,000, for a violation of the hours of service laws, making these penalty amounts uniform with those of FRA's other regulatory provisions. RSERA also increased the minimum CMP from $250 to $500 for all of FRA's regulatory provisions.
Since the publication of the Schedules in 1988, FRA has only adjusted its minimum and ordinary or aggravated maximum CMPs to conform to the mandates of the Federal Civil Penalties Inflation Adjustment Act of 1990 (Inflation Act). The Inflation Act required that an agency adjust by regulation each maximum CMP, or range of minimum and maximum CMPs within that agency's jurisdiction by October 23, 1996, and adjust those penalty amounts once every four years thereafter to reflect inflation. Public Law 101-410, 104 Stat. 890, 28 U.S.C. 2461, note, as amended by Section 31001(s)(1) of the Debt Collection Improvement Act of 1996, Public Law 104-134, 110 Stat. 1321-373, April 26, 1996. In the Inflation Act, Congress found a way to counter the effect that inflation has had on the CMPs by having the agencies charged with enforcement responsibility administratively adjust the CMPs. Currently FRA's minimum CMP is $550, the ordinary maximum is $11,000, and the aggravated maximum is $27,000 (for when a ``grossly negligent violation or pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury'').
The Inflation Act requires only that the minimum, maximum and aggravated maximum civil penalty for a violation be adjusted, not that the guideline penalty amounts for a specific type of violation be adjusted; therefore, FRA
[[Page 70591]]
has not adjusted the line-item guideline penalties found in the Schedules in conjunction with its adjustments of the minimum, maximum and aggravated maximum civil penalties. FRA's practice has been to issue Schedules assigning to each section or subsection of the regulations specific dollar amounts for initial penalty assessments. These Schedules (and all line-item penalty amounts found within them) are statements of agency policy that specify the CMP that FRA will ordinarily assess for the violation of a particular section or subsection of a safety regulation, and are published to inform members of the regulated community of the amount that they are likely to be assessed for a given violation within the range of $550 to $11,000. The Schedules are ``meant to provide guidance as to FRA's policy in predictable situations, not to bind FRA from using the full range of penalty authority where extraordinary circumstances warrant.'' 49 CFR part 209, App. A. Thus, regardless of the amounts shown in the Schedules, FRA continues to reserve the right to assess an amount other than that listed in the Schedules based on the circumstances of the alleged violation, as well as the statutory maximum CMP of up to $27,000 per violation in situations ``where a grossly negligent violation or a pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury.''
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FRA's Approach to Reevaluating the Schedules of Civil Penalties
The Federal Railroad Administrator is authorized as the delegate of the Secretary of Transportation to enforce the Federal railroad safety statutes (49 U.S.C. Ch. 201-213) and regulations, including the statutory civil penalty provisions at 49 U.S.C. Ch. 213. 49 CFR 1.49. FRA currently has 25 regulations that contain Schedules.\1\ FRA is proposing to amend each of the line-item penalty amounts contained within the Schedules for each of the regulations. In addition, FRA would correct any obvious errors or omissions in the Schedules. For example, FRA would add a line-item penalty for any existing section or subsection that has been inadvertently omitted from an existing Schedule, such as 49 CFR 213.110. FRA would also correct obvious spelling or typographical errors that are caught during the review process. Because the Schedules are statements of agency policy, FRA has authority to issue these amendments without having to follow the notice and comment procedures under the Administrative Procedure Act, 5 U.S.C. 553(b)(3)(A). Nevertheless, FRA is providing members and representatives of the regulated community and the general public with an opportunity to comment on the proposed line-item penalty amounts before amending the Schedules.
\1\ FRA is not amending the Schedule found in 49 CFR part 210 because that part is enforcing the Railroad Noise Emission Standards established by the Environmental Protection Agency in 40 CFR part 201.
In reevaluating the penalty amounts in the Schedules, FRA has developed the following Severity Scale (Severity Scale) for setting the line-item penalty amounts for each of the provisions in the safety regulations:
Severity Scale for Setting Line-Item Penalty Amounts in FRA Penalty Schedules
FRA's regulations are intended either to prevent a railroad accident/incident or to mitigate the consequences if one were to occur. For the most severe ratings on the scale, FRA concentrated on the degrees of likelihood that an accident/incident \2\ will occur or that graver consequences will occur as a result of failing to comply with the section. The following severity scale is intended to reflect this focus:
\2\ ``Accidents/incidents'' is defined at 49 CFR 225.5 and 225.19(c). The term includes highway-rail grade crossing accidents/ incidents, rail equipment accidents/incidents, and accidents/ incidents resulting in death, injury, or occupational illness. A highway-rail grade crossing accident/incident is ``[a]ny impact between railroad on-track equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or pedestrian at a highway-rail grade crossing.'' 49 CFR 225.5, read in light of 49 CFR 225.19(c). Rail equipment accidents/incidents are defined in 49 CFR 225.19(c) to include ``collisions, derailments, fires, explosions, acts of God, and other events involving the operation of on-track equipment (standing or moving) * * * that result in damage to railroad property that is greater than the reporting threshold.'' Currently the reporting threshold is $7,700. 70 FR 754141, 75417 (Dec. 20, 2005).
Level A--Very High Probability--Failure of railroad to comply with this section or subsection of the Code of Federal Regulations (CFR) is extremely likely to result in one or more of the following events, but does not create an imminent hazard of death or injury to individuals or causes an actual death or injury \3\:
\3\ FRA has statutory authority to assess civil penalties in the range of $550 (minimum) to $11,000 (maximum) for ordinary violations of its regulations. FRA may only assess a penalty at the statutory maximum of $27,000 ``when a grossly negligent violation or a pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury.'' A $27,000 statutory maximum penalty is the equivalent of a Level A Plus and is therefore off the scale.
1. Rail equipment accident/incident; or
2. Other accident/incident (not a rail equipment accident/ incident).
FRA is proposing to issue a CMP guideline for Level ``A'' of $8,500 for ordinary violations and $11,000 for willful violations of the regulations.
Level B--High Probability--Failure of railroad to comply with this section or subsection of the CFR is more likely than not to result in the occurrence of:
1. Rail equipment accident/incident; or
2. Other accident/incident (not a rail equipment accident/ incident).
FRA is proposing to issue a CMP guideline for Level ``B'' of $6,500 for ordinary violations and $9,000 for willful violations of the regulations.
For the following levels, FRA is not only addressing the likelihood that noncompliance will or could contribute to an accident or aggravated consequences if an accident occurred, but also the importance of maintaining compliance in order to prevent violations of these CFR sections or subsections from becoming leading accident causes in the future.
Level C--Moderate Probability--Failure of railroad to comply with this section or subsection of the CFR substantially increases the likelihood that one of the following will occur:
1. Rail equipment accident/incident; or
2. Other accident/incident (not a rail equipment accident/ incident).
FRA is proposing to issue a CMP guideline for Level ``C'' of $5,000 for ordinary violations and $7,500 for willful violations of the regulations.
Level D--Minor Probability--Failure of the railroad to comply with this section or subsection of the CFR slightly increases the likelihood that one of the following will occur:
1. Rail equipment accident/incident; or
2. Other accident/incident (not a rail equipment accident/ incident).
FRA is proposing to issue a CMP guideline for Level ``D'' of $3,000 for ordinary violations and $4,500 for willful violations of the regulations.
Level E--Minimal Probability--Failure to comply with this CFR section or subsection does not increase the likelihood that a rail equipment accident/incident or other accident/incident will occur, except in special circumstances, such as if the noncompliance is willful or widespread. Nevertheless, noncompliance with any one of these provisions undercuts the effectiveness of the Federal railroad safety program, and could compromise the safety of rail operations.
Example: Violation of Sec. 225.13--Late Reports--Submitting a late accident/
[[Page 70592]]
incident report to FRA does not increase the likelihood that a rail equipment accident/incident or other accident/incident will occur. Widespread noncompliance with that provision, however, could lead to inaccuracies in Federal accident databases, which in turn could delay FRA's response to emerging safety problems.
FRA is proposing to issue a CMP guideline for Level ``E'' of $1,500 for ordinary violations and $2,500 for willful violations of the regulations.
As the Severity Scale shows, there are five different degrees of probabilities, ranging from A (the most severe) to E (the least severe of the types of violations). In developing the rankings (A through E), FRA concentrated on the degrees of likelihood that an accident/incident will occur or that graver consequences will occur as a result of the failure to comply with the particular section or subsection of the safety regulations. The Severity Scale was then used by FRA to assign a ranking (from A to E) to each of the provisions of the particular safety regulations that it has responsibility for administering and enforcing. The resulting line-item penalty amounts for each of the sections or subsections of the safety regulations affected reflect FRA's determination, based on safety data and industry knowledge, of how likely the violation of a particular section or subsection is to result in a rail equipment accident/incident or other type of accident/ incident. FRA not only increased the penalty amounts in some instances, but also reduced the penalty amounts for some sections or subsections where it determined that a violation of the particular regulation constituted less of a safety risk. A determination by FRA that a CFR section or subsection does not increase the likelihood than a rail equipment accident/incident or other accident will occur, however, does not mean that this section or subsection is inconsequential to the effectiveness of the Federal railroad safety program or to the overall safety of railroad operations.
The new Schedules will continue to have two categories of violations: Ordinary and willful. See 49 CFR part 209, App. A for a discussion of ``willful'' violations. The ordinary penalties apply to railroads or other respondents, except individuals, while the ``willful'' column applies to willful violations committed by railroads or other respondents, including individuals. Each Schedule lists the CFR section or subsection in the left hand column, with the corresponding penalties listed in the columns next to it. The only exception continues to be 49 CFR part 231; what are listed in the left hand column of the Schedule are the FRA ``defect codes'' \4\ for that part, and not the corresponding CFR sections. The reason for this continues to be the fact that the defect codes are organized by the type of safety appliance, which makes them easier to use, than the section numbers of part 231, which are organized primarily by car type. Nevertheless, if necessary, every defect code can be traced to a specific regulatory provision in part 231 or statutory provision in 49 U.S.C. Chapter 203, or both.
\4\ Defect codes were developed by FRA in order to facilitate computerization of inspection data generated by FRA inspectors by providing a digital format for every CFR section. Defect codes are analytical tools only and are subject to change without notice.
The following chart summarizes the proposed guideline amounts for ordinary and willful violations by severity level:
Ordinary Willful Severity level
violations violations
Level A....................................... $8,500 $11,000 Level B.......................................
6,500
9,000 Level C.......................................
5,000
7,500 Level D.......................................
3,000
4,500 Level E.......................................
1,500
2,500
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Rankings of the Sections or Subsections of Each of the Rail Safety Regulations
Although the railroad industry's overall safety record has improved over the last decade, significant train accidents/incidents continue to occur. As a result, the FRA's safety program is being guided by careful analysis of accident/incident, inspection, and other safety data. FRA has also directed both its regulatory and compliance efforts toward the areas that involve the highest of safety risks, in order to reduce the number and severity of accidents/incidents caused by a failure to comply with those safety regulations. Therefore, the goal of the new line-item penalty amounts for each of the Schedules is to reflect the different degrees of probability that a violation of a particular CFR section or subsection will result in a rail equipment accident/incident or other accident/incident, in order to improve the overall safety of railroad operations.
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Motive Power and Equipment Regulations (MP&E) (49 CFR Parts 215, 218 (Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))
In reevaluating the line-item penalty amounts for each of the CFR sections or subsections found in Parts 215, 218 (partially), 223, 224, 229, 231, 232, 238, and 239 (partially) of the CFR, FRA took into consideration, among other factors, the nationwide list of ``Top 10'' MP&E defects. The defects are listed in the table below, in descending order, according to the number of times that each defect was determined to have caused a rail equipment accident/incident, excluding highway- rail grade crossing accidents/incidents that are also classified as rail equipment accidents/incidents (hereinafter) ``train accidents,'' between 2002 and 2005.
Journal (roller bearing) overheated-- Coupler/draft system defects (158)
(car)--(55) Truck bolster stiff--(78)
Electrically caused fire (locomotive)--(50) Side bearing clearance insufficient-- Coupler retainer pin/cross key-- (67)
(48) Broken rim--(62)
Damaged flange or tread (built up)--(45) Pantograph defect (locomotive)--(59) Rigging down or dragging--(43)
The CFR sections or subsections that relate to the defects associated with greater safety risks have received more severe rankings in the Schedules, and as such now carry higher CMP amounts. For example, a violation of 49 CFR 215.103(d)(3), which is a defective wheel rim with a crack of one inch or more, received an ``A'' severity ranking (and a proposed guideline penalty amount of $8,500) because of the high safety risk that the defect will cause a broken-rim derailment. In addition, the FRA applied the Severity Scale in order to determine the degrees of likelihood that any type of accident/incident will occur as a result of noncompliance with the regulations.
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Track and Workplace Safety Regulations (49 CFR Parts 213 and 214)
In recent years, most of the serious accidents/incidents (train collisions or derailments resulting in a release of hazardous materials or harm to rail passengers, rail employees, or the general public) resulted from human factor or track causes. Over the last five years 34 percent of train accidents were caused by track defects. In an effort to reduce track accidents, FRA is focusing its track inspections on the areas of highest risks and encouraging inspectors to recommend enforcement action on the kinds of violations that are considered leading causes of track-caused train accidents. Therefore, in evaluating the line-item penalty amounts for all the sections or subsections, FRA took into consideration the leading causes of
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track-related train accidents when applying the Severity Scale to the Track Safety Standards. For example, 49 CFR 213.53(b)--Gage--received an ``A'' (and a proposed penalty guideline amount of $8,500) ranking because it is one of the leading causes of track-related train accidents.
In ranking the sections or subsections of 49 CFR part 214 (Part 214)--Railroad Workplace Safety, FRA took into consideration not only the probability that an accident/incident could result if a violation occurred, but also the fact that the accident/incident could result in serious injury or death. One example of the rankings for part 214 is the ranking for the second type of violation of section 214.103, which requires bridge workers to use fall protection. This subsection received a ranking of ``A'' (and a proposed guideline penalty of $8,500) because a violation of the subsection could result in serious injury or death, as evidenced by the several bridge worker fatalities in the past 10 years due to the failure to use fall protection.
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Grade Crossing Signal Systems and Signal and Train Control Regulations (CFR Parts 233, 234, 235, and 236)
FRA applied the Severity Scale to each of the sections in Parts 233, 234, 235, and 236, in order to determine the appropriate rankings for each of the sections or subsections of the regulations. In the area of signal and train control (S&TC), FRA followed the Severity Scale, which concentrates on the potential for an accident/incident resulting from noncompliance. While there are relatively few train accidents associated with S&TC causes and few highway-rail grade crossing accidents/incidents associated with S&TC causes that have occurred in recent years, it is imperative that the Schedules still reflect the levels of risks associated with the violation of these CFR sections or subsections, in order to prevent future S&TC-caused accidents.
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Operating Practices Regulations (CFR Parts 217, 218 (Partially), 219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 241)
Over the last five years, human-factor-related causes have accounted for 38 percent of all train accidents. A review of the FRA's Office of Safety database indicated that the top four human factor causes contributing to train accidents are as follows: (1) Switch improperly lined; (2) shoving movement, absence of employee on, at or ahead of movement; (3) shoving movement, failure to control; and (4) buff/slack action excess, train handling. These top causes are often involved in violations of such regulations as 49 CFR part 220, Railroad Communications. A review of the top four causes for human factors train accidents between 2001 and 2005 showed that these causes accounted for 2,175 reportable train accidents/incidents (including 12 employee fatalities, 389 employee injuries, and $60,550,000 in rail and equipment damages). Therefore, when applying the Severity Scale to the CFR sections or subsections, FRA considered all of this safety information in order to ensure that each line-item penalty amount reflected the likelihood that noncompliance would result in a train accident/incident, or that graver consequences would occur as a result of failing to comply with the section or subsection of the regulations \5\.
\5\ FRA has separately proposed that additional Railroad Operating Rules be incorporated in the Federal regulations and made directly enforceable. The notice of proposed rulemaking was issued on October 12, 2006, and included additional amendments to the Schedules of Parts 217 and 218. See 71 FR 60372.
List of Subjects
49 CFR Part 213
Bridges, Occupational safety and health, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 214
Bridges, Occupational safety and health, Penalties, Railroad safety, Reporting and recordkeeping requirements.
Freight, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 217
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 218
Occupational safety and health, Penalties, Railroad employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad safety, Reporting and recordkeeping requirements, safety, Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety.
49 CFR Part 221
Penalties, Railroad safety, reporting and recordkeeping requirements.
49 CFR Part 222
Administrative practice and procedure, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 223
Glass and glass products, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 224
Incorporation by reference, Penalties, Railroad locomotive safety, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 225
Investigations, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 228
Penalties, Railroad employees, Reporting and recordkeeping requirements.
49 CFR Part 229
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 230
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 232
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 233
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 234
Highway safety, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 235
Administrative practice and procedure, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 236
Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 238
Fire prevention, Penalties, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 239
Penalties, Railroad safety, Reporting and recordkeeping.
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49 CFR Part 240
Administrative practice and procedure, Penalties, Railroad employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad safety, Reporting and recordkeeping requirements.
In consideration of the foregoing, FRA proposes to amend Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241 of Subtitle B, Chapter II of Title 49 of the Code of Federal Regulations as follows:
PART 213--[AMENDED]
1. The authority citation for part 213 continues to read as follows:
Authority: 49 U.S.C. 20102-20114 and 20142; 28 U.S.C. 2461, note; and 49 CFR 1.49(m).
2. Appendix B to part 213 is revised to read as follows:
Appendix B to Part 213.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart A--General
213.4(a) Excepted track \2\.............
$5,000
$7,500 213.4(b) Excepted track \2\.............
6,500
9,000 213.4(c) Excepted track \2\.............
6,500
9,000 213.4(d) Excepted track \2\.............
6,500
9,000 213.4(e):
(1) Excepted track..................
6,500
9,000
(2) Excepted track..................
6,500
9,000
(3) Excepted track..................
6,500
9,000
(4) Excepted track..................
6,500
9,000 213.4(f) Excepted track.................
3,000
4,500 213.7 Designation of qualified persons
5,000
7,500 to supervise certain renewals and inspect track.......................... 213.9 Classes of track: Operating speed
8,500
11,000 limits................................. 213.11 Restoration or renewal of track
5,000
7,500 under traffic conditions............... 213.13 Measuring track not under load...
6,500
9,000
Subpart B--Roadbed
213.33 Drainage.........................
6,500
9,000 213.37 Vegetation.......................
5,000
7,500
Subpart C--Track Geometry
213.53 Gage.............................
8,500
11,000 213.55 Alignment........................
6,500
9,000 213.57 Curves; elevation and speed
6,500
9,000 limitations............................ 213.59 Elevation of curved track; runoff
6,500
9,000 213.63 Track surface....................
6,500
9,000
Subpart D--Track Structure
213.103 Ballast; general................
5,000
7,500 213.109 Crossties
(a) Material used...................
3,000
4,500
(b) Distribution of ties............
6,500
9,000
(c) Sufficient number of
5,000
7,500 nondefective ties..................
(d) Sufficient number of
5,000
7,500 nondefective ties (effective 9/21/ 2000)..............................
(f) Joint ties......................
5,000
7,500
(g) Track constructed without
5,000
7,500 crossties.......................... 213.110 Gage restraint measurement systems
(a) through (b) Notification........
5,000
7,500
(c) Design requirements.............
6,500
9,000
(g) through (i) Exception reports...
5,000
7,500
(j) Data integrity..................
6,500
9,000
(k) Training........................
5,000
7,500
(l) Remedial actions................
8,500
11,000
(m) PTLF............................
6,500
9,000
(n) Recordkeeping...................
5,000
7,500
(o) Inspection frequency............
8,500
11,000 213.113 Defective rails.................
8,500
11,000 213.115 Rail end mismatch...............
5,000
7,500 213.119 Continuous welded rail
(a) CWR plan filed with FRA.........
6,500
9,000
(b) CWR fastening requirements......
6,500
9,000
(c) CWR rail temperature
6,500
9,000 requirements.......................
(d) CWR alignment monitoring
6,500
9,000 requirements.......................
(e) Procedures for controlling train
6,500
9,000 speed on CWR track.................
(f) CWR track inspections...........
6,500
9,000
(g) CWR joint bar inspections.......
6,500
9,000
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(h) CWR training....................
6,500
9,000
(i) CWR recordkeeping requirements..
6,500
9,000 213.121(a) Rail joints..................
6,500
9,000 213.121(b) Rail joints..................
6,500
9,000 213.121(c) Rail joints..................
8,500
11,000 213.121(d) Rail joints..................
6,500
9,000 213.121(e) Rail joints..................
6,500
9,000 213.121(f) Rail joints..................
6,500
9,000 213.121(g) Rail joints..................
6,500
9,000 213.121(h) Rail joints..................
6,500
9,000 213.122 Torch cut rail..................
6,500
9,000 213.123 Tie plates......................
5,000
7,500 213.127 Rail fastenings.................
6,500
9,000 213.133 Turnouts and track crossings,
5,000
7,500 generally.............................. 213.135 Switches:
(a) through (g).....................
6,500
9.000
(h) chipped or worn points..........
6,500
9,000 213.137 Frogs...........................
6,500
9,000 213.139 Spring rail frogs...............
6,500
9,000 213.141 Self-guarded frogs..............
5,000
7,500 213.143 Frog guard rails and guard
6,500
9,000 faces; gage............................
Subpart E--Track Appliances and Track-Related Devices
213.205 Derails.........................
5,000
7,500
Subpart F--Inspection
213.233 Track inspections...............
5,000
7,500 213.235 Switches, crossings, transition
5,000
7,500 devices................................ 213.237 Inspection of rail..............
6,500
9,000 213.239 Special inspections.............
5,000
7,500 213.241 Inspection records..............
5,000
7,500
Subpart G--High Speed
213.305 Designation of qualified
8,500
11,000 individuals; general qualifications.... 213.307 Class of track; operating speed
8,500
11,000 limits................................. 213.309 Restoration or renewal of track
8,500
11,000 under traffic conditions............... 213.311 Measuring track not under load..
6,500
9,000 213.319 Drainage........................
5,000
7,500 213.321 Vegetation......................
5,000
7,500 213.323 Track gage......................
8,500
11,000 213.327 Alignment.......................
8,500
11,000 213.329 Curves, elevation and speed
8,500
11,000 limits................................. 213.331 Track surface...................
8,500
11,000 213.333 Automated vehicle inspection
8,500
11,000 systems................................ 213.335 Crossties
(a) Material used...................
5,000
7,500
(b) Distribution of ties............
6,500
9,000
(c) Sufficient number of
5,000
7,500 nondefective ties, non-concrete....
(d) Sufficient number of
8,500
11,000 nondefective, concrete ties........
(e) Joint ties......................
8,500
11,000
(f) Track constructed without
8,500
11,000 crossties..........................
(g) Non-defective ties surrounding
8,500
11,000 defective ties.....................
(h) Tie plates......................
8,500
11,000
(i) Tie plates......................
8,500
11,000 213.337 Defective rails.................
8,500
11,000 213.339 Inspection of rail in service...
8,500
11,000 213.341 Inspection of new rail..........
8,500
11,000 213.343 Continuous welded rail (a)
8,500
11,000 through (h)............................ 213.345 Vehicle qualification testing
8,500
11,000 (a) through (b)........................
(c) through (e).....................
8,500
11,000 213.347 Automotive or railroad crossings
6,500
9,000 at grade............................... 213.349 Rail end mismatch...............
6,500
9,000 213.351(a) Rail joints..................
8,500
11,000 213.351(b) Rail joints..................
8,500
11,000 213.351(c) Rail joints..................
8,500
11,000 213.351(d) Rail joints..................
8,500
11,000 213.351(e) Rail joints..................
6,500
9,000 213.351(f) Rail joints..................
8,500
11,000
[[Page 70596]]
213.351(g) Rail joints..................
8,500
11,000 213.352 Torch cut rails.................
5,000
7,500 213.353 Turnouts, crossovers, transition
8,500
11,000 devices................................ 213.355 Frog guard rails and guard
6,500
9,000 faces; gage............................ 213.357 Derails.........................
5,000
7,500 213.359 Track stiffness.................
8,500
11,000 213.361 Right of way....................
5,000
7,500 213.365 Visual inspections..............
8,500
11,000 213.367 Special inspections.............
8,500
11,000 213.369 Inspections records.............
5,000
7,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. \2\ In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote, track segments designated as excepted track that are or become ineligible for such designation by virtue of noncompliance with any of the requirements to which this footnote applies are subject to all other requirements of part 213 until such noncompliance is remedied.
PART 214--[AMENDED]
3. The authority citation for part 214 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
4. Appendix A to part 214 is revised to read as follows:
Appendix A to Part 214.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart B--Bridge Worker Safety Standards
214.103 Fall protection:
(i) Failure to provide fall
$6,500
$9,000 protection.........................
(ii) Failure to use fall protection.
8,500
11,000 214.105 Standards and practices:
(a) General: (1) Fall protection used for
5,000
7,500 other purposes................. (2) Failure to remove from
5,000
7,500 service........................ (3) Failure to protect from
5,000
7,500 deterioration.................. (4) Failure to inspect and
6,500
9,000 remove......................... (5) Failure to train............
6,500
9,000 (6) Failure to provide for
6,500
9,000 prompt rescue.................. (7) Failure to prevent damage...
5,000
7,500 (8) Failure to use proper
5,000
7,500 connectors..................... (9) Failure to use proper
5,000
7,500 anchorages.....................
(b) Fall arrest system: (1)-(17) Failure to provide
5,000
7,500 conforming equipment...........
(c) Safety net systems: (1) Failure to install close to
5,000
7,500 workplace...................... (2) Failure to provide fall
6,500
9,000 arrest if over 30 feet......... (3) Failure to provide for
6,500
9,000 unobstructed fall.............. (4) Failure to test.............
5,000
7,500 (5) Failure to use proper
5,000
7,500 equipment...................... (6) Failure to prevent contact
6,500
9,000 with surface below............. (7) Failure to properly install.
6,500
9,000 (8) Failure to remove defective
6,500
9,000 nets........................... (9) Failure to inspect..........
6,500
9,000 (10) Failure to remove objects..
3,000
4,500 (11)-(13) Failure to use
5,000
7,500 conforming equipment........... 214.107 Working over water:
(a)(i) Failure to provide life vest.
6,500
9,000
(ii) Failure to use life vest....... ..............
9,000
(c) Failure to inspect..............
5,000
7,500
(e)(i) Failure to provide ring buoys
6,500
9,000
(ii) Failure to use ring buoys......
5,000
7,500
(f)(i) Failure to provide skiff.....
5,000
7,500
(ii) Failure to use skiff........... ..............
7,500 214.109 Scaffolding:
(a)-(f) Failure to provide
6,500
9,000 conforming equipment............... 214.113 Head protection:
(a)(i) Failure to provide...........
6,500
9,000
(ii) Failure to use................. ..............
9,000
(b) or (c) Failure to provide
5,000
7,500 conforming equipment...............
[[Page 70597]]
214.115 Foot protection:
(a)(i) Failure to require use of....
5,000
7,500
(ii) Failure to use................. ..............
7,500 214.117 Eye and face protection:
(a)(i) Failure to provide...........
5,000
7,500
(ii) Failure to use................. ..............
4,500
(b) Failure to use conforming
5,000
7,500 equipment..........................
(c) Use of defective equipment......
5,000
7,500
(d) Failure to provide for
5,000
7,500 corrective lenses..................
Subpart C--Roadway Worker Protection Rule
214.303 Railroad on-track safety programs, generally:
(a) Failure of a railroad to
8,500
11,000 implement an On-track Safety Program............................
(b) On-track Safety Program of a
8,500
11,000 railroad includes no internal monitoring procedure............... 214.305 Compliance Dates:
Failure of a railroad to comply by
5,000
7,500 the specified dates................ 214.307 Review and approval of individual on-track safety programs by FRA:
(a)(i) Failure to notify FRA of
5,000
7,500 adoption of On-track Safety Program
(ii) Failure to designate primary
5,000
7,500 person to contact for program review............................. 214.309 On-track safety program documents:
(1) On-track Safety Manual not
6,500
9,000 provided to prescribed employees...
(2) On-track Safety Program
5,000
7,500 documents issued in fragments...... 214.311 Responsibility of employers:
(b) Roadway worker required by
8,500
11,000 employer to foul a track during an unresolved challenge...............
(c) Roadway workers not provided
6,500
9,000 with written procedure to resolve challenges of on-track safety procedures......................... 214.313 Responsibility of individual roadway workers:
(a) Failure to follow railroad's on- ..............
11,000 track safety rules.................
(b) Roadway worker fouling a track ..............
11,000 when not necessary in the performance of duty................
(c) Roadway worker fouling a track ..............
11,000 without ascertaining that provision is made for on-track safety........
(d) Roadway worker failing to notify ..............
11,000 employer of determination of improper on-track safety provisions 214.315 Supervision and communication:
(a) Failure of employer to provide
8,500
11,000 job briefing.......................
(b) Incomplete job briefing.........
6,500
9,000
(c)(i) Failure to designate roadway
6,500
9,000 worker in charge of roadway work group..............................
(ii) Designation of more than one
5,000
7,500 roadway worker in charge of one roadway work group.................
(iii) Designation of non-qualified
6,500
9,000 roadway worker in charge of roadway work group.........................
(d)(i) Failure to notify roadway
6,500
9,000 workers of on-track safety procedures in effect...............
(ii) Incorrect information provided
6,500
9,000 to roadway workers regarding on- track safety procedures in effect..
(iii) Failure to notify roadway
6,500
9,000 workers of change in on-track safety procedures..................
(e)(i) Failure of lone worker to ..............
7,500 communicate with designated employee for daily job briefing....
(ii) Failure of employer to provide
6,500
9,000 means for lone worker to receive daily job briefing................. 214.317 On-track safety procedures, generally:
On-track safety rules conflict with
8,500
11,000 this part.......................... 214.319 Working limits, generally:
(a) Non-qualified roadway worker in
8,500
11,000 charge of working limits...........
(b) More than one roadway worker in
6,500
9,000 charge of working limits on the same track segment.................
(c)(1) Working limits released
8,500
11,000 without notifying all affected roadway workers....................
(2) Working limits released before
8,500
11,000 all affected roadway workers are otherwise protected................ 214.321 Exclusive track occupancy:
(a) Improper transmission of
5,000
7,500 authority for exclusive track occupancy..........................
(b)(1) Failure to repeat authority ..............
7,500 for exclusive track occupancy to issuing employee...................
(2) Failure to retain possession of ..............
9,000 written authority for exclusive track occupancy....................
(3) Failure to record authority for ..............
9,000 exclusive track occupancy when issued.............................
(c) Limits of exclusive track
8,500
11,000 occupancy not identified by proper physical features..................
(d)(1) Movement authorized into
8,500
11,000 limits of exclusive track occupancy without authority of roadway worker in charge..........................
(2) Movement authorized within
8,500
11,000 limits of exclusive track occupancy without authority of roadway worker in charge..........................
(3) Movement within limits of
8,500
11,000 exclusive track occupancy exceeding restricted speed without authority of roadway worker in charge........ 214.323 Foul time:
(a) Foul time authority overlapping
8,500
11,000 movement authority of train or equipment..........................
(b) Failure to repeat foul time
6,500
9,000 authority to issuing employee...... 214.325 Train coordination:
(a) Train coordination limits
6,500
9,000 established where more than one train is authorized to operate.....
(b)(1) Train coordination
5,000
7,500 established with train not visible to roadway worker at the time......
(2) Train coordination established ..............
7,500 with moving train..................
(3) Coordinated train moving without
6,500
9,000 authority of roadway worker in charge.............................
(4) Coordinated train releasing
6,500
9,000 movement authority while working limits are in effect...............
[[Page 70598]]
214.327 Inaccessible track:
(a) Improper control of entry to
6,500
9,000 inaccessible track.................
(5) Remotely controlled switch not
6,500
9,000 properly secured by control operator...........................
(b) Train or equipment moving within
6,500
9,000 inaccessible track limits without permission of roadway worker in charge.............................
(c) Unauthorized train or equipment
6,500
9,000 located within inaccessible track limits............................. 214.329 Train approach warning provided by watchmen/lookouts:
(a) Failure to give timely warning ..............
11,000 of approaching train...............
(b)(1) Failure of watchman/lookout ..............
9,000 to give full attention to detecting approach of train..................
(2) Assignment of other duties to
6,500
9,000 watchman/lookout...................
(c) Failure to provide proper
5,000
7,500 warning signal devices.............
(d) Failure to maintain position to
6,500
9,000 receive train approach warning signal.............................
(e) Failure to communicate proper
6,500
9,000 warning signal.....................
(f)(1) Assignment of non-qualified
6,500
9,000 person as watchman/lookout.........
(2) Non-qualified person accepting
5,000
7,500 assignment as watchman/lookout.....
(g) Failure to properly equip a
5,000
7,500 watchman/lookout................... 214.331 Definite train location:
(a) Definite train location
6,500
9,000 established where prohibited.......
(b) Failure to phase out definite
5,000
7,500 train location by required date....
(d)(1) Train location information
6,500
9,000 issued by unauthorized person......
(2) Failure to include all trains
8,500
11,000 operated on train location list....
(5) Failure to clear track 10
..............
9,000 minutes before earliest departure time of train at last station prior to work location, or failure to remain clear until such train passed.............................
(6) Train passing station before
8,500
11,000 time shown in train location list..
(7) Non-qualified person using
6,500
9,000 definite train location to establish on-track safety.......... 214.333 Informational line-ups of trains:
(a) Informational line-ups of trains
8,500
11,000 used for on-track safety where prohibited.........................
(b) Informational line-up procedures
8,500
11,000 inadequate to protect roadway workers............................
(c) Failure to discontinue
5,000
7,500 informational line-ups by required date............................... 214.335 On-track safety procedures for roadway work groups:
(a) Failure to provide on-track
8,500
11,000 safety for a member of a roadway work group.........................
(b) Member of roadway work group
6,500
9,000 fouling a track without authority of employee in charge..............
(c) Failure to provide train
8,500
11,000 approach warning or working limits on adjacent track where required... 214.337 On-track safety procedures for lone workers:
(b) Failure by employer to permit
8,500
11,000 individual discretion in use of individual train detection.........
(c)(1) Individual train detection
6,500
9,000 used by non-qualified employee.....
(2) Use of individual train
5,000
7,500 detection while engaged in heavy or distracting work...................
(3) Use of individual train
5,000
7,500 detection in controlled point or manual interlocking................
(4) Use of individual train
8,500
11,000 detection with insufficient visibility.........................
(5) Use of individual train
..............
7,500 detection with interfering noise...
(6) Use of individual train
..............
9,000 detection while a train is passing.
(d) Failure to maintain access to ..............
11,000 place of safety clear of live tracks.............................
(e) Lone worker unable to maintain ..............
9,000 vigilant lookout...................
(f)(1) Failure to prepare written ..............
4,500 statement of on-track safety.......
(2) Incomplete written statement of ..............
4,500 on-track safety....................
(3) Failure to produce written
..............
4,500 statement of on-track safety to FRA 214.339 Audible warning from trains:
(a) Failure to require audible
5,000
7,500 warning from trains................
(b) Failure of train to give audible
5,000
7,500 warning where required............. 214.341 Roadway maintenance machines:
(a) Failure of on-track safety
8,500
11,000 program to include provisions for safety near roadway maintenance machines...........................
(b) Failure to provide operating
5,000
7,500 instructions.......................
(1) Assignment of non-qualified
6,500
9,000 employee to operate machine........
(2) Operator unfamiliar with safety
6,500
9,000 instructions for machine...........
(3) Roadway worker working with
6,500
9,000 unfamiliar machine.................
(c) Roadway maintenance machine not
8,500
11,000 clear of passing trains or operation of machine component closer than four feet to adjacent track without procedural instructions....................... 214.343 Training and qualification, general:
(a)(1) Failure of railroad program
6,500
9,000 to include training provisions.....
(2) Failure to provide initial
6,500
9,000 training...........................
(b) Failure to provide annual
6,500
9,000 training...........................
(c) Assignment of non-qualified
6,500
9,000 railroad employees to provide on- track safety.......................
(d)(1) Failure to maintain records
5,000
7,500 of qualifications..................
(2) Incomplete records of
5,000
7,500 qualifications.....................
(3) Failure to provide records of
5,000
7,500 qualifications to FRA.............. 214.345 Training for all roadway workers
6,500
9,000 214.347 Training and qualification for lone workers. 214.349 Training and qualification of watchmen/lookouts. 214.351 Training and qualification of flagmen. 214.353 Training and qualification of roadway workers who provide on-track safety for roadway work groups.
[[Page 70599]]
214.355 Training and qualification in on- track safety for operators of roadway maintenance machines.
Subpart D--On-Track Roadway Maintenance Machines and Hi- Rail Vehicles
214.503 Good-faith challenges; procedures for notification and resolution:
(a) Failure of employee to notify ..............
9,000 employer that the machine or vehicle does not comply with this subpart or has a condition inhibiting safe operation..........
(b) Roadway worker required to
8,500
11,000 operate machine or vehicle when good-faith challenge not resolved..
(c) Failure of employer to have or
8,500
11,000 follow written procedures to resolve good-faith challenges...... 214.505 Required environmental control and protection systems for new on-track roadway maintenance machines with enclosed cabs:
(a) Failure to equip new machines
8,500
11,000 with required systems..............
(b) Failure of new or existing
8,500
11,000 machines to protect employees from exposure to air contaminants.......
(c) Failure of employer to maintain
5,000
7,500 required list of machines or make list available.....................
(d) Removal of ``designated
5,000
7,500 machine'' from list before retired or sold............................
(e) Personal respiratory protective
8,500
11,000 equipment not provided when ventilation system fails...........
(f) Personal respiratory protective
8,500
11,000 equipment fails to meet required standards..........................
(g) Other new machines with enclosed
8,500
11,000 cabs not equipped with operable heating and ventilation systems....
(h) Non-enclosed station not
8,500
11,000 equipped with covering, where feasible........................... 214.507 Required safety equipment for new on-track roadway maintenance machines:
(a)(1)-(5) Failure to equip new
8,500
11,000 machine or provide protection as specified in these paragraphs......
(a)(6)-(7) Failure to equip new
6,500
9,000 machine with first-aid kit or operative and charged fire extinguisher.......................
(b) Position for operator to stand
8,500
11,000 not properly equipped to provide safe and secure position...........
(c) New machine not equipped with
6,500
9,000 accurate speed indicator, as required...........................
(d) As-built light weight not
6,500
9,000 conspicuously displayed on new machine............................ 214.509 Required visual illumination and
6,500
9,000 reflective devices for new on-track roadway maintenance machines........... 214.511 Required audible warning devices
8,500
11,000 for new on-track roadway maintenance machines............................... 214.513 Retrofitting of existing on- track roadway maintenance machines; general:
(a) Failure to provide safe and
8,500
11,000 secure position and protection from moving parts inside cab for each roadway worker transported on machine............................
(b) Horn or other audible warning
6,500
9,000 device is missing, inoperable, or has non-compliant triggering mechanism..........................
(c) Illumination device or portable
6,500
9,000 light missing, inoperable, improperly secured, or incapable of illuminating track as required..... 214.515 Overhead covers for existing on- track roadway maintenance machines:
(a) Failure to repair, reinstall, or
8,500
11,000 maintain overhead cover as required
(b) Failure to provide written
5,000
7,500 response to operator's request within 60 days..................... 214.517 Retrofitting of existing on- track roadway maintenance machines manufactured on or after January 1, 1991:
(a) Failure to equip machine with
8,500
11,000 change-of-direction alarm or rearward viewing device............
(b) Failure to equip machine with
8,500
11,000 operative heater...................
(c) Failure to display light weight
6,500
9,000 of machine as required.............
(d) Failure to equip machine with
8,500
11,000 reflective material, reflective device, or operable brake lights...
(e) Failure to install or replace
8,500
11,000 safety glass as required...........
(f) Failure to equip machine with
8,500
11,000 turntable restraint device or warning light as required.......... 214.518 Safe and secure position for
8,500
11,000 riders................................. 214.519 Floors, decks, stairs, and
8,500
11,000 ladders for on-track roadway maintenance machines................... 214.521 Flagging equipment for on-track
6,500
9,000 roadway maintenance machines and hi- rail vehicles.......................... 214.523 Hi-rail vehicles:
(a) Failure to inspect hi-rail gear
8,500
11,000 annually...........................
(b) Failure to maintain inspection
5,000
7,500 record or make record available to FRA................................
(c) Failure to equip new hi-rail
6,500
9,000 vehicle with alarm and light or beacon as required.................
(d)(2) Failure of operator to tag,
5,000
7,500 date or report non-complying condition..........................
(d)(3) Failure to repair or replace
6,500
9,000 non-complying alarms, lights or beacons as required................ 214.525 Towing with on-track roadway
8,500
11,000 maintenance machines or hi-rail vehicles............................... 214.527 On-track roadway maintenance machines; inspection for compliance and schedule for repairs:
(a) Failure of operator to check on-
5,000
7,500 track roadway maintenance machine for compliance.....................
(b) Failure of operator to tag,
5,000
7,500 date, or report noncomplying condition..........................
(c)(1)-(4) Failure to meet
6,500
9,000 requirements for operating on-track roadway maintenance machine with non-complying headlights, work lights, horn, fire extinguisher, alarm, warning light, or beacon....
(c)(5) Failure to repair or replace
8,500
11,000 defective or missing operator's seat within required time period... 214.529 In-service failure of primary
8,500
11,000 braking system......................... 214.531 Schedule of repairs; general....
6,500
9,000 214.533 Schedule of repairs subject to availability of parts:
(a)-(c) Failure to order necessary
6,500
9,000 part(s), make repair(s), or remove on-track roadway maintenance machine or hi-rail vehicle from service as required................
[[Page 70600]]
(d) Failure to maintain record or
5,000
7,500 make record available to FRA.......
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 214. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 215--[AMENDED]
5. The authority citation for part 215 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461.
6. Appendix B to part 215 is revised to read as follows:
Appendix B to Part 215.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart A--General
215.9 Movement for repair:
(a), (c)............................
(\1\)
(\1\)
(b).................................
$3,000
$4,500 215.11 Designation of qualified persons.
5,000
7,500 215.13 Pre-departure inspection.........
5,000
7,500
Subpart B--Freight Car Components
215.103 Defective wheel:
(a) Flange thickness of: (1) \7/8\'' or less but more
5,000
7,500 than \13/16\''................. (2) \13/16\'' or less...........
6,500
9,000
(b) Flange height of: (1) 1\1/2\'' or greater but less
5,000
7,500 than 1\5/8\''.................. (2) 1\5/8\'' or more............
6,500
9,000
(c) Rim thickness of: (1) \11/16\'' or less but more
5,000
7,500 than \5/8\''................... (2) \5/8\'' or less.............
6,500
9,000
(d) Wheel rim, flange plate hub width: (1) Crack of less than 1''......
5,000
7,500 (2) Crack of 1'' or more........
6,500
9,000 (3) Break.......................
8,500
11,000
(e) Chip or gouge in flange of: (1) 1\1/2\'' or more but less
3,000
4,500 than 1\5/8\'' in length; and \1/ 2\'' or more but less than \5/ 8\'' in width.................. (2) 1\5/8\ '' or more in length;
5,000
7,500 or \5/8\'' or more in width....
(f) Slid flat or shelled spot(s): (1)(i) One spot more than 2\1/
3,000
4,500 2\'', but less than 3'', in length......................... (ii) One spot 3'' or more in
5,000
7,500 length......................... (2)(i) Two adjoining spots each
3,000
4,500 of which is more than 2'' but less than 2\1/2\'' in length... (ii) Two adjoining spots both of
5,000
7,500 which are at least 2'' in length, if either spot is 2\1/ 2\'', or more in length........
(g) Loose on axle...................
8,500
11,000
(h) Overheated; discoloration extending: (1) more than 4'' but less than
5,000
7,500 4\1/2\''....................... (2) 4\1/2\'' or more............
6,500
9.000
(i) Welded..........................
6,500
9,000 215.105 Defective axle:
(a)(1) Crack of 1'' or less.........
5,000
7,500
(2) Crack of more than 1''..........
6,500
9,000
(3) Break...........................
8,500
11,000
(b) Gouge in surface that is between
3,000
4,500 the wheel seats and is more than \1/ 8\'' in depth......................
(c) End collar with crack or break..
5,000
7,500
(d) Journal overheated..............
8,500
11,000
(e) Journal surface has: a ridge; a
5,000
7,500 depression; a circumferential score; corrugation; a scratch; a continuous streak; pitting; rust; or etching......................... 215.107 Defective plain bearing box: general:
(a)(1) No visible free oil..........
3,000
4,500
(2) Lubricating pad dry (no
6,500
9,000 expression of oil observed when pad is compressed).....................
(b) Box lid is missing, broken, or
3,000
4,500 open except to receive servicing...
(c) Contains foreign matter that can
5,000
7,500 be expected to damage the bearing or have a detrimental effect on the lubrication of the journal and bearing............................
[[Page 70601]]
215.109 Defective plain bearing box: journal lubrication system:
(a) Lubricating pad has a tear......
3,000
4,500
(b) Lubricating pad scorched,
5,000
7,500 burned, or glazed..................
(c) Lubricating pad contains
5,000
7,500 decaying or deteriorating fabric...
(d) Lubricating pad has an exposed
5,000
7,500 center core or metal parts contacting the journal.............
(e) Lubricating pad is missing or
6,500
9,000 not in contact with the journal.... 215.111 Defective plain bearing:
(a) Missing.........................
8,500
11,000
(b) Bearing liner is loose or has
5,000
7,500 piece broken out...................
(c) Overheated......................
8,500
11,000 215.113 Defective plain bearing wedge:
(a) Missing.........................
8,500
11,000
(b) Cracked.........................
5,000
7,500
(c) Broken..........................
6,500
9,000
(d) Not located in its design
5,000
7,500 position........................... 215.115 Defective roller bearing:
(a)(1) Overheated...................
8,500
11,000
(2)(i) Cap screw(s) loose...........
6,500
9,000
(ii) Cap screw lock broken, missing
3,000
4,500 or improperly applied..............
(3) Seal is loose or damaged, or
3,000
4,500 permits leakage of lubricant.......
(b)(1) Not inspected and tested
6,500
9,000 after derailment...................
(2) Not disassembled after
5,000
7,500 derailment.........................
(3) Not repaired or replaced after
6,500
9,000 derailment......................... 215.117 Defective roller bearing adapter:
(a) Cracked or broken...............
5,000
7,500
(b) Not in its design position......
6,500
9,000
(c) Worn on the crown...............
5,000
7,500 215.119 Defective freight car truck:
(a)(1) A side frame or bolster that
8,500
11,000 is broken..........................
(2)(i) Side frame or bolster with
5,000
7,500 crack of: \1/4\'' or more, but less than 1''...........................
(ii) 1'' or more....................
6,500
9,000
(b) A snubbing device that is
5,000
7,500 ineffective or missing.............
(c) Side bearing(s): (1) Assembly missing or broken..
8,500
11,000 (2) In contact except by design.
6,500
9,000 (3), (4) Total clearance at one end or at diagonally opposite sides of: (i) more than \3/4\'' but
5,000
7,500 not more than 1''.......... (ii) more than 1''..........
6,500
9,000
(d) Truck spring(s): (1) Do not maintain travel or
5,000
7,500 load........................... (2) Compressed solid............
5,000
7,500 (3) Outer truck springs broken or missing: (i) Two outer springs.......
5,000
7,500 (ii) Three or more outer
6,500
9,000 springs....................
(e) Truck bolster-center plate
6,500
9,000 interference.......................
(f) Brake beam shelf support worn...
5,000
7,500 215.121 Defective car body:
(a) Has less than 2\1/2\'' clearance
5,000
7,500 from the top of rail...............
(b) Car center sill is: (1) Broken......................
8,500
11,000 (2) Cracked more than 6''.......
5,000
7,500 (3) Bent or buckled more than
5,000
7,500 2\1/2\'' in any 6'' length.....
(c) Coupler carrier that is broken
5,000
7,500 or missing.........................
(d) Car door not equipped with
8,500
11,000 operative safety hangers...........
(e)(1) Center plate not properly
8,500
11,000 secured............................
(2) Portion missing.................
5,000
7,500
(3) Broken..........................
8,500
11,000
(4) Two or more cracks..............
5,000
7,500
(f) Broken sidesill, crossbearer, or
5,000
7,500 body bolster....................... 215.123 Defective couplers:
(a) Shank bent out of alignment.....
3,000
4,500
(b) Crack in highly stressed
5,000
7,500 junction area......................
(c) Coupler knuckle broken or
5,000
7,500 cracked............................
(d) Coupler knuckle pin or thrower
5,000
7,500 that is missing or inoperative.....
(e) Coupler retainer pin lock that
3,000
4,500 is missing or broken...............
(f) Coupler with following
5,000
7,500 conditions: locklift inoperative; no anticreep protection; or coupler lock is missing, inoperative, bent, cracked, or broken................. 215.125 Defective uncoupling device
5,000
7,500 215.127 Defective draft arrangement:
(a) Draft gear that is inoperative..
5,000
7,500
(b) Yoke that is broken.............
5,000
7,500
[[Page 70602]]
(c) End of car cushioning unit is
5,000
7,500 leaking or inoperative.............
(d) Vertical coupler pin retainer
8,500
11,000 plate missing or has missing fastener...........................
(e) Draft key or draft key retainer
8,500
11,000 that is inoperative or missing.....
(f) Follower plate that is missing
5,000
7,500 or broken.......................... 215.129 Defective cushioning device.....
5,000
7,500
Subpart C--Restricted Equipment
215.203 Restricted cars.................
5,000
7,500
Subpart D--Stenciling
215.301 General.........................
3,000
4,500 215.303 Stenciling of restricted cars...
3,000
4,500 215.305 Stenciling of maintenance-of-way
3,000
4,500
\1\ A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single freight car that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $11,000 per day. A failure to perform, with respect to a particular freight car, the predeparture inspection required by Sec. 215.13 of this Part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on the car. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in paragraphs (a) and (c) of Sec. 215.9 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the freight car at the time of movement. Maintenance-of-way equipment not stenciled in accordance with Sec. 215.305 is subject to all requirements of this Part. See Sec. 215.3(c)(3). The penalty schedule uses section numbers from 49 CFR part 215. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 217--[AMENDED]
7. The authority citation for part 217 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
8. Appendix A to part 217 is revised to read as follows:
Appendix A to Part 217.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
217.7 Operating Rules:
(a).................................
$6,500
$9,000
(b).................................
6,500
9,000
(c).................................
6,500
9,000 217.9 Operational tests and inspections:
(a) Program.........................
8,500
11,000
(b) Record of program...............
6,500
9,000
(c) Record of tests and inspections.
8,500
11,000
(d) Annual Summary..................
8,500
11,000 217.11 Program of instruction on operating rules:
(a).................................
8,500
11,000
(b).................................
8,500
11,000
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 218--[AMENDED]
9. The authority citation for part 218 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
10. Appendix A to part 218 is revised to read as follows:
Appendix A to Part 218.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart B--Blue Signal Protection of Workmen
218.22 Utility employees:
(a) Employee qualifications.........
$5,000
$7,500
(b) Concurrent service..............
6,500
9,000
[[Page 70603]]
(c) Assignment conditions: (1) No controlling locomotive...
6,500
9,000 (2) Empty cab...................
6,500
9,000 (3)(4) Improper communication...
6,500
9,000 (5) Performing functions not
5,000
7,500 listed.........................
(d) Improper release................
5,000
7,500
(f) More than three utility
5,000
7,500 employees with one crew............ 218.23 Blue signal display..............
6,500
9,000 218.24 One-person crew:
(a)(1) Equipment not coupled or
6,500
9,000 insufficiently separated...........
(a)(2) Unoccupied locomotive cab not
5,000
7,500 secured............................
(b) Helper service..................
6,500
9,000 218.25 Workmen on a main track..........
6,500
9,000 218.27 Workmen on track other than main track:
(a) Protection provided except that
6,500
9,000 signal not displayed at switch.....
(b) through (e).....................
5,000
7,500 218.29 Alternate methods of protection:
(a)(1) protection provided except
6,500
9,000 that signal not displayed at switch
(a)(2) through (a)(8)...............
6,500
9,000
(b)(1) Protection provided except
6,500
9,000 that signal not displayed at switch
(b)(2) through (b)(4)...............
6,500
9,000
(c) Use of derails..................
5,000
7,500
(d) Emergency repairs...............
6,500
9,000 218.30 Remotely controlled switches:
(a) and (b).........................
5,000
7,500
(c).................................
1,500
2,500
Subpart C--Protection of Trains and Locomotives
218.35 Yard limits:
(a) and (b).........................
3,000
4,500
(c).................................
3,000
4,500 218.37 Flag protection:
(a).................................
1,500
2,500
(b) and (c).........................
1,500
2,500 218.39 Hump operations..................
6,500
9,000 218.41 Noncompliance with hump
6,500
9,000 operations rule........................
Subpart D--Prohibition Against Tampering With Safety Devices
218.55 Tampering........................ ..............
11,000 218.57 (i) Knowingly operating or
3,000 .............. permitting operation of disabled equipment..............................
(ii) Willfully operating or
..............
4,500 permitting operation of disabled equipment.......................... 218.59 Operation of disabled equipment..
3,000
4,500
\1\ Except as provided for in Sec. 218.57, a penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where the circumstances warrant. See 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 218. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 219--[AMENDED]
11. The authority citation for part 219 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(m).
12. Appendix A to part 219 is revised to read as follows:
Appendix A to Part 219--Schedule of Civil Penalties
The following chart lists the schedule of civil penalties:
Penalty Schedule \1\
Willful Section
Violation violation
Subpart A--General
219.3 Application:
Railroad does not have required
$5,000
$7,500 program............................ 219.11 General conditions for chemical tests:
(b)(1) Employee unlawfully refuses
8,500
11,000 to participate in testing..........
[[Page 70604]]
(b)(2) Employer fails to give
8,500
11,000 priority to medical treatment......
(b)(3) Employee fails to remain
8,500
11,000 available..........................
(b)(4) Employee tampers with
8,500
11,000 specimen...........................
(d) Employee unlawfully required to
5,000
7,500 execute a waiver of rights.........
(e) Railroad used or authorized the
1,500
2,500 use of coercion to obtain specimens
(g) Failure to meet supervisory
6,500
9,000 training requirements or program of instruction not available or program not complete...............
(h) Urine or blood specimens
8,500
11,000 provided for Federal testing were used for non-authorized testing.... 219.23 Railroad policies:
(a) Failure to provide written
3,000
4,500 notice of FRA test.................
(b) Failure to provide written
3,000
4,500 notice of basis for FRA test.......
(c) Use of subpart C form for other
3,000
4,500 test...............................
(d) Failure to provide educational
1,500
2,500 materials..........................
(e) Educational materials fail to
1,500
2,500 explain requirements of this part and/or include required content....
(f) Non-Federal provisions are
1,500
2,500 clearly described as independent authority..........................
Subpart B--Prohibitions
219.101 Alcohol and drug use prohibited:
Employee violates prohibition(s)....
8,500 .............. 219.103 Prescribed and over-the-counter drugs:
(a) Failure to train employee
5,000
7,500 properly on requirements........... 219.104 Responsive Action:
(a) Failure to remove employee from
8,500
11,000 covered service immediately........
(b) Failure to provide notice for
5,000
7,500 removal............................
(c) Failure to provide prompt
8,500
11,000 hearing............................
(d) Employee improperly returned to
8,500
11,000 service............................ 219.105 Railroad's duty to prevent violations:
(a) Employee improperly permitted to
8,500
11,000 remain in covered service..........
(b) Failure to exercise due
6,500
9,000 diligence to assure compliance with prohibition........................ 219.107 Consequences of unlawful refusal:
(a) Failure to disqualify an
8,500
11,000 employee for nine months following a refusal..........................
(e) Employee unlawfully returned to
8,500
11,000 service............................
Subpart C--Post-Accident Toxicological Testing
219.201 Events for which testing is required:
(a) Failure to test after qualifying
8,500
11,000 event (each employee not tested is a violation).......................
(c)(1)(i) Failure to make good faith
5,000
7,500 determination......................
(c)(1)(ii) Failure to provide
1,500
2,500 requested decision report to FRA...
(c)(2) Testing performed after non-
8,500
11,000 qualifying event................... 219.203 Responsibilities of railroads and employees:
(a)(1)(i) and (a)(2)(i) Failure to
5,000
7,500 properly test/exclude from testing.
(a)(1)(ii) and (a)(2)(ii) Non-
5,000
7,500 covered service employee tested....
(b)(1) Delay in obtaining specimens
3,000
4,500 due to failure to make every reasonable effort..................
(c) Independent medical facility not
5,000
7,500 utilized...........................
(d) Failure to report event or
1,500
2,500 contact FRA when intervention required........................... 219.205 Specimen collection and handling:
(a) Failure to observe requirements
5,000
7,500 with respect to specimen collection, marking and handling...
(b) Failure to provide properly
1,500
2,500 prepared forms with specimens......
(d) Failure to promptly or properly
5,000
7,500 forward specimens.................. 219.207 Fatality:
(a) Failure to test.................
6,500
9,000
(a)(1) Failure to ensure timely
1,500
2,500 collection and shipment of required specimens..........................
(b) Failure to request assistance
5,000
7,500 when necessary..................... 219.209 Reports of tests and refusals:
(a)(1) Failure to provide telephonic
3,000
4,500 report.............................
(b) Failure to provide written
3,000
4,500 report of refusal to test..........
(c) Failure to maintain report
3,000
4,500 explaining why test not conducted within 4 hours..................... 219.211 Analysis and follow-up:
(c) Failure of MRO to report review
1,500
2,500 of positive results to FRA.........
Subpart D--Testing for Cause
219.300 Mandatory reasonable suspicion testing:
(a)(1) Failure to test when
8,500
11,000 reasonable suspicion criteria met..
(a)(2) Tested when reasonable
8,500
11,000 suspicion criteria not met......... 219.301 Testing for reasonable cause:
(a) Event did not occur during daily
6,500
9,000 tour...............................
(b)(2) Tested when accident/incident
8,500
11,000 criteria not met...................
(b)(3) Tested when operating rules
8,500
11,000 violation criteria not met.........
[[Page 70605]]
219.302 Prompt specimen collection:
(a) Specimen collection not
5,000
7,500 conducted promptly.................
Subpart E--Identification of Troubled Employees
219.401 Requirement for policies:
(b) Failure to publish and/or
5,000
7,500 implement required policy.......... 219.407 Alternate policies:
(c) Failure to file agreement or
5,000
7,500 other document or provide timely notice or revocation...............
Subpart F--Pre-Employment Tests
219.501 Pre-employment tests:
(a) Failure to perform pre-
5,000
7,500 employment drug test before first time employee performs covered service............................
Subpart G--Random Testing Programs
219.601 Railroad random drug programs:
(a)(1) Failure to file a random
6,500
9,000 program............................
(a)(2) Failure to file amendment to
5,000
7,500 program............................
(b) Failure to meet random testing
3,000
4,500 criteria...........................
(b)(1)(i) Failure to use a neutral
8,500
11,000 selection process..................
(b)(2)(i)(B) Testing not spread
3,000
4,500 throughout the year................
(b)(3) Testing not distributed
3,000
4,500 throughout the day.................
(b)(4) Advance notice provided to
8,500
11,000 employee...........................
(b)(6) Testing when employee not on
6,500
9,000 duty............................... 219.601A Failure to include covered
5,000
7,500 service employee in pool............... 219.602 Administrator's determination of drug testing rate:
(f) Total number of tests below
6,500
9,000 minimum random drug testing rate... 219.603 Participation in drug testing:
Failure to document reason for not
5,000
7,500 testing selected employee.......... 219.607 Railroad random alcohol programs:
(a)(1) Failure to file a random
5,000
7,500 alcohol program....................
(a)(2) Failure to file amendment to
5,000
7,500 program............................
(b) Failure to meet random testing
8,500
11,000 criteria...........................
(b)(1) Failure to use a neutral
6,500
9,000 selection process..................
(b)(5) Testing when employee not on
5,000
7,500 duty...............................
(b)(8) Advance notice provided to
8,500
11,000 employee........................... 219.607A Failure to include covered
6,500
9,000 service employee in pool............... 219.608 Administrator's determination of random alcohol testing rate:
(e) Total number of tests below
6,500
9,000 minimum random alcohol testing rate 219.609 Participation in alcohol testing:
Failure to document reason for not
5,000
7,500 testing selected employee..........
Subpart H--Drug and Alcohol Testing Procedures
219.701 Standards for drug and alcohol testing:
(a) Failure to comply with part 40
1,500
2,500 procedures in subpart B, D, F, or G testing............................
(b) Testing not performed in a
3,000
4,500 timely manner......................
Subpart I--Annual Report
219.801 Reporting alcohol misuse prevention program results in a management information system:
(a) Failure to submit MIS report on
3,000
4,500 time...............................
(c) Failure to submit accurate MIS
3,000
4,500 report.............................
(d) Failure to include required data
1,500
2,500 219.803 Reporting drug misuse prevention program results in a management information system:
(c) Failure to submit accurate MIS
3,000
4,500 report.............................
(d) Failure to submit MIS report on
3,000
4,500 report.............................
(e) Failure to include required data
1,500
2,500
Subpart J--Recordkeeping Requirements
219.901 Retention of Alcohol Testing Records:
(a) Failure to maintain records
5,000
7,500 required to be kept by part 40.....
(b) Failure to maintain records
5,000
7,500 required to be kept for five years.
(c) Failure to maintain records
5,000
7,500 required to be kept for two years.. 219.903 Retention of Drug Testing Records:
(a) Failure to maintain records
5,000
7,500 required to be kept by part 40.....
(b) Failure to maintain records
5,000
7,500 required to be kept for five years.
(c) Failure to maintain records
5,000
7,500 required to be kept for two years.. 219.905 Access to facilities and records:
[[Page 70606]]
(a) Failure to release records in
6,500
9,000 this subpart in accordance with part 40............................
(b) Failure to permit access to
8,500
11,000 facilities.........................
(c) Failure to provide access to
8,500
11,000 results of railroad alcohol and drug testing programs..............
\1\ A penalty may be assessed against an individual only for a willful violation. The FRA Administrator reserves the right to assess a penalty of up to $27,000 for any violation, including ones not listed in this penalty schedule, where circumstances warrant. See 49 CFR part 209, appendix A.
PART 220--[AMENDED]
13. The authority citation for part 220 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.
14. Appendix C to part 220 is revised to read as follows:
Appendix C to Part 220.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
220.9 Requirements for trains...........
$8,500
$11,000 220.11 Requirements for roadway workers.
6,500
9,000 220.21 Railroad Operating rules; radio communications:
(a).................................
8,500
11,000
(b).................................
6,500
9,000 220.23 Publication of radio information.
5,000
7,500 220.25 Instruction of employees.........
8,500
11,000 220.27 Identification...................
6,500
9,000 220.29 Statement of letters and numbers.
6,500
9,000 220.31 Initiating a transmission........
3,000
4,500 220.33 Receiving a transmission.........
5,000
7,500 220.35 Ending a transmission............
5,000
7,500 220.37 Voice test.......................
6,500
9,000 220.39 Continuous monitoring............
5,000
7,500 220.41 [Reserved]. 220.43 Communication consistent with the
6,500
9,000 rules.................................. 220.45 Complete communications..........
8,500
11,000 220.47 Emergencies......................
8,500
11,000 220.49 Switching, backing or pushing....
8,500
11,000 220.51 Signal indications...............
6,500
9,000 220.61 Radio transmission of mandatory
8,500
11,000 directives.............................
\1\ A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 221--[AMENDED]
15. The authority citation for part 221 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
16. Appendix C to part 221 is revised to read as follows:
Appendix C to Part 221.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
221.13 Marking device display:
(a) device not present, not
$5,000
$7,500 displayed, or not properly illuminated........................
(d) device too close to rail........
3,000
4,500 221.14 Marking devices: Use of
3,000
4,500 unapproved or noncomplying device...... 221.15 Marking device inspection:
(a) Failure to inspect at crew
3,000
4,500 change.............................
(b), (c) improper inspection........
3,000
4,500 221.16 Inspection procedure:
(a) Failure to obtain protection....
5,000
7,500
(b) Improper protection.............
5,000
7,500 221.17 Movement of defective equipment..
\1\5,000 \1\7,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Where the conditions for movement of defective equipment set forth in Sec. 221.17 of this Part are not met, the movement constitutes a violation of Sec. 221.13 of this part.
[[Page 70607]]
PART 222--[AMENDED]
17. The authority citation for part 222 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.
18. Appendix G to part 222 is revised to read as follows:
Appendix G to Part 222.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart B--Use of Locomotive Horns
222.21 Use of locomotive horn:
(a) Failure to sound horn at grade
$5,000
$7,500 crossing...........................
Failure to sound horn in proper
5,000
7,500 pattern............................
(b) Failure to sound horn at least
3,000
4,500 15 and no more than 20 seconds before crossing....................
Routine sounding of the locomotive
3,000
4,500 horn more than \1/4\-mile in advance of crossing................ 222.33
Failure to sound horn when
6,500
9,000 conditions of Sec. 222.33 are not met................................ 222.45
Routine sounding of the locomotive
3,000
4,500 horn at a grade crossing within a quiet zone......................... 222.49
(b) Failure to provide Grade
1,500
2,500 Crossing Inventory Form information 222.59
(d) Routine sounding of the
1,500
2,500 locomotive horn at a grade crossing equipped with wayside horn.........
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 223--[AMENDED]
19. The authority citation for part 223 continues to read as follows:
Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.
20. Appendix B to part 223 is revised to read as follows:
Appendix B to Part 223.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
223.9 New or rebuilt equipment:
(a) Locomotives.....................
$3,000
$4,500
(b) Cabooses........................
3,000
4,500
(c) Passenger cars..................
3,000
4,500
(d)(1), (d)(2): (i) Window not marked or
5,000
7,500 instructions not posted........ (ii) Window improperly marked or
3,000
4,500 instructions improperly posted. 223.11(c) Existing locomotives..........
3,000
4,500
(d) Repair of window................
1,500
2,500 223.13(c) Existing cabooses.............
3,000
4,500
(d) Repair of window................
1,500
2,500 223.15(c) Existing passenger cars.......
3,000
4,500
(d) Repair of window................
1,500
2,500 223.17 Identification of units..........
1,500
2,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 223. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 224--[AMENDED]
21. The authority citation for part 224 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C. 2461; and 49 CFR 1.49.
22. Appendix A to part 224 is revised to read as follows:
Appendix A to Part 224.--Schedule of Civil Penalties\1\
Willful Section
Violation violation
224.103 Characteristics of retroreflective sheeting:
(a)-(d) Retroreflective sheeting
$3,000
$4,500 applied does not meet the requirements of Sec. 224.103..... 224.105 Sheeting dimensions and quantity
3,000
4,500
(a) Failure to apply minimum amount
3,000
4,500 of retroreflective sheeting in accordance with Table..............
[[Page 70608]]
(b) Applying retroreflective
3,000
4,500 sheeting of wrong dimensions....... 224.106 Location of retroreflective sheeting:
(a), (b) Applying retroreflective
3,000
4,500 sheeting in nonconforming pattern.. 224.107 Implementation schedule:
(a)(1), (b)(1) Failure to apply
3,000
4,500 retroreflective sheeting to new freight car or locomotive before equipment placed in service........
(a)(2), (b)(2), (b)(4) Failure to
3,000
4,500 apply retroreflective sheeting to existing freight car or locomotive in accordance with minimum schedule of paragraphs, (a)(2), (b)(2), (b)(4)............................. 224.109 Inspection, repair, and replacement:
(a)(1) Failure to perform inspection
3,000
4,500
(2) Failure to properly notify car
3,000
4,500 owner of defect....................
(3) Failure to retain written
3,000
4,500 notification of defect for two years..............................
(4) Failure to repair defect after
3,000
4,500 notification.......................
(b)(1) Failure to perform inspection
3,000
4,500
(2) Failure to repair defect........
3,000
4,500
\1\A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 224. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 225--[AMENDED]
23. The authority citation for part 225 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.
24. Appendix A to part 225 is revised to read as follows:
Appendix A to Part 225.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
225.9 Telephonic reports of certain
$1,500
$2,500 accidents/incidents.................... 225.11 Reports of accidents/incidents...
6,500
9,000 225.12(a):
Failure to file Railroad Employee Human Factor Attachment properly...
(1) Employee identified.............
6,500
9,000
(2) No employee identified..........
3,000
4,500 225.12(b):
(1) Failure to notify employee
6,500
9,000 properly...........................
(2) Notification of employee not
6,500
9,000 involved in accident............... 225.12(c):
Failure of employing railroad to
1,500
2,500 provide requested information properly........................... 225.12(d):
(1) Failure to revise report when
6,500
9,000 identity becomes known.............
(2) Failure to notify after late
6,500
9,000 identification..................... 225.12(f)(1):
Submission of notice if employee
6,500
9,000 dies as result of the reported accident........................... 225.12(g):
Willfully false accident statement ..............
9,000 by employee........................ 225.13 Late reports.....................
1,500
2,500 225.17(d) Alcohol or drug involvement...
8,500
11,000 225.23 Joint operations.................
(\1\)
(\1\) 225.25 Recordkeeping....................
5,000
7,500 225.27 Retention of records.............
1,500
2,500 225.33:
(1) Failure to adopt the Internal
6,500
9,000 Control Plan.......................
(2) Inaccurate reporting due to
6,500
9,000 failure to comply with the Internal Control Plan.......................
(3) Failure to comply with the
6,500
9,000 intimidation/harassment policy in the Internal Control Plan.......... 225.35 Access to records and reports....
8,500
11,000
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. A failure to comply with Sec. 225.23 constitutes a violation of Sec. 225.11. For purposes of Sec. Sec. 225.25 and 225.27 of this part, each of the following constitutes a single act of noncompliance: (1) a missing or incomplete log entry for a particular employee's injury or illness; or (2) a missing or incomplete log record for a particular rail equipment accident or incident. Each day a violation continues is a separate offense. The penalty schedule uses section numbers from 49 CFR part 225. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
[[Page 70609]]
PART 228--[AMENDED]
25. The authority citation for part 228 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21101-21108; 28 U.S.C. 2461, note and 49 CFR 1.49.
26. Appendix B to part 228 is revised to read as follows:
Appendix B to Part 228.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart B--Records and Reporting
228.9 Railroad records..................
$5,000
$7,500 228.11 Hours of duty records............
1,500
2,500 228.17 Dispatcher's record..............
5,000
7,500 228.19 Monthly reports of excess service
1,500
2,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 229--[AMENDED]
27. The authority citation for part 229 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20137-20138, 20143, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49 (c), (m).
28. Appendix B to part 229 is revised to read as follows:
Appendix B to Part 229.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart A--General
229.7 Prohibited acts: Safety
$1,500-6,500 $2,500-9,000 deficiencies not governed by specific regulations: To be assessed on relevant facts.................................. 229.9 Movement of noncomplying
(\1\)
(\1\) locomotives............................ 229.11 Locomotive identification........
1,500
2,500 229.13 Control of locomotives...........
5,000
7,500 229.17 Accident reports.................
3,000
4,500 219.19 Prior waivers....................
(\1\)
(\1\)
Subpart B--Inspection and Tests
229.21 Daily inspection:
(a)(b):
(1) Inspection overdue..............
3,000
4,500
(2) Inspection report not made,
1,500
2,500 improperly executed, or not retained...........................
(c) Inspection not performed by a
1,500
2,500 qualified person................... 229.23 Periodic inspection: General
(a)(b): (1) Inspection overdue..........
3,000
4,500 (2) Inspection performed
3,000
4,500 improperly or at a location where the underneath portion cannot be safely inspected.....
(c)(d): (1) Form missing................
1,500
2,500 (2) Form not properly displayed.
1,500
2,500 (3) Form improperly executed....
1,500
2,500
(e) Replace Form FRA F 6180-49A by
1,500
2,500 April 2............................
(f) Secondary record of the
1,500
2,500 information reported on Form FRA F 6180.49A........................... 229.25
(a) through (e)(4) Tests: Every
3,000
4,500 periodic inspection................
(e)(5) Ineffective maintenance......
6,500
9,000 229.27 Annual tests.....................
3,000
4,500 229.29 Biennial tests...................
3,000
4,500 229.31
(a) Biennial hydrostatic tests of
3,000
4,500 main reservoirs....................
(b) Biennial hammer tests of main
3,000
4,500 reservoirs.........................
(c) Drilled telltale holes in welded
3,000
4,500 main reservoirs....................
(d) Biennial tests of aluminum main
3,000
4,500 reservoirs......................... 229.33 Out-of-use credit................
1,500
2,500
Subpart C--Safety Requirements
229.41 Protection against personal
5,000
7,500 injury................................. 229.43 Exhaust and battery gases
5,000
7,500 229.45 General condition: To be assessed 1,500-6,500 2,500-9,000 based on relevant facts................ 229.46 Brakes: General..................
5,000
7,500
[[Page 70610]]
229.47 Emergency brake valve............
5,000
7,500 229.49 Main reservoir system:
(a)(1) Main reservoir safety valve..
5,000
7,500
(2) Pneumatically actuated control
5,000
7,500 reservoir..........................
(b)(c) Main reservoir governors.....
5,000
7,500 229.51 Aluminum main reservoirs.........
5,000
7,500 229.53 Brake gauges.....................
5,000
7,500 229.55 Piston travel....................
5,000
7,500 229.57 Foundation brake gear............
5,000
7,500 229.59 Leakage..........................
5,000
7,500 229.61 Draft system.....................
3,000
4,500 229.63 Lateral motion...................
3,000
4,500 229.64 Plain bearing....................
3,000
4,500 229.65 Spring rigging...................
3,000
4,500 229.67 Trucks...........................
5,000
7,500 229.69 Side bearings....................
5,000
7,500 229.71 Clearance above top of rail......
1,500
2,500 229.73 Wheel sets.......................
5,000
7,500 229.75 Wheel and tire defects:
(a), (d) Slid flat or shelled spot(s):
(1) One spot 2\1/2\'' or more but
5,000
7,500 less than 3'' in length............ (2) One spot 3'' or more in
6,500
9,000 length......................... (3) Two adjoining spots each of
5,000
7,500 which is 2'' or more in length but less than 2\1/2\'' in length......................... (4) Two adjoining spots each of
6,500
9,000 which are at least 2'' in length, if either spot is 2\1/ 2\'' or more in length.........
(b) Gouge or chip in flange of: (1) more than 1\1/2\'' but less
5,000
7,500 than 1\5/8\'' in length; and more than \1/2\'' but less than \5/8\'' in width............... (2) 1\5/8\'' or more in length
6,500
9,000 and 5/8'' or more in width.....
(c) Broken rim......................
8,500
11,000
(e) Seam in tread...................
5,000
7,500
(f) Flange thickness of: (1) \7/8\'' or less but more
5,000
7,500 than \13/16\''................. (2) \13/16\'' or less...........
6,500
9,000
(g) Tread worn hollow...............
5,000
7,500
(h) Flange height of: (1) 1\1/2\'' or greater but less
5,000
7,500 than 1\5/8\''.................. (2) 1\5/8\'' or more............
6,500
9,000
(i) Tire thickness..................
5,000
7,500
(j) Rim thickness: (1) Less than 1'' in road
5,000
7,500 service and \3/4\'' in yard service........................ (2) \15/16\'' or less in road
6,500
9,000 service and \11/16\'' in yard service........................
(k): (1) Crack of less than 1''......
5,000
7,500 (2) Crack of 1'' or more........
6,500
9,000 (3) Break.......................
8,500
11,000
(l) Loose wheel or tire.............
8,500
11,000
(m) Welded wheel or tire............
5,000
7,500 229.77 Current collectors...............
3,000
4,500 229.79 Third rail shoes and beams.......
3,000
4,500 229.81 Emergency pole; shoe insulation..
5,000
7,500 229.83 Insulation or grounding..........
6,500
9,000 229.85 Door and cover plates marked
3,000
4,500 ``Danger''............................. 229.87 Hand operated switches...........
3,000
4,500 229.89 Jumpers; cable connections:
(a) Jumpers and cable connections;
5,000
7,500 located and guarded................
(b) Condition of jumpers and cable
5,000
7,500 connections........................ 229.91 Motors and generators............
5,000
7,500 229.93 Safety cut-off device............
5,000
7,500 229.95 Venting..........................
5,000
7,500 229.97 Grounding fuel tanks.............
5,000
7,500 229.99 Safety hangers...................
5,000
7,500 229.101 Engines:
(a) Temperature and pressure alarms,
3,000
4,500 controls, and switches.............
(b) Warning notice..................
5,000
7,500
(c) Wheel slip/slide protection.....
3,000
4,500 229.103 Safe working pressure; factor of
5,000
7,500 safety................................. 229.105 Steam generator number..........
1,500
2,500 229.107 Pressure gauge..................
5,000
7,500 229.109 Safety valves...................
5,000
7,500 229.111 Water-flow indicator............
5,000
7,500 229.113 Warning notice..................
5,000
7,500 229.115 Slip/slide alarms...............
5,000
7,500
[[Page 70611]]
229.117 Speed indicators................
5,000
7,500 229.119 Cabs, floors, and passageways:
(a)(1) Cab set not securely mounted
3,000
4,500 or braced..........................
(2) Insecure or improper latching
3,000
4,500 device.............................
(b) Cab windows of lead locomotive..
3,000
4,500
(c) Floors, passageways, and
3,000
4,500 compartments.......................
(d) Ventilation and heating
5,000
7,500 arrangement........................
(e) Continuous barrier..............
5,000
7,500
(f) Containers for fuses and
5,000
7,500 torpedoes.......................... 229.121 Locomotive cab noise............
5,000
7,500 229.123 Pilots, snowplows, end plates...
3,000
4,500 229.125
(a) Headlights......................
5,000
7,500
(d) Auxiliary lights................
5,000
7,500 229.127 Cab lights......................
3,000
4,500 229.129 Audible warning device:
(a) prescribed sound levels.........
5,000
7,500
arrangement of device...............
5,000
7,500
(b) testing.........................
5,000
7,500
(c) test procedures.................
5,000
7,500
(c)(10) records of tests............
5,000
7,500 229.131 Sanders.........................
1,500
2,500 229.135 Event Recorders:
(a) Lead locomotive without in-
5,000
7,500 service event recorder.............
(b) Failure to meet equipment
5,000
7,500 requirements.......................
(c) Unauthorized removal or failure
5,000
7,500 to remove from service.............
(d) Improper response to out of
5,000
7,500 service event recorder.............
(e) Failure to preserve data or
5,000
7,500 unauthorized extraction of data....
(g) Tampering with device or data...
5,000
7,500 229.137 Sanitation, general:
(a) Sanitation compartment in lead
5,000
7,500 unit, complete failure to provide required items.....................
(1) Ventilation.....................
3,000
4,500
(2) Door missing....................
3,000
4,500
(2)(i) Door doesn't close...........
3,000
4,500
(2)(ii) No modesty lock.............
1,500
2,500
(3) Not equipped with toilet in lead
5,000
7,500
(4) Not equipped with washing system
3,000
4,500
(5) Lack of paper...................
3,000
4,500
(6) Lack of trash receptacle........
3,000
4,500
(b) Exceptions: (1)(i) Commuter service, failure
1,500
2,500 to meet conditions of exception (1)(ii) Switching service,
1,500
2,500 failure to meet conditions of exception...................... (1)(iii) Transfer service,
1,500
2,500 failure to meet conditions of exception...................... (1)(iv) Class III, failure to
1,500
2,500 meet conditions of exception... (1)(v) Tourist, failure to meet
1,500
2,500 conditions of exception........ (1)(vi) Control cab locomotive,
1,500
2,500 failure to meet conditions of exception...................... (2) Noncompliant toilet.........
3,000
4,500
(c) Defective/unsanitary toilet in
3,000
4,500 lead unit..........................
(1)-(5) Failure to meet conditions
3,000
4,500 of exception.......................
(d) Defective/unsanitary unit;
3,000
4,500 failure to meet conditions for trailing position..................
(e) Defective/sanitary unit; failure
3,000
4,500 to meet conditions for switching/ transfer service...................
(f) Paper, washing, trash holder;
3,000
4,500 failure to equip prior to departure
(g) Inadequate ventilation; failure
3,000
4,500 to repair or move prior to departure..........................
(h) Door closure/modesty lock;
1,500
2,500 failure to repair or move..........
(i) Failure to retain/maintain of
3,000
4,500 equipped units.....................
(j) Failure to equip new units/in-
3,000
4,500 cab facility.......................
(k) Failure to provide potable water
3,000
4,500 229.139 Servicing requirements:
(a) Lead occupied unit not sanitary.
3,000
4,500
(b) Components not present/operating
1,500
2,500
(c) Occupied unit in switching,
1,500
2,500 transfer service, in trailing position not sanitary..............
(d) Defective unit used more than 10
3,000
4,500 days...............................
(e) Failure to repair defective
1,500
2,500 modesty lock.......................
[[Page 70612]]
229.141 Body structure, MU locomotives..
5,000
7,500
\1\ A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $11,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required under subpart B of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that locomotive. Moreover, the Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in Sec. 229.9 will deprive the railroad of the benefit of the movement- for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with Sec. 229.19 will result in the lapse of any affected waiver. \2\ The penalty schedule uses section numbers from 49 CFR part 229. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 230--[AMENDED]
29. The authority citation for part 230 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; and 49 CFR 1.49.
30. Appendix D to part 230 is revised to read as follows:
Appendix D to Part 230.--Schedule of Civil Penalties
Willful Section
Violation violation
Subpart A--General
230.11 Repair of non-complying conditions:
(a) Failure to repair non-complying
$3,000
$4,500 steam locomotive prior to use in service............................
(b) Failure of owner and/or operator
3,000
4,500 to approve repairs made prior to use of steam locomotive............ 230.12 Movement of non-complying steam
(\1\)
(\1\) locomotive............................. 230.13 Daily inspection:
(a) (b): (1) Inspection overdue..........
5,000
7,500 (2) Inspection not performed by
3,000
4,500 qualified person...............
(c) Inspection report not made,
3,000
4,500 improperly executed or not retained 230.14 Thirty-one service day inspection:
(a): (1) Inspection overdue..........
5,000
7,500 (2) Inspection not performed by
3,000
4,500 qualified person...............
(b) Failure to notify FRA...........
3,000
4,500
(c) Inspection report not made,
3,000
4,500 improperly executed, not properly filed.............................. 230.15 Ninety-two service day inspection:
(a): (1) Inspection overdue..........
5,000
7,500 (2) Inspection not performed by
3,000
4,500 qualified person...............
(b) Inspection report not made,
3,000
4,500 improperly executed, not properly filed.............................. 230.16 Annual inspection:
(a): (1) Inspection overdue..........
5,000
7,500 (2) Inspection not performed by
3,000
4,500 qualified person...............
(b) Failure to notify FRA...........
3,000
4,500
(c) Inspection report not made,
3,000
4,500 improperly executed, not properly filed.............................. 230.17 One thousand four hundred seventy- two service day inspection:
(a): (1) Inspection overdue..........
5,000
7,500 (2) Inspection not performed by
3,000
4,500 qualified person...............
(b) Inspection report not made,
3,000
4,500 improperly executed, not properly maintained, not properly filed..... 230.18 Service days:
(a) Service day record not available
3,000
4,500 for inspection.....................
(b) Failure to file service day
3,000
4,500 report with FRA Regional Administrator......................
(c) Failure to complete all 1,472
5,000
7,500 service day inspection items prior to returning retired steam locomotive to service.............. 230.19 Posting of forms:
(a) FRA Form No. 1: (1) FRA Form No. 1 not properly
3,000
4,500 filled out..................... (2) FRA Form No. 1 not properly
3,000
4,500 displayed......................
(b) FRA Form No. 3: (1) FRA Form No. 3 not properly
3,000
4,500 filled out..................... (2) FRA Form No. 3 not properly
3,000
4,500 displayed......................
[[Page 70613]]
230.20 Alteration and repair reports:
(a) Alterations: (1) Failure to properly file FRA
3,000
4,500 Form No. 19 with FRA Regional Administrator.................. (2) FRA Form No. 19 not properly
3,000
4,500 filled out..................... (3) FRA Form No. 19 not properly
3,000
4,500 maintained.....................
(b) Repairs to unstayed portions of the boiler: (1) FRA Form No. 19 not properly
3,000
4,500 filled out..................... (2) FRA Form No. 19 not properly
3,000
4,500 maintained.....................
(c) Repairs to stayed portions of the boiler: (1) FRA Form No. 19 not properly
3,000
4,500 filled out..................... (2) FRA Form No. 19 not properly
3,000
4,500 maintained..................... 230.21 Failure to properly document
3,000
4,500 steam locomotive number Change.........
Subpart B--Boilers and Appurtenances
230.22 Failure to properly report
5,000
7,500 accident resulting from failure of steam locomotive boiler or part or appurtenance thereof................... 230.23 Responsibility for general construction and safe working pressure:
(a) Failure to properly establish
8,500
11,000 safe working pressure for steam locomotive boiler..................
(b) Placing steam locomotive in
8,500
11,000 service before safe working pressure for boiler has been established........................ 230.24 Maximum allowable stress values on boiler components:
(a) Use of materials not of
3,000
4,500 sufficient tensile strength........
(b) Use of a safety factor value of
6,500
9,000 less than 4 when using the code of original construction in boiler calculations....................... 230.25 Maximum allowable stresses on stays and braces:
(a) Exceeding allowable stress
3,000
4,500 values on fire box and/or combustion chamber.................
(b) Exceeding allowable stress
3,000
4,500 values on round, rectangular or gusset braces...................... 230.29 Inspection and repair:
(a): (1) Failure of owner and/or
5,000
7,500 operator to inspect and repair any steam locomotive boiler and/ or appurtenance under control thereof........................ (2) Failure to remove steam
6,500
9,000 locomotive from service when considered necessary to do so..
(b): (1) Failure of perform repairs
6,500
9,000 in accordance with accepted industry standards............. (2) Owner and/or operator
6,500
9,000 returning steam locomotive boiler and/or appurtenances to service before they are in good condition and safe and suitable for service.................... 230.30 Lap-joint seam boilers, Failure
6,500
9,000 to properly inspect.................... 230.31 Flues to be removed:
(a): (1) Failure to remove all flues
5,000
7,500 when inspecting boiler......... (2) Failure to enter boiler and
5,000
7,500 clean and inspect..............
(b) Failure to remove superheater
3,000
4,500 flues when deemed necessary to do so................................. 230.32 Time and method of inspection:
(a) Failure to perform 1,472 service
5,000
7,500 day inspection when required to do so.................................
(b) Failure to properly inspect
5,000
7,500 boiler during 1,472 service day inspection......................... 230.33 Welded repairs and alterations:
(a) Failure to obtain permission
5,000
7,500 before welding on unstayed portions of boiler containing alloy or carbon steel with carbon content over .25 percent carbon............
(b) Failure to perform welding on
5,000
7,500 unstayed portions of boiler containing carbon steel not exceeding .25 percent carbon in accordance with a nationally accepted standard for boiler repairs............................
(c): (1) Failure to submit written
5,000
7,500 request for approval before performing weld buildup on wasted areas of unstayed boiler surfaces that exceed 100 square inches or the smaller of 25 percent of minimum required wall thickness or \1/2\ inch... (2) Repairing wasted sheets.....
5,000
7,500 230.34 Riveted repairs and alterations:
(a) Failure to obtain approval
5,000
7,500 before making riveted alterations on unstayed portions of the boiler; failure to do riveting in accordance with established railroad practices or accepted national standards for boiler repairs............................
(b) Failure to perform riveted
5,000
7,500 repairs on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs............................
(c) Failure to perform riveted
3,000
4,500 repairs on stayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs............................ 230.35 Failure to raise temperature of
3,000
4,500 steam locomotive boiler to 70 degrees F. before applying hydrostatic pressure to the boiler.......................... 230.36 Hydrostatic testing of boilers:
(a) Failure to perform hydrostatic
5,000
7,500 test of boiler as required.........
(b) Failure to properly perform
5,000
7,500 hydrostatic test...................
(c) Failure to properly inspect
5,000
7,500 boiler after conducting hydrostatic test above MAWP.................... 230.37 Failure to perform proper steam
3,000
4,500 test or inspection of boiler after completion of repair or alteration to boiler.................................
[[Page 70614]]
230.38 Telltale holes:
(a) Failure to have telltale holes
3,000
4,500 as required in staybolts...........
(b) Failure to have proper telltale
3,000
4,500 holes in reduced body staybolts....
(c) Failure to keep telltales holes
3,000
4,500 when so required................... 230.39 Broken staybolts:
(a) Boiler in service with excess
5,000
7,500 number of broken staybolts.........
(b) Failure to replace staybolts
5,000
7,500 when required to do so; to properly replace staybolts when so required; to inspect adjacent staybolts when replacing broken staybolts.........
(c) Failure to count leaking,
5,000
7,500 plugged, or missing telltale holes as broken staybolts................
(d) Closing telltale holes by
5,000
7,500 prohibited means................... 230.40 Time and method of staybolt testing:
(a) Failure to hammer test staybolts
3,000
4,500 when so required...................
(b) Failure to properly hammer test
3,000
4,500 staybolts.......................... 230.41 Flexible staybolts with caps:
(a) Failure to inspect flexible
3,000
4,500 staybolts as required..............
(b) Failure to replace broken
3,000
4,500 flexible staybolts; failure to close inner ends of telltale holes as required........................
(c) Failure to report removal of
3,000
4,500 flexible staybolts caps and other tests on FRA Form No. 3 when so required...........................
(d) Failure to remove staybolt caps
3,000
4,500 or otherwise test when FRA inspector or steam locomotive owner and/or operator consider it necessary to do so................. 230.42 Failure to have accurate boiler
6,500
9,000 steam gauge where engine crew can conveniently read...................... 230.43 Failure to have gauge siphon of
3,000
4,500 proper capacity on steam gauge supply pipe; failure to properly clean, maintain the steam gauge supply pipe... 230.44 Failure to test steam gauge when
3,000
4,500 so required............................ 230.45 Failure to properly test and/or
3,000
4,500 set steam gauge........................ 230.46 Failure to attach to boiler
3,000
4,500 backhead metal badge plate showing allowable steam pressure............... 230.47 Boiler Number:
(a) (b) (c) Failure to stamp
3,000
4,500 builder's number on boiler when number is known.................... 230.48 Number and capacity of safety relief valves:
(a) Failure to equip steam
6,500
9,000 locomotive boiler with proper safety relief valves...............
(b) Failure to provide additional
6,500
9,000 safety relief valve capacity when so required........................ 230.49 Setting of safety relief valves:
(a) Safety relief valve(s) set and/
6,500
9,000 or adjusted by person not competent to do so...........................
(b) Safety relief valve(s) not set
6,500
9,000 to open at prescribed pressure(s)..
(c) Safety relief valve(s) not
6,500
9,000 properly set.......................
(d) Set pressure of lowest safety
3,000
4,500 relief valve not properly indicated 230.50 Failure to test and adjust safety
5,000
7,500 relief valves when required to do so... 230.51 Failure to equip steam locomotive
3,000
4,500 boiler with at least 2 properly installed water glasses................ 230.52 Failure to properly equip water
6,500
9,000 glasses................................ 230.53 Failure to properly clean water
3,000
4,500 glass valves and/or gauge cocks when required to do so...................... 230.54 Testing and maintenance:
(a) Failure to properly test water
3,000
4,500 glasses and/or gauge cocks.........
(b) Failure to properly maintain
5,000
7,500 gauge cocks, water column drain valves, and/or water glass valves.. 230.55 Tubular type water and lubricator glasses and shields:
(a) Failure to renew tubular type
3,000
4,500 water glasses as required..........
(b) Failure to properly shield
3,000
4,500 tubular water glasses and/or lubricator glasses.................
(c) Failure to properly locate and/
3,000
4,500 or maintain water glasses and/or water glass shields................ 230.56 Failure to equip water glass with
3,000
4,500 suitable lamp.......................... 230.57 Injectors and feedwater pumps:
(a) Failure to equip steam
6,500
9,000 locomotive with proper means for delivering water to the boiler.....
(b) Failure to properly test and/or
6,500
9,000 maintain injectors, feedwater pumps, boiler checks, delivery pipes, feed water pipes, tank hose, tank valves........................
(c) Failure to properly brace
3,000
4,500 injectors, feedwater pumps, and/or associated piping.................. 230.58 Flue plugs:
(a) Plugging flue plugs when not
3,000
4,500 otherwise permitted................
(b) Improperly plugging flue plugs,
3,000
4,500 when otherwise permitted........... 230.59 Failure to remove and properly
5,000
7,500 clean fusible boiler plugs when required to do so; failure to properly note removal........................... 230.60 Time of washing:
(a) Failure to thoroughly wash
3,000
4,500 boiler when required to do so......
(b) Failure to remove washout plugs,
5,000
7,500 arch tube plugs, thermic siphon plugs, circulator plugs, water bar plugs when washing locomotive boiler.............................
(c) Failure to examine and/or
5,000
7,500 properly maintain washout plugs, washout plug sleeves, threaded openings
(d) Failure to clean fusible plugs
5,000
7,500 when required to do so............. 230.61 Arch tubes, water bar tubes, circulators and thermic siphons:
(a) Failure to clean, wash, inspect
3,000
4,500 arch tubes, water bar tubes, circulators and thermic siphons as required...........................
(b) Failure to renew arch tubes,
5,000
7,500 water bar tubes; failure to repair or renew circulators, thermic siphons when required..............
(c) Failure to properly inspect and/
5,000
7,500 or replace as necessary arch tubes, water bar tubes, circulators....... 230.62 Failure to properly inspect and/
6,500
9,000 or repair or replace as necessary dry pipes subject to pressure..............
[[Page 70615]]
230.63 Failure to properly inspect smoke
5,000
7,500 box, steam pipes, pressure parts when required to do so...................... 230.64 Failure to remove from service
5,000
7,500 steam locomotive boiler leaking under lagging from condition which may reduce safety and/or repair the boiler before returning to service................... 230.65 Failure to keep steam locomotive
3,000
4,500 boiler, piping, appurtenances in repair so steam does not obscure vision....... 230.66 Failure to properly oversee
3,000
4,500 general design, construction, maintenance of steam locomotive(s) and tender(s).............................. 230.67 Failure to ensure all steam
6,500
9,000 locomotives and tenders are properly inspected and repaired and/or all defects are properly repaired and steam locomotive and/or tender are in good condition, safe and suitable for service before being returned to service................................ 230.68 Failure to equip steam locomotive
3,000
4,500 that operates in excess of 20 miles per hour over the general system with speed indicator maintained to ensure accurate functioning............................ 230.69 Failure to equip steam locomotive
3,000
4,500 with properly supported ash pan with operating mechanism that may be safely operated and securely closed........... 230.70 Safe condition:
(a) Failure to perform proper pre-
3,000
4,500 departure inspection when so required...........................
(b) Failure to properly equip steam
3,000
4,500 locomotive with brake pipe valve clearly identified as ``Emergency Brake Valve''...................... 230.71 Orifice testing of air compressors:
(a)(b): Failure to properly test and/or
3,000
4,500 maintain air compressor(s) capacity....................... 230.72 Testing main reservoirs:
(a) Failure to properly test main
3,000
4,500 reservoir(s) when required.........
(b) Impermissibly or improperly
3,000
4,500 drilling main reservoir............
(c) Impermissibly using NDE method
3,000
4,500 to measure wall thickness of main reservoirs.........................
(d) Failure to use appropriate
5,000
7,500 method of NDE testing of wall thickness of welded or riveted longitudinal lap seam main reservoir(s); failure to withdraw main reservoir(s) from service when testing reveals insufficient wall thickness.......................... 230.73 Air gauges:
(a) Failure to equip steam
3,000
4,500 locomotive with properly located air gauge(s) that are no more than 3 psi in error.....................
(b) Failure to test air gauge(s)
3,000
4,500 when so required...................
(c) Failure to properly test air
3,000
4,500 gauge(s)........................... 230.74 Failure to properly clean and/or
3,000
4,500 test all air brake valves, related dirt collectors, filters when required to do so..................................... 230.75 Failure to properly stencil or
3,000
4,500 display date of testing and cleaning and initials of shop or station performing work........................ 230.76 Piston travel:
(a) Insufficient minimum piston
3,000
4,500 travel.............................
(b) Excessive piston travel when
3,000
4,500 steam locomotive is stationary..... 230.77 Foundation brake gear:
(a) Failure to properly maintain
3,000
4,500 foundation brake gear..............
(b) Foundation brake gear less than
3,000
4,500 2.5 inches above rail.............. 230.78 Leakage:
(a): (1) Failure to test for leakage
3,000
4,500 from main reservoir or related piping as required............. (2) Failure to repair excessive
3,000
4,500 leakage from main reservoir or related piping leakage.........
(b) Failure to test for brake
3,000
4,500 cylinder as required...............
(c): (1) Failure to test for leakage
3,000
4,500 from steam locomotive brake pipe as required............... (2) Failure to repair excessive
3,000
4,500 brake pipe leakage............. 230.79 Train signal system:
(1) Failure to test the train signal
3,000
4,500 system or other form of on-board communication as required..........
(2) Failure to repair train signal
3,000
4,500 system or other on-board communication when not safe or suitable for service............... 230.80 Cabs:
(a) Steam locomotive cab not safe
3,000
4,500 and suitable for service...........
(b) Steam pipes: Construction,
3,000
4,500 attachment.........................
(c) Oil-burning steam locomotive,
3,000
4,500 cab-enclosed....................... 230.81 Cab aprons:
(a) Cab apron, general provisions...
3,000
4,500
(b) Cab apron, insufficient width...
3,000
4,500 230.82 Fire doors:
(a) Safe and suitable for service,
3,000
4,500 general provisions.................
(b) Construction and maintenance of
3,000
4,500 mechanically operated fire doors...
(c) Construction and maintenance of
3,000
4,500 hand-operated fire doors........... 230.83 Cylinder cocks:
(1) Failure to properly equip with
3,000
4,500 cylinder cocks.....................
(2) Failure to properly maintain
3,000
4,500 cylinder cocks..................... 230.84 Sanders:
(1) Inoperable sanders..............
3,000
4,500
[[Page 70616]]
(2) Failure to test sanders.........
3,000
4,500 230.85 Audible warning devices:
(a) General provisions..............
3,000
4,500
(b) Sound level measurements,
3,000
4,500 Failure to properly take........... 230.86 Required illumination:
(a) General provisions..............
3,000
4,500
(b) Dimming device, Failure to
3,000
4,500 properly equip with................
(c) Multiple locomotives, Failure of
3,000
4,500 lead locomotive to display headlight.......................... 230.87 Cab lights: Failure to properly
3,000
4,500 equip with............................. 230.88 Throttles: Failure to properly
3,000
4,500 maintain, equip........................ 230.89 Reverse gear:
(a) General provisions..............
3,000
4,500
(b) Air-operated power reverse gear.
3,000
4,500
(c) Power reverse gear reservoirs...
3,000
4,500 230.90 Draw gear and draft systems:
(a) Maintenance and testing.........
3,000
4,500
(b) Safety bars and chains, general.
3,000
4,500
(c) Safety bars and chains, minimum
3,000
4,500 length.............................
(d) Lost motion between steam
3,000
4,500 locomotive and tender..............
(e) Spring buffers: Improper
3,000
4,500 application, compression........... 230.91 Chafing irons: Improper
3,000
4,500 application, maintenance............... 230.92 Draw gear, draft systems:
3,000
4,500 Improperly maintained, fastened........ 230.93 Pistons and piston rods:
(a) Failure to properly inspect,
3,000
4,500 maintain, renew....................
(b) Fasteners: Failure to keep
3,000
4,500 tight, properly equip.............. 230.94 Crossheads: Improperly
3,000
4,500 maintained, excess clearance........... 230.95 Guides: Failure to securely
3,000
4,500 fasten, properly maintain.............. 230.96 Main, side, valve motion rods:
(a) General.........................
3,000
4,500
(b) Repairs.........................
3,000
4,500 (1) Failure to make in
3,000
4,500 accordance with accepted national standard.............. (2) Failure to submit written
3,000
4,500 request for approval prior to welding........................
(c) Bearings and bushings...........
3,000
4,500
(d) Rod side motion: Excessive
3,000
4,500 motion.............................
(e) Oil, grease cups: Failure to
3,000
4,500 securely fasten, properly equip....
(f) Main rod bearings: (1) excessive bore..............
3,000
4,500 (2) excessive lost motion.......
3,000
4,500
(g) Side rod bearings, excessive
3,000
4,500 bore............................... 230.97 Crank pins:
(a) General provisions..............
3,000
4,500
(b) Maintenance: Failure to maintain
3,000
4,500 in safe, suitable condition........ 230.98 Driving, trailing, engine truck axles:
(a) Condemning defects..............
3,000
4,500
(b) Journal diameter: Failure to
1,500
2,500 stamp on end of axle............... 230.99 Tender truck axle: Insufficient
3,000
4,500 diameter............................... 230.100 Defects in tender truck axles and journals:
(a) Tender truck axle condemning
3,000
4,500 defects............................
(b) Tender truck journal condemning
3,000
4,500 defects............................ 230.101 Steam locomotive driving journal boxes:
(a) Driving journal boxes: Failure
3,000
4,500 to properly maintain...............
(b) Broken bearings: Failure to
3,000
4,500 renew..............................
(c) Loose bearings: Failure to
3,000
4,500 repair or renew.................... 230.102 Tender plain bearing journal
3,000
4,500 boxes: Failure to repair............... 230.103 Tender roller bearing journal
3,000
4,500 boxes: Failure to properly maintain.... 230.104 Driving box shoes and wedges:
3,000
4,500 Failure to properly maintain........... 230.105 Lateral motion:
(a) Condemning limits: Total lateral
3,000
4,500 motion in excess of................
(b) Limits exceeded, failure to
3,000
4,500 demonstrate conditions require additional lateral motion..........
(c) Interferes with other parts of
3,000
4,500 steam locomotive................... 230.106 Steam locomotive frame:
(a) Failure to properly inspect and/
3,000
4,500 or maintain........................
(b) Broken frames, not properly
6,500
9,000 patched or secured................. 230.107 Tender frame and body:
(a) Failure to properly maintain....
3,000
4,500
(b) Height difference between tender
3,000
4,500 deck and steam locomotive cab floor or deck excessive..................
(c) Gangway minimum width excessive.
3,000
4,500
(d) Tender frame condemning defects.
5,000
7,500 230.108 Steam locomotive leading and trailing trucks:
(a) Failure to properly maintain....
3,000
4,500
(b) Safety chain, suitable safety
3,000
4,500 chain not provided.................
[[Page 70617]]
(c) Insufficient truck clearance....
3,000
4,500 230.109 Tender trucks:
(a): (1) Tender truck frames.........
3,000
4,500 (2) Tender truck center plate...
3,000
4,500
(b) Tender truck bolsters: Failure
5,000
7,500 to properly maintain...............
(c) Condemning defects, springs and/
3,000
4,500 or spring rigging..................
(d) Truck securing arrangement: Not
3,000
4,500 properly maintained................
(e) Side bearings, truck centering
3,000
4,500 devices............................
(f) Friction side bearings: Run in
3,000
4,500 contact............................
(g): (1) Side bearings, failure to
3,000
4,500 equip rear trucks with......... (2) Insufficient clearance of...
3,000
4,500 230.110 Pilots:
(a) General provisions..............
3,000
4,500
(b) Clearance, insufficient or
3,000
4,500 excessive.......................... 230.111 Spring rigging:
(a) Arrangement of springs and
3,000
4,500 equalizers.........................
(b) Spring or spring rigging
3,000
4,500 condemning defects................. 230.112 Wheels and tires:
(a) Improperly Mounted, excess
5,000
7,500 variance in axle diameter..........
(b) Out of gage.....................
3,000
4,500
(c) Flange distance variance,
3,000
4,500 excessive..........................
(d) Tire thickness, insufficient....
3,000
4,500
(e) Tire width, insufficient........
3,000
4,500 230.113 Wheels and tire defects:
(1) Failure to repair...............
3,000
4,500
(2) Welding on, except as otherwise
5,000
7,500 provided for.......................
(a) Cracks or breaks in.............
3,000
4,500
(b) Flat spots......................
3,000
4,500
(c) Chipped flange..................
3,000
4,500
(d) Broken rim......................
3,000
4,500
(e) Shelled-out spots...............
3,000
4,500
(f) Seams...........................
3,000
4,500
(g) Worn flanges, excessive wear....
3,000
4,500
(h) Worn treads, excessive wear.....
3,000
4,500
(i) Flange height, insufficient or
3,000
4,500 excessive..........................
(j) Rim thickness, insufficient.....
3,000
4,500
(k) Wheel diameter, excessive
3,000
4,500 variance........................... 230.114 Wheel centers:
(a) Filling blocks and shims........
3,000
4,500
(b) Wheel center condemning limits,
3,000
4,500 failure to repair..................
(c) Wheel center repairs............
3,000
4,500
(d) Counterbalance maintenance......
3,000
4,500 230.115 Feed water tanks:
(a) General provisions..............
3,000
4,500
(b) Inspection frequency, failure to
3,000
4,500 inspect as required................
(c) Top of tender: Improperly
3,000
4,500 maintained and/or equipped......... 230.116 Oil tanks:
(1) Failure to properly maintain....
6,500
9,000
(2) Failure to equip with complying
8,500
11,000 safety cut-off device..............
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in Sec. 230.12 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with Sec. 230.12 will result in the lapse of any affected waiver. Generally, when two or more violations of these regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth are aggregated up to a maximum of $11,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required under this part, will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that locomotive. The penalty schedule uses section numbers from 49 CFR part 230. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 231--[AMENDED]
31. The authority citation for part 231 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; and 49 CFR 1.49.
32. Appendix A to part 231 is revised to read as follows:
[[Page 70618]]
Appendix A to Part 231.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
110.A1 Hand Brake or Hand Brake Part
$6,500
$9,000 Missing................................ 110.A2 Hand Brake or Hand Brake Part
6,500
9,000 Broken................................. 110.A3 Hand Brake or Hand Brake Part
5,000
7,500 Loose or Worn.......................... 110.B1 Hand Brake Inoperative...........
6,500
9,000 110.B2 Hand Brake Inefficient...........
5,000
7,500 110.B3 Hand Brake Improperly Applied....
5,000
7,500 110.B4 Hand Brake Incorrectly located...
3,000
4,500 110.B5 Hand Brake Shaft Welded or Wrong
3,000
4,500 Dimension.............................. 110.B6 Hand Brake Shaft Not Retained in
3,000
4,500 Operating Position..................... 110.B8 Hand Brake or Hand Brake Parts
3,000
4,500 Wrong Design........................... 114.B2 Hand Brake Wheel or Lever Has
3,000
4,500 Insufficient Clearance Around Rim or Handle................................. 114.B3 Hand Brake Wheel/Lever Clearance
3,000
4,500 Insufficient to Vertical Plane Through Inside Face of Knuckle................. 120.A1 Brake Step Missing Except by
6,500
9,000 Design................................. 120.A2 Brake Step or Brace Broken or
6,500
9,000 Decayed................................ 120.A3 Brake Step or Brace Loose........
5,000
7,500 120.B1 Brake Step or Brace Bent.........
5,000
7,500 120.B2 Brake Step or Wrong Dimensions...
3,000
4,500 120.C1 Brake Step Improperly Applied....
3,000
4,500 120.C2 Brake Step Improperly Located....
3,000
4,500 120.C3 Brake Step With Less Than 4''
3,000
4,500 Clearance to Vertical Plane through Inside Face of Knuckle................. 120.C4 Brake Step Obstructed or
5,000
7,500 Otherwise Unsafe....................... 124.A1 Running Board Missing or Part
6,500
9,000 Missing Except By Design............... 124.A2 Running Board Broken or Decayed..
6,500
9,000 124.A3 Running Board Loose Presents a
6,500
9,000 Tripping Hazard or Other Unsafe Condition.............................. 124.A4 Running Board Wrong Material.....
3,000
4,500 124.B1 Running Board Bent to the Extent
5,000
7,500 that It is Unsafe...................... 124.B2 Running Board Wrong Dimensions...
3,000
4,500 124.B3 Running Board Wrong Location.....
3,000
4,500 124.C1 Running Board Improperly Applied.
3,000
4,500 124.C2 Running Board Obstructed.........
5,000
7,500 126.A1 End Platform Missing or Part
6,500
9,000 Except By Design....................... 126.A2 End Platform Broken or Decayed...
6,500
9,000 126.A3 End Platform Loose...............
5,000
7,500 126.B1 End Platform or Brace Bent.......
3,000
4,500 126.B2 End Platform Wrong Dimensions....
3,000
4,500 126.C1 End Platform Improperly Applied..
3,000
4,500 126.C2 End Platform With Less Than
3,000
4,500 Required Clearance to Vertical Plane Through Inside Knuckle................. 126.C3 End Platform Improperly Located..
3,000
4,500 126.C4 End Platform Obstructed..........
5,000
7,500 128.A1 Platform or Switching Step
6,500
9,000 Missing................................ 128.A2 Platform or Switching Step Broken
6,500
9,000 or Decayed............................. 128.A3 Platform or Switching Step Loose.
5,000
7,500 128.B1 Platform or Switching Step Bent..
5,000
7,500 128.B2 Platform or Switching Step Does
3,000
4,500 Not Meet the Required Location or Dimensions............................. 128.C1 Platform or Switching Step
5,000
7,500 Improperly Applied or Repaired......... 128.C2 Platform or Switching Step
5,000
7,500 Obstructed............................. 128.D1 Switching Step Back Stop or Kick
3,000
4,500 Plate Missing.......................... 128.D2 Switching Step Not Illuminated
3,000
4,500 When Required.......................... 128.D3 Non-Illuminated Step Not Painted
1,500
2,500 Contrasting Color...................... 130.A1 Sill Step or Additional Tread,
6,500
9,000 Missing................................ 130.A2 Sill Step or Additional Tread,
6,500
9,000 Broken................................. 130.A3 Sill Step or Additional Tread,
5,000
7,500 Loose.................................. 130.B1 Sill Step or Additional Tread,
5,000
7,500 Bent................................... 130.B2 Sill Step or Additional Tread,
3,000
4,500 Having Wrong Dimensions or Improperly Located................................ 130.B3 Sill Step Improperly Applied.....
3,000
4,500 132.A1 Side Missing Step................
6,500
9,000 132.A2 Side Door Step Broken............
6,500
9,000 132.A3 Side Door Step Loose.............
5,000
7,500 132.B1 Side Door Step Bent..............
5,000
7,500 132.B2 Side Door Step Having Wrong
3,000
4,500 Dimensions............................. 134.A1 Ladder Missing...................
6,500
9,000 134.A2 Ladder Broken....................
6,500
9,000 134.A3 Ladder Loose.....................
5,000
7,500 134.B1 Ladder Bent......................
5,000
7,500 134.B2 Ladder Having Wrong Dimensions...
3,000
4,500 134.C1 Ladder Improperly Applied........
3,000
4,500 134.C2 Ladder Having Insufficient
3,000
4,500 Clearance or Improperly Located........ 134.C3 Ladder Wrong Design..............
3,000
4,500 134.C4 Ladder Wrong Material............
3,000
4,500 134.D1 End Clearance Insufficient.......
3,000
4,500 136.A1 Ladder Tread or Handholds Missing
6,500
9,000
[[Page 70619]]
136.A2 Ladder Tread or Handhold Broken..
6,500
9,000 136.A3 Ladder Tread or Handhold Loose
5,000
7,500 Except By Design....................... 136.B1 Ladder Tread or Handhold Bent to
5,000
7,500 The Extent That It May Be Unsafe....... 136.B2 Ladder Tread or Handhold Wrong
3,000
4,500 Dimensions............................. 136.C1 Ladder Tread or Handhold
3,000
4,500 Improperly Applied..................... 136.C2 Ladder Tread or Handhold Having
3,000
4,500 Wrong Clearance........................ 136.C3 Ladder or Handhold Improperly
3,000
4,500 Located................................ 136.C4 Ladder Tread or Handhold
5,000
7,500 Obstructed............................. 136.C5 Ladder Tread Without Footguards..
5,000
7,500 138.A1 Hand or Safety Railing Missing...
6,500
9,000 138.A2 Hand or Safety Railing Broken....
6,500
9,000 138.A3 Hand or Safety Railing Loose
5,000
7,500 Except by Design....................... 138.B1 Hand or Safety Railing Bent......
5,000
7,500 138.B2 Hand or Safety Railing Wrong
3,000
4,500 Dimensions............................. 138.C1 Hand or Safety Railing Improperly
3,000
4,500 Applied................................ 138.C2 Hand or Safety Railing Having
3,000
4,500 Less Than the Required Clearance....... 138.C3 Hand or Safety Railing Improperly
3,000
4,500 Located................................ 140.A1 Uncoupling Lever Missing.........
5,000
7,500 140.A2 Uncoupling Lever Broken or
5,000
7,500 Disconnected........................... 140.B1 Uncoupling Lever Bent Will Not
5,000
7,500 Safely and Reasonably Function As Intended............................... 140.C1 Uncoupling Lever Bracket Bent
5,000
7,500 Lever Will Not Function Properly....... 140.C2 Uncoupling Lever Bracket Broken
5,000
7,500 or Missing............................. 140.D1 Uncoupling Lever Wrong Dimension.
3,000
4,500 140.D2 Uncoupling Lever With Improper
3,000
4,500 Handle Clearance....................... 144.A1 Coupler Missing..................
6,500
9,000 144.B1 Coupler Height Incorrect.........
3,000
4,500 144.C1 Coupler Inoperative..............
5,000
7,500 145.A1 Kick Plates Missing..............
3,000
4,500 145.A2 Kick Plates Broken...............
3,000
4,500 145.B1 Kick Plates Wrong Dimensions.....
3,000
4,500 145.B2 Kick Plates Improper Clearance...
3,000
4,500 145.B3 Kick Plates Insecure Or
3,000
4,500 Improperly Applied..................... 146.A Notice or Stencil not Posted on
1,500
2,500 Cabooses with Running Boards Removed... 146.B Safe Means not Provided to Clean
1,500
2,500 or Maintain Windows of Caboose......... 231.31 Drawbars, standard height........
5,000
7,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. \2\ This schedule uses section numbers from FRA's Safety Appliance Defect Code, a restatement of the CFR text in a reorganized format. For convenience, and as an exception to FRA's general policy, penalty citations will cite the defect code rather than the CFR. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR and/or statutory citation in place of the defect code section cited in the penalty demand letter.
PART 232--[AMENDED]
33. The authority citation for part 232 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301- 20303, 20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.
34. Appendix A to part 232 is revised to read as follows:
Appendix A to Part 232.--Schedule of Civil Penalties
Willful Section
Violation violation
Subpart A--General
232.15 Movement of power brake defects:
(a) Improper movement, general......
(\1\)
(\1\) (11) Failure to make
$5,000
$7,500 determinations and provide notification of en route defect
(b) Complete failure to tag.........
5,000
7,500 (1) Insufficient tag or record..
1,500
2,500 (2), (4) Improper removal of tag
5,000
7,500 (3) Failure to retain record of
5,000
7,500 tag............................
(c) Improper loading or purging.....
5,000
7,500
(e) Improper placement of defective
5,000
7,500 equipment.......................... 232.19 Availability of records..........
(\1\)
(\1\)
Subpart B--General Requirements
232.103 All train brake systems:
(a)-(c), (h)-(i) Failure to meet
5,000
7,500 general design requirements........
(d) Failure to have proper
6,500
9,000 percentage of operative brakes from Class I brake test.................
[[Page 70620]]
(e) Operating with less than 85
6,500
9,000 percent operative brakes...........
(f) Improper use of car with
5,000
7,500 inoperative or ineffective brakes..
(g) Improper display of piston
5,000
7,500 travel.............................
(m) Failure to stop train with
5,000
7,500 excess air flow or gradient........
(n) Securement of unattended equipment: (1) Failure to apply sufficient
6,500
9,000 number of hand brakes; failure to develop or implement procedure to verify number applied........................ (2) Failure to initiate
5,000
7,500 emergency...................... (3) Failure to apply hand brakes
5,000
7,500 on locomotives................. (4) Failure to adopt or comply
6,500
9,000 with procedures for securing unattended locomotive..........
(o) Improper adjustment of air
5,000
7,500 regulating devices.................
(p) Failure to hold supervisors
5,000
7,500 jointly responsible................ 232.105 Locomotives:
(a) Air brakes not in safe and
6,500
9,000 suitable condition.................
(b) Not equipped with proper hand or
6,500
9,000 parking brake......................
(c)(1) Failure to inspect/repair
5,000
7,500 hand or parking brake..............
(2) Failure to properly stencil,
3,000
4,500 tag, or record.....................
(d) Excess leakage from equalizing
5,000
7,500 reservoir..........................
(e) Improper use of feed or
5,000
7,500 regulating valve braking...........
(f) Improper use of passenger
5,000
7,500 position...........................
(g) Brakes in operative condition...
6,500
9,000 232.107 Air sources/cold weather operations:
(a)(1), (2) Failure to adopt or
6,500
9,000 comply with monitoring program for yard air sources...................
(3) Failure to maintain records.....
5,000
7,500
(b) Failure to blow condensation....
6,500
9,000
(c) Use of improper chemicals.......
6,500
9,000
(d) Failure to equip or drain yard
6,500
9,000 air reservoirs.....................
(e) Failure to adopt or comply cold
6,500
9,000 weather operating procedures....... 232.109 Dynamic brakes:
(a) Failure to provide information..
5,000
7,500
(b) Failure to make repairs.........
5,000
7,500
(c) Failure to properly tag.........
3,000
4,500
(d) Failure to maintain record of
1,500
2,500 repair.............................
(e) Improper deactivation...........
5,000
7,500
(f) Improper use of locomotive as
5,000
7,500 controlling unit...................
(g) Locomotive not properly equipped
5,000
7,500 with indicator.....................
(h) Rebuilt locomotive not properly
5,000
7,500 equipped...........................
(j) Failure to adopt or comply with
6,500
9,000 dynamic brake operating rules......
(k) Failure to adopt or comply with
6,500
9,000 training on operating procedures... 232.111 Train handling information:
(a) Failure to adopt and comply with
6,500
9,000 procedures.........................
(b) Failure to provide specific
5,000
7,500 information........................
Subpart C--Inspection and Testing Requirements
232.203 Training requirements:
(a) Failure to develop or adopt
8,500
11,000 program............................
(b)(1)-(9) Failure to address or
5,000
7,500 comply with specific required item or provision of program............
(c) Failure to adopt or comply with
6,500
9,000 two-way EOT program................
(d) Failure to adopt or comply with
6,500
9,000 retaining valve program............
(e) Failure to maintain adequate
6,500
9,000 records............................
(f) Failure to adopt and comply with
8,500
11,000 periodic assessment plan........... 232.205 Class I brake test--initial terminal inspection:
(a) Complete failure to perform
\1\ 8,500
11,000 inspection.........................
(c)(1)-(4), (6)-(8) Partial failure
6,500
9,000 to perform inspection..............
(c)(5) Failure to properly adjust
5,000
7,500 piston travel (per car)............
(d) Failure to use carman when
3,000
4,500 required...........................
(e) Failure to provide proper
5,000
7,500 notification.......................
(f) Failure to void compressed air..
5,000
7,500 232.207 Class IA brake tests--1,000-mile inspection:
(a) Complete failure to perform
\1\ 6,500
9,000 inspection.........................
(b)(1)-(6) Partial failure to
5,000
7,500 perform inspection.................
(c) Failure to properly designate
5,000
7,500 location...........................
(c)(1) Failure to perform at
5,000
7,500 designated location................
(c)(2) Failure to provide
5,000
7,500 notification....................... 232.209 Class II brake tests-- intermediate inspection:
(a) Complete failure to perform
\1\ 6,500
9,000 inspection.........................
(b)(1)-(5), (c) Partial failure to
5,000
7,500 perform inspection.................
(d) Failure to conduct Class I after
(\1\)
(\1\) Class II pick-up................... 232.211 Class III brake tests--trainline continuity inspection:
(a) Complete failure to perform
6,500
9,000 inspection.........................
[[Page 70621]]
(b)(1)-(4), (c) Partial failure to
5,000
7,500 perform inspection.................
(d) Failure to restore air pressure
5,000
7,500 at rear............................ 232.213 Extended haul trains:
(a)(1) Failure to properly designate
6,500
9,000 an extended haul train.............
(a)(2)-(3), (5)(i), (8) Failure to
(\1\)
(\1\) perform inspections................
(a)(4) Failure to remove defective
3,000
4,500 car (per car)......................
(a)(5)(ii), (6) Failure to conduct
6,500
9,000 inbound inspection.................
(a)(7) Failure to maintain record of
3,000
4,500 defects (per car)..................
(b) Improper movement or use of
6,500
9,000 extended haul train................ 232.215 Transfer train brake tests:
(a) Failure to perform inspection...
6,500
9,000
(b) Failure to perform on cars added
5,000
7,500 232.217 Train brake system tests conducted using yard air:
(a) Failure to use suitable device..
5,000
7,500
(b) Improper connection of air test
6,500
9,000 device.............................
(c) Failure to properly perform
(\1\)
(\1\) inspection.........................
(d) Failure to calibrate test device
5,000
7,500
(e) Failure to use accurate device..
5,000
7,500 232.219 Double heading and helper service:
(a) Failure to perform inspection or
5,000
7,500 inability to control brakes........
(b) Failure to make visual
5,000
7,500 inspection.........................
(c) Use of improper helper link
5,000
7,500 device.............................
Subpart D--Periodic Maintenance and Testing Requirements
232.303 General requirements:
(b)-(d) Failure to conduct
5,000
7,500 inspection or test when car on repair track.......................
(e) Improper movement of equipment
5,000
7,500 for testing........................
(e)(1) Failure to properly tag
3,000
4,500 equipment for movement.............
(e)(2)-(4) Failure to retain record
3,000
4,500 or improper removal of tag or card.
(f) Failure to stencil or track test
5,000
7,500 information........................ 232.305 Single car tests:
(a) Failure to test in accord with
5,000
7,500 required procedure.................
(b)-(c) Failure to perform test.....
5,000
7,500 232.309 Repair track air brake test and single car test equipment and devices:
(a)-(f) Failure to properly test or
5,000
7,500 calibrate..........................
Subpart E--End-of-Train Devices
232.403 Design standards for one-way devices:
(a)-(g) Failure to meet standards...
5,000
7,500 232.405 Design standards for two-way devices:
(a)-(i) Failure to meet standards...
5,000
7,500 232.407 Operating requirements for two- way devices:
(b) Failure to equip a train........
6,500
9,000
(c) Improper purchase...............
5,000
7,500
(f)(1) Failure of device to be armed
6,500
9,000 and operable.......................
(f)(2) Insufficient battery charge..
5,000
7,500
(f)(3) Failure to activate the
5,000
7,500 device.............................
(g) Improper handling of en route
6,500
6,500 failure, freight or other non- passenger..........................
(h) Improper handling of en route
6,500
9,000 failure, passenger................. 232.409 Inspection and testing of devices:
(a) Failure to have unique code.....
5,000
7,500
(b) Failure to compare quantitative
5,000
7,500 values.............................
(c) Failure to test emergency
6,500
9,000 capability.........................
(d) Failure to properly calibrate...
5,000
7,500
Subpart F--Introduction of New Brake System Technology
232.503 Process to introduce new technology:
(b) Failure to obtain FRA approval..
8,500
11,000 232.505 Pre-revenue service acceptance testing plan:
(a) Failure to obtain FRA approval..
6,500
9,000
(b) Failure to comply with plan.....
5,000
7,500
(f) Failure to test previously used
6,500
9,000 technology.........................
\1\ A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single unit of equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $11,000 per day. Although the penalties listed for failure to perform the brake inspections and tests under Sec. 232.205 through Sec. 232.209 may be assessed for each train that is not properly inspected, failure to perform any of the inspections and tests required under those sections will be treated as a violation separate and distinct from, and in addition to, any substantive volatile conditions found on the equipment contained in the train consist. Moreover, the Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
[[Page 70622]]
Failure to observe any condition for movement of defective equipment set forth in Sec. 232.15(a) will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the equipment at the time of movement. Failure to provide any of the records or plans required by this part pursuant to Sec. 232.19 will be considered a failure to maintain or develop the record or plan and will make the railroad liable for penalty under the particular regulatory section(s) concerning the retention or creation of the document involved. Failure to properly perform any of the inspections specifically referenced in Sec. 232.209, Sec. 232.213, and Sec. 232.217 may be assessed under each section of this part or this chapter, or both, that contains the requirements for performing the referenced inspection.
PART 233--[AMENDED]
35. The authority citation for part 233 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
36. Appendix A to part 233 is revised to read as follows:
Appendix A to Part 233.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
233.5 Accidents resulting from signal
$5,000
$7,500 failure................................ 233.7 Signal failure reports............
3,000
4,500 233.9 Annual reports....................
1,500
2,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 234--[AMENDED]
37. The authority citation for part 234 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
38. Appendix A to part 234 is revised to read as follows:
Appendix A to Part 234.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart B--Reports
234.7 Accidents involving grade crossing
$5,000
$7,500 signal failure......................... 234.9 Grade crossing signal system
3,000
4,500 failure reports........................
Subpart C--Response to Reports of Warning System Malfunction
234.101 Employee notification rules.....
3,000
4,500 234.103 Timely response to report of
6,500
9,000 malfunction............................ 234.105 Activation failure:
(a) Failure to notify--train crews..
8,500
11,000 Other railroads.................
8,500
11,000
(b) Failure to notify law
3,000
4,500 enforcement agency.................
(c) Failure to comply with--flagging
6,500
9,000 requirements....................... Speed restrictions..............
6,500
9,000
(d) Failure to activate horn or
3,000
4,500 whistle............................ 234.106 Partial activation:
(a) Failure to notify--train crews..
5,000
7,500 Other railroads.................
5,000
7,500
(b) Failure to notify law
3,000
4,500 enforcement agency.................
(c) Failure to comply with--flagging
5,000
7,500 requirements speed restrictions....
(d) Failure to activate horn or
3,000
4,500 whistle............................ 234.107 False activation:
(a) Failure to notify--train crews..
6,500
9,000 Other railroads.................
6,500
9,000
(b) Failure to notify law
3,000
4,500 enforcement agency.................
(c) Failure to comply with--flagging
5,000
7,500 requirements....................... Speed restrictions..............
5,000
7,500
(d) Failure to activate horn or
3,000
4,500 whistle............................ 234.109 Recordkeeping...................
1,500
2,500
Subpart D--Maintenance, Inspection, and Testing
Maintenance Standards:
234.201 Location of plans...........
3,000
4,500
234.203 Control circuits............
5,000
7,500
234.205 Operating characteristics of
6,500
9,000 warning system apparatus...........
234.207 Adjustment, repair, or
6,500
9,000 replacement of component...........
234.209 Interference with normal
8,500
11,000 functioning of system..............
234.211 Locking of warning system
3,000
4,500 apparatus..........................
[[Page 70623]]
234.213 Grounds.....................
5,000
7,500
234.215 Standby power system........
8,500
11,000
234.217 Flashing light units........
3,000
4,500
234.219 Gate arm lights and light
3,000
4,500 cable..............................
234.221 Lamp voltage................
5,000
7,500
234.223 Gate arm....................
3,000
4,500
234.225 Activation of warning system
8,500
11,000
234.227 Train detection apparatus...
8,500
11,000
234.229 Shunting sensitivity........
8,500
11,000
234.231 Fouling wires...............
6,500
9,000
234.233 Rail joints.................
6,500
9,000
234.235 Insulated rail joints.......
8,500
11,000
234.237 Switch equipped with circuit
3,000
4,500 controller.........................
234.239 Tagging of wires and
3,000
4,500 interference of wires or tags with signal apparatus...................
234.241 Protection of insulated
5,000
7,500 wire; splice in underground wire...
234.243 Wire on pole line and aerial
5,000
7,500 cable..............................
234.245 Signs.......................
3,000
4,500 Inspections and Tests:
234.247 Purpose of inspections and
6,500
9,000 tests; removal from service of relay or device failing to meet test requirements..................
234.249 Ground tests................
6,500
9,000
234.251 Standby power...............
5,000
7,500
234.253 Flashing light units and
3,000
4,500 lamp voltage.......................
234.255 Gate arm and gate mechanism.
3,000
4,500
234.257 Warning system operation....
6,500
9,000
234.259 Warning time................
5,000
7,500
234.261 Highway traffic signal pre-
5,000
7,500 emption............................
234.263 Relays......................
5,000
7,500
234.265 Timing relays and timing
5,000
7,500 devices............................
234.267 Insulation resistance tests,
5,000
7,500 wires in trunking and cables.......
234.269 Cut-out circuits............
8,500
11,000
234.271 Insulated rail joints, bond
5,000
7,500 wires, and track connections.......
234.273 Results of tests............
1,500
2,500
234.275 Processor-Based Systems.....
6,500
9,000
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. \2\ The penalty schedule uses section numbers from 49 CFR part 234. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 235--[AMENDED]
39. The authority citation for part 235 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.
40. Appendix A to part 235 is revised to read as follows:
Appendix A to Part 235.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
235.5 Changes requiring filing of
$3,000
$4,500 application............................
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
PART 236--[AMENDED]
41. The authority citation for part 236 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note and 49 CFR 1.49.
42. Appendix A to part 236 is revised to read as follows:
[[Page 70624]]
Appendix A to Part 236.--Schedule of Civil Penalties \1\
Willful Section
Violation violation
Subpart A--Rules and Instructions--All Systems
General:
236.0 Applicability, minimum
$5,000
$7,500 requirements.......................
236.1 Plans, where kept.............
6,500
9,000
236.2 Grounds.......................
6,500
9,000
236.3 Locking of signal apparatus housings: (a) Power interlocking machine
3,000
4,500 cabinet not secured against unauthorized entry............. (b) other violations............
3,000
4,500
236.4 Interference with normal
8,500
11,000 functioning of device..............
236.5 Design of control circuits on
8,500
11,000 closed circuit principle...........
236.6 Hand-operated switch equipped
6,500
9,000 with switch circuit controller.....
236.7 Circuit controller operated by
6,500
9,000 switch-and-lock movement...........
236.8 Operating characteristics of
5,000
7,500 electro-magnetic, electronic, or electrical apparatus...............
236.9 Selection of circuits through
3,000
4,500 indicating or annunciating instruments........................
236.10 Electric locks, force drop
3,000
4,500 type; where required...............
236.11 Adjustment, repair, or
6,500
9,000 replacement of component...........
236.12 Spring switch signal
5,000
7,500 protection; where required.........
236.13 Spring switch; selection of
5,000
7,500 signal control circuits through circuit controller.................
236.14 Spring switch signal
5,000
7,500 protection; requirements...........
236.15 Timetable instructions.......
3,000
4,500
236.16 Electric lock, main track releasing circuit: (a) Electric lock releasing
6,500
9,000 circuit on main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically................... (b) other violations............
6,500
9,000
236.17 Pipe for operating
3,000
4,500 connections, requirements..........
236.18 Software management control plan: Failure to develop and adopt a
5,000
7,500 plan........................... Failure to fully implement plan.
5,000
7,500 Inadequate plan.................
5,000
7,500 Roadway Signals and Cab Signals--
236.21 Location of roadway signals..
6,500
9,000
236.22 Semaphore signal arm;
3,000
4,500 clearance to other objects.........
236.23 Aspects and indications......
5,000
7,500
236.24 Spacing of roadway signals...
6,500
9,000
236.26 Buffing device, maintenance..
6,500
9,000 Track Circuits--
236.51 Track circuit requirements: (a) Shunt fouling circuit used
6,500
9,000 where permissible speed through turnout greater than 45 m.p.h.. (b) Track relay not in de-
8,500
11,000 energized position or device that functions as track relay not in its most restrictive state when train, locomotive, or car occupies any part of track circuit, except fouling section of turnout of hand- operated main-track crossover.. (c) other violations............
6,500
9,000
236.52 Relayed cut-section..........
6,500
9,000
236.53 Track circuit feed at grade
6,500
9,000 crossing...........................
236.54 Minimum length of track
6,500
9,000 circuit............................
236.55 Dead section; maximum length.
6,500
9,000
236.56 Shunting sensitivity.........
6,500
9,000
236.57 Shunt and fouling wires: (a) Shunt or fouling wires do
6,500
9,000 not consist of at least two discrete conductors............ (b) other violations............
5,000
7,500
236.58 Turnout, fouling section: (a) Rail joint in shunt fouling
6,500
9,000 section not bonded............. (b) other violations............
5,000
7,500
236.59 Insulated rail joints........
6,500
9,000
236.60 Switch shunting circuit; use
6,500
9,000 restricted......................... Wires and Cables--
236.71 Signal wires on pole line and
6,500
9,000 aerial cable.......................
236.73 Open-wire transmission line;
5,000
7,500 clearance to other circuits........
236.74 Protection of insulated wire;
5,000
7,500 splice in underground wire.........
236.76 Tagging of wires and
3,000
4,500 interference of wires or tags with signal apparatus................... Inspections and Tests; All Systems--
236.101 Purpose of inspection and
5,000
7,500 tests; removal from service or relay or device failing to meet test requirements..................
236.102 Semaphore or search-light
6,500
9,000 signal mechanism...................
236.103 Switch circuit controller or
6,500
9,000 point detector.....................
236.104 Shunt fouling circuit.......
5,000
7,500
236.105 Electric lock...............
5,000
7,500
236.106 Relays......................
5,000
7,500
236.107 Ground tests................
5,000
7,500
236.108 Insulation resistance tests, wires in trunking and cables:
[[Page 70625]]
(a) Circuit permitted to
6,500
9,000 function on a conductor having insulation resistance value less than 200,000 ohms......... (b) other violations............
5,000
7,500
236.109 Time releases, timing relays
5,000
7,500 and timing devices.................
236.110 Results of tests............
1,500
2,500
Subpart B--Automatic Block Signal Systems
236.201 Track circuit control of
6,500
9,000 signals............................
236.202 Signal governing movements
6,500
9,000 over hand-operated switch..........
236.203 Hand-operated crossover
6,500
9,000 between main tracks; protection....
236.204 Track signaled for movements
6,500
9,000 in both directions, requirements...
236.205 Signal control circuits;
8,500
11,000 requirements.......................
236.206 Battery or power supply with
5,000
7,500 respect to relay; location.........
Subpart C--Interlocking
236.207 Electric lock on hand- operated switch; control: (a) Approach or time locking of
6,500
9,000 electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position.... (b) other violations............
5,000
7,500
236.301 Where signals shall be
5,000
7,500 provided...........................
236.302 Track circuits and route
6,500
7,500 locking............................
236.303 Control circuits for
6,500
9,000 signals, selection through circuit controller operated by switch points or by switch locking mechanism..........................
236.304 Mechanical locking or same
6,500
9,000 protection effected by circuits....
236.305 Approach or time locking....
6,500
9,000
236.306 Facing point lock or switch-
5,000
7,500 and-lock movement..................
236.307 Indication locking..........
6,500
9,000
236.308 Mechanical or electric
6,500
9,000 locking or electric circuits; requisites.........................
236.309 Loss of shunt protection;
6,500
9,000 where required..................... (a) Loss of shunt of five
6,500
9,000 seconds or less permits release of route locking of power- operated switch, movable point frog, or derail................ (b) Other violations............
5,000
7,500
236.310 Signal governing approach to
5,000
7,500 home signal........................
236.311 Signal control circuits,
6,500
9,000 selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking.............
236.312 Movable bridge, interlocking of signal appliances with bridge devices: (a) Emergency bypass switch or
6,500
9,000 device not locked or sealed.... (b) other violations............
6,500
9,000
236.314 Electric lock for hand- operated switch or derail: (a) Approach or time locking of
6,500
9,000 electric lock at hand-operated switch or derail can be defeated by unauthorized use of emergency device which is not kept sealed in non-release position....................... (b) other violations............
6,500
9,000 Rules and Instructions--
236.326 Mechanical locking removed
5,000
7,500 or disarranged; requirement for permitting train movements through interlocking.......................
236.327 Switch, movable-point frog
6,500
9,000 or split-point derail..............
236.328 Plunger of facing-point.....
5,000
7,500
236.329 Bolt lock...................
6,500
9,000
236.330 Locking dog of switch and
5,000
7,500 lock movement......................
236.334 Point detector..............
6,500
9,000
236.335 Dogs, stops and trunnions of
3,000
4,500 mechanical locking.................
236.336 Locking bed.................
3,000
4,500
236.337 Locking faces of mechanical
3,000
4,500 locking; fit.......................
236.338 Mechanical locking required
3,000
4,500 in accordance with locking sheet and dog chart......................
236.339 Mechanical locking;
3,000
4,500 maintenance requirements...........
236.340 Electromechanical
3,000
4,500 interlocking machine; locking between electrical and mechanical levers.............................
236.341 Latch shoes, rocker links,
3,000
4,500 and quadrants......................
236.342 Switch circuit controller...
6,500
9,000 Inspection and Tests--
236.376 Mechanical locking..........
5,000
7,500
236.377 Approach locking............
5,000
7,500
236.378 Time locking................
5,000
7,500
236.379 Route locking...............
5,000
7,500
236.380 Indication locking..........
5,000
7,500
236.381 Traffic locking.............
5,000
7,500
236.382 Switch obstruction test.....
6,500
9,000
236.383 Valve locks, valves, and
5,000
7,500 valve magnets......................
236.384 Cross protection............
5,000
7,500
236.386 Restoring feature on power
5,000
7,500 switches...........................
[[Page 70626]]
236.387 Movable bridge locking......
6,500
9,000
Subpart D--Traffic Control Systems Standards
236.401 Automatic block signal system and interlocking standards applicable to traffic control systems:
236.402 Signals controlled by track
8,500
11,000 circuits and control operator......
236.403 Signals at controlled point.
8,500
11,000
236.404 Signals at adjacent control
8,500
11,000 points.............................
236.405 Track signaled for movements
8,500
11,000 in both directions, change of direction of traffic...............
236.407 Approach or time locking;
8,500
11,000 where required.....................
236.408 Route locking...............
8,500
11,000
236.410 Locking, hand-operated switch; requirements: (a) Hand-operated switch on main
6,500
9,000 track not electrically or mechanically locked in normal position where signal not provided to govern movement to main track, movements made at speeds in excess of 20 m.p.h., and train or engine movements may clear main track........... (b) Hand-operated switch on
6,500
9,000 signaled siding not electrically or mechanically locked in normal position where signal not provided to govern movements to signaled siding, train movements made at speeds in excess of 30 m.p.h., and train or engine movements may clear signaled siding.......... (c) Approach or time locking of
6,500
9,000 electric lock at hand-operated switch can be defeated by use of emergency release device of electric lock which is not kept sealed in non-release position. (d) other violations............
5,000
7,500 Rules and Instructions--
236.426 Interlocking rules and
1,500
2,500 instructions applicable to traffic control systems....................
236.476 Interlocking inspections and
1,500
2,500 tests applicable to traffic control systems............................
Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems Standards
236.501 Forestalling device and
5,000
7,500 speed control......................
236.502 Automatic brake application,
6,500
9,000 initiation by restrictive block conditions stopping distance in advance............................
236.503 Automatic brake application;
6,500
9,000 initiation when predetermined rate of speed exceeded..................
236.504 Operations interconnected
5,000
7,500 with automatic block-signal system.
236.505 Proper operative relation
3,000
4,500 between parts along roadway and parts on locomotive................
236.506 Release of brakes after
6,500
9,000 automatic application..............
236.507 Brake application; full
5,000
7,500 service............................
236.508 Interference with
5,000
7,500 application of brakes by means of brake valve........................
236.509 Two or more locomotives
3,000
4,500 coupled............................
236.511 Cab signals controlled in
5,000
7,500 accordance with block conditions stopping distance in advance.......
236.512 Cab signal indication when
6,500
9,000 locomotive enters blocks...........
236.513 Audible indicator...........
5,000
7,500
236.514 Interconnection of cab
3,000
4,500 signal system with roadway signal system.............................
236.515 Visibility of cab signals...
5,000
7,500
236.516 Power supply................
3,000
4,500 Rules and Instructions; Roadway--
236.526 Roadway element not
3,000
4,500 functioning properly...............
236.527 Roadway element insulation
3,000
4,500 resistance.........................
236.528 Restrictive condition
5,000
7,500 resulting from open hand-operated switch; requirement................
236.529 Roadway element inductor;
3,000
4,500 height and distance from rail......
236.531 Trip arm; height and
3,000
4,500 distance from rail.................
236.532 Strap iron inductor; use
3,000
4,500 restricted.........................
236.534 Rate of pressure reduction;
5,000
7,500 equalizing reservoir or brake pipe.
236.551 Power supply voltage........
3,000
4,500
236.552 Insulation resistance.......
3,000
4,500
236.553 Seal, where required........
3,000
4,500
236.554 Rate of pressure reduction;
5,000
7,500 equalizing reservoir or brake pipe.
236.555 Repaired or rewound receiver
1,500
2,500 coil...............................
236.556 Adjustment of relay.........
3,000
4,500
236.557 Receiver; location with
3,000
4,500 respect to rail....................
236.560 Contact element, mechanical
3,000
4,500 trip type; location with respect to rail...............................
236.562 Minimum rail current
3,000
4,500 required...........................
236.563 Delay time..................
5,000
7,500
236.564 Acknowledging time..........
3,000
4,500
236.565 Provision made for
3,000
4,500 preventing operation of pneumatic brake-applying apparatus by double- heading clock; requirement.........
236.566 Locomotive of each train
3,000
4,500 operating in train stop, train control or cab signal territory; equipped...........................
236.567 Restrictions imposed when device fails and/or is cut out en route: (a) Report not made to
5,000
7,500 designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route................ (b) Train permitted to proceed
5,000
7,500 at speed exceeding 79 m.p.h. where automatic train stop, train control, or cab signal device fails and/or is cut out en route when absolute block established in advance of train on which device is inoperative.
[[Page 70627]]
(c) other violations............
3,000
4,500
236.568 Difference between speeds
3,000
4,500 authorized by roadway signal and cab signal; action................. Inspection and Tests; Roadway--
236.576 Roadway element.............
3,000
4,500
236.577 Test, acknowledgement, and
3,000
4,500 cut-in circuits.................... Inspection and Tests; Locomotive--
236.586 Daily or after trip test....
5,000
7,500
236.587 Departure test: (a) Test of automatic train
6,500
9,000 stop, train control, or cab signal apparatus on locomotive not made on departure of locomotive from initial terminal if equipment on locomotive not cut out between initial terminal and equipped territory...................... (b) Test of automatic train
6,500
9,000 stop, train control, or cab signal apparatus on locomotive not made immediately on entering equipped territory, if equipment on locomotive cut out between initial terminal and equipped territory............. (c) Automatic train stop, train
6,500
9,000 control, or cab signal apparatus on locomotive making more than one trip within 24- hour period not given departure test within corresponding 24- hour period.................... (d) other violations............
5,000
7,500
236.588 Periodic test...............
6,500
9,000
236.589 Relays......................
5,000
7,500
236.590 Pneumatic apparatus: (a) Automatic train stop, train
5,000
7,500 control, or cab signal apparatus not inspected and cleaned at least once every 736 days........................... (b) other violations............
5,000
7,500
Subpart F--Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards
236.601 Signals controlled by
6,500
9,000 devices; location..................
Subpart H--Standards for Processor-Based Signal and Train Control Systems
236.905 Railroad Safety Program Plan (RSPP): (a) Failure to develop and
6,500
9,000 submit RSPP when required...... (b) Failure to obtain FRA
6,500
9,000 approval for a modification to RSPP...........................
236.907 Product Safety Plan (PSP): (a) Failure to develop a PSP....
6,500
9,000 (b) Failure to submit a PSP when
6,500
9,000 required.......................
236.909 Minimum Performance Standard: (a) Failure to make analyses or
5,000
7,500 documentation available........ (b) Failure to determine that
6,500
9,000 the standard has been met......
236.913 Notification to FRA of PSPs: (a) Failure to prepare a PSP or
6,500
9,000 PSP amendment as required...... (b) Failure to submit a PSP or
6,500
9,000 PSP amendment as required...... (c) Field testing without
8,500
11,000 authorization or approval......
236.915 Implementation and operation: (a) Operation of product without
8,500
11,000 authorization or approval...... (b) Failure to comply with PSP..
5,000
7,500 (c) Interference with normal
8,500
11,000 functioning safety-critical product........................ (d) Failure to determine cause
5,000
7,500 and adjust, repair or replace without undue delay or take appropriate action pending repair.........................
236.917 Retention of records: (a) Failure to maintain records
6,500
9,000 as required.................... (b) Failure to report
6,500
9,000 inconsistency.................. (c) Failure to take prompt
6,500
9,000 countermeasures................ (d) Failure to provide final
3,000
4,500 report.........................
236.919 Operations and Maintenance
5,000
7,500 Manual.............................
236.921 Training and qualification
5,000
7,500 program, general...................
236.923 Task analysis and basic requirements: (a) Failure to develop an
3,000
4,500 acceptable training program.... (b) Failure to train persons as
3,000
4,500 required....................... (c) Failure to conduct
3,000
4,500 evaluation of training program as required.................... (d) Failure to maintain records
1,500
2,500 as required....................
236.925 Training specific to control
5,000
7,500 office personnel...................
236.927 Training specific to
5,000
7,500 locomotive engineers and other operating personnel................
236.929 Training specific to roadway
5,000
7,500 workers............................
\1\ The Administrator reserves the right to assess a civil penalty of up to $27,000 per day for any violation where circumstances warrant See 49 CFR part 209, appendix A. A penalty may be assessed against an individual only for a willful violation The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant See 49 CFR part 209, appendix A The penalty schedule uses section numbers from 49 CFR part 236 If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s) For convenience, penalty citations will cite the CFR section and the penalty code, if any FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
[[Page 70628]]
PART 238--[AMENDED]
43. The authority citation for part 238 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303, 20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; 49 CFR 1.49.
44. Appendix A to part 238 is revised to read as follows:
Appendix A to Part 238.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart A--General
238.15 Movement of power brake defects:
(b) Improper movement from Class I
$6,500
$9,000 or IA brake test...................
(c) Improper movement of en route
5,000
7,500 defect............................. (2), (3) Insufficient tag or
1,500
2,500 record......................... (4) Failure to determine percent
5,000
7,500 operative brake................
(d) Failure to follow operating
6,500
9,000 restrictions.......................
(e) Failure to follow restrictions
5,000
7,500 for inoperative front or rear unit. 238.17 Movement of other than power brake defects: \1\
(c)(4), (5) Insufficient tag or
1,500
2,500 record.............................
(d) Failure to inspect or improper
5,000
7,500 use of roller bearings.............
(e) Improper movement of defective
5,000
7,500 safety appliances.................. 238.19 Reporting and tracking defective equipment:
(a) Failure to have reporting or
8,500
11,000 tracking system....................
(b) Failure to retain records.......
3,000
4,500
(c) Failure to make records
1,500
2,500 available..........................
(d) Failure to list power brake
3,000
4,500 repair points......................
Subpart B--Safety Planning and General Requirements
238.103 Fire protection plan/fire safety:
(a) Failure to use proper materials.
6,500
9,000
(b) Improper certification..........
1,500
2,500
(c) Failure to consider fire safety
6,500
9,000 on new equipment...................
(d) Failure to perform fire safety
6,500
9,000 analysis...........................
(e) Failure to develop, adopt or
6,500
9,000 comply with procedures............. 238.105 Train electronic hardware and software safety:
(a), (b), (c) Failure to develop and
6,500
9,000 maintain hardware and software safety.............................
(d) Failure to include required
6,500
9,000 design features....................
(e) Failure to comply with hardware
6,500
9,000 and software safety program........ 238.107 Inspection, testing, and maintenance plan:
(b) Failure to develop plan.........
6,500
9,000
(b)(1)-(5) Failure of plan to
5,000
7,500 address specific item..............
(d) Failure to conduct annual review
6,500
9,000 238.109 Training, qualification, and designation program:
(a) Failure to develop or adopt
6,500
9,000 program............................
(b)(1)-(4) Failure of plan to
5,000
7,500 address specific item..............
(b)(5)-(12) Failure to comply with
5,000
7,500 specific required provision the program............................
(b)(13) Failure to maintain adequate
5,000
7,500 records............................ 238.111 Pre-revenue service acceptance testing plan:
(a) Failure to properly test
6,500
9,000 previously used equipment..........
(b)(1) Failure to develop plan......
6,500
9,000
(b)(2) Failure to submit plan to FRA
6,500
9,000
(b)(3) Failure to comply with plan..
6,500
9,000
(b)(4) Failure to document results
6,500
9,000 of testing.........................
(b)(5) Failure to correct safety
6,500
9,000 deficiencies or impose operating limits.............................
(b)(6) Failure to maintain records..
3,000
4,500
(b)(7) Failure to obtain FRA
6,500
9,000 approval........................... 238.113 Emergency window exits..........
5,000
7,500 238.115 Emergency lighting..............
5,000
7,500 238.117 Protection against personal
5,000
7,500 injury................................. 238.119 Rim-stamped straight plate
5,000
7,500 wheels.................................
Subpart C--Specific Requirements for Tier I Equipment
238.203 Static end strength.............
5,000
7,500 238.205 Anti-climbing mechanism.........
5,000
7,500 238.207 Link between coupling mechanism
5,000
7,500 and car body........................... 238.209 Forward-facing end structure of
5,000
7,500 locomotives............................ 238.211 Collision posts.................
5,000
7,500 238.213 Corner posts....................
5,000
7,500 238.215 Rollover strength...............
5,000
7,500 238.217 Side structure..................
5,000
7,500 238.219 Truck-to-car-body attachment....
5,000
7,500 238.221 Glazing.........................
5,000
7,500 238.223 Fuel tanks......................
5,000
7,500
[[Page 70629]]
238.225 Electrical System...............
5,000
7,500 238.227 Suspension system...............
5,000
7,500 239.229 Safety appliances--general:
(e) Failure to properly identify
5,000
7,500 equipment (per car)................
(g) Failure to adopt or comply with
5,000
7,500 inspection plan....................
(h) Failure to use qualified person
5,000
7,500 (per car)..........................
(i) Failure to properly conduct
5,000
7,500 initial or periodic inspection (per car)...............................
(j) Failure to take proper remedial
5,000
7,500 action (per car)...................
(k) Failure to maintain records (per
3,000
4,500 car)............................... 238.230 Safety appliance--new equipment:
(b)(2) Failure to identify welded
5,000
7,500 appliance (per car)................
(b)(3) Failure to receive approval
5,000
7,500 for use (per car)..................
(c)(2) Failure to make proper repair
5,000
7,500 (per car).......................... 238.231 Brake System (a)-(g), (i)-(n)...
5,000
7,500
(h)(1), (2) Hand or parking brake
6,500
9,000 missing or inoperative.............
(h)(3) Hand or parking brake
5,000
7,500 inspection or record (per car).....
(h)(4) Hand or parking brake not
6,500
9,000 applied to hold equipment unattended on grade or prematurely released........................... 238.233 Interior fittings and surfaces..
5,000
7,500 238.235 Doors...........................
5,000
7,500 238.237 Automated monitoring............
5,000
7,500
Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I Equipment
238.303 Exterior mechanical inspection of passenger equipment:
(a)(1) Failure to perform mechanical \1\ 5,000
7,500 inspection.........................
(a)(2) Failure to inspect secondary
5,000
7,500 brake system.......................
(b) Failure to perform inspection on \1\ 5,000
7,500 car added to train.................
(c) Failure to utilize properly
5,000
7,500 qualified personnel................
(e)(1) Products of combustion not
5,000
7,500 released outside cab...............
(e)(2) Battery not vented or gassing
5,000
7,500 excessively........................
(e)(3) Coupler not in proper
5,000
7,500 condition..........................
(e)(4) No device under drawbar pins
5,000
7,500 or connection pins.................
(e)(5) Suspension system and spring
5,000
7,500 rigging not in proper condition....
(e)(6) Truck not in proper condition
5,000
7,500
(e)(7) Side bearing not in proper
5,000
7,500 condition..........................
(e)(8) Wheel not in proper condition: (i), (iv) Flat spot(s) and shelled spot(s): (A) One spot 2\1/2\'' or
5,000
7,500 more but less than 3'' in length..................... (B) One spot 3'' or more in
6,500
9,000 length..................... (C) Two adjoining spots each
5,000
7,500 of which is 2'' or more in length but less than 2\1/ 2\'' in length............. (D) Two adjoining spots each
6,500
9,000 of which are at least 2'' in length, if either spot is 2\1/27\'' or more in length..................... (ii) Gouge or chip in flange: (A) More than 1\1/2\'' but
5,000
7,500 less than 1\5/8\'' in length; and more than \1/ 2\'' but less than \5/8\'' in width................... (B) 1\5/8\'' or more in
6,500
9,000 length and \5/8\'' or more in width................... (iii) Broken rim................
6,500
9,000 (v) Seam in tread...............
5,000
7,500 (vi) Flange thickness of: (A) \7/8\'' or less but more
5,000
7,500 than....................... (B) \13/16\'' or less.......
6,500
9,000 (vii) Tread worn hollow.........
5,000
7,500 (viii) Flange height of: (A) 1\1/2\'' or greater but
5,000
7,500 less than 1\5/8\''......... (B) 1\5/8\'' or more........
6,500
9,000 (ix) Rim thickness: (A) Less than 1''...........
5,000
7,500 (B) \15/16\'' or less.......
6,500
9,000 (x) Crack or break in flange, tread, rim, plate, or hub: (A) Crack of less than 1''..
5,000
7,500 (B) Crack of 1'' or more....
6,500
9,000 (C) Break...................
6,500
9,000 (xi) Loose wheel................
6,500
9,000 (xii) Welded wheel..............
6,500
9,000
(e)(10) Improper grounding or
6,500
9,000 insulation.........................
(e)(11) Jumpers or cable connections
5,000
7,500 not in proper condition............
(e)(12) Door or cover plate not
5,000
7,500 properly marked....................
(e)(13) Buffer plate not properly
5,000
7,500 placed.............................
(e)(14) Diaphragm not properly
5,000
7,500 placed or aligned..................
(e)(15) Secondary braking system not
5,000
7,500 in operating mode or contains known defect.............................
(e)(16) Roller bearings: (i) Overheated..................
8,500
11,000
[[Page 70630]]
(ii) Cap screw loose or missing.
5,000
7,500 (iii) Cap screw lock broken or
3,000
4,500 missing........................ (iv) Seal loose, damaged, or
5,000
7,500 leaks lubricant................
(g) Record of inspection: (1), (4) Failure to maintain
5,000
7,500 record of inspection........... (2) Record contains insufficient
3,000
4,500 information....................
(e)(17) Air compressor inoperative..
5,000
7,500 238.305 Interior mechanical inspection of passenger cars:
(a) Failure to perform inspection... \1\ 3,000
4,500
(b) Failure to utilize properly
3,000
4,500 qualified personnel................
(c)(1) Failure to protect against
5,000
7,500 personal injury....................
(c)(2) Floors not free of condition
5,000
7,500 that creates hazard................
(c)(3) Access to manual door release
3,000
4,500 not in place.......................
(c)(4) Emergency equipment not in
3,000
4,500 place..............................
(c)(5) Emergency brake valve not
3,000
4,500 stenciled or marked................
(c)(6) Door or cover plates not
3,000
4,500 properly marked....................
(c)(7) Safety signage not in place
3,000
4,500 or legible.........................
(c)(8) Trap door unsafe or
5,000
7,500 improperly secured.................
(c)(9) Vestibule steps not
3,000
4,500 illuminated........................
(c)(10) Door not safely operate as
5,000
7,500 intended...........................
(c)(11) Seat broken, loose, or not
5,000
7,500 properly attached..................
(e) Record of inspection: (1), (4) Failure to maintain
3,000
4,500 record of inspection........... (2) Record contains insufficient
1,500
2,500 information....................
(f) Record of inspection: (1), (4) Failure to maintain
3,000
4,500 record of inspection........... (2) Record contains insufficient
1,500
2,500 information.................... 238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles:
(a) Failure to perform periodic
\1\ 5,000
7,500 mechanical inspection..............
(b) Failure to utilize properly
5,000
7,500 qualified personnel................
(c)(1) Seat or seat attachment
5,000
7,500 broken or loose....................
(c)(2) Luggage rack broken or loose.
5,000
7,500
(c)(3) Bed, bunks, or restraints
5,000
7,500 broken or loose....................
(c)(4) Emergency window exit not
5,000
7,500 properly operate...................
(c)(5) Emergency lighting not
5,000
7,500 operational........................
(c)(6) Switches not in proper
5,000
7,500 condition..........................
(c)(7) Coupler not in proper
5,000
7,500 condition..........................
(c)(8) Truck not equipped with
5,000
7,500 securing arrangement...............
(c)(9) Truck center casting cracked
6,500
9,000 or broken..........................
(c)(10) General conditions
5,000
7,500 endangering crew, passengers.......
(c)(13) Hand or parking brake test
5,000
7,500 not performed......................
(d)(1) Manual door release does not
5,000
7,500 operate as intended................
(d)(2) Hand or parking brake
5,000
7,500 inspection not performed...........
(e)(1) Failure to maintain record of
3,000
4,500 inspection......................... (i)-(iv) Record contains
3,000
4,500 insufficient information.......
(f)(1) Record of inspection: (i) Failure to maintain record
3,000
4,500 of inspection.................. (ii) Record contains
1,500
2,500 insufficient information....... 238.309 Periodic brake equipment maintenance:
(b) Failure to perform on MU
5,000
7,500 locomotive.........................
(c) Failure to perform on
5,000
7,500 conventional locomotive............
(d) Failure to perform on passenger
5,000
7,500 coaches or other unpowered vehicle.
(e) Failure to perform on cab car...
5,000
7,500
(f) Record of periodic maintenance: (1), (2) Failure to maintain
3,000
4,500 record or stencil.............. 238.311 Single car tests:
(a) Failure to test in accord with
5,000
7,500 required procedure.................
(b) Failure to utilize properly
5,000
7,500 qualified personnel................
(c), (e) Failure to perform single
5,000
7,500 car test...........................
(f) Improper movement of car for
3,000
4,500 testing............................
(g) Failure to test after repair or
3,000
4,500 replacement of component........... 238.313 Class I brake test:
(a) Failure to perform on commuter
\1\ 8,500
11,000 or short distance intercity passenger train....................
(b) Failure to perform on long-
\1\ 8,500
11,000 distance intercity passenger train.
(c) Failure to perform on cars added
6,500
9,000 to passenger train.................
(d) Failure to utilized properly
6,500
9,000 qualified personnel................
(f) Passenger train used from Class
6,500
9,000 I brake test with less than 100% operative brakes...................
(g) Partial failure to perform
6,500
9,000 inspection on a passenger train.... (3) Failure to adjust piston
5,000
7,500 travel (per car)...............
(h) Failure to maintain record......
3,000
4,500
(j) Failure to perform additional
8,500
11,000 Class I brake test.................
[[Page 70631]]
(j)(3) Failure to maintain record...
3,000
4,500 238.315 Class IA brake test:
(a) Failure to perform inspection... \1\ 6,500
9,000
(d) Failure to utilize properly
5,000
7,500 qualified personnel................
(e) Passenger train used from Class
6,500
9,000 IA brake test with improper percentage of operative brakes.....
(f) Partial failure to perform
5,000
7,500 inspection on passenger train...... 238.317 Class II brake test:
(a) Failure to perform inspection... \1\ 5,000
7,500
(b) Failure to utilize properly
5,000
7,500 qualified personnel................
(c) Improper use of defective
5,000
7,500 equipment from Class II brake test. 238.319 Running brake tests:
(a), (b) Failure to perform test....
3,000
4,500 238.321 Out-of-service credit...........
3,000
4,500
Subpart E--Specific Requirements for Tier II Passenger Equipment
238.403 Crash energy management.........
5,000
7,500 238.405 Longitudinal static compressive
5,000
7,500 strength............................... 238.407 Anti-climbing mechanism.........
5,000
7,500 238.409 Forward end structures of power car cabs:
(a) Center collision post...........
5,000
7,500
(b) Side collision posts............
5,000
7,500
(c) Corner posts....................
5,000
7,500
(d) Skin............................
5,000
7,500 238.411 Rear end structures of power car cabs:
(a) Corner posts....................
5,000
7,500
(b) Collision posts.................
5,000
7,500 238.413 End structures of trailer cars..
5,000
7,500 238.415 Rollover strength...............
5,000
7,500 238.417 Side loads......................
5,000
7,500 238.419 Truck-to-car-body and truck
5,000
7,500 component attachment................... 238.421 Glazing:
(b) End-facing exterior glazing.....
5,000
7,500
(c) Alternate glazing requirements..
5,000
7,500
(d) Glazing securement..............
1,500
2,500
(e) Stenciling......................
3,000
4,500 238.423 Fuel tanks:
(a) External fuel tanks.............
5,000
7,500
(b) Internal fuel tanks.............
5,000
7,500 238.425 Electrical system:
(a) Circuit protection..............
5,000
7,500
(b) Main battery system.............
5,000
7,500
(c) Power dissipation resistors.....
5,000
7,500
(d) Electromagnetic interference and
5,000
7,500 compatibility...................... 238.427 Suspension system...............
5,000
7,500 238.429 Safety Appliances:
(a) Couplers........................
6,500
9,000
(b) Hand/parking brakes.............
6,500
9,000
(d) Handrail and handhold missing...
5,000
7,500
(d)(1)-(8) Handrail or handhold
5,000
7,500 improper design....................
(e) Sill step missing...............
6,500
9,000
(e)(1)-(11) Sill step improper
5,000
7,500 design.............................
(g) Optional safety appliances......
5,000
7,500 238.431 Brake system....................
5,000
7,500 238.433 Draft System....................
5,000
7,500 238.435 Interior fittings and surfaces..
5,000
7,500 238.437 Emergency communication.........
5,000
7,500 238.439 Doors:
(a) Exterior side doors.............
5,000
7,500
(b) Manual override feature.........
5,000
7,500
(c) Notification to crew of door
5,000
7,500 status.............................
(d) Emergency back-up power.........
5,000
7,500
(f) End door kick-out panel or pop-
5,000
7,500 out window.........................
(g) Marking and instructions........ [Reserved] .............. 238.441 Emergency roof hatch entrance
5,000
7,500 location............................... 238.443 Headlights......................
5,000
7,500 238.445 Automated monitoring............
5,000
7,500 238.447 Train operator's controls and
5,000
7,500 power car cab layout...................
Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II Passenger Equipment
238.503 Inspection, testing, and maintenance requirements:
[[Page 70632]]
(a) Failure to develop inspection,
8,500
11,000 testing, and maintenance program or obtain FRA approval................
(b) Failure to comply with
6,500
9,000 provisions of the program..........
(c) Failure to ensure equipment free
5,000
7,500 of conditions which endanger safety of crew, passengers, or equipment..
(d) Specific safety inspections: (1)(i) Failure to perform Class
8,500
11,000 I brake test or equivalent..... (1)(ii) Partial failure to
6,500
9,000 perform Class I brake test or equivalent..................... (2)(i) Failure to perform
\1\ 5,000
7,500 exterior mechanical inspection. (2)(ii) Failure to perform
\1\ 3,000
4,500 interior mechanical inspection.
(g) Failure to perform scheduled
5,000
7,500 maintenance as required in program.
(h) Failure to comply with training,
6,500
9,000 qualification and designation program............................
(i) Failure to develop or comply
5,000
7,500 with standard procedures for performing inspection, tests, and maintenance........................
(j) Failure to conduct annual review
6,500
9,000
(k) Failure to establish or utilize
6,500
9,000 quality control program............
Subpart G--Specific Safety Planning Requirements for Tier II Passenger Equipment
238.603 Safety plan:
(a) Failure to develop safety
6,500
9,000 operating plan.....................
(b) Failure to develop procurement
6,500
9,000 plan............................... (1)-(7) Failure to develop
5,000
7,500 portion of plan................
(c) Failure to maintain
5,000
7,500 documentation......................
\1\ A penalty may be assessed against an individual only for a willful violation. Generally when two or more violations of these regulations are discovered with respect to a single unit of passenger equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $11,000 per day. However, failure to perform, with respect to a particular unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. Moreover, the Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement of defective equipment set forth in Sec. 238.17 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the unit of passenger equipment at the time of movement. Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power brakes, set forth in Sec. 238.17(e) will deprive the railroad of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or Sec. 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under Sec. 238.303 and Sec. 238.305 may be assessed for each unit of passenger equipment contained in a train that is not properly inspected. Whereas, the penalties listed for failure to perform the brake inspections and tests under Sec. 238.313 through Sec. 238.319 may be assessed for each train that is not properly inspected. \2\ The penalty schedule uses section numbers from 49 CFR part 238. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 239--[AMENDED]
45. The authority citation for part 239 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(c), (g), (m).
46. Appendix A to part 239 is revised to read as follows:
Appendix A to Part 239.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart B--Specific Requirements
239.101 (a) Failure of a railroad to
$8,500
$11,000 adopt a written emergency preparedness plan...................................
(a)(1) Failure of the plan to provide for: (i) Initial or on-board
5,000
7,500 notifications by an on-board crewmember..................... (ii) Notification of outside
5,000
7,500 emergency responders by control center.........................
(a)(2) Failure of the plan to provide for: (i) Initial or periodic training
5,000
7,500 of on-board personnel.......... (ii) Initial or periodic
5,000
7,500 training of control center personnel...................... (iii) Completion of initial
5,000
7,500 training of all on-board and control center personnel by the specified date................. (iv) Completion of initial
5,000
7,500 training of all newly hired on- board and control center personnel by the specified date (v) Adequate procedures to
5,000
7,500 evaluate and test on-board and control center personnel for qualification under the emergency preparedness plan.... (vi) Adequate on-board staffing.
5,000
7,500
[[Page 70633]]
(a)(3) Failure of a host railroad
5,000
7,500 involved in joint operations to coordinate applicable portions of the emergency preparedness plan with the railroad or railroads providing or operating a passenger train service operation............
(a)(4) Failure of the plan to address: (i) Readiness procedures for
5,000
7,500 emergencies in tunnels......... (ii) Readiness procedures for
5,000
7,500 emergencies on an elevated structure or in electrified territory...................... (iii) Coordination efforts
5,000
7,500 involving adjacent rail modes of transportation..............
(a)(5) Failure of the plan to address relationships with on-line emergency responders by providing for: (i) The development and
5,000
7,500 availability of training programs....................... (ii) Invitations to emergency
5,000
7,500 responders to participate in emergency simulations.......... (iii) Distribution of applicable
5,000
7,500 portions of the current emergency preparedness plan....
(a)(6) Failure of the plan to provide for, or the railroad to include on board each train and maintain and replace: (i) Emergency equipment.........
5,000
7,500 (ii) First-aid kits.............
5,000
7,500 (iii) Emergency lighting........
5,000
7,500
(a)(7) Failure of the plan to
3,000
4,500 provide for emergency instructions inside each passenger car or to include additional safety awareness information........................ 239.103 Failure to conduct a required
5,000
7,500 full-scale simulation in accordance with the frequency schedule............ 239.105 Debriefing and critique:
(a) Failure to conduct a debriefing
5,000
7,500 and critique session after an emergency or full-scale simulation.
(d)(1) Failure to maintain a record.
3,000
4,500 (i) Failure to include date or
1,500
2,500 location of the emergency or simulation..................... (ii) Failure to include date or
1,500
2,500 location of the debriefing and critique session............... (iii) Failure to include names
1,500
2,500 of participants in the debriefing and critique session
(d)(2) Failure to make record
1,500
2,500 available.......................... 239.107 Emergency exits:
(a)(1), (a)(2): (i) Door not marked or
5,000
7,500 instructions not posted........ (ii) Door improperly marked or
5,000
7,500 instructions 1,000-2,000 improperly posted..............
(b)(1) Failure to provide for
5,000
7,500 scheduled inspection, maintenance, and repair of emergency windows and doors..............................
(b)(2): (i) Failure to test a
5,000
7,500 representative sample of emergency windows.............. (ii) Emergency windows tested
3,000
4,500 too infrequently...............
(b)(3) Failure to repair an
5,000
7,500 inoperative emergency window or door exit..........................
(c): (i) Failure to maintain a record
5,000
7,500 (ii) Failure to make record
1,500
2,500 available......................
(d)(1) Insufficient limits or
5,000
7,500 controls on accessibility to records............................
(d)(2) Missing terminal.............
1,500
2,500
(d)(3) Inability of railroad to
1,500
2,500 produce information in a usable format for immediate review........
(d)(4) Failure by railroad to
1,500
2,500 designate an authorized representative.....................
(d)(5) Failure to make record
1,500
2,500 available..........................
Subpart C--Review, Approval, and Retention of Emergency Preparedness Plans
239.201 Filing and approval:
(a): (i) Failure of a railroad to
6,500
9,000 file a written emergency preparedness plan.............. (ii) Failure to designate a
1,500
2,500 primary person to contact for plan review.................... (iii) Failure of a railroad to
5,000
7,500 file an amendment to its plan..
(b)(1), (b)(2): (i) Failure of a railroad to
1,500
2,500 correct a plan deficiency...... (ii) Failure to provide FRA with
1,500
2,500 a corrected copy of the plan...
(b)(3): (i) Failure of a railroad to
1,500
2,500 correct an amendment deficiency (ii) Failure to file a corrected
1,500
2,500 plan amendment with FRA........ 239.203 Retention of emergency preparedness plan:
(1) Failure to retain a copy of the
5,000
7,500 plan or an amendment to the plan...
(2) Failure to make record available
1,500
2,500
Subpart D--Operational (Efficiency) Tests; Inspection of Records and Recordkeeping
239.301 Operational (efficiency) tests:
(a) Testing Program.................
5,000
7,500
(b)(1) Failure to maintain a record.
5,000
7,500
(b)(2) Record improperly completed..
1,500
2,500
(c)(1) Failure to retain a copy of
1,500
2,500 the record.........................
(c)(2) Failure to make record
1,500
2,500 available.......................... 239.303 Electronic recordkeeping:
[[Page 70634]]
(a) Insufficient limits or controls
3,000
4,500 on accessibility to records........
(b) Missing terminal................
1,500
2,500
(c) Inability of railroad to produce
1,500
2,500 information in a usable format for immediate review...................
(d) Failure by railroad to designate
1,500
2,500 an authorized representative.......
(e) Failure to make record available
1,500
2,500
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. \2\ The penalty schedule uses section numbers from 49 CFR part 239. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 240--[AMENDED]
47. The authority citation for part 240 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 149.
48. Appendix A to part 240 is revised to read as follows:
Appendix A to Part 240.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
Subpart B--Component Elements
240.101 Program Failures:
(a) Failure to have program.........
$8,500
$11,000
(b) Program that fails to address a
5,000
7,500 subject............................ 240.103 Failure to:
(a) follow Appendix B...............
1,500
2,500
(d) resubmit, when directed by FRA..
1,500
2,500 240.104 Allowing uncertified person to
6,500
9,000 operate non-traditional locomotives.... 240.105 Failure to have or execute
5,000
7,500 adequate procedure for selection of supervisors............................ 240.107 Classes of Service:
(a) Failure to designate classes of
5,000
7,500 service............................ 240.109 Limitations on considering prior conduct records:
(a) Failure to have procedure for
5,000
7,500 determining eligibility............
(e) Considering excluded data.......
5,000
7,500
(f), (g) Failure to provide timely
5,000
7,500 review opportunity................. 240.111 Furnishing Motor Vehicle Records:
(a) Failure to action required to
1,500
2,500 make information available.........
(b) Failure to request: (1) local record................
1,500
2,500 (2) NDR record..................
1,500
2,500
(f) Failure to request additional
1,500
2,500 record.............................
(g) Failure to notify of absence of
1,500
2,500 license............................
(h) Failure to submit request in
1,500
2,500 timely manner......................
(i) Failure to report within 48
1,500
2,500 hours or railroad taking certification action for not reporting earlier than 48 hours.... 240.113 Furnishing prior employment information:
(a) Failure to take action required
1,500
2,500 to make information available......
(b) Failure to request record.......
1,500
2,500 240.115 Criteria for considering prior motor vehicle conduct:
(b) Considering excluded data.......
5,000
7,500
(c) Failure to: (1) consider data...............
8,500
11,000 (3)-(4) properly act in response
3,000
4,500 to data........................ 240.117 Consideration of Operational Rules Compliance Records:
(a) Failure to have program and
8,500
11,000 procedures.........................
(b)-(j) Failure to have adequate
5,000
7,500 program or procedure............... 240.119 Consideration of substance abuse/ rules compliance Records:
(a) Failure to have program and
8,500
11,000 procedures.........................
(b)-(e) Failure to have adequate
5,000
7,500 program or procedure............... 240.121 Failure to have adequate
5,000
7,500 procedure for determining acuity.......
(f) Failure of engineer to notify...
5,000
7,500 240.123 Failure to have--
(b) adequate procedures for
5,000
7,500 continuing education...............
(c) adequate procedures for training
5,000
7,500 new engineers...................... 240.125 Failure to have--
(a) adequate procedures for testing
5,000
7,500 knowledge..........................
[[Page 70635]]
(d) adequate procedures for
5,000
7,500 documenting testing................ 240.127 Failure to have--
(a) adequate procedures for
5,000
7,500 evaluating skill performance.......
(c) adequate procedures for
5,000
7,500 documenting skills testing......... 240.129 Failure to have--
(a)-(b) adequate procedures for
5,000
7,500 monitoring performance.............
Subpart C--Implementation of the Process
240.201 Schedule for implementation:
(a) Failure to select supervisors by
1,500
2,500 specified date.....................
(b) Failure to identify
3,000
4,500 grandfathered engineers............
(c) Failure to issue certificate to
1,500
2,500 engineer...........................
(d) Allowing uncertified person to
5,000
7,500 operate............................
(e)-(g) Certifying without complying
5,000
7,500 with subpart C.....................
(h)-(i) Failure to issue certificate
1,500
2,500 to engineer........................ 240.203 (a) Designating a person as a supervisor without determining that-- (1) person knows and understands
5,000
7,500 this part...................... (2) person can test and evaluate
8,500
11,000 engineers...................... (3) person has experience to
5,000
7,500 prescribe remedies.............
(b) Certifying a person without determining that-- (1) person meets the eligibility
8,500
11,000 criteria....................... (2) person meets the medical
5,000
7,500 criteria....................... (3) person has demonstrated
5,000
7,500 knowledge...................... (4) person has demonstrated
5,000
7,500 skills.........................
(c) Certifying a person without determining that-- (1) person has completed
5,000
7,500 training program............... (2) person meets the eligibility
5,000
7,500 criteria....................... (3) time has elapsed............
5,000
7,500 240.205 Procedures for determining eligibility based on prior safety conduct:
(a) Selecting person lacking
8,500
11,000 eligibility........................
(d) Failure to have basis for taking
5,000
7,500 action............................. 240.207 Ineligibility based on medical condition:
(a) Selecting person lacking proper
6,500
9,000 acuity.............................
(b) Failure to have basis for
1,500
2,500 finding of proper acuity...........
(c) Acuity examinations performed by
1,500
2,500 unauthorized person................
(d) Failure to note need for device
1,500
2,500 to achieve acuity..................
(e) Failure to use device needed for
1,500
2,500 proper acuity...................... 240.209 Demonstrating knowledge:
(b) Failure to properly determine
6,500
9,000 knowledge..........................
(c) Improper test procedure.........
5,000
7,500
(d) Failure to document test results
1,500
2,500
(e) Allowing person to operate
5,000
7,500 despite test failure............... 240.211 Demonstrating skills:
(b) Failure to properly determine
5,000
7,500 knowledge..........................
(c) Improper test procedure.........
3,000
4,500
(d) Failure to document test results
1,500
2,500
(e) Allowing person to operate
5,000
7,500 despite test failure............... 240.213 Completion of approved training program:
(a) Failure to properly determine...
5,000
7,500
(b) Failure to document successful
3,000
4,500 program completion................. 240.215 Supporting information:
(a), (f)-(h) Failure to have a
1,500
2,500 record.............................
(b) Failure to have complete record.
1,500
2,500
(i) Falsification of record.........
(--)
11,000 240.217 Time limits for making determinations:
(a), (c) Exceeding time limit.......
3,000
4,500 240.219 Denial of certification:
(a) Failure to notify or provide
3,000
4,500 opportunity for comment............
(c) Failure to notify, provide data,
3,000
4,500 or untimely notification........... 240.221 Identification of persons:
(a)-(c) Failure to have a record....
3,000
4,500
(d) Failure to update a record......
3,000
4,500
(e)-(f) Failure to make a record
1,500
2,500 available.......................... 240.223 Certificate criteria:
(a) Improper certificate............
1,500
2,500
(b) Failure to designate those with
1,500
2,500 signatory authority................
(d) Falsification of certificate....
(--)
11,000 240.225 Railroad Relying on Determination of Another:
(a) Failure to address in program or
8,500
11,000 failure to require newly hired engineer to take entire training program............................
(2) Reliance on wrong class of
3,000
4,500 service............................
[[Page 70636]]
(3) Failure to familiarize person
3,000
4,500 with new operational territory.....
(4) Failure to determine knowledge..
3,000
4,500
(5) Failure to determine performance
3,000
4,500 skills............................. 240.227 Railroad Relying on Requirements of a Different Country:
(a) Joint operator reliance: (1) on person not employed......
1,500
2,500 (2) on person who fails to meet
1,500
2,500 Canadian requirements..........
(b) Canadian railroad reliance: (1) on person not employed......
1,500
2,500 (2) on person who fails to meet
1,500
2,500 Canadian requirements.......... 240.229 Requirements for Joint Operations Territory:
(a) Allowing uncertified person to
3,000
4,500 operate............................
(b) Certifying without making
6,500
9,000 determinations or relying on another railroad...................
(c) Failure of: (1) controlling railroad
8,500
11,000 certifying without determining certification status, knowledge, skills, or familiarity with physical characteristics................ (2) employing railroad to
8,500
11,000 determine person's certified and qualified status for controlling railroad........... (3) person to notify employing
8,500
11,000 railroad of lack of qualifications.................
(d) Failure to provide qualified
3,000
4,500 person............................. 240.231 Persons Qualified on Physical Characteristics in Other Than Joint Operations:
(a) Person unqualified, no exception
8,500
11,000 applies or railroad does not adequately address in program......
(b) Failure to have a pilot: (1) for engineer who has never
8,500
11,000 been qualified................. (2) for engineer previously
5,000
7,500 qualified......................
Subpart D--Program Administration
240.301 Failure to have system for
3,000
4,500 certificate replacement................ 240.303 Monitoring operations:
(a) Failure to have program.........
8,500
11,000
(b) Failure to observe each person
1,500
2,500 annually...........................
(c) Failure to test each person
1,500
2,500 annually...........................
(d) Failure to test properly........
1,500
2,500 240.305 Prohibited Conduct:
(a) Unlawful: (1) passing of stop signal......
6,500
9,000 (2) control of speed............
6,500
9,000 (3) brake tests.................
6,500
9,000 (4) occupancy of main track.....
6,500
9,000 (5) tampering or operation with
6,500
9,000 disabled safety device......... (6) supervisor, pilot, or
6,500
9,000 instructor fails to take appropriate action.............
(b) Failure of engineer to: (1) carry certificate...........
1,500
2,500 (2) display certificate when
1,500
2,500 requested......................
(c) Failure of engineer to notify
8,500
11,000 railroad of limitations or railroad requiring engineer to exceed limitations........................
(d) Failure of engineer to notify
8,500
11,000 railroad of denial or revocation... 240.307 Revocation of Certification:
(a) Failure to withdraw person from
3,000
4,500 service............................
(b) Failure to notify, provide
3,000
4,500 hearing opportunity, or untimely procedures.........................
(c)-(h) Failure of railroad to
3,000
4,500 comply with hearing or waiver procedures.........................
(j) Failure of railroad to make
3,000
4,500 record.............................
(k) Failure of railroad to conduct
6,500
9,000 reasonable inquiry or make good faith determination................ 240.309 Oversight Responsibility Report:
(a) Failure to report or to report
1,500
2,500 on time............................
(b)-(h) Incomplete or inaccurate
3,000
4,500 report.............................
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. \2\ The penalty schedule uses section numbers from 49 CFR part 240. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
PART 241--[AMENDED]
49. The authority citation for part 241 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 U.S.C. 2461, note; 49 CFR 1.49.
50. Appendix B to part 241 is revised to read as follows:
[[Page 70637]]
Appendix B to Part 241.--Schedule of Civil Penalties \1\
Willful Section \2\
Violation violation
241.9 (a) Requiring or permitting
$6,500
$9,000 extraterritorial dispatching of a railroad operation.....................
(b) Failing to notify FRA about
6,500
9,000 extraterritorial dispatching of a railroad operation in an emergency situation.......................... 241.11 Conducting a railroad operation that is extraterritorially dispatched:
(a)(1) Generally....................
6,500
9,000
(a)(2) In an emergency situation--
1,500
2,500 where dispatching railroad fails to notify FRA of the extraterritorial dispatching........................ 241.13 Requiring or permitting track to be used for the conduct of a railroad operation that is extraterritorially dispatched:
(a)(1) Generally....................
6,500
9,000
(a)(2) In an emergency situation--
1,500
2,500 where dispatching railroad fails to notify FRA of the extraterritorial dispatching........................
\1\ A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304 and 49 CFR part 209, appendix A. \2\ The penalty schedule uses section numbers from 49 CFR part 241. If more than one item is listed as a type of violation of a given section, each item is also designated by a ``penalty code,'' which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
Issued in Washington, DC on November 16, 2006. Joseph H. Boardman, Administrator. [FR Doc. E6-20031 Filed 12-4-06; 8:45 am]
BILLING CODE 4910-06-P
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