[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]]
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Part II
Department of Transportation
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Federal Railroad Administration
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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]]
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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.
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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
I. 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
A. Motive Power and Equipment Regulations (CFR Parts 215, 218
(Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))
B. Track and Workplace Safety Regulations (CFR Parts 213 and
214)
C. Grade Crossing Signal Systems and Signal and Train Control
Regulations (CFR Parts 233, 234, 235, and 236)
D. 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
I. 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.''
II. 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.
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\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.
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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:
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\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).
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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\:
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\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.
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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.
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\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.
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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
------------------------------------------------------------------------
III. 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.
A. 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.
B. 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
[[Page 70593]]
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.
C. 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.
D. 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\.
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\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.
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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.
49 CFR Part 215
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.
[[Page 70594]]
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
[[Page 70595]]
(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