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Proposed Rule

Proposed Revisions to the Schedules of Civil Penalties for a Violation of a Federal Railroad Safety Law or Federal Railroad Administration Safety Regulation

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AGENCY:

Federal Railroad Administration (FRA), Department of Transportation (DOT).

ACTION:

Proposed schedules of civil penalties with request for comments.

SUMMARY:

FRA is issuing for comment proposed statements of agency policy that would amend the 25 schedules of civil penalties (Schedules) issued as appendixes to FRA's safety regulations to reflect more accurately the safety risks associated with a violation of each section or subsection of the regulations, as well as to make sure that the civil monetary penalty amounts (CMP) are consistent across all the safety regulations. These proposed revisions to the Schedules are being published to inform members and representatives of the regulated community and the general public of the amount of the civil penalty that a respondent would likely be assessed for a given violation and to invite their comments on those proposed amounts. In addition, FRA is proposing to correct any obvious errors or omissions in the Schedules.

DATES:

Written comments must be received by January 4, 2007. Comments received after that date will be considered to the extent possible without incurring additional delay or expense.

ADDRESSES:

Comments: Comments related to this Docket No. FRA 2006-25274, Notice No. 1, may be submitted by any of the following methods:

  • Web Site: http://dms.dot.gov. Follow the instructions for submitting comments on the DOT electronic docket site.
  • Fax: 202-493-2251.
  • Mail: Docket Management Facility, U.S. Department of Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, Washington, DC 20590.
  • Hand Delivery: Room PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays.
  • Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting comments.

Instructions: All submissions must include the agency name and docket number or Regulatory Identification Number (RIN) for this rulemaking. Note that all comments received will be posted without change to http://dms.dot.gov including any personal information.

Docket: For access to the docket to read background documents or comments received go to http://dms.dot.gov at any time or to PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m., Monday through Friday, except Federal Holidays.

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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.

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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 Start Printed Page 70591has 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.

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:

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] :

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 § 225.13—Late Reports—Submitting a late accident/Start Printed Page 70592incident 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.

The following chart summarizes the proposed guideline amounts for ordinary and willful violations by severity level:

Severity levelOrdinary violationsWillful violations
Level A$8,500$11,000
Level B6,5009,000
Level C5,0007,500
Level D3,0004,500
Level E1,5002,500

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—(158)Coupler/draft system defects (car)—(55)
Truck bolster stiff—(78)Electrically caused fire (locomotive)—(50)
Side bearing clearance insufficient—(67)Coupler retainer pin/cross key—(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 Start Printed Page 70593track-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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List of Subjects

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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:

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PART 213—[AMENDED]

1. The authority citation for part 213 continues to read as follows:

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Authority: 49 U.S.C. 20102-20114 and 20142; 28 U.S.C. 2461, note; and 49 CFR 1.49(m).

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2. Appendix B to part 213 is revised to read as follows:

Appendix B to Part 213.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
Subpart A—General
213.4(a) Excepted track 2$5,000$7,500
213.4(b) Excepted track 26,5009,000
213.4(c) Excepted track 26,5009,000
213.4(d) Excepted track 26,5009,000
213.4(e):
(1) Excepted track6,5009,000
(2) Excepted track6,5009,000
(3) Excepted track6,5009,000
(4) Excepted track6,5009,000
213.4(f) Excepted track3,0004,500
213.7 Designation of qualified persons to supervise certain renewals and inspect track5,0007,500
213.9 Classes of track: Operating speed limits8,50011,000
213.11 Restoration or renewal of track under traffic conditions5,0007,500
213.13 Measuring track not under load6,5009,000
Subpart B—Roadbed
213.33 Drainage6,5009,000
213.37 Vegetation5,0007,500
Subpart C—Track Geometry
213.53 Gage8,50011,000
213.55 Alignment6,5009,000
213.57 Curves; elevation and speed limitations6,5009,000
213.59 Elevation of curved track; runoff6,5009,000
213.63 Track surface6,5009,000
Subpart D—Track Structure
213.103 Ballast; general5,0007,500
213.109 Crossties
(a) Material used3,0004,500
(b) Distribution of ties6,5009,000
(c) Sufficient number of nondefective ties5,0007,500
(d) Sufficient number of nondefective ties (effective 9/21/2000)5,0007,500
(f) Joint ties5,0007,500
(g) Track constructed without crossties5,0007,500
213.110 Gage restraint measurement systems
(a) through (b) Notification5,0007,500
(c) Design requirements6,5009,000
(g) through (i) Exception reports5,0007,500
(j) Data integrity6,5009,000
(k) Training5,0007,500
(l) Remedial actions8,50011,000
(m) PTLF6,5009,000
(n) Recordkeeping5,0007,500
(o) Inspection frequency8,50011,000
213.113 Defective rails8,50011,000
213.115 Rail end mismatch5,0007,500
213.119 Continuous welded rail
(a) CWR plan filed with FRA6,5009,000
(b) CWR fastening requirements6,5009,000
(c) CWR rail temperature requirements6,5009,000
(d) CWR alignment monitoring requirements6,5009,000
(e) Procedures for controlling train speed on CWR track6,5009,000
(f) CWR track inspections6,5009,000
(g) CWR joint bar inspections6,5009,000
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(h) CWR training6,5009,000
(i) CWR recordkeeping requirements6,5009,000
213.121(a) Rail joints6,5009,000
213.121(b) Rail joints6,5009,000
213.121(c) Rail joints8,50011,000
213.121(d) Rail joints6,5009,000
213.121(e) Rail joints6,5009,000
213.121(f) Rail joints6,5009,000
213.121(g) Rail joints6,5009,000
213.121(h) Rail joints6,5009,000
213.122 Torch cut rail6,5009,000
213.123 Tie plates5,0007,500
213.127 Rail fastenings6,5009,000
213.133 Turnouts and track crossings, generally5,0007,500
213.135 Switches:
(a) through (g)6,5009.000
(h) chipped or worn points6,5009,000
213.137 Frogs6,5009,000
213.139 Spring rail frogs6,5009,000
213.141 Self-guarded frogs5,0007,500
213.143 Frog guard rails and guard faces; gage6,5009,000
Subpart E—Track Appliances and Track-Related Devices
213.205 Derails5,0007,500
Subpart F—Inspection
213.233 Track inspections5,0007,500
213.235 Switches, crossings, transition devices5,0007,500
213.237 Inspection of rail6,5009,000
213.239 Special inspections5,0007,500
213.241 Inspection records5,0007,500
Subpart G—High Speed
213.305 Designation of qualified individuals; general qualifications8,50011,000
213.307 Class of track; operating speed limits8,50011,000
213.309 Restoration or renewal of track under traffic conditions8,50011,000
213.311 Measuring track not under load6,5009,000
213.319 Drainage5,0007,500
213.321 Vegetation5,0007,500
213.323 Track gage8,50011,000
213.327 Alignment8,50011,000
213.329 Curves, elevation and speed limits8,50011,000
213.331 Track surface8,50011,000
213.333 Automated vehicle inspection systems8,50011,000
213.335 Crossties
(a) Material used5,0007,500
(b) Distribution of ties6,5009,000
(c) Sufficient number of nondefective ties, non-concrete5,0007,500
(d) Sufficient number of nondefective, concrete ties8,50011,000
(e) Joint ties8,50011,000
(f) Track constructed without crossties8,50011,000
(g) Non-defective ties surrounding defective ties8,50011,000
(h) Tie plates8,50011,000
(i) Tie plates8,50011,000
213.337 Defective rails8,50011,000
213.339 Inspection of rail in service8,50011,000
213.341 Inspection of new rail8,50011,000
213.343 Continuous welded rail (a) through (h)8,50011,000
213.345 Vehicle qualification testing (a) through (b)8,50011,000
(c) through (e)8,50011,000
213.347 Automotive or railroad crossings at grade6,5009,000
213.349 Rail end mismatch6,5009,000
213.351(a) Rail joints8,50011,000
213.351(b) Rail joints8,50011,000
213.351(c) Rail joints8,50011,000
213.351(d) Rail joints8,50011,000
213.351(e) Rail joints6,5009,000
213.351(f) Rail joints8,50011,000
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213.351(g) Rail joints8,50011,000
213.352 Torch cut rails5,0007,500
213.353 Turnouts, crossovers, transition devices8,50011,000
213.355 Frog guard rails and guard faces; gage6,5009,000
213.357 Derails5,0007,500
213.359 Track stiffness8,50011,000
213.361 Right of way5,0007,500
213.365 Visual inspections8,50011,000
213.367 Special inspections8,50011,000
213.369 Inspections records5,0007,500
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.
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PART 214—[AMENDED]

3. The authority citation for part 214 continues to read as follows:

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Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

4. Appendix A to part 214 is revised to read as follows:

Appendix A to Part 214.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart B—Bridge Worker Safety Standards
214.103 Fall protection:
(i) Failure to provide fall protection$6,500$9,000
(ii) Failure to use fall protection8,50011,000
214.105 Standards and practices:
(a) General:
(1) Fall protection used for other purposes5,0007,500
(2) Failure to remove from service5,0007,500
(3) Failure to protect from deterioration5,0007,500
(4) Failure to inspect and remove6,5009,000
(5) Failure to train6,5009,000
(6) Failure to provide for prompt rescue6,5009,000
(7) Failure to prevent damage5,0007,500
(8) Failure to use proper connectors5,0007,500
(9) Failure to use proper anchorages5,0007,500
(b) Fall arrest system:
(1)-(17) Failure to provide conforming equipment5,0007,500
(c) Safety net systems:
(1) Failure to install close to workplace5,0007,500
(2) Failure to provide fall arrest if over 30 feet6,5009,000
(3) Failure to provide for unobstructed fall6,5009,000
(4) Failure to test5,0007,500
(5) Failure to use proper equipment5,0007,500
(6) Failure to prevent contact with surface below6,5009,000
(7) Failure to properly install6,5009,000
(8) Failure to remove defective nets6,5009,000
(9) Failure to inspect6,5009,000
(10) Failure to remove objects3,0004,500
(11)-(13) Failure to use conforming equipment5,0007,500
214.107 Working over water:
(a)(i) Failure to provide life vest6,5009,000
(ii) Failure to use life vest9,000
(c) Failure to inspect5,0007,500
(e)(i) Failure to provide ring buoys6,5009,000
(ii) Failure to use ring buoys5,0007,500
(f)(i) Failure to provide skiff5,0007,500
(ii) Failure to use skiff7,500
214.109 Scaffolding:
(a)-(f) Failure to provide conforming equipment6,5009,000
214.113 Head protection:
(a)(i) Failure to provide6,5009,000
(ii) Failure to use9,000
(b) or (c) Failure to provide conforming equipment5,0007,500
Start Printed Page 70597
214.115 Foot protection:
(a)(i) Failure to require use of5,0007,500
(ii) Failure to use7,500
214.117 Eye and face protection:
(a)(i) Failure to provide5,0007,500
(ii) Failure to use4,500
(b) Failure to use conforming equipment5,0007,500
(c) Use of defective equipment5,0007,500
(d) Failure to provide for corrective lenses5,0007,500
Subpart C—Roadway Worker Protection Rule
214.303 Railroad on-track safety programs, generally:
(a) Failure of a railroad to implement an On-track Safety Program8,50011,000
(b) On-track Safety Program of a railroad includes no internal monitoring procedure8,50011,000
214.305 Compliance Dates:
Failure of a railroad to comply by the specified dates5,0007,500
214.307 Review and approval of individual on-track safety programs by FRA:
(a)(i) Failure to notify FRA of adoption of On-track Safety Program5,0007,500
(ii) Failure to designate primary person to contact for program review5,0007,500
214.309 On-track safety program documents:
(1) On-track Safety Manual not provided to prescribed employees6,5009,000
(2) On-track Safety Program documents issued in fragments5,0007,500
214.311 Responsibility of employers:
(b) Roadway worker required by employer to foul a track during an unresolved challenge8,50011,000
(c) Roadway workers not provided with written procedure to resolve challenges of on-track safety procedures6,5009,000
214.313 Responsibility of individual roadway workers:
(a) Failure to follow railroad's on-track safety rules11,000
(b) Roadway worker fouling a track when not necessary in the performance of duty11,000
(c) Roadway worker fouling a track without ascertaining that provision is made for on-track safety11,000
(d) Roadway worker failing to notify employer of determination of improper on-track safety provisions11,000
214.315 Supervision and communication:
(a) Failure of employer to provide job briefing8,50011,000
(b) Incomplete job briefing6,5009,000
(c)(i) Failure to designate roadway worker in charge of roadway work group6,5009,000
(ii) Designation of more than one roadway worker in charge of one roadway work group5,0007,500
(iii) Designation of non-qualified roadway worker in charge of roadway work group6,5009,000
(d)(i) Failure to notify roadway workers of on-track safety procedures in effect6,5009,000
(ii) Incorrect information provided to roadway workers regarding on-track safety procedures in effect6,5009,000
(iii) Failure to notify roadway workers of change in on-track safety procedures6,5009,000
(e)(i) Failure of lone worker to communicate with designated employee for daily job briefing7,500
(ii) Failure of employer to provide means for lone worker to receive daily job briefing6,5009,000
214.317 On-track safety procedures, generally:
On-track safety rules conflict with this part8,50011,000
214.319 Working limits, generally:
(a) Non-qualified roadway worker in charge of working limits8,50011,000
(b) More than one roadway worker in charge of working limits on the same track segment6,5009,000
(c)(1) Working limits released without notifying all affected roadway workers8,50011,000
(2) Working limits released before all affected roadway workers are otherwise protected8,50011,000
214.321 Exclusive track occupancy:
(a) Improper transmission of authority for exclusive track occupancy5,0007,500
(b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee7,500
(2) Failure to retain possession of written authority for exclusive track occupancy9,000
(3) Failure to record authority for exclusive track occupancy when issued9,000
(c) Limits of exclusive track occupancy not identified by proper physical features8,50011,000
(d)(1) Movement authorized into limits of exclusive track occupancy without authority of roadway worker in charge8,50011,000
(2) Movement authorized within limits of exclusive track occupancy without authority of roadway worker in charge8,50011,000
(3) Movement within limits of exclusive track occupancy exceeding restricted speed without authority of roadway worker in charge8,50011,000
214.323 Foul time:
(a) Foul time authority overlapping movement authority of train or equipment8,50011,000
(b) Failure to repeat foul time authority to issuing employee6,5009,000
214.325 Train coordination:
(a) Train coordination limits established where more than one train is authorized to operate6,5009,000
(b)(1) Train coordination established with train not visible to roadway worker at the time5,0007,500
(2) Train coordination established with moving train7,500
(3) Coordinated train moving without authority of roadway worker in charge6,5009,000
(4) Coordinated train releasing movement authority while working limits are in effect6,5009,000
Start Printed Page 70598
214.327 Inaccessible track:
(a) Improper control of entry to inaccessible track6,5009,000
(5) Remotely controlled switch not properly secured by control operator6,5009,000
(b) Train or equipment moving within inaccessible track limits without permission of roadway worker in charge6,5009,000
(c) Unauthorized train or equipment located within inaccessible track limits6,5009,000
214.329 Train approach warning provided by watchmen/lookouts:
(a) Failure to give timely warning of approaching train11,000
(b)(1) Failure of watchman/lookout to give full attention to detecting approach of train9,000
(2) Assignment of other duties to watchman/lookout6,5009,000
(c) Failure to provide proper warning signal devices5,0007,500
(d) Failure to maintain position to receive train approach warning signal6,5009,000
(e) Failure to communicate proper warning signal6,5009,000
(f)(1) Assignment of non-qualified person as watchman/lookout6,5009,000
(2) Non-qualified person accepting assignment as watchman/lookout5,0007,500
(g) Failure to properly equip a watchman/lookout5,0007,500
214.331 Definite train location:
(a) Definite train location established where prohibited6,5009,000
(b) Failure to phase out definite train location by required date5,0007,500
(d)(1) Train location information issued by unauthorized person6,5009,000
(2) Failure to include all trains operated on train location list8,50011,000
(5) Failure to clear track 10 minutes before earliest departure time of train at last station prior to work location, or failure to remain clear until such train passed9,000
(6) Train passing station before time shown in train location list8,50011,000
(7) Non-qualified person using definite train location to establish on-track safety6,5009,000
214.333 Informational line-ups of trains:
(a) Informational line-ups of trains used for on-track safety where prohibited8,50011,000
(b) Informational line-up procedures inadequate to protect roadway workers8,50011,000
(c) Failure to discontinue informational line-ups by required date5,0007,500
214.335 On-track safety procedures for roadway work groups:
(a) Failure to provide on-track safety for a member of a roadway work group8,50011,000
(b) Member of roadway work group fouling a track without authority of employee in charge6,5009,000
(c) Failure to provide train approach warning or working limits on adjacent track where required8,50011,000
214.337 On-track safety procedures for lone workers:
(b) Failure by employer to permit individual discretion in use of individual train detection8,50011,000
(c)(1) Individual train detection used by non-qualified employee6,5009,000
(2) Use of individual train detection while engaged in heavy or distracting work5,0007,500
(3) Use of individual train detection in controlled point or manual interlocking5,0007,500
(4) Use of individual train detection with insufficient visibility8,50011,000
(5) Use of individual train detection with interfering noise7,500
(6) Use of individual train detection while a train is passing9,000
(d) Failure to maintain access to place of safety clear of live tracks11,000
(e) Lone worker unable to maintain vigilant lookout9,000
(f)(1) Failure to prepare written statement of on-track safety4,500
(2) Incomplete written statement of on-track safety4,500
(3) Failure to produce written statement of on-track safety to FRA4,500
214.339 Audible warning from trains:
(a) Failure to require audible warning from trains5,0007,500
(b) Failure of train to give audible warning where required5,0007,500
214.341 Roadway maintenance machines:
(a) Failure of on-track safety program to include provisions for safety near roadway maintenance machines8,50011,000
(b) Failure to provide operating instructions5,0007,500
(1) Assignment of non-qualified employee to operate machine6,5009,000
(2) Operator unfamiliar with safety instructions for machine6,5009,000
(3) Roadway worker working with unfamiliar machine6,5009,000
(c) Roadway maintenance machine not clear of passing trains or operation of machine component closer than four feet to adjacent track without procedural instructions8,50011,000
214.343 Training and qualification, general:
(a)(1) Failure of railroad program to include training provisions6,5009,000
(2) Failure to provide initial training6,5009,000
(b) Failure to provide annual training6,5009,000
(c) Assignment of non-qualified railroad employees to provide on-track safety6,5009,000
(d)(1) Failure to maintain records of qualifications5,0007,500
(2) Incomplete records of qualifications5,0007,500
(3) Failure to provide records of qualifications to FRA5,0007,500
214.345 Training for all roadway workers6,5009,000
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.
Start Printed 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 employer that the machine or vehicle does not comply with this subpart or has a condition inhibiting safe operation9,000
(b) Roadway worker required to operate machine or vehicle when good-faith challenge not resolved8,50011,000
(c) Failure of employer to have or follow written procedures to resolve good-faith challenges8,50011,000
214.505 Required environmental control and protection systems for new on-track roadway maintenance machines with enclosed cabs:
(a) Failure to equip new machines with required systems8,50011,000
(b) Failure of new or existing machines to protect employees from exposure to air contaminants8,50011,000
(c) Failure of employer to maintain required list of machines or make list available5,0007,500
(d) Removal of “designated machine” from list before retired or sold5,0007,500
(e) Personal respiratory protective equipment not provided when ventilation system fails8,50011,000
(f) Personal respiratory protective equipment fails to meet required standards8,50011,000
(g) Other new machines with enclosed cabs not equipped with operable heating and ventilation systems8,50011,000
(h) Non-enclosed station not equipped with covering, where feasible8,50011,000
214.507 Required safety equipment for new on-track roadway maintenance machines:
(a)(1)-(5) Failure to equip new machine or provide protection as specified in these paragraphs8,50011,000
(a)(6)-(7) Failure to equip new machine with first-aid kit or operative and charged fire extinguisher6,5009,000
(b) Position for operator to stand not properly equipped to provide safe and secure position8,50011,000
(c) New machine not equipped with accurate speed indicator, as required6,5009,000
(d) As-built light weight not conspicuously displayed on new machine6,5009,000
214.509 Required visual illumination and reflective devices for new on-track roadway maintenance machines6,5009,000
214.511 Required audible warning devices for new on-track roadway maintenance machines8,50011,000
214.513 Retrofitting of existing on-track roadway maintenance machines; general:
(a) Failure to provide safe and secure position and protection from moving parts inside cab for each roadway worker transported on machine8,50011,000
(b) Horn or other audible warning device is missing, inoperable, or has non-compliant triggering mechanism6,5009,000
(c) Illumination device or portable light missing, inoperable, improperly secured, or incapable of illuminating track as required6,5009,000
214.515 Overhead covers for existing on-track roadway maintenance machines:
(a) Failure to repair, reinstall, or maintain overhead cover as required8,50011,000
(b) Failure to provide written response to operator's request within 60 days5,0007,500
214.517 Retrofitting of existing on-track roadway maintenance machines manufactured on or after January 1, 1991:
(a) Failure to equip machine with change-of-direction alarm or rearward viewing device8,50011,000
(b) Failure to equip machine with operative heater8,50011,000
(c) Failure to display light weight of machine as required6,5009,000
(d) Failure to equip machine with reflective material, reflective device, or operable brake lights8,50011,000
(e) Failure to install or replace safety glass as required8,50011,000
(f) Failure to equip machine with turntable restraint device or warning light as required8,50011,000
214.518 Safe and secure position for riders8,50011,000
214.519 Floors, decks, stairs, and ladders for on-track roadway maintenance machines8,50011,000
214.521 Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles6,5009,000
214.523 Hi-rail vehicles:
(a) Failure to inspect hi-rail gear annually8,50011,000
(b) Failure to maintain inspection record or make record available to FRA5,0007,500
(c) Failure to equip new hi-rail vehicle with alarm and light or beacon as required6,5009,000
(d)(2) Failure of operator to tag, date or report non-complying condition5,0007,500
(d)(3) Failure to repair or replace non-complying alarms, lights or beacons as required6,5009,000
214.525 Towing with on-track roadway maintenance machines or hi-rail vehicles8,50011,000
214.527 On-track roadway maintenance machines; inspection for compliance and schedule for repairs:
(a) Failure of operator to check on-track roadway maintenance machine for compliance5,0007,500
(b) Failure of operator to tag, date, or report noncomplying condition5,0007,500
(c)(1)-(4) Failure to meet requirements for operating on-track roadway maintenance machine with non-complying headlights, work lights, horn, fire extinguisher, alarm, warning light, or beacon6,5009,000
(c)(5) Failure to repair or replace defective or missing operator's seat within required time period8,50011,000
214.529 In-service failure of primary braking system8,50011,000
214.531 Schedule of repairs; general6,5009,000
214.533 Schedule of repairs subject to availability of parts:
(a)-(c) Failure to order necessary part(s), make repair(s), or remove on-track roadway maintenance machine or hi-rail vehicle from service as required6,5009,000
Start Printed Page 70600
(d) Failure to maintain record or make record available to FRA5,0007,500
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 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.
End Part Start Part

PART 215—[AMENDED]

5. The authority citation for part 215 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461.

End Authority

6. Appendix B to part 215 is revised to read as follows:

Appendix B to Part 215.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart A—General
215.9 Movement for repair:
(a), (c)(1)(1)
(b)$3,000$4,500
215.11 Designation of qualified persons5,0007,500
215.13 Pre-departure inspection5,0007,500
Subpart B—Freight Car Components
215.103 Defective wheel:
(a) Flange thickness of:
(1) 7/8″ or less but more than 13/16″5,0007,500
(2) 13/16″ or less6,5009,000
(b) Flange height of:
(1) 11/2″ or greater but less than 15/8″5,0007,500
(2) 15/8″ or more6,5009,000
(c) Rim thickness of:
(1) 11/16″ or less but more than 5/8″5,0007,500
(2) 5/8″ or less6,5009,000
(d) Wheel rim, flange plate hub width:
(1) Crack of less than 1″5,0007,500
(2) Crack of 1″ or more6,5009,000
(3) Break8,50011,000
(e) Chip or gouge in flange of:
(1) 11/2″ or more but less than 15/8″ in length; and 1/2″ or more but less than 5/8″ in width3,0004,500
(2) 15/8 ″ or more in length; or 5/8″ or more in width5,0007,500
(f) Slid flat or shelled spot(s):
(1)(i) One spot more than 21/2″, but less than 3″, in length3,0004,500
(ii) One spot 3″ or more in length5,0007,500
(2)(i) Two adjoining spots each of which is more than 2″ but less than 21/2″ in length3,0004,500
(ii) Two adjoining spots both of which are at least 2″ in length, if either spot is 21/2″, or more in length5,0007,500
(g) Loose on axle8,50011,000
(h) Overheated; discoloration extending:
(1) more than 4″ but less than 41/2″5,0007,500
(2) 41/2″ or more6,5009.000
(i) Welded6,5009,000
215.105 Defective axle:
(a)(1) Crack of 1″ or less5,0007,500
(2) Crack of more than 1″6,5009,000
(3) Break8,50011,000
(b) Gouge in surface that is between the wheel seats and is more than 1/8″ in depth3,0004,500
(c) End collar with crack or break5,0007,500
(d) Journal overheated8,50011,000
(e) Journal surface has: a ridge; a depression; a circumferential score; corrugation; a scratch; a continuous streak; pitting; rust; or etching5,0007,500
215.107 Defective plain bearing box: general:
(a)(1) No visible free oil3,0004,500
(2) Lubricating pad dry (no expression of oil observed when pad is compressed)6,5009,000
(b) Box lid is missing, broken, or open except to receive servicing3,0004,500
(c) Contains foreign matter that can be expected to damage the bearing or have a detrimental effect on the lubrication of the journal and bearing5,0007,500
Start Printed Page 70601
215.109 Defective plain bearing box: journal lubrication system:
(a) Lubricating pad has a tear3,0004,500
(b) Lubricating pad scorched, burned, or glazed5,0007,500
(c) Lubricating pad contains decaying or deteriorating fabric5,0007,500
(d) Lubricating pad has an exposed center core or metal parts contacting the journal5,0007,500
(e) Lubricating pad is missing or not in contact with the journal6,5009,000
215.111 Defective plain bearing:
(a) Missing8,50011,000
(b) Bearing liner is loose or has piece broken out5,0007,500
(c) Overheated8,50011,000
215.113 Defective plain bearing wedge:
(a) Missing8,50011,000
(b) Cracked5,0007,500
(c) Broken6,5009,000
(d) Not located in its design position5,0007,500
215.115 Defective roller bearing:
(a)(1) Overheated8,50011,000
(2)(i) Cap screw(s) loose6,5009,000
(ii) Cap screw lock broken, missing or improperly applied3,0004,500
(3) Seal is loose or damaged, or permits leakage of lubricant3,0004,500
(b)(1) Not inspected and tested after derailment6,5009,000
(2) Not disassembled after derailment5,0007,500
(3) Not repaired or replaced after derailment6,5009,000
215.117 Defective roller bearing adapter:
(a) Cracked or broken5,0007,500
(b) Not in its design position6,5009,000
(c) Worn on the crown5,0007,500
215.119 Defective freight car truck:
(a)(1) A side frame or bolster that is broken8,50011,000
(2)(i) Side frame or bolster with crack of: 1/4″ or more, but less than 1″5,0007,500
(ii) 1″ or more6,5009,000
(b) A snubbing device that is ineffective or missing5,0007,500
(c) Side bearing(s):
(1) Assembly missing or broken8,50011,000
(2) In contact except by design6,5009,000
(3), (4) Total clearance at one end or at diagonally opposite sides of:
(i) more than 3/4″ but not more than 1″5,0007,500
(ii) more than 1″6,5009,000
(d) Truck spring(s):
(1) Do not maintain travel or load5,0007,500
(2) Compressed solid5,0007,500
(3) Outer truck springs broken or missing:
(i) Two outer springs5,0007,500
(ii) Three or more outer springs6,5009,000
(e) Truck bolster-center plate interference6,5009,000
(f) Brake beam shelf support worn5,0007,500
215.121 Defective car body:
(a) Has less than 21/2″ clearance from the top of rail5,0007,500
(b) Car center sill is:
(1) Broken8,50011,000
(2) Cracked more than 6″5,0007,500
(3) Bent or buckled more than 21/2″ in any 6″ length5,0007,500
(c) Coupler carrier that is broken or missing5,0007,500
(d) Car door not equipped with operative safety hangers8,50011,000
(e)(1) Center plate not properly secured8,50011,000
(2) Portion missing5,0007,500
(3) Broken8,50011,000
(4) Two or more cracks5,0007,500
(f) Broken sidesill, crossbearer, or body bolster5,0007,500
215.123 Defective couplers:
(a) Shank bent out of alignment3,0004,500
(b) Crack in highly stressed junction area5,0007,500
(c) Coupler knuckle broken or cracked5,0007,500
(d) Coupler knuckle pin or thrower that is missing or inoperative5,0007,500
(e) Coupler retainer pin lock that is missing or broken3,0004,500
(f) Coupler with following conditions: locklift inoperative; no anticreep protection; or coupler lock is missing, inoperative, bent, cracked, or broken5,0007,500
215.125 Defective uncoupling device5,0007,500
215.127 Defective draft arrangement:
(a) Draft gear that is inoperative5,0007,500
(b) Yoke that is broken5,0007,500
Start Printed Page 70602
(c) End of car cushioning unit is leaking or inoperative5,0007,500
(d) Vertical coupler pin retainer plate missing or has missing fastener8,50011,000
(e) Draft key or draft key retainer that is inoperative or missing8,50011,000
(f) Follower plate that is missing or broken5,0007,500
215.129 Defective cushioning device5,0007,500
Subpart C—Restricted Equipment
215.203 Restricted cars5,0007,500
Subpart D—Stenciling
215.301 General3,0004,500
215.303 Stenciling of restricted cars3,0004,500
215.305 Stenciling of maintenance-of-way3,0004,500
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 § 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 § 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 § 215.305 is subject to all requirements of this Part. See § 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.
End Part Start Part

PART 217—[AMENDED]

7. The authority citation for part 217 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

8. Appendix A to part 217 is revised to read as follows:

Appendix A to Part 217.—Schedule of Civil Penalties 1

SectionViolationWillful violation
217.7 Operating Rules:
(a)$6,500$9,000
(b)6,5009,000
(c)6,5009,000
217.9 Operational tests and inspections:
(a) Program8,50011,000
(b) Record of program6,5009,000
(c) Record of tests and inspections8,50011,000
(d) Annual Summary8,50011,000
217.11 Program of instruction on operating rules:
(a)8,50011,000
(b)8,50011,000
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.
End Part Start Part

PART 218—[AMENDED]

9. The authority citation for part 218 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

10. Appendix A to part 218 is revised to read as follows:

Appendix A to Part 218.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart B—Blue Signal Protection of Workmen
218.22 Utility employees:
(a) Employee qualifications$5,000$7,500
(b) Concurrent service6,5009,000
Start Printed Page 70603
(c) Assignment conditions:
(1) No controlling locomotive6,5009,000
(2) Empty cab6,5009,000
(3)(4) Improper communication6,5009,000
(5) Performing functions not listed5,0007,500
(d) Improper release5,0007,500
(f) More than three utility employees with one crew5,0007,500
218.23 Blue signal display6,5009,000
218.24 One-person crew:
(a)(1) Equipment not coupled or insufficiently separated6,5009,000
(a)(2) Unoccupied locomotive cab not secured5,0007,500
(b) Helper service6,5009,000
218.25 Workmen on a main track6,5009,000
218.27 Workmen on track other than main track:
(a) Protection provided except that signal not displayed at switch6,5009,000
(b) through (e)5,0007,500
218.29 Alternate methods of protection:
(a)(1) protection provided except that signal not displayed at switch6,5009,000
(a)(2) through (a)(8)6,5009,000
(b)(1) Protection provided except that signal not displayed at switch6,5009,000
(b)(2) through (b)(4)6,5009,000
(c) Use of derails5,0007,500
(d) Emergency repairs6,5009,000
218.30 Remotely controlled switches:
(a) and (b)5,0007,500
(c)1,5002,500
Subpart C—Protection of Trains and Locomotives
218.35 Yard limits:
(a) and (b)3,0004,500
(c)3,0004,500
218.37 Flag protection:
(a)1,5002,500
(b) and (c)1,5002,500
218.39 Hump operations6,5009,000
218.41 Noncompliance with hump operations rule6,5009,000
Subpart D—Prohibition Against Tampering With Safety Devices
218.55 Tampering11,000
218.57 (i) Knowingly operating or permitting operation of disabled equipment3,000
(ii) Willfully operating or permitting operation of disabled equipment4,500
218.59 Operation of disabled equipment3,0004,500
1 Except as provided for in § 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.
End Part Start Part

PART 219—[AMENDED]

11. The authority citation for part 219 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(m).

End Authority

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

SectionViolationWillful violation
Subpart A—General
219.3 Application:
Railroad does not have required program$5,000$7,500
219.11 General conditions for chemical tests:
(b)(1) Employee unlawfully refuses to participate in testing8,50011,000
Start Printed Page 70604
(b)(2) Employer fails to give priority to medical treatment8,50011,000
(b)(3) Employee fails to remain available8,50011,000
(b)(4) Employee tampers with specimen8,50011,000
(d) Employee unlawfully required to execute a waiver of rights5,0007,500
(e) Railroad used or authorized the use of coercion to obtain specimens1,5002,500
(g) Failure to meet supervisory training requirements or program of instruction not available or program not complete6,5009,000
(h) Urine or blood specimens provided for Federal testing were used for non-authorized testing8,50011,000
219.23 Railroad policies:
(a) Failure to provide written notice of FRA test3,0004,500
(b) Failure to provide written notice of basis for FRA test3,0004,500
(c) Use of subpart C form for other test3,0004,500
(d) Failure to provide educational materials1,5002,500
(e) Educational materials fail to explain requirements of this part and/or include required content1,5002,500
(f) Non-Federal provisions are clearly described as independent authority1,5002,500
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 properly on requirements5,0007,500
219.104 Responsive Action:
(a) Failure to remove employee from covered service immediately8,50011,000
(b) Failure to provide notice for removal5,0007,500
(c) Failure to provide prompt hearing8,50011,000
(d) Employee improperly returned to service8,50011,000
219.105 Railroad's duty to prevent violations:
(a) Employee improperly permitted to remain in covered service8,50011,000
(b) Failure to exercise due diligence to assure compliance with prohibition6,5009,000
219.107 Consequences of unlawful refusal:
(a) Failure to disqualify an employee for nine months following a refusal8,50011,000
(e) Employee unlawfully returned to service8,50011,000
Subpart C—Post-Accident Toxicological Testing
219.201 Events for which testing is required:
(a) Failure to test after qualifying event (each employee not tested is a violation)8,50011,000
(c)(1)(i) Failure to make good faith determination5,0007,500
(c)(1)(ii) Failure to provide requested decision report to FRA1,5002,500
(c)(2) Testing performed after non-qualifying event8,50011,000
219.203 Responsibilities of railroads and employees:
(a)(1)(i) and (a)(2)(i) Failure to properly test/exclude from testing5,0007,500
(a)(1)(ii) and (a)(2)(ii) Non-covered service employee tested5,0007,500
(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort3,0004,500
(c) Independent medical facility not utilized5,0007,500
(d) Failure to report event or contact FRA when intervention required1,5002,500
219.205 Specimen collection and handling:
(a) Failure to observe requirements with respect to specimen collection, marking and handling5,0007,500
(b) Failure to provide properly prepared forms with specimens1,5002,500
(d) Failure to promptly or properly forward specimens5,0007,500
219.207 Fatality:
(a) Failure to test6,5009,000
(a)(1) Failure to ensure timely collection and shipment of required specimens1,5002,500
(b) Failure to request assistance when necessary5,0007,500
219.209 Reports of tests and refusals:
(a)(1) Failure to provide telephonic report3,0004,500
(b) Failure to provide written report of refusal to test3,0004,500
(c) Failure to maintain report explaining why test not conducted within 4 hours3,0004,500
219.211 Analysis and follow-up:
(c) Failure of MRO to report review of positive results to FRA1,5002,500
Subpart D—Testing for Cause
219.300 Mandatory reasonable suspicion testing:
(a)(1) Failure to test when reasonable suspicion criteria met8,50011,000
(a)(2) Tested when reasonable suspicion criteria not met8,50011,000
219.301 Testing for reasonable cause:
(a) Event did not occur during daily tour6,5009,000
(b)(2) Tested when accident/incident criteria not met8,50011,000
(b)(3) Tested when operating rules violation criteria not met8,50011,000
Start Printed Page 70605
219.302 Prompt specimen collection:
(a) Specimen collection not conducted promptly5,0007,500
Subpart E—Identification of Troubled Employees
219.401 Requirement for policies:
(b) Failure to publish and/or implement required policy5,0007,500
219.407 Alternate policies:
(c) Failure to file agreement or other document or provide timely notice or revocation5,0007,500
Subpart F—Pre-Employment Tests
219.501 Pre-employment tests:
(a) Failure to perform pre-employment drug test before first time employee performs covered service5,0007,500
Subpart G—Random Testing Programs
219.601 Railroad random drug programs:
(a)(1) Failure to file a random program6,5009,000
(a)(2) Failure to file amendment to program5,0007,500
(b) Failure to meet random testing criteria3,0004,500
(b)(1)(i) Failure to use a neutral selection process8,50011,000
(b)(2)(i)(B) Testing not spread throughout the year3,0004,500
(b)(3) Testing not distributed throughout the day3,0004,500
(b)(4) Advance notice provided to employee8,50011,000
(b)(6) Testing when employee not on duty6,5009,000
219.601A Failure to include covered service employee in pool5,0007,500
219.602 Administrator's determination of drug testing rate:
(f) Total number of tests below minimum random drug testing rate6,5009,000
219.603 Participation in drug testing:
Failure to document reason for not testing selected employee5,0007,500
219.607 Railroad random alcohol programs:
(a)(1) Failure to file a random alcohol program5,0007,500
(a)(2) Failure to file amendment to program5,0007,500
(b) Failure to meet random testing criteria8,50011,000
(b)(1) Failure to use a neutral selection process6,5009,000
(b)(5) Testing when employee not on duty5,0007,500
(b)(8) Advance notice provided to employee8,50011,000
219.607A Failure to include covered service employee in pool6,5009,000
219.608 Administrator's determination of random alcohol testing rate:
(e) Total number of tests below minimum random alcohol testing rate6,5009,000
219.609 Participation in alcohol testing:
Failure to document reason for not testing selected employee5,0007,500
Subpart H—Drug and Alcohol Testing Procedures
219.701 Standards for drug and alcohol testing:
(a) Failure to comply with part 40 procedures in subpart B, D, F, or G testing1,5002,500
(b) Testing not performed in a timely manner3,0004,500
Subpart I—Annual Report
219.801 Reporting alcohol misuse prevention program results in a management information system:
(a) Failure to submit MIS report on time3,0004,500
(c) Failure to submit accurate MIS report3,0004,500
(d) Failure to include required data1,5002,500
219.803 Reporting drug misuse prevention program results in a management information system:
(c) Failure to submit accurate MIS report3,0004,500
(d) Failure to submit MIS report on report3,0004,500
(e) Failure to include required data1,5002,500
Subpart J—Recordkeeping Requirements
219.901 Retention of Alcohol Testing Records:
(a) Failure to maintain records required to be kept by part 405,0007,500
(b) Failure to maintain records required to be kept for five years5,0007,500
(c) Failure to maintain records required to be kept for two years5,0007,500
219.903 Retention of Drug Testing Records:
(a) Failure to maintain records required to be kept by part 405,0007,500
(b) Failure to maintain records required to be kept for five years5,0007,500
(c) Failure to maintain records required to be kept for two years5,0007,500
219.905 Access to facilities and records:
Start Printed Page 70606
(a) Failure to release records in this subpart in accordance with part 406,5009,000
(b) Failure to permit access to facilities8,50011,000
(c) Failure to provide access to results of railroad alcohol and drug testing programs8,50011,000
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.
End Part Start Part

PART 220—[AMENDED]

13. The authority citation for part 220 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

14. Appendix C to part 220 is revised to read as follows:

Appendix C to Part 220.—Schedule of Civil Penalties 1

SectionViolationWillful violation
220.9 Requirements for trains$8,500$11,000
220.11 Requirements for roadway workers6,5009,000
220.21 Railroad Operating rules; radio communications:
(a)8,50011,000
(b)6,5009,000
220.23 Publication of radio information5,0007,500
220.25 Instruction of employees8,50011,000
220.27 Identification6,5009,000
220.29 Statement of letters and numbers6,5009,000
220.31 Initiating a transmission3,0004,500
220.33 Receiving a transmission5,0007,500
220.35 Ending a transmission5,0007,500
220.37 Voice test6,5009,000
220.39 Continuous monitoring5,0007,500
220.41 [Reserved].
220.43 Communication consistent with the rules6,5009,000
220.45 Complete communications8,50011,000
220.47 Emergencies8,50011,000
220.49 Switching, backing or pushing8,50011,000
220.51 Signal indications6,5009,000
220.61 Radio transmission of mandatory directives8,50011,000
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.
End Part Start Part

PART 221—[AMENDED]

15. The authority citation for part 221 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

16. Appendix C to part 221 is revised to read as follows:

Appendix C to Part 221.—Schedule of Civil Penalties 1

SectionViolationWillful violation
221.13 Marking device display:
(a) device not present, not displayed, or not properly illuminated$5,000$7,500
(d) device too close to rail3,0004,500
221.14 Marking devices: Use of unapproved or noncomplying device3,0004,500
221.15 Marking device inspection:
(a) Failure to inspect at crew change3,0004,500
(b), (c) improper inspection3,0004,500
221.16 Inspection procedure:
(a) Failure to obtain protection5,0007,500
(b) Improper protection5,0007,500
221.17 Movement of defective equipment1 5,0001 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 § 221.17 of this Part are not met, the movement constitutes a violation of § 221.13 of this part.
End Part Start Part Start Printed Page 70607

PART 222—[AMENDED]

17. The authority citation for part 222 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

18. Appendix G to part 222 is revised to read as follows:

Appendix G to Part 222.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart B—Use of Locomotive Horns
222.21 Use of locomotive horn:
(a) Failure to sound horn at grade crossing$5,000$7,500
Failure to sound horn in proper pattern5,0007,500
(b) Failure to sound horn at least 15 and no more than 20 seconds before crossing3,0004,500
Routine sounding of the locomotive horn more than 1/4-mile in advance of crossing3,0004,500
222.33
Failure to sound horn when conditions of § 222.33 are not met6,5009,000
222.45
Routine sounding of the locomotive horn at a grade crossing within a quiet zone3,0004,500
222.49
(b) Failure to provide Grade Crossing Inventory Form information1,5002,500
222.59
(d) Routine sounding of the locomotive horn at a grade crossing equipped with wayside horn1,5002,500
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.
End Part Start Part

PART 223—[AMENDED]

19. The authority citation for part 223 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

20. Appendix B to part 223 is revised to read as follows:

Appendix B to Part 223.—Schedule of Civil Penalties 1

SectionViolationWillful violation
223.9 New or rebuilt equipment:
(a) Locomotives$3,000$4,500
(b) Cabooses3,0004,500
(c) Passenger cars3,0004,500
(d)(1), (d)(2):
(i) Window not marked or instructions not posted5,0007,500
(ii) Window improperly marked or instructions improperly posted3,0004,500
223.11(c) Existing locomotives3,0004,500
(d) Repair of window1,5002,500
223.13(c) Existing cabooses3,0004,500
(d) Repair of window1,5002,500
223.15(c) Existing passenger cars3,0004,500
(d) Repair of window1,5002,500
223.17 Identification of units1,5002,500
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.
End Part Start Part

PART 224—[AMENDED]

21. The authority citation for part 224 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C. 2461; and 49 CFR 1.49.

End Authority

22. Appendix A to part 224 is revised to read as follows:

Appendix A to Part 224.—Schedule of Civil Penalties1

SectionViolationWillful violation
224.103 Characteristics of retroreflective sheeting:
(a)-(d) Retroreflective sheeting applied does not meet the requirements of § 224.103$3,000$4,500
224.105 Sheeting dimensions and quantity3,0004,500
(a) Failure to apply minimum amount of retroreflective sheeting in accordance with Table3,0004,500
Start Printed Page 70608
(b) Applying retroreflective sheeting of wrong dimensions3,0004,500
224.106 Location of retroreflective sheeting:
(a), (b) Applying retroreflective sheeting in nonconforming pattern3,0004,500
224.107 Implementation schedule:
(a)(1), (b)(1) Failure to apply retroreflective sheeting to new freight car or locomotive before equipment placed in service3,0004,500
(a)(2), (b)(2), (b)(4) Failure to apply retroreflective sheeting to existing freight car or locomotive in accordance with minimum schedule of paragraphs, (a)(2), (b)(2), (b)(4)3,0004,500
224.109 Inspection, repair, and replacement:
(a)(1) Failure to perform inspection3,0004,500
(2) Failure to properly notify car owner of defect3,0004,500
(3) Failure to retain written notification of defect for two years3,0004,500
(4) Failure to repair defect after notification3,0004,500
(b)(1) Failure to perform inspection3,0004,500
(2) Failure to repair defect3,0004,500
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.
End Part Start Part

PART 225—[AMENDED]

23. The authority citation for part 225 continues to read as follows:

Start Authority

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:

End Authority

Appendix A to Part 225.—Schedule of Civil Penalties 1

SectionViolationWillful violation
225.9 Telephonic reports of certain accidents/incidents$1,500$2,500
225.11 Reports of accidents/incidents6,5009,000
225.12(a):
Failure to file Railroad Employee Human Factor Attachment properly
(1) Employee identified6,5009,000
(2) No employee identified3,0004,500
225.12(b):
(1) Failure to notify employee properly6,5009,000
(2) Notification of employee not involved in accident6,5009,000
225.12(c):
Failure of employing railroad to provide requested information properly1,5002,500
225.12(d):
(1) Failure to revise report when identity becomes known6,5009,000
(2) Failure to notify after late identification6,5009,000
225.12(f)(1):
Submission of notice if employee dies as result of the reported accident6,5009,000
225.12(g):
Willfully false accident statement by employee9,000
225.13 Late reports1,5002,500
225.17(d) Alcohol or drug involvement8,50011,000
225.23 Joint operations(1)(1)
225.25 Recordkeeping5,0007,500
225.27 Retention of records1,5002,500
225.33:
(1) Failure to adopt the Internal Control Plan6,5009,000
(2) Inaccurate reporting due to failure to comply with the Internal Control Plan6,5009,000
(3) Failure to comply with the intimidation/harassment policy in the Internal Control Plan6,5009,000
225.35 Access to records and reports8,50011,000
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 § 225.23 constitutes a violation of § 225.11. For purposes of §§ 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.
End Part Start Part Start Printed Page 70609

PART 228—[AMENDED]

25. The authority citation for part 228 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 21101-21108; 28 U.S.C. 2461, note and 49 CFR 1.49.

End Authority

26. Appendix B to part 228 is revised to read as follows:

Appendix B to Part 228.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart B—Records and Reporting
228.9 Railroad records$5,000$7,500
228.11 Hours of duty records1,5002,500
228.17 Dispatcher's record5,0007,500
228.19 Monthly reports of excess service1,5002,500
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.
End Part Start Part

PART 229—[AMENDED]

27. The authority citation for part 229 continues to read as follows:

Start Authority

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).

End Authority

28. Appendix B to part 229 is revised to read as follows:

Appendix B to Part 229.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
Subpart A—General
229.7 Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant facts$1,500-6,500$2,500-9,000
229.9 Movement of noncomplying locomotives(1)(1)
229.11 Locomotive identification1,5002,500
229.13 Control of locomotives5,0007,500
229.17 Accident reports3,0004,500
219.19 Prior waivers(1)(1)
Subpart B—Inspection and Tests
229.21 Daily inspection:
(a)(b):
(1) Inspection overdue3,0004,500
(2) Inspection report not made, improperly executed, or not retained1,5002,500
(c) Inspection not performed by a qualified person1,5002,500
229.23 Periodic inspection: General
(a)(b):
(1) Inspection overdue3,0004,500
(2) Inspection performed improperly or at a location where the underneath portion cannot be safely inspected3,0004,500
(c)(d):
(1) Form missing1,5002,500
(2) Form not properly displayed1,5002,500
(3) Form improperly executed1,5002,500
(e) Replace Form FRA F 6180-49A by April 21,5002,500
(f) Secondary record of the information reported on Form FRA F 6180.49A1,5002,500
229.25
(a) through (e)(4) Tests: Every periodic inspection3,0004,500
(e)(5) Ineffective maintenance6,5009,000
229.27 Annual tests3,0004,500
229.29 Biennial tests3,0004,500
229.31
(a) Biennial hydrostatic tests of main reservoirs3,0004,500
(b) Biennial hammer tests of main reservoirs3,0004,500
(c) Drilled telltale holes in welded main reservoirs3,0004,500
(d) Biennial tests of aluminum main reservoirs3,0004,500
229.33 Out-of-use credit1,5002,500
Subpart C—Safety Requirements
229.41 Protection against personal injury5,0007,500
229.43 Exhaust and battery gases5,0007,500
229.45 General condition: To be assessed based on relevant facts1,500-6,5002,500-9,000
229.46 Brakes: General5,0007,500
Start Printed Page 70610
229.47 Emergency brake valve5,0007,500
229.49 Main reservoir system:
(a)(1) Main reservoir safety valve5,0007,500
(2) Pneumatically actuated control reservoir5,0007,500
(b)(c) Main reservoir governors5,0007,500
229.51 Aluminum main reservoirs5,0007,500
229.53 Brake gauges5,0007,500
229.55 Piston travel5,0007,500
229.57 Foundation brake gear5,0007,500
229.59 Leakage5,0007,500
229.61 Draft system3,0004,500
229.63 Lateral motion3,0004,500
229.64 Plain bearing3,0004,500
229.65 Spring rigging3,0004,500
229.67 Trucks5,0007,500
229.69 Side bearings5,0007,500
229.71 Clearance above top of rail1,5002,500
229.73 Wheel sets5,0007,500
229.75 Wheel and tire defects:
(a), (d) Slid flat or shelled spot(s):
(1) One spot 21/2″ or more but less than 3″ in length5,0007,500
(2) One spot 3″ or more in length6,5009,000
(3) Two adjoining spots each of which is 2″ or more in length but less than 21/2″ in length5,0007,500
(4) Two adjoining spots each of which are at least 2″ in length, if either spot is 21/2″ or more in length6,5009,000
(b) Gouge or chip in flange of:
(1) more than 11/2″ but less than 15/8″ in length; and more than 1/2″ but less than 5/8″ in width5,0007,500
(2) 15/8″ or more in length and 5/8″ or more in width6,5009,000
(c) Broken rim8,50011,000
(e) Seam in tread5,0007,500
(f) Flange thickness of:
(1) 7/8″ or less but more than 13/16″5,0007,500
(2) 13/16″ or less6,5009,000
(g) Tread worn hollow5,0007,500
(h) Flange height of:
(1) 11/2″ or greater but less than 15/8″5,0007,500
(2) 15/8″ or more6,5009,000
(i) Tire thickness5,0007,500
(j) Rim thickness:
(1) Less than 1″ in road service and 3/4″ in yard service5,0007,500
(2) 15/16″ or less in road service and 11/16″ in yard service6,5009,000
(k):
(1) Crack of less than 1″5,0007,500
(2) Crack of 1″ or more6,5009,000
(3) Break8,50011,000
(l) Loose wheel or tire8,50011,000
(m) Welded wheel or tire5,0007,500
229.77 Current collectors3,0004,500
229.79 Third rail shoes and beams.3,0004,500
229.81 Emergency pole; shoe insulation5,0007,500
229.83 Insulation or grounding6,5009,000
229.85 Door and cover plates marked “Danger”3,0004,500
229.87 Hand operated switches3,0004,500
229.89 Jumpers; cable connections:
(a) Jumpers and cable connections; located and guarded5,0007,500
(b) Condition of jumpers and cable connections5,0007,500
229.91 Motors and generators5,0007,500
229.93 Safety cut-off device5,0007,500
229.95 Venting5,0007,500
229.97 Grounding fuel tanks5,0007,500
229.99 Safety hangers5,0007,500
229.101 Engines:
(a) Temperature and pressure alarms, controls, and switches3,0004,500
(b) Warning notice5,0007,500
(c) Wheel slip/slide protection3,0004,500
229.103 Safe working pressure; factor of safety5,0007,500
229.105 Steam generator number1,5002,500
229.107 Pressure gauge5,0007,500
229.109 Safety valves5,0007,500
229.111 Water-flow indicator5,0007,500
229.113 Warning notice5,0007,500
229.115 Slip/slide alarms5,0007,500
Start Printed Page 70611
229.117 Speed indicators5,0007,500
229.119 Cabs, floors, and passageways:
(a)(1) Cab set not securely mounted or braced3,0004,500
(2) Insecure or improper latching device3,0004,500
(b) Cab windows of lead locomotive3,0004,500
(c) Floors, passageways, and compartments3,0004,500
(d) Ventilation and heating arrangement5,0007,500
(e) Continuous barrier5,0007,500
(f) Containers for fuses and torpedoes5,0007,500
229.121 Locomotive cab noise5,0007,500
229.123 Pilots, snowplows, end plates3,0004,500
229.125
(a) Headlights5,0007,500
(d) Auxiliary lights5,0007,500
229.127 Cab lights3,0004,500
229.129 Audible warning device:
(a) prescribed sound levels5,0007,500
arrangement of device5,0007,500
(b) testing5,0007,500
(c) test procedures5,0007,500
(c)(10) records of tests5,0007,500
229.131 Sanders1,5002,500
229.135 Event Recorders:
(a) Lead locomotive without in-service event recorder5,0007,500
(b) Failure to meet equipment requirements5,0007,500
(c) Unauthorized removal or failure to remove from service5,0007,500
(d) Improper response to out of service event recorder5,0007,500
(e) Failure to preserve data or unauthorized extraction of data5,0007,500
(g) Tampering with device or data5,0007,500
229.137 Sanitation, general:
(a) Sanitation compartment in lead unit, complete failure to provide required items5,0007,500
(1) Ventilation3,0004,500
(2) Door missing3,0004,500
(2)(i) Door doesn't close3,0004,500
(2)(ii) No modesty lock1,5002,500
(3) Not equipped with toilet in lead5,0007,500
(4) Not equipped with washing system3,0004,500
(5) Lack of paper3,0004,500
(6) Lack of trash receptacle3,0004,500
(b) Exceptions:
(1)(i) Commuter service, failure to meet conditions of exception1,5002,500
(1)(ii) Switching service, failure to meet conditions of exception1,5002,500
(1)(iii) Transfer service, failure to meet conditions of exception1,5002,500
(1)(iv) Class III, failure to meet conditions of exception1,5002,500
(1)(v) Tourist, failure to meet conditions of exception1,5002,500
(1)(vi) Control cab locomotive, failure to meet conditions of exception1,5002,500
(2) Noncompliant toilet3,0004,500
(c) Defective/unsanitary toilet in lead unit3,0004,500
(1)-(5) Failure to meet conditions of exception3,0004,500
(d) Defective/unsanitary unit; failure to meet conditions for trailing position3,0004,500
(e) Defective/sanitary unit; failure to meet conditions for switching/transfer service3,0004,500
(f) Paper, washing, trash holder; failure to equip prior to departure3,0004,500
(g) Inadequate ventilation; failure to repair or move prior to departure3,0004,500
(h) Door closure/modesty lock; failure to repair or move1,5002,500
(i) Failure to retain/maintain of equipped units3,0004,500
(j) Failure to equip new units/in-cab facility3,0004,500
(k) Failure to provide potable water3,0004,500
229.139 Servicing requirements:
(a) Lead occupied unit not sanitary3,0004,500
(b) Components not present/operating1,5002,500
(c) Occupied unit in switching, transfer service, in trailing position not sanitary1,5002,500
(d) Defective unit used more than 10 days3,0004,500
(e) Failure to repair defective modesty lock1,5002,500
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229.141 Body structure, MU locomotives5,0007,500
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 § 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 § 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.
End Part Start Part

PART 230—[AMENDED]

29. The authority citation for part 230 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

30. Appendix D to part 230 is revised to read as follows:

Appendix D to Part 230.—Schedule of Civil Penalties

SectionViolationWillful violation
Subpart A—General
230.11 Repair of non-complying conditions:
(a) Failure to repair non-complying steam locomotive prior to use in service$3,000$4,500
(b) Failure of owner and/or operator to approve repairs made prior to use of steam locomotive3,0004,500
230.12 Movement of non-complying steam locomotive(1)(1)
230.13 Daily inspection:
(a) (b):
(1) Inspection overdue5,0007,500
(2) Inspection not performed by qualified person3,0004,500
(c) Inspection report not made, improperly executed or not retained3,0004,500
230.14 Thirty-one service day inspection:
(a):
(1) Inspection overdue5,0007,500
(2) Inspection not performed by qualified person3,0004,500
(b) Failure to notify FRA3,0004,500
(c) Inspection report not made, improperly executed, not properly filed3,0004,500
230.15 Ninety-two service day inspection:
(a):
(1) Inspection overdue5,0007,500
(2) Inspection not performed by qualified person3,0004,500
(b) Inspection report not made, improperly executed, not properly filed3,0004,500
230.16 Annual inspection:
(a):
(1) Inspection overdue5,0007,500
(2) Inspection not performed by qualified person3,0004,500
(b) Failure to notify FRA3,0004,500
(c) Inspection report not made, improperly executed, not properly filed3,0004,500
230.17 One thousand four hundred seventy-two service day inspection:
(a):
(1) Inspection overdue5,0007,500
(2) Inspection not performed by qualified person3,0004,500
(b) Inspection report not made, improperly executed, not properly maintained, not properly filed3,0004,500
230.18 Service days:
(a) Service day record not available for inspection3,0004,500
(b) Failure to file service day report with FRA Regional Administrator3,0004,500
(c) Failure to complete all 1,472 service day inspection items prior to returning retired steam locomotive to service5,0007,500
230.19 Posting of forms:
(a) FRA Form No. 1:
(1) FRA Form No. 1 not properly filled out3,0004,500
(2) FRA Form No. 1 not properly displayed3,0004,500
(b) FRA Form No. 3:
(1) FRA Form No. 3 not properly filled out3,0004,500
(2) FRA Form No. 3 not properly displayed3,0004,500
Start Printed Page 70613
230.20 Alteration and repair reports:
(a) Alterations:
(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator3,0004,500
(2) FRA Form No. 19 not properly filled out3,0004,500
(3) FRA Form No. 19 not properly maintained3,0004,500
(b) Repairs to unstayed portions of the boiler:
(1) FRA Form No. 19 not properly filled out3,0004,500
(2) FRA Form No. 19 not properly maintained3,0004,500
(c) Repairs to stayed portions of the boiler:
(1) FRA Form No. 19 not properly filled out3,0004,500
(2) FRA Form No. 19 not properly maintained3,0004,500
230.21 Failure to properly document steam locomotive number Change3,0004,500
Subpart B—Boilers and Appurtenances
230.22 Failure to properly report accident resulting from failure of steam locomotive boiler or part or appurtenance thereof5,0007,500
230.23 Responsibility for general construction and safe working pressure:
(a) Failure to properly establish safe working pressure for steam locomotive boiler8,50011,000
(b) Placing steam locomotive in service before safe working pressure for boiler has been established8,50011,000
230.24 Maximum allowable stress values on boiler components:
(a) Use of materials not of sufficient tensile strength3,0004,500
(b) Use of a safety factor value of less than 4 when using the code of original construction in boiler calculations6,5009,000
230.25 Maximum allowable stresses on stays and braces:
(a) Exceeding allowable stress values on fire box and/or combustion chamber3,0004,500
(b) Exceeding allowable stress values on round, rectangular or gusset braces3,0004,500
230.29 Inspection and repair:
(a):
(1) Failure of owner and/or operator to inspect and repair any steam locomotive boiler and/or appurtenance under control thereof5,0007,500
(2) Failure to remove steam locomotive from service when considered necessary to do so6,5009,000
(b):
(1) Failure of perform repairs in accordance with accepted industry standards6,5009,000
(2) Owner and/or operator returning steam locomotive boiler and/or appurtenances to service before they are in good condition and safe and suitable for service6,5009,000
230.30 Lap-joint seam boilers, Failure to properly inspect6,5009,000
230.31 Flues to be removed:
(a):
(1) Failure to remove all flues when inspecting boiler5,0007,500
(2) Failure to enter boiler and clean and inspect5,0007,500
(b) Failure to remove superheater flues when deemed necessary to do so3,0004,500
230.32 Time and method of inspection:
(a) Failure to perform 1,472 service day inspection when required to do so5,0007,500
(b) Failure to properly inspect boiler during 1,472 service day inspection5,0007,500
230.33 Welded repairs and alterations:
(a) Failure to obtain permission before welding on unstayed portions of boiler containing alloy or carbon steel with carbon content over .25 percent carbon5,0007,500
(b) Failure to perform welding on unstayed portions of boiler containing carbon steel not exceeding .25 percent carbon in accordance with a nationally accepted standard for boiler repairs5,0007,500
(c):
(1) Failure to submit written 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 inch5,0007,500
(2) Repairing wasted sheets5,0007,500
230.34 Riveted repairs and alterations:
(a) Failure to obtain approval 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 repairs5,0007,500
(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs5,0007,500
(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs3,0004,500
230.35 Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying hydrostatic pressure to the boiler3,0004,500
230.36 Hydrostatic testing of boilers:
(a) Failure to perform hydrostatic test of boiler as required5,0007,500
(b) Failure to properly perform hydrostatic test5,0007,500
(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP5,0007,500
230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or alteration to boiler3,0004,500
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230.38 Telltale holes:
(a) Failure to have telltale holes as required in staybolts3,0004,500
(b) Failure to have proper telltale holes in reduced body staybolts3,0004,500
(c) Failure to keep telltales holes when so required3,0004,500
230.39 Broken staybolts:
(a) Boiler in service with excess number of broken staybolts5,0007,500
(b) Failure to replace staybolts when required to do so; to properly replace staybolts when so required; to inspect adjacent staybolts when replacing broken staybolts5,0007,500
(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts5,0007,500
(d) Closing telltale holes by prohibited means5,0007,500
230.40 Time and method of staybolt testing:
(a) Failure to hammer test staybolts when so required3,0004,500
(b) Failure to properly hammer test staybolts3,0004,500
230.41 Flexible staybolts with caps:
(a) Failure to inspect flexible staybolts as required3,0004,500
(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required3,0004,500
(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3 when so required3,0004,500
(d) Failure to remove staybolt caps or otherwise test when FRA inspector or steam locomotive owner and/or operator consider it necessary to do so3,0004,500
230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read6,5009,000
230.43 Failure to have gauge siphon of proper capacity on steam gauge supply pipe; failure to properly clean, maintain the steam gauge supply pipe3,0004,500
230.44 Failure to test steam gauge when so required3,0004,500
230.45 Failure to properly test and/or set steam gauge3,0004,500
230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure3,0004,500
230.47 Boiler Number:
(a) (b) (c) Failure to stamp builder's number on boiler when number is known3,0004,500
230.48 Number and capacity of safety relief valves:
(a) Failure to equip steam locomotive boiler with proper safety relief valves6,5009,000
(b) Failure to provide additional safety relief valve capacity when so required6,5009,000
230.49 Setting of safety relief valves:
(a) Safety relief valve(s) set and/or adjusted by person not competent to do so6,5009,000
(b) Safety relief valve(s) not set to open at prescribed pressure(s)6,5009,000
(c) Safety relief valve(s) not properly set6,5009,000
(d) Set pressure of lowest safety relief valve not properly indicated3,0004,500
230.50 Failure to test and adjust safety relief valves when required to do so5,0007,500
230.51 Failure to equip steam locomotive boiler with at least 2 properly installed water glasses3,0004,500
230.52 Failure to properly equip water glasses6,5009,000
230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so3,0004,500
230.54 Testing and maintenance:
(a) Failure to properly test water glasses and/or gauge cocks3,0004,500
(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves5,0007,500
230.55 Tubular type water and lubricator glasses and shields:
(a) Failure to renew tubular type water glasses as required3,0004,500
(b) Failure to properly shield tubular water glasses and/or lubricator glasses3,0004,500
(c) Failure to properly locate and/or maintain water glasses and/or water glass shields3,0004,500
230.56 Failure to equip water glass with suitable lamp3,0004,500
230.57 Injectors and feedwater pumps:
(a) Failure to equip steam locomotive with proper means for delivering water to the boiler6,5009,000
(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, feed water pipes, tank hose, tank valves6,5009,000
(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping3,0004,500
230.58 Flue plugs:
(a) Plugging flue plugs when not otherwise permitted3,0004,500
(b) Improperly plugging flue plugs, when otherwise permitted3,0004,500
230.59 Failure to remove and properly clean fusible boiler plugs when required to do so; failure to properly note removal5,0007,500
230.60 Time of washing:
(a) Failure to thoroughly wash boiler when required to do so3,0004,500
(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water bar plugs when washing locomotive boiler5,0007,500
(c) Failure to examine and/or properly maintain washout plugs, washout plug sleeves, threaded openings5,0007,500
(d) Failure to clean fusible plugs when required to do so5,0007,500
230.61 Arch tubes, water bar tubes, circulators and thermic siphons:
(a) Failure to clean, wash, inspect arch tubes, water bar tubes, circulators and thermic siphons as required3,0004,500
(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators, thermic siphons when required5,0007,500
(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes, circulators5,0007,500
230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure6,5009,000
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230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so5,0007,500
230.64 Failure to remove from service steam locomotive boiler leaking under lagging from condition which may reduce safety and/or repair the boiler before returning to service5,0007,500
230.65 Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does not obscure vision3,0004,500
230.66 Failure to properly oversee general design, construction, maintenance of steam locomotive(s) and tender(s)3,0004,500
230.67 Failure to ensure all steam 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 service6,5009,000
230.68 Failure to equip steam locomotive that operates in excess of 20 miles per hour over the general system with speed indicator maintained to ensure accurate functioning3,0004,500
230.69 Failure to equip steam locomotive with properly supported ash pan with operating mechanism that may be safely operated and securely closed3,0004,500
230.70 Safe condition:
(a) Failure to perform proper pre-departure inspection when so required3,0004,500
(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as “Emergency Brake Valve”3,0004,500
230.71 Orifice testing of air compressors:
(a)(b):
Failure to properly test and/or maintain air compressor(s) capacity3,0004,500
230.72 Testing main reservoirs:
(a) Failure to properly test main reservoir(s) when required3,0004,500
(b) Impermissibly or improperly drilling main reservoir3,0004,500
(c) Impermissibly using NDE method to measure wall thickness of main reservoirs3,0004,500
(d) Failure to use appropriate 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 thickness5,0007,500
230.73 Air gauges:
(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more than 3 psi in error3,0004,500
(b) Failure to test air gauge(s) when so required3,0004,500
(c) Failure to properly test air gauge(s)3,0004,500
230.74 Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when required to do so3,0004,500
230.75 Failure to properly stencil or display date of testing and cleaning and initials of shop or station performing work3,0004,500
230.76 Piston travel:
(a) Insufficient minimum piston travel3,0004,500
(b) Excessive piston travel when steam locomotive is stationary3,0004,500
230.77 Foundation brake gear:
(a) Failure to properly maintain foundation brake gear3,0004,500
(b) Foundation brake gear less than 2.5 inches above rail3,0004,500
230.78 Leakage:
(a):
(1) Failure to test for leakage from main reservoir or related piping as required3,0004,500
(2) Failure to repair excessive leakage from main reservoir or related piping leakage3,0004,500
(b) Failure to test for brake cylinder as required3,0004,500
(c):
(1) Failure to test for leakage from steam locomotive brake pipe as required3,0004,500
(2) Failure to repair excessive brake pipe leakage3,0004,500
230.79 Train signal system:
(1) Failure to test the train signal system or other form of on-board communication as required3,0004,500
(2) Failure to repair train signal system or other on-board communication when not safe or suitable for service3,0004,500
230.80 Cabs:
(a) Steam locomotive cab not safe and suitable for service3,0004,500
(b) Steam pipes: Construction, attachment3,0004,500
(c) Oil-burning steam locomotive, cab-enclosed3,0004,500
230.81 Cab aprons:
(a) Cab apron, general provisions3,0004,500
(b) Cab apron, insufficient width3,0004,500
230.82 Fire doors:
(a) Safe and suitable for service, general provisions3,0004,500
(b) Construction and maintenance of mechanically operated fire doors3,0004,500
(c) Construction and maintenance of hand-operated fire doors.3,0004,500
230.83 Cylinder cocks:
(1) Failure to properly equip with cylinder cocks3,0004,500
(2) Failure to properly maintain cylinder cocks3,0004,500
230.84 Sanders:
(1) Inoperable sanders3,0004,500
Start Printed Page 70616
(2) Failure to test sanders3,0004,500
230.85 Audible warning devices:
(a) General provisions3,0004,500
(b) Sound level measurements, Failure to properly take3,0004,500
230.86 Required illumination:
(a) General provisions3,0004,500
(b) Dimming device, Failure to properly equip with3,0004,500
(c) Multiple locomotives, Failure of lead locomotive to display headlight3,0004,500
230.87 Cab lights: Failure to properly equip with3,0004,500
230.88 Throttles: Failure to properly maintain, equip3,0004,500
230.89 Reverse gear:
(a) General provisions3,0004,500
(b) Air-operated power reverse gear3,0004,500
(c) Power reverse gear reservoirs3,0004,500
230.90 Draw gear and draft systems:
(a) Maintenance and testing3,0004,500
(b) Safety bars and chains, general3,0004,500
(c) Safety bars and chains, minimum length3,0004,500
(d) Lost motion between steam locomotive and tender3,0004,500
(e) Spring buffers: Improper application, compression3,0004,500
230.91 Chafing irons: Improper application, maintenance3,0004,500
230.92 Draw gear, draft systems: Improperly maintained, fastened3,0004,500
230.93 Pistons and piston rods:
(a) Failure to properly inspect, maintain, renew3,0004,500
(b) Fasteners: Failure to keep tight, properly equip3,0004,500
230.94 Crossheads: Improperly maintained, excess clearance3,0004,500
230.95 Guides: Failure to securely fasten, properly maintain3,0004,500
230.96 Main, side, valve motion rods:
(a) General3,0004,500
(b) Repairs3,0004,500
(1) Failure to make in accordance with accepted national standard3,0004,500
(2) Failure to submit written request for approval prior to welding3,0004,500
(c) Bearings and bushings3,0004,500
(d) Rod side motion: Excessive motion3,0004,500
(e) Oil, grease cups: Failure to securely fasten, properly equip3,0004,500
(f) Main rod bearings:
(1) excessive bore3,0004,500
(2) excessive lost motion3,0004,500
(g) Side rod bearings, excessive bore3,0004,500
230.97 Crank pins:
(a) General provisions3,0004,500
(b) Maintenance: Failure to maintain in safe, suitable condition3,0004,500
230.98 Driving, trailing, engine truck axles:
(a) Condemning defects3,0004,500
(b) Journal diameter: Failure to stamp on end of axle1,5002,500
230.99 Tender truck axle: Insufficient diameter3,0004,500
230.100 Defects in tender truck axles and journals:
(a) Tender truck axle condemning defects3,0004,500
(b) Tender truck journal condemning defects3,0004,500
230.101 Steam locomotive driving journal boxes:
(a) Driving journal boxes: Failure to properly maintain3,0004,500
(b) Broken bearings: Failure to renew3,0004,500
(c) Loose bearings: Failure to repair or renew3,0004,500
230.102 Tender plain bearing journal boxes: Failure to repair3,0004,500
230.103 Tender roller bearing journal boxes: Failure to properly maintain3,0004,500
230.104 Driving box shoes and wedges: Failure to properly maintain3,0004,500
230.105 Lateral motion:
(a) Condemning limits: Total lateral motion in excess of3,0004,500
(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion3,0004,500
(c) Interferes with other parts of steam locomotive3,0004,500
230.106 Steam locomotive frame:
(a) Failure to properly inspect and/or maintain3,0004,500
(b) Broken frames, not properly patched or secured6,5009,000
230.107 Tender frame and body:
(a) Failure to properly maintain3,0004,500
(b) Height difference between tender deck and steam locomotive cab floor or deck excessive3,0004,500
(c) Gangway minimum width excessive3,0004,500
(d) Tender frame condemning defects5,0007,500
230.108 Steam locomotive leading and trailing trucks:
(a) Failure to properly maintain3,0004,500
(b) Safety chain, suitable safety chain not provided3,0004,500
Start Printed Page 70617
(c) Insufficient truck clearance3,0004,500
230.109 Tender trucks:
(a):
(1) Tender truck frames3,0004,500
(2) Tender truck center plate3,0004,500
(b) Tender truck bolsters: Failure to properly maintain5,0007,500
(c) Condemning defects, springs and/or spring rigging3,0004,500
(d) Truck securing arrangement: Not properly maintained3,0004,500
(e) Side bearings, truck centering devices3,0004,500
(f) Friction side bearings: Run in contact3,0004,500
(g):
(1) Side bearings, failure to equip rear trucks with3,0004,500
(2) Insufficient clearance of3,0004,500
230.110 Pilots:
(a) General provisions3,0004,500
(b) Clearance, insufficient or excessive3,0004,500
230.111 Spring rigging:
(a) Arrangement of springs and equalizers3,0004,500
(b) Spring or spring rigging condemning defects3,0004,500
230.112 Wheels and tires:
(a) Improperly Mounted, excess variance in axle diameter5,0007,500
(b) Out of gage3,0004,500
(c) Flange distance variance, excessive3,0004,500
(d) Tire thickness, insufficient3,0004,500
(e) Tire width, insufficient3,0004,500
230.113 Wheels and tire defects:
(1) Failure to repair3,0004,500
(2) Welding on, except as otherwise provided for5,0007,500
(a) Cracks or breaks in3,0004,500
(b) Flat spots3,0004,500
(c) Chipped flange3,0004,500
(d) Broken rim3,0004,500
(e) Shelled-out spots3,0004,500
(f) Seams3,0004,500
(g) Worn flanges, excessive wear3,0004,500
(h) Worn treads, excessive wear3,0004,500
(i) Flange height, insufficient or excessive3,0004,500
(j) Rim thickness, insufficient3,0004,500
(k) Wheel diameter, excessive variance3,0004,500
230.114 Wheel centers:
(a) Filling blocks and shims3,0004,500
(b) Wheel center condemning limits, failure to repair3,0004,500
(c) Wheel center repairs3,0004,500
(d) Counterbalance maintenance3,0004,500
230.115 Feed water tanks:
(a) General provisions3,0004,500
(b) Inspection frequency, failure to inspect as required3,0004,500
(c) Top of tender: Improperly maintained and/or equipped3,0004,500
230.116 Oil tanks:
(1) Failure to properly maintain6,5009,000
(2) Failure to equip with complying safety cut-off device8,50011,000
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. Failure to observe any condition for movement set forth in § 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 § 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.
End Part Start Part

PART 231—[AMENDED]

31. The authority citation for part 231 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

32. Appendix A to part 231 is revised to read as follows: Start Printed Page 70618

 Appendix A to Part 231.—Schedule of Civil Penalties 1

SectionViolationWillful violation
110.A1 Hand Brake or Hand Brake Part Missing$6,500$9,000
110.A2 Hand Brake or Hand Brake Part Broken6,5009,000
110.A3 Hand Brake or Hand Brake Part Loose or Worn5,0007,500
110.B1 Hand Brake Inoperative6,5009,000
110.B2 Hand Brake Inefficient5,0007,500
110.B3 Hand Brake Improperly Applied5,0007,500
110.B4 Hand Brake Incorrectly located3,0004,500
110.B5 Hand Brake Shaft Welded or Wrong Dimension3,0004,500
110.B6 Hand Brake Shaft Not Retained in Operating Position3,0004,500
110.B8 Hand Brake or Hand Brake Parts Wrong Design3,0004,500
114.B2 Hand Brake Wheel or Lever Has Insufficient Clearance Around Rim or Handle3,0004,500
114.B3 Hand Brake Wheel/Lever Clearance Insufficient to Vertical Plane Through Inside Face of Knuckle3,0004,500
120.A1 Brake Step Missing Except by Design6,5009,000
120.A2 Brake Step or Brace Broken or Decayed6,5009,000
120.A3 Brake Step or Brace Loose5,0007,500
120.B1 Brake Step or Brace Bent5,0007,500
120.B2 Brake Step or Wrong Dimensions3,0004,500
120.C1 Brake Step Improperly Applied3,0004,500
120.C2 Brake Step Improperly Located3,0004,500
120.C3 Brake Step With Less Than 4″ Clearance to Vertical Plane through Inside Face of Knuckle3,0004,500
120.C4 Brake Step Obstructed or Otherwise Unsafe5,0007,500
124.A1 Running Board Missing or Part Missing Except By Design6,5009,000
124.A2 Running Board Broken or Decayed6,5009,000
124.A3 Running Board Loose Presents a Tripping Hazard or Other Unsafe Condition6,5009,000
124.A4 Running Board Wrong Material3,0004,500
124.B1 Running Board Bent to the Extent that It is Unsafe5,0007,500
124.B2 Running Board Wrong Dimensions3,0004,500
124.B3 Running Board Wrong Location3,0004,500
124.C1 Running Board Improperly Applied3,0004,500
124.C2 Running Board Obstructed5,0007,500
126.A1 End Platform Missing or Part Except By Design6,5009,000
126.A2 End Platform Broken or Decayed6,5009,000
126.A3 End Platform Loose5,0007,500
126.B1 End Platform or Brace Bent3,0004,500
126.B2 End Platform Wrong Dimensions3,0004,500
126.C1 End Platform Improperly Applied3,0004,500
126.C2 End Platform With Less Than Required Clearance to Vertical Plane Through Inside Knuckle3,0004,500
126.C3 End Platform Improperly Located3,0004,500
126.C4 End Platform Obstructed5,0007,500
128.A1 Platform or Switching Step Missing6,5009,000
128.A2 Platform or Switching Step Broken or Decayed6,5009,000
128.A3 Platform or Switching Step Loose5,0007,500
128.B1 Platform or Switching Step Bent5,0007,500
128.B2 Platform or Switching Step Does Not Meet the Required Location or Dimensions3,0004,500
128.C1 Platform or Switching Step Improperly Applied or Repaired5,0007,500
128.C2 Platform or Switching Step Obstructed5,0007,500
128.D1 Switching Step Back Stop or Kick Plate Missing3,0004,500
128.D2 Switching Step Not Illuminated When Required3,0004,500
128.D3 Non-Illuminated Step Not Painted Contrasting Color1,5002,500
130.A1 Sill Step or Additional Tread, Missing6,5009,000
130.A2 Sill Step or Additional Tread, Broken6,5009,000
130.A3 Sill Step or Additional Tread, Loose5,0007,500
130.B1 Sill Step or Additional Tread, Bent5,0007,500
130.B2 Sill Step or Additional Tread, Having Wrong Dimensions or Improperly Located3,0004,500
130.B3 Sill Step Improperly Applied3,0004,500
132.A1 Side Missing Step6,5009,000
132.A2 Side Door Step Broken6,5009,000
132.A3 Side Door Step Loose5,0007,500
132.B1 Side Door Step Bent5,0007,500
132.B2 Side Door Step Having Wrong Dimensions3,0004,500
134.A1 Ladder Missing6,5009,000
134.A2 Ladder Broken6,5009,000
134.A3 Ladder Loose5,0007,500
134.B1 Ladder Bent5,0007,500
134.B2 Ladder Having Wrong Dimensions3,0004,500
134.C1 Ladder Improperly Applied3,0004,500
134.C2 Ladder Having Insufficient Clearance or Improperly Located3,0004,500
134.C3 Ladder Wrong Design3,0004,500
134.C4 Ladder Wrong Material3,0004,500
134.D1 End Clearance Insufficient3,0004,500
136.A1 Ladder Tread or Handholds Missing6,5009,000
Start Printed Page 70619
136.A2 Ladder Tread or Handhold Broken6,5009,000
136.A3 Ladder Tread or Handhold Loose Except By Design5,0007,500
136.B1 Ladder Tread or Handhold Bent to The Extent That It May Be Unsafe5,0007,500
136.B2 Ladder Tread or Handhold Wrong Dimensions3,0004,500
136.C1 Ladder Tread or Handhold Improperly Applied3,0004,500
136.C2 Ladder Tread or Handhold Having Wrong Clearance3,0004,500
136.C3 Ladder or Handhold Improperly Located3,0004,500
136.C4 Ladder Tread or Handhold Obstructed5,0007,500
136.C5 Ladder Tread Without Footguards5,0007,500
138.A1 Hand or Safety Railing Missing6,5009,000
138.A2 Hand or Safety Railing Broken6,5009,000
138.A3 Hand or Safety Railing Loose Except by Design5,0007,500
138.B1 Hand or Safety Railing Bent5,0007,500
138.B2 Hand or Safety Railing Wrong Dimensions3,0004,500
138.C1 Hand or Safety Railing Improperly Applied3,0004,500
138.C2 Hand or Safety Railing Having Less Than the Required Clearance3,0004,500
138.C3 Hand or Safety Railing Improperly Located3,0004,500
140.A1 Uncoupling Lever Missing5,0007,500
140.A2 Uncoupling Lever Broken or Disconnected5,0007,500
140.B1 Uncoupling Lever Bent Will Not Safely and Reasonably Function As Intended5,0007,500
140.C1 Uncoupling Lever Bracket Bent Lever Will Not Function Properly5,0007,500
140.C2 Uncoupling Lever Bracket Broken or Missing5,0007,500
140.D1 Uncoupling Lever Wrong Dimension3,0004,500
140.D2 Uncoupling Lever With Improper Handle Clearance3,0004,500
144.A1 Coupler Missing6,5009,000
144.B1 Coupler Height Incorrect3,0004,500
144.C1 Coupler Inoperative5,0007,500
145.A1 Kick Plates Missing3,0004,500
145.A2 Kick Plates Broken3,0004,500
145.B1 Kick Plates Wrong Dimensions3,0004,500
145.B2 Kick Plates Improper Clearance3,0004,500
145.B3 Kick Plates Insecure Or Improperly Applied3,0004,500
146.A Notice or Stencil not Posted on Cabooses with Running Boards Removed1,5002,500
146.B Safe Means not Provided to Clean or Maintain Windows of Caboose1,5002,500
231.31 Drawbars, standard height5,0007,500
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.
End Part Start Part

PART 232—[AMENDED]

33. The authority citation for part 232 continues to read as follows:

Start Authority

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.

End Authority

34. Appendix A to part 232 is revised to read as follows:

Appendix A to Part 232.—Schedule of Civil Penalties

SectionViolationWillful violation
Subpart A—General
232.15 Movement of power brake defects:
(a) Improper movement, general(1)(1)
(11) Failure to make determinations and provide notification of en route defect$5,000$7,500
(b) Complete failure to tag5,0007,500
(1) Insufficient tag or record1,5002,500
(2), (4) Improper removal of tag5,0007,500
(3) Failure to retain record of tag5,0007,500
(c) Improper loading or purging5,0007,500
(e) Improper placement of defective equipment5,0007,500
232.19 Availability of records(1)(1)
Subpart B—General Requirements
232.103 All train brake systems:
(a)-(c), (h)-(i) Failure to meet general design requirements5,0007,500
(d) Failure to have proper percentage of operative brakes from Class I brake test6,5009,000
Start Printed Page 70620
(e) Operating with less than 85 percent operative brakes6,5009,000
(f) Improper use of car with inoperative or ineffective brakes5,0007,500
(g) Improper display of piston travel5,0007,500
(m) Failure to stop train with excess air flow or gradient5,0007,500
(n) Securement of unattended equipment:
(1) Failure to apply sufficient number of hand brakes; failure to develop or implement procedure to verify number applied6,5009,000
(2) Failure to initiate emergency5,0007,500
(3) Failure to apply hand brakes on locomotives5,0007,500
(4) Failure to adopt or comply with procedures for securing unattended locomotive6,5009,000
(o) Improper adjustment of air regulating devices5,0007,500
(p) Failure to hold supervisors jointly responsible5,0007,500
232.105 Locomotives:
(a) Air brakes not in safe and suitable condition6,5009,000
(b) Not equipped with proper hand or parking brake6,5009,000
(c)(1) Failure to inspect/repair hand or parking brake5,0007,500
(2) Failure to properly stencil, tag, or record3,0004,500
(d) Excess leakage from equalizing reservoir5,0007,500
(e) Improper use of feed or regulating valve braking5,0007,500
(f) Improper use of passenger position5,0007,500
(g) Brakes in operative condition6,5009,000
232.107 Air sources/cold weather operations:
(a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources6,5009,000
(3) Failure to maintain records5,0007,500
(b) Failure to blow condensation6,5009,000
(c) Use of improper chemicals6,5009,000
(d) Failure to equip or drain yard air reservoirs6,5009,000
(e) Failure to adopt or comply cold weather operating procedures6,5009,000
232.109 Dynamic brakes:
(a) Failure to provide information5,0007,500
(b) Failure to make repairs5,0007,500
(c) Failure to properly tag3,0004,500
(d) Failure to maintain record of repair1,5002,500
(e) Improper deactivation5,0007,500
(f) Improper use of locomotive as controlling unit5,0007,500
(g) Locomotive not properly equipped with indicator5,0007,500
(h) Rebuilt locomotive not properly equipped5,0007,500
(j) Failure to adopt or comply with dynamic brake operating rules6,5009,000
(k) Failure to adopt or comply with training on operating procedures6,5009,000
232.111 Train handling information:
(a) Failure to adopt and comply with procedures6,5009,000
(b) Failure to provide specific information5,0007,500
Subpart C—Inspection and Testing Requirements
232.203 Training requirements:
(a) Failure to develop or adopt program8,50011,000
(b)(1)-(9) Failure to address or comply with specific required item or provision of program5,0007,500
(c) Failure to adopt or comply with two-way EOT program6,5009,000
(d) Failure to adopt or comply with retaining valve program6,5009,000
(e) Failure to maintain adequate records6,5009,000
(f) Failure to adopt and comply with periodic assessment plan8,50011,000
232.205 Class I brake test—initial terminal inspection:
(a) Complete failure to perform inspection1 8,50011,000
(c)(1)-(4), (6)-(8) Partial failure to perform inspection6,5009,000
(c)(5) Failure to properly adjust piston travel (per car)5,0007,500
(d) Failure to use carman when required3,0004,500
(e) Failure to provide proper notification5,0007,500
(f) Failure to void compressed air5,0007,500
232.207 Class IA brake tests—1,000-mile inspection:
(a) Complete failure to perform inspection1 6,5009,000
(b)(1)-(6) Partial failure to perform inspection5,0007,500
(c) Failure to properly designate location5,0007,500
(c)(1) Failure to perform at designated location5,0007,500
(c)(2) Failure to provide notification5,0007,500
232.209 Class II brake tests—intermediate inspection:
(a) Complete failure to perform inspection1 6,5009,000
(b)(1)-(5), (c) Partial failure to perform inspection5,0007,500
(d) Failure to conduct Class I after Class II pick-up(1)(1)
232.211 Class III brake tests—trainline continuity inspection:
(a) Complete failure to perform inspection6,5009,000
Start Printed Page 70621
(b)(1)-(4), (c) Partial failure to perform inspection5,0007,500
(d) Failure to restore air pressure at rear5,0007,500
232.213 Extended haul trains:
(a)(1) Failure to properly designate an extended haul train6,5009,000
(a)(2)-(3), (5)(i), (8) Failure to perform inspections(1)(1)
(a)(4) Failure to remove defective car (per car)3,0004,500
(a)(5)(ii), (6) Failure to conduct inbound inspection6,5009,000
(a)(7) Failure to maintain record of defects (per car)3,0004,500
(b) Improper movement or use of extended haul train6,5009,000
232.215 Transfer train brake tests:
(a) Failure to perform inspection6,5009,000
(b) Failure to perform on cars added5,0007,500
232.217 Train brake system tests conducted using yard air:
(a) Failure to use suitable device5,0007,500
(b) Improper connection of air test device6,5009,000
(c) Failure to properly perform inspection(1)(1)
(d) Failure to calibrate test device5,0007,500
(e) Failure to use accurate device5,0007,500
232.219 Double heading and helper service:
(a) Failure to perform inspection or inability to control brakes5,0007,500
(b) Failure to make visual inspection5,0007,500
(c) Use of improper helper link device5,0007,500
Subpart D—Periodic Maintenance and Testing Requirements
232.303 General requirements:
(b)-(d) Failure to conduct inspection or test when car on repair track5,0007,500
(e) Improper movement of equipment for testing5,0007,500
(e)(1) Failure to properly tag equipment for movement3,0004,500
(e)(2)-(4) Failure to retain record or improper removal of tag or card3,0004,500
(f) Failure to stencil or track test information5,0007,500
232.305 Single car tests:
(a) Failure to test in accord with required procedure5,0007,500
(b)-(c) Failure to perform test5,0007,500
232.309 Repair track air brake test and single car test equipment and devices:
(a)-(f) Failure to properly test or calibrate5,0007,500
Subpart E—End-of-Train Devices
232.403 Design standards for one-way devices:
(a)-(g) Failure to meet standards5,0007,500
232.405 Design standards for two-way devices:
(a)-(i) Failure to meet standards5,0007,500
232.407 Operating requirements for two-way devices:
(b) Failure to equip a train6,5009,000
(c) Improper purchase5,0007,500
(f)(1) Failure of device to be armed and operable6,5009,000
(f)(2) Insufficient battery charge5,0007,500
(f)(3) Failure to activate the device5,0007,500
(g) Improper handling of en route failure, freight or other non-passenger6,5006,500
(h) Improper handling of en route failure, passenger6,5009,000
232.409 Inspection and testing of devices:
(a) Failure to have unique code5,0007,500
(b) Failure to compare quantitative values5,0007,500
(c) Failure to test emergency capability6,5009,000
(d) Failure to properly calibrate5,0007,500
Subpart F—Introduction of New Brake System Technology
232.503 Process to introduce new technology:
(b) Failure to obtain FRA approval8,50011,000
232.505 Pre-revenue service acceptance testing plan:
(a) Failure to obtain FRA approval6,5009,000
(b) Failure to comply with plan5,0007,500
(f) Failure to test previously used technology6,5009,000
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 § 232.205 through § 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.Start Printed Page 70622
Failure to observe any condition for movement of defective equipment set forth in § 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 § 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 § 232.209, § 232.213, and § 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.
End Part Start Part

PART 233—[AMENDED]

35. The authority citation for part 233 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

36. Appendix A to part 233 is revised to read as follows:

Appendix A to Part 233.—Schedule of Civil Penalties 1

SectionViolationWillful violation
233.5 Accidents resulting from signal failure$5,000$7,500
233.7 Signal failure reports3,0004,500
233.9 Annual reports1,5002,500
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.
End Part Start Part

PART 234—[AMENDED]

37. The authority citation for part 234 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

38. Appendix A to part 234 is revised to read as follows:

Appendix A to Part 234.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
Subpart B—Reports
234.7 Accidents involving grade crossing signal failure$5,000$7,500
234.9  Grade crossing signal system failure reports3,0004,500
Subpart C—Response to Reports of Warning System Malfunction
234.101 Employee notification rules3,0004,500
234.103 Timely response to report of malfunction6,5009,000
234.105 Activation failure:
(a) Failure to notify—train crews8,50011,000
Other railroads8,50011,000
(b) Failure to notify law enforcement agency3,0004,500
(c) Failure to comply with—flagging requirements6,5009,000
Speed restrictions6,5009,000
(d) Failure to activate horn or whistle3,0004,500
234.106 Partial activation:
(a) Failure to notify—train crews5,0007,500
Other railroads5,0007,500
(b) Failure to notify law enforcement agency3,0004,500
(c) Failure to comply with—flagging requirements speed restrictions5,0007,500
(d) Failure to activate horn or whistle3,0004,500
234.107 False activation:
(a) Failure to notify—train crews6,5009,000
Other railroads6,5009,000
(b) Failure to notify law enforcement agency3,0004,500
(c) Failure to comply with—flagging requirements5,0007,500
Speed restrictions5,0007,500
(d) Failure to activate horn or whistle3,0004,500
234.109 Recordkeeping1,5002,500
Subpart D—Maintenance, Inspection, and Testing
Maintenance Standards:
234.201 Location of plans3,0004,500
234.203 Control circuits5,0007,500
234.205 Operating characteristics of warning system apparatus6,5009,000
234.207 Adjustment, repair, or replacement of component6,5009,000
234.209 Interference with normal functioning of system8,50011,000
234.211 Locking of warning system apparatus3,0004,500
Start Printed Page 70623
234.213 Grounds5,0007,500
234.215 Standby power system8,50011,000
234.217 Flashing light units3,0004,500
234.219 Gate arm lights and light cable3,0004,500
234.221 Lamp voltage5,0007,500
234.223 Gate arm3,0004,500
234.225 Activation of warning system8,50011,000
234.227 Train detection apparatus8,50011,000
234.229 Shunting sensitivity8,50011,000
234.231 Fouling wires6,5009,000
234.233 Rail joints6,5009,000
234.235 Insulated rail joints8,50011,000
234.237 Switch equipped with circuit controller3,0004,500
234.239 Tagging of wires and interference of wires or tags with signal apparatus3,0004,500
234.241 Protection of insulated wire; splice in underground wire5,0007,500
234.243 Wire on pole line and aerial cable5,0007,500
234.245 Signs3,0004,500
Inspections and Tests:
234.247 Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements6,5009,000
234.249 Ground tests6,5009,000
234.251 Standby power5,0007,500
234.253 Flashing light units and lamp voltage3,0004,500
234.255 Gate arm and gate mechanism3,0004,500
234.257 Warning system operation6,5009,000
234.259 Warning time5,0007,500
234.261 Highway traffic signal pre-emption5,0007,500
234.263 Relays5,0007,500
234.265 Timing relays and timing devices5,0007,500
234.267 Insulation resistance tests, wires in trunking and cables5,0007,500
234.269 Cut-out circuits8,50011,000
234.271 Insulated rail joints, bond wires, and track connections5,0007,500
234.273 Results of tests1,5002,500
234.275 Processor-Based Systems6,5009,000
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.
End Part Start Part

PART 235—[AMENDED]

39. The authority citation for part 235 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49 CFR 1.49.

End Authority

40. Appendix A to part 235 is revised to read as follows:

Appendix A to Part 235.—Schedule of Civil Penalties 1

SectionViolationWillful violation
235.5 Changes requiring filing of application$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.
End Part Start Part

PART 236—[AMENDED]

41. The authority citation for part 236 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note and 49 CFR 1.49.

End Authority

42. Appendix A to part 236 is revised to read as follows:Start Printed Page 70624

Appendix A to Part 236.—Schedule of Civil Penalties 1

SectionViolationWillful violation
Subpart A—Rules and Instructions—All Systems
General:
236.0 Applicability, minimum requirements$5,000$7,500
236.1 Plans, where kept6,5009,000
236.2 Grounds6,5009,000
236.3 Locking of signal apparatus housings:
(a) Power interlocking machine cabinet not secured against unauthorized entry3,0004,500
(b) other violations3,0004,500
236.4 Interference with normal functioning of device8,50011,000
236.5 Design of control circuits on closed circuit principle8,50011,000
236.6 Hand-operated switch equipped with switch circuit controller6,5009,000
236.7 Circuit controller operated by switch-and-lock movement6,5009,000
236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus5,0007,500
236.9 Selection of circuits through indicating or annunciating instruments3,0004,500
236.10 Electric locks, force drop type; where required3,0004,500
236.11 Adjustment, repair, or replacement of component6,5009,000
236.12 Spring switch signal protection; where required5,0007,500
236.13 Spring switch; selection of signal control circuits through circuit controller5,0007,500
236.14 Spring switch signal protection; requirements5,0007,500
236.15 Timetable instructions3,0004,500
236.16 Electric lock, main track releasing circuit:
(a) Electric lock releasing 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, electrically6,5009,000
(b) other violations6,5009,000
236.17 Pipe for operating connections, requirements3,0004,500
236.18 Software management control plan:
Failure to develop and adopt a plan5,0007,500
Failure to fully implement plan5,0007,500
Inadequate plan5,0007,500
Roadway Signals and Cab Signals—
236.21 Location of roadway signals6,5009,000
236.22 Semaphore signal arm; clearance to other objects3,0004,500
236.23 Aspects and indications5,0007,500
236.24 Spacing of roadway signals6,5009,000
236.26 Buffing device, maintenance6,5009,000
Track Circuits—
236.51 Track circuit requirements:
(a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h6,5009,000
(b) Track relay not in de-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 crossover8,50011,000
(c) other violations6,5009,000
236.52 Relayed cut-section6,5009,000
236.53 Track circuit feed at grade crossing6,5009,000
236.54 Minimum length of track circuit6,5009,000
236.55 Dead section; maximum length6,5009,000
236.56 Shunting sensitivity6,5009,000
236.57 Shunt and fouling wires:
(a) Shunt or fouling wires do not consist of at least two discrete conductors6,5009,000
(b) other violations5,0007,500
236.58 Turnout, fouling section:
(a) Rail joint in shunt fouling section not bonded6,5009,000
(b) other violations5,0007,500
236.59 Insulated rail joints6,5009,000
236.60 Switch shunting circuit; use restricted6,5009,000
Wires and Cables—
236.71 Signal wires on pole line and aerial cable6,5009,000
236.73 Open-wire transmission line; clearance to other circuits5,0007,500
236.74 Protection of insulated wire; splice in underground wire5,0007,500
236.76 Tagging of wires and interference of wires or tags with signal apparatus3,0004,500
Inspections and Tests; All Systems—
236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements5,0007,500
236.102 Semaphore or search-light signal mechanism6,5009,000
236.103 Switch circuit controller or point detector6,5009,000
236.104 Shunt fouling circuit5,0007,500
236.105 Electric lock5,0007,500
236.106  Relays5,0007,500
236.107  Ground tests5,0007,500
236.108  Insulation resistance tests, wires in trunking and cables:
Start Printed Page 70625
(a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms6,5009,000
(b) other violations5,0007,500
236.109  Time releases, timing relays and timing devices5,0007,500
236.110  Results of tests1,5002,500
Subpart B—Automatic Block Signal Systems
236.201  Track circuit control of signals6,5009,000
236.202  Signal governing movements over hand-operated switch6,5009,000
236.203  Hand-operated crossover between main tracks; protection6,5009,000
236.204  Track signaled for movements in both directions, requirements6,5009,000
236.205  Signal control circuits; requirements8,50011,000
236.206  Battery or power supply with respect to relay; location5,0007,500
Subpart C—Interlocking
236.207  Electric lock on hand-operated switch; control:
(a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position6,5009,000
(b) other violations5,0007,500
236.301  Where signals shall be provided5,0007,500
236.302  Track circuits and route locking6,5007,500
236.303  Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism6,5009,000
236.304  Mechanical locking or same protection effected by circuits6,5009,000
236.305  Approach or time locking6,5009,000
236.306  Facing point lock or switch-and-lock movement5,0007,500
236.307  Indication locking6,5009,000
236.308  Mechanical or electric locking or electric circuits; requisites6,5009,000
236.309  Loss of shunt protection; where required6,5009,000
(a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, movable point frog, or derail6,5009,000
(b) Other violations5,0007,500
236.310  Signal governing approach to home signal5,0007,500
236.311  Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking6,5009,000
236.312  Movable bridge, interlocking of signal appliances with bridge devices:
(a) Emergency bypass switch or device not locked or sealed6,5009,000
(b) other violations6,5009,000
236.314  Electric lock for hand-operated switch or derail:
(a) Approach or time locking of 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 position6,5009,000
(b) other violations6,5009,000
Rules and Instructions—
236.326  Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking5,0007,500
236.327  Switch, movable-point frog or split-point derail6,5009,000
236.328  Plunger of facing-point5,0007,500
236.329  Bolt lock6,5009,000
236.330  Locking dog of switch and lock movement5,0007,500
236.334  Point detector6,5009,000
236.335  Dogs, stops and trunnions of mechanical locking3,0004,500
236.336  Locking bed3,0004,500
236.337  Locking faces of mechanical locking; fit3,0004,500
236.338  Mechanical locking required in accordance with locking sheet and dog chart3,0004,500
236.339  Mechanical locking; maintenance requirements3,0004,500
236.340  Electromechanical interlocking machine; locking between electrical and mechanical levers3,0004,500
236.341  Latch shoes, rocker links, and quadrants3,0004,500
236.342  Switch circuit controller6,5009,000
Inspection and Tests—
236.376  Mechanical locking5,0007,500
236.377  Approach locking5,0007,500
236.378  Time locking5,0007,500
236.379  Route locking5,0007,500
236.380  Indication locking5,0007,500
236.381  Traffic locking5,0007,500
236.382  Switch obstruction test6,5009,000
236.383  Valve locks, valves, and valve magnets5,0007,500
236.384  Cross protection5,0007,500
236.386  Restoring feature on power switches5,0007,500
Start Printed Page 70626
236.387  Movable bridge locking6,5009,000
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 circuits and control operator8,50011,000
236.403 Signals at controlled point8,50011,000
236.404 Signals at adjacent control points8,50011,000
236.405 Track signaled for movements in both directions, change of direction of traffic8,50011,000
236.407 Approach or time locking; where required8,50011,000
236.408 Route locking8,50011,000
236.410 Locking, hand-operated switch; requirements:
(a) Hand-operated switch on main 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 track6,5009,000
(b) Hand-operated switch on 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 siding6,5009,000
(c) Approach or time locking of 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 position6,5009,000
(d) other violations5,0007,500
Rules and Instructions—
236.426 Interlocking rules and instructions applicable to traffic control systems1,5002,500
236.476 Interlocking inspections and tests applicable to traffic control systems1,5002,500
Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards
236.501 Forestalling device and speed control5,0007,500
236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance6,5009,000
236.503 Automatic brake application; initiation when predetermined rate of speed exceeded6,5009,000
236.504 Operations interconnected with automatic block-signal system5,0007,500
236.505 Proper operative relation between parts along roadway and parts on locomotive3,0004,500
236.506 Release of brakes after automatic application6,5009,000
236.507 Brake application; full service5,0007,500
236.508 Interference with application of brakes by means of brake valve5,0007,500
236.509 Two or more locomotives coupled3,0004,500
236.511 Cab signals controlled in accordance with block conditions stopping distance in advance5,0007,500
236.512 Cab signal indication when locomotive enters blocks6,5009,000
236.513 Audible indicator5,0007,500
236.514 Interconnection of cab signal system with roadway signal system3,0004,500
236.515 Visibility of cab signals5,0007,500
236.516 Power supply3,0004,500
Rules and Instructions; Roadway—
236.526 Roadway element not functioning properly3,0004,500
236.527 Roadway element insulation resistance3,0004,500
236.528 Restrictive condition resulting from open hand-operated switch; requirement5,0007,500
236.529 Roadway element inductor; height and distance from rail3,0004,500
236.531 Trip arm; height and distance from rail3,0004,500
236.532 Strap iron inductor; use restricted3,0004,500
236.534 Rate of pressure reduction; equalizing reservoir or brake pipe5,0007,500
236.551 Power supply voltage3,0004,500
236.552 Insulation resistance3,0004,500
236.553 Seal, where required3,0004,500
236.554 Rate of pressure reduction; equalizing reservoir or brake pipe5,0007,500
236.555 Repaired or rewound receiver coil1,5002,500
236.556 Adjustment of relay3,0004,500
236.557 Receiver; location with respect to rail3,0004,500
236.560 Contact element, mechanical trip type; location with respect to rail3,0004,500
236.562 Minimum rail current required3,0004,500
236.563 Delay time5,0007,500
236.564 Acknowledging time3,0004,500
236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement3,0004,500
236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped3,0004,500
236.567 Restrictions imposed when device fails and/or is cut out en route:
(a) Report not made to designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route5,0007,500
(b) Train permitted to proceed 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 inoperative5,0007,500
Start Printed Page 70627
(c) other violations3,0004,500
236.568 Difference between speeds authorized by roadway signal and cab signal; action3,0004,500
Inspection and Tests; Roadway—
236.576 Roadway element3,0004,500
236.577 Test, acknowledgement, and cut-in circuits3,0004,500
Inspection and Tests; Locomotive—
236.586 Daily or after trip test5,0007,500
236.587 Departure test:
(a) Test of automatic train 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 territory6,5009,000
(b) Test of automatic train 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 territory6,5009,000
(c) Automatic train stop, train control, or cab signal apparatus on locomotive making more than one trip within 24-hour period not given departure test within corresponding 24-hour period6,5009,000
(d) other violations5,0007,500
236.588 Periodic test6,5009,000
236.589 Relays5,0007,500
236.590 Pneumatic apparatus:
(a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once every 736 days5,0007,500
(b) other violations5,0007,500
Subpart F—Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards
236.601 Signals controlled by devices; location6,5009,000
Subpart H—Standards for Processor-Based Signal and Train Control Systems
236.905 Railroad Safety Program Plan (RSPP):
(a) Failure to develop and submit RSPP when required6,5009,000
(b) Failure to obtain FRA approval for a modification to RSPP6,5009,000
236.907 Product Safety Plan (PSP):
(a) Failure to develop a PSP6,5009,000
(b) Failure to submit a PSP when required6,5009,000
236.909 Minimum Performance Standard:
(a) Failure to make analyses or documentation available5,0007,500
(b) Failure to determine that the standard has been met6,5009,000
236.913 Notification to FRA of PSPs:
(a) Failure to prepare a PSP or PSP amendment as required6,5009,000
(b) Failure to submit a PSP or PSP amendment as required6,5009,000
(c) Field testing without authorization or approval8,50011,000
236.915 Implementation and operation:
(a) Operation of product without authorization or approval8,50011,000
(b) Failure to comply with PSP5,0007,500
(c) Interference with normal functioning safety-critical product8,50011,000
(d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair5,0007,500
236.917 Retention of records:
(a) Failure to maintain records as required6,5009,000
(b) Failure to report inconsistency6,5009,000
(c) Failure to take prompt countermeasures6,5009,000
(d) Failure to provide final report3,0004,500
236.919 Operations and Maintenance Manual5,0007,500
236.921 Training and qualification program, general5,0007,500
236.923 Task analysis and basic requirements:
(a) Failure to develop an acceptable training program3,0004,500
(b) Failure to train persons as required3,0004,500
(c) Failure to conduct evaluation of training program as required3,0004,500
(d) Failure to maintain records as required1,5002,500
236.925 Training specific to control office personnel5,0007,500
236.927 Training specific to locomotive engineers and other operating personnel5,0007,500
236.929 Training specific to roadway workers5,0007,500
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.
End Part Start Part Start Printed Page 70628

PART 238—[AMENDED]

43. The authority citation for part 238 continues to read as follows:

Start Authority

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.

End Authority

44. Appendix A to part 238 is revised to read as follows:

Appendix A to Part 238.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
Subpart A—General
238.15 Movement of power brake defects:
(b) Improper movement from Class I or IA brake test$6,500$9,000
(c) Improper movement of en route defect5,0007,500
(2), (3) Insufficient tag or record1,5002,500
(4) Failure to determine percent operative brake5,0007,500
(d) Failure to follow operating restrictions6,5009,000
(e) Failure to follow restrictions for inoperative front or rear unit5,0007,500
238.17 Movement of other than power brake defects: 1
(c)(4), (5) Insufficient tag or record1,5002,500
(d) Failure to inspect or improper use of roller bearings5,0007,500
(e) Improper movement of defective safety appliances5,0007,500
238.19 Reporting and tracking defective equipment:
(a) Failure to have reporting or tracking system8,50011,000
(b) Failure to retain records3,0004,500
(c) Failure to make records available1,5002,500
(d) Failure to list power brake repair points3,0004,500
Subpart B—Safety Planning and General Requirements
238.103 Fire protection plan/fire safety:
(a) Failure to use proper materials6,5009,000
(b) Improper certification1,5002,500
(c) Failure to consider fire safety on new equipment6,5009,000
(d) Failure to perform fire safety analysis6,5009,000
(e) Failure to develop, adopt or comply with procedures6,5009,000
238.105 Train electronic hardware and software safety:
(a), (b), (c) Failure to develop and maintain hardware and software safety6,5009,000
(d) Failure to include required design features6,5009,000
(e) Failure to comply with hardware and software safety program6,5009,000
238.107 Inspection, testing, and maintenance plan:
(b) Failure to develop plan6,5009,000
(b)(1)-(5) Failure of plan to address specific item5,0007,500
(d) Failure to conduct annual review6,5009,000
238.109 Training, qualification, and designation program:
(a) Failure to develop or adopt program6,5009,000
(b)(1)-(4) Failure of plan to address specific item5,0007,500
(b)(5)-(12) Failure to comply with specific required provision the program5,0007,500
(b)(13) Failure to maintain adequate records5,0007,500
238.111 Pre-revenue service acceptance testing plan:
(a) Failure to properly test previously used equipment6,5009,000
(b)(1) Failure to develop plan6,5009,000
(b)(2) Failure to submit plan to FRA6,5009,000
(b)(3) Failure to comply with plan6,5009,000
(b)(4) Failure to document results of testing6,5009,000
(b)(5) Failure to correct safety deficiencies or impose operating limits6,5009,000
(b)(6) Failure to maintain records3,0004,500
(b)(7) Failure to obtain FRA approval6,5009,000
238.113 Emergency window exits5,0007,500
238.115 Emergency lighting5,0007,500
238.117 Protection against personal injury5,0007,500
238.119 Rim-stamped straight plate wheels5,0007,500
Subpart C—Specific Requirements for Tier I Equipment
238.203 Static end strength5,0007,500
238.205 Anti-climbing mechanism5,0007,500
238.207 Link between coupling mechanism and car body5,0007,500
238.209 Forward-facing end structure of locomotives5,0007,500
238.211 Collision posts5,0007,500
238.213 Corner posts5,0007,500
238.215 Rollover strength5,0007,500
238.217 Side structure5,0007,500
238.219 Truck-to-car-body attachment5,0007,500
238.221 Glazing5,0007,500
238.223 Fuel tanks5,0007,500
Start Printed Page 70629
238.225 Electrical System5,0007,500
238.227 Suspension system5,0007,500
239.229 Safety appliances—general:
(e) Failure to properly identify equipment (per car)5,0007,500
(g) Failure to adopt or comply with inspection plan5,0007,500
(h) Failure to use qualified person (per car)5,0007,500
(i) Failure to properly conduct initial or periodic inspection (per car)5,0007,500
(j) Failure to take proper remedial action (per car)5,0007,500
(k) Failure to maintain records (per car)3,0004,500
238.230 Safety appliance—new equipment:
(b)(2) Failure to identify welded appliance (per car)5,0007,500
(b)(3) Failure to receive approval for use (per car)5,0007,500
(c)(2) Failure to make proper repair (per car)5,0007,500
238.231 Brake System (a)-(g), (i)-(n)5,0007,500
(h)(1), (2) Hand or parking brake missing or inoperative6,5009,000
(h)(3) Hand or parking brake inspection or record (per car)5,0007,500
(h)(4) Hand or parking brake not applied to hold equipment unattended on grade or prematurely released6,5009,000
238.233 Interior fittings and surfaces5,0007,500
238.235 Doors5,0007,500
238.237 Automated monitoring5,0007,500
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 inspection1 5,0007,500
(a)(2) Failure to inspect secondary brake system5,0007,500
(b) Failure to perform inspection on car added to train1 5,0007,500
(c) Failure to utilize properly qualified personnel5,0007,500
(e)(1) Products of combustion not released outside cab5,0007,500
(e)(2) Battery not vented or gassing excessively5,0007,500
(e)(3) Coupler not in proper condition5,0007,500
(e)(4) No device under drawbar pins or connection pins5,0007,500
(e)(5) Suspension system and spring rigging not in proper condition5,0007,500
(e)(6) Truck not in proper condition5,0007,500
(e)(7) Side bearing not in proper condition5,0007,500
(e)(8) Wheel not in proper condition:
(i), (iv) Flat spot(s) and shelled spot(s):
(A) One spot 21/2″ or more but less than 3″ in length5,0007,500
(B) One spot 3″ or more in length6,5009,000
(C) Two adjoining spots each of which is 2″ or more in length but less than 21/2″ in length5,0007,500
(D) Two adjoining spots each of which are at least 2″ in length, if either spot is 21/27″ or more in length6,5009,000
(ii) Gouge or chip in flange:
(A) More than 11/2″ but less than 15/8″ in length; and more than 1/2″ but less than 5/8″ in width5,0007,500
(B) 15/8″ or more in length and 5/8″ or more in width6,5009,000
(iii) Broken rim6,5009,000
(v) Seam in tread5,0007,500
(vi) Flange thickness of:
(A) 7/8″ or less but more than5,0007,500
(B) 13/16″ or less6,5009,000
(vii) Tread worn hollow5,0007,500
(viii) Flange height of:
(A) 11/2″ or greater but less than 15/8″5,0007,500
(B) 15/8″ or more6,5009,000
(ix) Rim thickness:
(A) Less than 1″5,0007,500
(B) 15/16″ or less6,5009,000
(x) Crack or break in flange, tread, rim, plate, or hub:
(A) Crack of less than 1″5,0007,500
(B) Crack of 1″ or more6,5009,000
(C) Break6,5009,000
(xi) Loose wheel6,5009,000
(xii) Welded wheel6,5009,000
(e)(10) Improper grounding or insulation6,5009,000
(e)(11) Jumpers or cable connections not in proper condition5,0007,500
(e)(12) Door or cover plate not properly marked5,0007,500
(e)(13) Buffer plate not properly placed5,0007,500
(e)(14) Diaphragm not properly placed or aligned5,0007,500
(e)(15) Secondary braking system not in operating mode or contains known defect5,0007,500
(e)(16) Roller bearings:
(i) Overheated8,50011,000
Start Printed Page 70630
(ii) Cap screw loose or missing5,0007,500
(iii) Cap screw lock broken or missing3,0004,500
(iv) Seal loose, damaged, or leaks lubricant5,0007,500
(g) Record of inspection:
(1), (4) Failure to maintain record of inspection5,0007,500
(2) Record contains insufficient information3,0004,500
(e)(17) Air compressor inoperative5,0007,500
238.305 Interior mechanical inspection of passenger cars:
(a) Failure to perform inspection1 3,0004,500
(b) Failure to utilize properly qualified personnel3,0004,500
(c)(1) Failure to protect against personal injury5,0007,500
(c)(2) Floors not free of condition that creates hazard5,0007,500
(c)(3) Access to manual door release not in place3,0004,500
(c)(4) Emergency equipment not in place3,0004,500
(c)(5) Emergency brake valve not stenciled or marked3,0004,500
(c)(6) Door or cover plates not properly marked3,0004,500
(c)(7) Safety signage not in place or legible3,0004,500
(c)(8) Trap door unsafe or improperly secured5,0007,500
(c)(9) Vestibule steps not illuminated3,0004,500
(c)(10) Door not safely operate as intended5,0007,500
(c)(11) Seat broken, loose, or not properly attached5,0007,500
(e) Record of inspection:
(1), (4) Failure to maintain record of inspection3,0004,500
(2) Record contains insufficient information1,5002,500
(f) Record of inspection:
(1), (4) Failure to maintain record of inspection3,0004,500
(2) Record contains insufficient information1,5002,500
238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles:
(a) Failure to perform periodic mechanical inspection1 5,0007,500
(b) Failure to utilize properly qualified personnel5,0007,500
(c)(1) Seat or seat attachment broken or loose5,0007,500
(c)(2) Luggage rack broken or loose5,0007,500
(c)(3) Bed, bunks, or restraints broken or loose5,0007,500
(c)(4) Emergency window exit not properly operate5,0007,500
(c)(5) Emergency lighting not operational5,0007,500
(c)(6) Switches not in proper condition5,0007,500
(c)(7) Coupler not in proper condition5,0007,500
(c)(8) Truck not equipped with securing arrangement5,0007,500
(c)(9) Truck center casting cracked or broken6,5009,000
(c)(10) General conditions endangering crew, passengers5,0007,500
(c)(13) Hand or parking brake test not performed5,0007,500
(d)(1) Manual door release does not operate as intended5,0007,500
(d)(2) Hand or parking brake inspection not performed5,0007,500
(e)(1) Failure to maintain record of inspection3,0004,500
(i)-(iv) Record contains insufficient information3,0004,500
(f)(1) Record of inspection:
(i) Failure to maintain record of inspection3,0004,500
(ii) Record contains insufficient information1,5002,500
238.309 Periodic brake equipment maintenance:
(b) Failure to perform on MU locomotive5,0007,500
(c) Failure to perform on conventional locomotive5,0007,500
(d) Failure to perform on passenger coaches or other unpowered vehicle5,0007,500
(e) Failure to perform on cab car5,0007,500
(f) Record of periodic maintenance:
(1), (2) Failure to maintain record or stencil3,0004,500
238.311 Single car tests:
(a) Failure to test in accord with required procedure5,0007,500
(b) Failure to utilize properly qualified personnel5,0007,500
(c), (e) Failure to perform single car test5,0007,500
(f) Improper movement of car for testing3,0004,500
(g) Failure to test after repair or replacement of component3,0004,500
238.313 Class I brake test:
(a) Failure to perform on commuter or short distance intercity passenger train1 8,50011,000
(b) Failure to perform on long-distance intercity passenger train1 8,50011,000
(c) Failure to perform on cars added to passenger train6,5009,000
(d) Failure to utilized properly qualified personnel6,5009,000
(f) Passenger train used from Class I brake test with less than 100% operative brakes6,5009,000
(g) Partial failure to perform inspection on a passenger train6,5009,000
(3) Failure to adjust piston travel (per car)5,0007,500
(h) Failure to maintain record3,0004,500
(j) Failure to perform additional Class I brake test8,50011,000
Start Printed Page 70631
(j)(3) Failure to maintain record3,0004,500
238.315 Class IA brake test:
(a) Failure to perform inspection1 6,5009,000
(d) Failure to utilize properly qualified personnel5,0007,500
(e) Passenger train used from Class IA brake test with improper percentage of operative brakes6,5009,000
(f) Partial failure to perform inspection on passenger train5,0007,500
238.317 Class II brake test:
(a) Failure to perform inspection1 5,0007,500
(b) Failure to utilize properly qualified personnel5,0007,500
(c) Improper use of defective equipment from Class II brake test5,0007,500
238.319 Running brake tests:
(a), (b) Failure to perform test3,0004,500
238.321 Out-of-service credit3,0004,500
Subpart E—Specific Requirements for Tier II Passenger Equipment
238.403 Crash energy management5,0007,500
238.405 Longitudinal static compressive strength5,0007,500
238.407 Anti-climbing mechanism5,0007,500
238.409 Forward end structures of power car cabs:
(a) Center collision post5,0007,500
(b) Side collision posts5,0007,500
(c) Corner posts5,0007,500
(d) Skin5,0007,500
238.411 Rear end structures of power car cabs:
(a) Corner posts5,0007,500
(b) Collision posts5,0007,500
238.413 End structures of trailer cars5,0007,500
238.415 Rollover strength5,0007,500
238.417 Side loads5,0007,500
238.419 Truck-to-car-body and truck component attachment5,0007,500
238.421 Glazing:
(b) End-facing exterior glazing5,0007,500
(c) Alternate glazing requirements5,0007,500
(d) Glazing securement1,5002,500
(e) Stenciling3,0004,500
238.423 Fuel tanks:
(a) External fuel tanks5,0007,500
(b) Internal fuel tanks5,0007,500
238.425 Electrical system:
(a) Circuit protection5,0007,500
(b) Main battery system5,0007,500
(c) Power dissipation resistors5,0007,500
(d) Electromagnetic interference and compatibility5,0007,500
238.427 Suspension system5,0007,500
238.429 Safety Appliances:
(a) Couplers6,5009,000
(b) Hand/parking brakes6,5009,000
(d) Handrail and handhold missing5,0007,500
(d)(1)-(8) Handrail or handhold improper design5,0007,500
(e) Sill step missing6,5009,000
(e)(1)-(11) Sill step improper design5,0007,500
(g) Optional safety appliances5,0007,500
238.431 Brake system5,0007,500
238.433 Draft System5,0007,500
238.435 Interior fittings and surfaces5,0007,500
238.437 Emergency communication5,0007,500
238.439 Doors:
(a) Exterior side doors5,0007,500
(b) Manual override feature5,0007,500
(c) Notification to crew of door status5,0007,500
(d) Emergency back-up power5,0007,500
(f) End door kick-out panel or pop-out window5,0007,500
(g) Marking and instructions[Reserved]
238.441 Emergency roof hatch entrance location5,0007,500
238.443 Headlights5,0007,500
238.445 Automated monitoring5,0007,500
238.447 Train operator's controls and power car cab layout5,0007,500
Subpart F—Inspection, Testing, and Maintenance Requirements for Tier II Passenger Equipment
238.503 Inspection, testing, and maintenance requirements:
Start Printed Page 70632
(a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval8,50011,000
(b) Failure to comply with provisions of the program6,5009,000
(c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or equipment5,0007,500
(d) Specific safety inspections:
(1)(i) Failure to perform Class I brake test or equivalent8,50011,000
(1)(ii) Partial failure to perform Class I brake test or equivalent6,5009,000
(2)(i) Failure to perform exterior mechanical inspection1 5,0007,500
(2)(ii) Failure to perform interior mechanical inspection1 3,0004,500
(g) Failure to perform scheduled maintenance as required in program5,0007,500
(h) Failure to comply with training, qualification and designation program6,5009,000
(i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance5,0007,500
(j) Failure to conduct annual review6,5009,000
(k) Failure to establish or utilize quality control program6,5009,000
Subpart G—Specific Safety Planning Requirements for Tier II Passenger Equipment
238.603 Safety plan:
(a) Failure to develop safety operating plan6,5009,000
(b) Failure to develop procurement plan6,5009,000
(1)-(7) Failure to develop portion of plan5,0007,500
(c) Failure to maintain documentation5,0007,500
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 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 § 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 § 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 § 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under § 238.303 and § 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 § 238.313 through § 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.
End Part Start Part

PART 239—[AMENDED]

45. The authority citation for part 239 continues to read as follows:

Start Authority

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).

End Authority

46. Appendix A to part 239 is revised to read as follows:

Appendix A to Part 239.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
Subpart B—Specific Requirements
239.101 (a) Failure of a railroad to adopt a written emergency preparedness plan$8,500$11,000
(a)(1) Failure of the plan to provide for:
(i) Initial or on-board notifications by an on-board crewmember5,0007,500
(ii) Notification of outside emergency responders by control center5,0007,500
(a)(2) Failure of the plan to provide for:
(i) Initial or periodic training of on-board personnel5,0007,500
(ii) Initial or periodic training of control center personnel5,0007,500
(iii) Completion of initial training of all on-board and control center personnel by the specified date5,0007,500
(iv) Completion of initial training of all newly hired on-board and control center personnel by the specified date5,0007,500
(v) Adequate procedures to evaluate and test on-board and control center personnel for qualification under the emergency preparedness plan5,0007,500
(vi) Adequate on-board staffing5,0007,500
Start Printed Page 70633
(a)(3) Failure of a host railroad 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 operation5,0007,500
(a)(4) Failure of the plan to address:
(i) Readiness procedures for emergencies in tunnels5,0007,500
(ii) Readiness procedures for emergencies on an elevated structure or in electrified territory5,0007,500
(iii) Coordination efforts involving adjacent rail modes of transportation5,0007,500
(a)(5) Failure of the plan to address relationships with on-line emergency responders by providing for:
(i) The development and availability of training programs5,0007,500
(ii) Invitations to emergency responders to participate in emergency simulations5,0007,500
(iii) Distribution of applicable portions of the current emergency preparedness plan5,0007,500
(a)(6) Failure of the plan to provide for, or the railroad to include on board each train and maintain and replace:
(i) Emergency equipment5,0007,500
(ii) First-aid kits5,0007,500
(iii) Emergency lighting5,0007,500
(a)(7) Failure of the plan to provide for emergency instructions inside each passenger car or to include additional safety awareness information3,0004,500
239.103 Failure to conduct a required full-scale simulation in accordance with the frequency schedule5,0007,500
239.105 Debriefing and critique:
(a) Failure to conduct a debriefing and critique session after an emergency or full-scale simulation5,0007,500
(d)(1) Failure to maintain a record3,0004,500
(i) Failure to include date or location of the emergency or simulation1,5002,500
(ii) Failure to include date or location of the debriefing and critique session1,5002,500
(iii) Failure to include names of participants in the debriefing and critique session1,5002,500
(d)(2) Failure to make record available1,5002,500
239.107 Emergency exits:
(a)(1), (a)(2):
(i) Door not marked or instructions not posted5,0007,500
(ii) Door improperly marked or instructions 1,000-2,000 improperly posted5,0007,500
(b)(1) Failure to provide for scheduled inspection, maintenance, and repair of emergency windows and doors5,0007,500
(b)(2):
(i) Failure to test a representative sample of emergency windows5,0007,500
(ii) Emergency windows tested too infrequently3,0004,500
(b)(3) Failure to repair an inoperative emergency window or door exit5,0007,500
(c):
(i) Failure to maintain a record5,0007,500
(ii) Failure to make record available1,5002,500
(d)(1) Insufficient limits or controls on accessibility to records5,0007,500
(d)(2) Missing terminal1,5002,500
(d)(3) Inability of railroad to produce information in a usable format for immediate review1,5002,500
(d)(4) Failure by railroad to designate an authorized representative1,5002,500
(d)(5) Failure to make record available1,5002,500
Subpart C—Review, Approval, and Retention of Emergency Preparedness Plans
239.201 Filing and approval:
(a):
(i) Failure of a railroad to file a written emergency preparedness plan6,5009,000
(ii) Failure to designate a primary person to contact for plan review1,5002,500
(iii) Failure of a railroad to file an amendment to its plan5,0007,500
(b)(1), (b)(2):
(i) Failure of a railroad to correct a plan deficiency1,5002,500
(ii) Failure to provide FRA with a corrected copy of the plan1,5002,500
(b)(3):
(i) Failure of a railroad to correct an amendment deficiency1,5002,500
(ii) Failure to file a corrected plan amendment with FRA1,5002,500
239.203 Retention of emergency preparedness plan:
(1) Failure to retain a copy of the plan or an amendment to the plan5,0007,500
(2) Failure to make record available1,5002,500
Subpart D—Operational (Efficiency) Tests; Inspection of Records and Recordkeeping
239.301 Operational (efficiency) tests:
(a) Testing Program5,0007,500
(b)(1) Failure to maintain a record5,0007,500
(b)(2) Record improperly completed1,5002,500
(c)(1) Failure to retain a copy of the record1,5002,500
(c)(2) Failure to make record available1,5002,500
239.303 Electronic recordkeeping:
Start Printed Page 70634
(a) Insufficient limits or controls on accessibility to records3,0004,500
(b) Missing terminal1,5002,500
(c) Inability of railroad to produce information in a usable format for immediate review1,5002,500
(d) Failure by railroad to designate an authorized representative1,5002,500
(e) Failure to make record available1,5002,500
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.
End Part Start Part

PART 240—[AMENDED]

47. The authority citation for part 240 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 149.

End Authority

48. Appendix A to part 240 is revised to read as follows:

Appendix A to Part 240.—Schedule of Civil Penalties 1

Section 2ViolationWillful 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 subject5,0007,500
240.103 Failure to:
(a) follow Appendix B1,5002,500
(d) resubmit, when directed by FRA1,5002,500
240.104 Allowing uncertified person to operate non-traditional locomotives6,5009,000
240.105 Failure to have or execute adequate procedure for selection of supervisors5,0007,500
240.107 Classes of Service:
(a) Failure to designate classes of service5,0007,500
240.109 Limitations on considering prior conduct records:
(a) Failure to have procedure for determining eligibility5,0007,500
(e) Considering excluded data5,0007,500
(f), (g) Failure to provide timely review opportunity5,0007,500
240.111 Furnishing Motor Vehicle Records:
(a) Failure to action required to make information available1,5002,500
(b) Failure to request:
(1) local record1,5002,500
(2) NDR record1,5002,500
(f) Failure to request additional record1,5002,500
(g) Failure to notify of absence of license1,5002,500
(h) Failure to submit request in timely manner1,5002,500
(i) Failure to report within 48 hours or railroad taking certification action for not reporting earlier than 48 hours1,5002,500
240.113 Furnishing prior employment information:
(a) Failure to take action required to make information available1,5002,500
(b) Failure to request record1,5002,500
240.115 Criteria for considering prior motor vehicle conduct:
(b) Considering excluded data5,0007,500
(c) Failure to:
(1) consider data8,50011,000
(3)-(4) properly act in response to data3,0004,500
240.117 Consideration of Operational Rules Compliance Records:
(a) Failure to have program and procedures8,50011,000
(b)-(j) Failure to have adequate program or procedure5,0007,500
240.119 Consideration of substance abuse/rules compliance Records:
(a) Failure to have program and procedures8,50011,000
(b)-(e) Failure to have adequate program or procedure5,0007,500
240.121 Failure to have adequate procedure for determining acuity5,0007,500
(f) Failure of engineer to notify5,0007,500
240.123 Failure to have—
(b) adequate procedures for continuing education5,0007,500
(c) adequate procedures for training new engineers5,0007,500
240.125 Failure to have—
(a) adequate procedures for testing knowledge5,0007,500
Start Printed Page 70635
(d) adequate procedures for documenting testing5,0007,500
240.127 Failure to have—
(a) adequate procedures for evaluating skill performance5,0007,500
(c) adequate procedures for documenting skills testing5,0007,500
240.129 Failure to have—
(a)-(b) adequate procedures for monitoring performance5,0007,500
Subpart C—Implementation of the Process
240.201 Schedule for implementation:
(a) Failure to select supervisors by specified date1,5002,500
(b) Failure to identify grandfathered engineers3,0004,500
(c) Failure to issue certificate to engineer1,5002,500
(d) Allowing uncertified person to operate5,0007,500
(e)-(g) Certifying without complying with subpart C5,0007,500
(h)-(i) Failure to issue certificate to engineer1,5002,500
240.203 (a) Designating a person as a supervisor without determining that—
(1) person knows and understands this part5,0007,500
(2) person can test and evaluate engineers8,50011,000
(3) person has experience to prescribe remedies5,0007,500
(b) Certifying a person without determining that—
(1) person meets the eligibility criteria8,50011,000
(2) person meets the medical criteria5,0007,500
(3) person has demonstrated knowledge5,0007,500
(4) person has demonstrated skills5,0007,500
(c) Certifying a person without determining that—
(1) person has completed training program5,0007,500
(2) person meets the eligibility criteria5,0007,500
(3) time has elapsed5,0007,500
240.205 Procedures for determining eligibility based on prior safety conduct:
(a) Selecting person lacking eligibility8,50011,000
(d) Failure to have basis for taking action5,0007,500
240.207 Ineligibility based on medical condition:
(a) Selecting person lacking proper acuity6,5009,000
(b) Failure to have basis for finding of proper acuity1,5002,500
(c) Acuity examinations performed by unauthorized person1,5002,500
(d) Failure to note need for device to achieve acuity1,5002,500
(e) Failure to use device needed for proper acuity1,5002,500
240.209 Demonstrating knowledge:
(b) Failure to properly determine knowledge6,5009,000
(c) Improper test procedure5,0007,500
(d) Failure to document test results1,5002,500
(e) Allowing person to operate despite test failure5,0007,500
240.211 Demonstrating skills:
(b) Failure to properly determine knowledge5,0007,500
(c) Improper test procedure3,0004,500
(d) Failure to document test results1,5002,500
(e) Allowing person to operate despite test failure5,0007,500
240.213 Completion of approved training program:
(a) Failure to properly determine5,0007,500
(b) Failure to document successful program completion3,0004,500
240.215 Supporting information:
(a), (f)-(h) Failure to have a record1,5002,500
(b) Failure to have complete record1,5002,500
(i) Falsification of record(—)11,000
240.217 Time limits for making determinations:
(a), (c) Exceeding time limit3,0004,500
240.219 Denial of certification:
(a) Failure to notify or provide opportunity for comment3,0004,500
(c) Failure to notify, provide data, or untimely notification3,0004,500
240.221 Identification of persons:
(a)-(c) Failure to have a record3,0004,500
(d) Failure to update a record3,0004,500
(e)-(f) Failure to make a record available1,5002,500
240.223 Certificate criteria:
(a) Improper certificate1,5002,500
(b) Failure to designate those with signatory authority1,5002,500
(d) Falsification of certificate(—)11,000
240.225 Railroad Relying on Determination of Another:
(a) Failure to address in program or failure to require newly hired engineer to take entire training program8,50011,000
(2) Reliance on wrong class of service3,0004,500
Start Printed Page 70636
(3) Failure to familiarize person with new operational territory3,0004,500
(4) Failure to determine knowledge3,0004,500
(5) Failure to determine performance skills3,0004,500
240.227 Railroad Relying on Requirements of a Different Country:
(a) Joint operator reliance:
(1) on person not employed1,5002,500
(2) on person who fails to meet Canadian requirements1,5002,500
(b) Canadian railroad reliance:
(1) on person not employed1,5002,500
(2) on person who fails to meet Canadian requirements1,5002,500
240.229 Requirements for Joint Operations Territory:
(a) Allowing uncertified person to operate3,0004,500
(b) Certifying without making determinations or relying on another railroad6,5009,000
(c) Failure of:
(1) controlling railroad certifying without determining certification status, knowledge, skills, or familiarity with physical characteristics8,50011,000
(2) employing railroad to determine person's certified and qualified status for controlling railroad8,50011,000
(3) person to notify employing railroad of lack of qualifications8,50011,000
(d) Failure to provide qualified person3,0004,500
240.231 Persons Qualified on Physical Characteristics in Other Than Joint Operations:
(a) Person unqualified, no exception applies or railroad does not adequately address in program8,50011,000
(b) Failure to have a pilot:
(1) for engineer who has never been qualified8,50011,000
(2) for engineer previously qualified5,0007,500
Subpart D—Program Administration
240.301 Failure to have system for certificate replacement3,0004,500
240.303 Monitoring operations:
(a) Failure to have program8,50011,000
(b) Failure to observe each person annually1,5002,500
(c) Failure to test each person annually1,5002,500
(d) Failure to test properly1,5002,500
240.305 Prohibited Conduct:
(a) Unlawful:
(1) passing of stop signal6,5009,000
(2) control of speed6,5009,000
(3) brake tests6,5009,000
(4) occupancy of main track6,5009,000
(5) tampering or operation with disabled safety device6,5009,000
(6) supervisor, pilot, or instructor fails to take appropriate action6,5009,000
(b) Failure of engineer to:
(1) carry certificate1,5002,500
(2) display certificate when requested1,5002,500
(c) Failure of engineer to notify railroad of limitations or railroad requiring engineer to exceed limitations8,50011,000
(d) Failure of engineer to notify railroad of denial or revocation8,50011,000
240.307 Revocation of Certification:
(a) Failure to withdraw person from service3,0004,500
(b) Failure to notify, provide hearing opportunity, or untimely procedures3,0004,500
(c)-(h) Failure of railroad to comply with hearing or waiver procedures3,0004,500
(j) Failure of railroad to make record3,0004,500
(k) Failure of railroad to conduct reasonable inquiry or make good faith determination6,5009,000
240.309 Oversight Responsibility Report:
(a) Failure to report or to report on time1,5002,500
(b)-(h) Incomplete or inaccurate report3,0004,500
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 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.
End Part Start Part

PART 241—[AMENDED]

49. The authority citation for part 241 continues to read as follows:

Start Authority

Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28 U.S.C. 2461, note; 49 CFR 1.49.

End Authority

50. Appendix B to part 241 is revised to read as follows: Start Printed Page 70637

Appendix B to Part 241.—Schedule of Civil Penalties 1

Section 2ViolationWillful violation
241.9 (a) Requiring or permitting extraterritorial dispatching of a railroad operation$6,500$9,000
(b) Failing to notify FRA about extraterritorial dispatching of a railroad operation in an emergency situation6,5009,000
241.11 Conducting a railroad operation that is extraterritorially dispatched:
(a)(1) Generally6,5009,000
(a)(2) In an emergency situation—where dispatching railroad fails to notify FRA of the extraterritorial dispatching1,5002,500
241.13 Requiring or permitting track to be used for the conduct of a railroad operation that is extraterritorially dispatched:
(a)(1) Generally6,5009,000
(a)(2) In an emergency situation—where dispatching railroad fails to notify FRA of the extraterritorial dispatching1,5002,500
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 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.
Start Signature

Issued in Washington, DC on November 16, 2006.

Joseph H. Boardman,

Administrator.

End Signature End Part End Supplemental Information

Footnotes

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.

Back to Citation

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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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.

Back to Citation

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.

Back to Citation

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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[FR Doc. E6-20031 Filed 12-4-06; 8:45 am]

BILLING CODE 4910-06-P