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

Federal RegisterDec 5, 2006

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241

[Docket No. FRA-2006-25274]

RIN 2130-AB81

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

AGENCY:

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

ACTION:

Proposed schedules of civil penalties with request for comments.

SUMMARY:

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

DATES:

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

ADDRESSES:

Comments:

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

• Web Site:

http://dms.dot.gov

. Follow the instructions for submitting comments on the DOT electronic docket site.

• Fax: 202-493-2251.

• Mail: Docket Management Facility, U.S. Department of Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, Washington, DC 20590.

• Hand Delivery: Room PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays.

• Federal eRulemaking Portal: Go to

http://www.regulations.gov

. Follow the online instructions for submitting comments.

Instructions:

All submissions must include the agency name and docket number or Regulatory Identification Number (RIN) for this rulemaking. Note that all comments received will be posted without change to

http://dms.dot.gov

including any personal information.

Docket:

For access to the docket to read background documents or comments received go to

http://dms.dot.gov

at any time or to PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., Washington, DC between 9 a.m. and 5 p.m., Monday through Friday, except Federal Holidays.

FOR FURTHER INFORMATION CONTACT:

Edward Pritchard, Director, Office of Safety Assurance and Compliance, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6247),

edward.pritchard@dot.gov

; or Carolina Mirabal, Trial Attorney, Office of Chief Counsel, FRA, 1120 Vermont Avenue, NW., Mail Stop 10, Washington, DC 20590 (telephone 202-493-6043),

carolina.mirabal@dot.gov

SUPPLEMENTARY INFORMATION:

Table of Contents for Supplementary Information

I. Background

II. FRA's Approach to Reevaluating the Schedules of Civil Penalties

III. Rankings of the Sections or Subsections of Each of the Rail Safety Regulations

A. Motive Power and Equipment Regulations (CFR Parts 215, 218 (Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))

B. Track and Workplace Safety Regulations (CFR Parts 213 and 214)

C. Grade Crossing Signal Systems and Signal and Train Control Regulations (CFR Parts 233, 234, 235, and 236)

D. Operating Practices Regulations (CFR Parts 214, 217, 218 (Partially), 219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 241)

List of Subjects in 49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241

I. Background

FRA last published comprehensive revisions to the Schedules of its safety regulations on December 29, 1988. 53 FR 52918. The revisions reflected the higher maximum penalty amounts made available by the enactment of the Rail Safety Improvement Act of 1988 (RSIA) (Pub. L. 100-342). 53 FR 52918. With the exception of the penalties relating to the hours of service laws (49 U.S.C. Ch. 211), RSIA raised the maximum CMP for any ordinary violation from $2,500 to $10,000 (the ordinary maximum) and to $20,000 (the aggravated maximum) for a grossly negligent violation or a pattern of repeated violations that has created an imminent hazard of death or injury or caused death or injury. Therefore, FRA published amendments to the Schedules in order to “give effect to the full range of civil penalties * * * permitted to be assessed for violation of specific regulations.” 53 FR 52918. These amendments revised not only the maximum civil penalty amount for any violation, but also the individual line-item penalties for specific sections or subsections of the regulations.

The Rail Safety Enforcement and Review Act (RSERA) of 1992 (Pub. L. 102-365) increased the maximum CMP from $1,000 to $10,000 and in some cases to $20,000, for a violation of the hours of service laws, making these penalty amounts uniform with those of FRA's other regulatory provisions. RSERA also increased the minimum CMP from $250 to $500 for all of FRA's regulatory provisions.

Since the publication of the Schedules in 1988, FRA has only adjusted its minimum and ordinary or aggravated maximum CMPs to conform to the mandates of the Federal Civil Penalties Inflation Adjustment Act of 1990 (Inflation Act). The Inflation Act required that an agency adjust by regulation each maximum CMP, or range of minimum and maximum CMPs within that agency's jurisdiction by October 23, 1996, and adjust those penalty amounts once every four years thereafter to reflect inflation. Public Law 101-410, 104 Stat. 890, 28 U.S.C. 2461, note, as amended by Section 31001(s)(1) of the Debt Collection Improvement Act of 1996, Public Law 104-134, 110 Stat. 1321-373, April 26, 1996. In the Inflation Act, Congress found a way to counter the effect that inflation has had on the CMPs by having the agencies charged with enforcement responsibility administratively adjust the CMPs. Currently FRA's minimum CMP is $550, the ordinary maximum is $11,000, and the aggravated maximum is $27,000 (for when a “grossly negligent violation or pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury”).

The Inflation Act requires only that the minimum, maximum and aggravated maximum civil penalty for a violation be adjusted, not that the guideline penalty amounts for a specific type of violation be adjusted; therefore, FRA

has not adjusted the line-item guideline penalties found in the Schedules in conjunction with its adjustments of the minimum, maximum and aggravated maximum civil penalties. FRA's practice has been to issue Schedules assigning to each section or subsection of the regulations specific dollar amounts for initial penalty assessments. These Schedules (and all line-item penalty amounts found within them) are statements of agency policy that specify the CMP that FRA will ordinarily assess for the violation of a particular section or subsection of a safety regulation, and are published to inform members of the regulated community of the amount that they are likely to be assessed for a given violation within the range of $550 to $11,000. The Schedules are “meant to provide guidance as to FRA's policy in predictable situations, not to bind FRA from using the full range of penalty authority where extraordinary circumstances warrant.” 49 CFR part 209, App. A. Thus, regardless of the amounts shown in the Schedules, FRA continues to reserve the right to assess an amount other than that listed in the Schedules based on the circumstances of the alleged violation, as well as the statutory maximum CMP of up to $27,000 per violation in situations “where a grossly negligent violation or a pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury.”

II. FRA's Approach to Reevaluating the Schedules of Civil Penalties

The Federal Railroad Administrator is authorized as the delegate of the Secretary of Transportation to enforce the Federal railroad safety statutes (49 U.S.C. Ch. 201-213) and regulations, including the statutory civil penalty provisions at 49 U.S.C. Ch. 213. 49 CFR 1.49. FRA currently has 25 regulations that contain Schedules.

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.

FRA is not amending the Schedule found in 49 CFR part 210 because that part is enforcing the Railroad Noise Emission Standards established by the Environmental Protection Agency in 40 CFR part 201.

In reevaluating the penalty amounts in the Schedules, FRA has developed the following Severity Scale (Severity Scale) for setting the line-item penalty amounts for each of the provisions in the safety regulations:

Severity Scale for Setting Line-Item Penalty Amounts in FRA Penalty Schedules

FRA's regulations are intended either to prevent a railroad accident/incident or to mitigate the consequences if one were to occur. For the most severe ratings on the scale, FRA concentrated on the

degrees of likelihood

that an accident/incident

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:

“Accidents/incidents” is defined at 49 CFR 225.5 and 225.19(c). The term includes highway-rail grade crossing accidents/incidents, rail equipment accidents/incidents, and accidents/incidents resulting in death, injury, or occupational illness. A highway-rail grade crossing accident/incident is “[a]ny impact between railroad on-track equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or pedestrian at a highway-rail grade crossing.” 49 CFR 225.5, read in light of 49 CFR 225.19(c). Rail equipment accidents/incidents are defined in 49 CFR 225.19(c) to include “collisions, derailments, fires, explosions, acts of God, and other events involving the operation of on-track equipment (standing or moving) * * * that result in damage to railroad property that is greater than the reporting threshold.” Currently the reporting threshold is $7,700. 70 FR 754141, 75417 (Dec. 20, 2005).

Level A—Very High Probability—Failure of railroad to comply with this section or subsection of the Code of Federal Regulations (CFR)

is extremely likely to result

in one or more of the following events, but does not create an imminent hazard of death or injury to individuals or causes an actual death or injury

FRA has statutory authority to assess civil penalties in the range of $550 (minimum) to $11,000 (maximum) for ordinary violations of its regulations. FRA may only assess a penalty at the statutory maximum of $27,000 “when a grossly negligent violation or a pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury.” A $27,000 statutory maximum penalty is the equivalent of a Level A Plus and is therefore off the scale.

1. Rail equipment accident/incident; or

2. Other accident/incident (not a rail equipment accident/incident).

FRA is proposing to issue a CMP guideline for Level “A” of $8,500 for ordinary violations and $11,000 for willful violations of the regulations.

Level B—High Probability—Failure of railroad to comply with this section or subsection of the CFR

is more likely than not to result

in the occurrence of:

1. Rail equipment accident/incident; or

2. Other accident/incident (not a rail equipment accident/incident).

FRA is proposing to issue a CMP guideline for Level “B” of $6,500 for ordinary violations and $9,000 for willful violations of the regulations.

For the following levels, FRA is not only addressing the likelihood that noncompliance will or could contribute to an accident or aggravated consequences if an accident occurred, but also the importance of maintaining compliance in order to prevent violations of these CFR sections or subsections from becoming leading accident causes in the future.

Level C—Moderate Probability—Failure of railroad to comply with this section or subsection of the CFR

substantially increases

the likelihood that one of the following will occur:

1. Rail equipment accident/incident; or

2. Other accident/incident (not a rail equipment accident/incident).

FRA is proposing to issue a CMP guideline for Level “C” of $5,000 for ordinary violations and $7,500 for willful violations of the regulations.

Level D—Minor Probability—Failure of the railroad to comply with this section or subsection of the CFR

slightly increases

the likelihood that one of the following will occur:

1. Rail equipment accident/incident; or

2. Other accident/incident (not a rail equipment accident/incident).

FRA is proposing to issue a CMP guideline for Level “D” of $3,000 for ordinary violations and $4,500 for willful violations of the regulations.

Level E—Minimal Probability—Failure to comply with this CFR section or subsection

does not increase the likelihood

that a rail equipment accident/incident or other accident/incident will occur, except in special circumstances, such as if the noncompliance is willful or widespread. Nevertheless, noncompliance with any one of these provisions undercuts the effectiveness of the Federal railroad safety program, and could compromise the safety of rail operations.

Example:

Violation of § 225.13—Late Reports—Submitting a late accident/

incident report to FRA does not increase the likelihood that a rail equipment accident/incident or other accident/incident will occur. Widespread noncompliance with that provision, however, could lead to inaccuracies in Federal accident databases, which in turn could delay FRA's response to emerging safety problems.

FRA is proposing to issue a CMP guideline for Level “E” of $1,500 for ordinary violations and $2,500 for willful violations of the regulations.

As the Severity Scale shows, there are five different degrees of probabilities, ranging from A (the most severe) to E (the least severe of the types of violations). In developing the rankings (A through E), FRA concentrated on the degrees of likelihood that an accident/incident will occur or that graver consequences will occur as a result of the failure to comply with the particular section or subsection of the safety regulations. The Severity Scale was then used by FRA to assign a ranking (from A to E) to each of the provisions of the particular safety regulations that it has responsibility for administering and enforcing. The resulting line-item penalty amounts for each of the sections or subsections of the safety regulations affected reflect FRA's determination, based on safety data and industry knowledge, of how likely the violation of a particular section or subsection is to result in a rail equipment accident/incident or other type of accident/incident. FRA not only increased the penalty amounts in some instances, but also reduced the penalty amounts for some sections or subsections where it determined that a violation of the particular regulation constituted less of a safety risk. A determination by FRA that a CFR section or subsection does not increase the likelihood than a rail equipment accident/incident or other accident will occur, however, does not mean that this section or subsection is inconsequential to the effectiveness of the Federal railroad safety program or to the overall safety of railroad operations.

The new Schedules will continue to have two categories of violations: Ordinary and willful. See 49 CFR part 209, App. A for a discussion of “willful” violations. The ordinary penalties apply to railroads or other respondents, except individuals, while the “willful” column applies to willful violations committed by railroads or other respondents, including individuals. Each Schedule lists the CFR section or subsection in the left hand column, with the corresponding penalties listed in the columns next to it. The only exception continues to be 49 CFR part 231; what are listed in the left hand column of the Schedule are the FRA “defect codes”

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.

Defect codes were developed by FRA in order to facilitate computerization of inspection data generated by FRA inspectors by providing a digital format for every CFR section. Defect codes are analytical tools only and are subject to change without notice.

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

Severity level

Ordinary violations

Willful

violations

Level A

$8,500

$11,000

Level B

6,500

9,000

Level C

5,000

7,500

Level D

3,000

4,500

Level E

1,500

2,500

III. Rankings of the Sections or Subsections of Each of the Rail Safety Regulations

Although the railroad industry's overall safety record has improved over the last decade, significant train accidents/incidents continue to occur. As a result, the FRA's safety program is being guided by careful analysis of accident/incident, inspection, and other safety data. FRA has also directed both its regulatory and compliance efforts toward the areas that involve the highest of safety risks, in order to reduce the number and severity of accidents/incidents caused by a failure to comply with those safety regulations. Therefore, the goal of the new line-item penalty amounts for each of the Schedules is to reflect the different degrees of probability that a violation of a particular CFR section or subsection will result in a rail equipment accident/incident or other accident/incident, in order to improve the overall safety of railroad operations.

A. Motive Power and Equipment Regulations (MP&E) (49 CFR Parts 215, 218 (Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))

In reevaluating the line-item penalty amounts for each of the CFR sections or subsections found in Parts 215, 218 (partially), 223, 224, 229, 231, 232, 238, and 239 (partially) of the CFR, FRA took into consideration, among other factors, the nationwide list of “Top 10” MP&E defects. The defects are listed in the table below, in descending order, according to the number of times that each defect was determined to have caused a rail equipment accident/incident, excluding highway-rail grade crossing accidents/incidents that are also classified as rail equipment accidents/incidents (hereinafter) “train accidents,” between 2002 and 2005.

Journal (roller bearing) overheated—(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

track-related train accidents when applying the Severity Scale to the Track Safety Standards. For example, 49 CFR 213.53(b)—Gage—received an “A” (and a proposed penalty guideline amount of $8,500) ranking because it is one of the leading causes of track-related train accidents.

In ranking the sections or subsections of 49 CFR part 214 (Part 214)—Railroad Workplace Safety, FRA took into consideration not only the probability that an accident/incident could result if a violation occurred, but also the fact that the accident/incident could result in serious injury or death. One example of the rankings for part 214 is the ranking for the second type of violation of section 214.103, which requires bridge workers to use fall protection. This subsection received a ranking of “A” (and a proposed guideline penalty of $8,500) because a violation of the subsection could result in serious injury or death, as evidenced by the several bridge worker fatalities in the past 10 years due to the failure to use fall protection.

C. Grade Crossing Signal Systems and Signal and Train Control Regulations (CFR Parts 233, 234, 235, and 236)

FRA applied the Severity Scale to each of the sections in Parts 233, 234, 235, and 236, in order to determine the appropriate rankings for each of the sections or subsections of the regulations. In the area of signal and train control (S&TC), FRA followed the Severity Scale, which concentrates on the potential for an accident/incident resulting from noncompliance. While there are relatively few train accidents associated with S&TC causes and few highway-rail grade crossing accidents/incidents associated with S&TC causes that have occurred in recent years, it is imperative that the Schedules still reflect the levels of risks associated with the violation of these CFR sections or subsections, in order to prevent future S&TC-caused accidents.

D. Operating Practices Regulations (CFR Parts 217, 218 (Partially), 219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 241)

Over the last five years, human-factor-related causes have accounted for 38 percent of all train accidents. A review of the FRA's Office of Safety database indicated that the top four human factor causes contributing to train accidents are as follows: (1) Switch improperly lined; (2) shoving movement, absence of employee on, at or ahead of movement; (3) shoving movement, failure to control; and (4) buff/slack action excess, train handling. These top causes are often involved in violations of such regulations as 49 CFR part 220, Railroad Communications. A review of the top four causes for human factors train accidents between 2001 and 2005 showed that these causes accounted for 2,175 reportable train accidents/incidents (including 12 employee fatalities, 389 employee injuries, and $60,550,000 in rail and equipment damages). Therefore, when applying the Severity Scale to the CFR sections or subsections, FRA considered all of this safety information in order to ensure that each line-item penalty amount reflected the likelihood that noncompliance would result in a train accident/incident, or that graver consequences would occur as a result of failing to comply with the section or subsection of the regulations

FRA has separately proposed that additional Railroad Operating Rules be incorporated in the Federal regulations and made directly enforceable. The notice of proposed rulemaking was issued on October 12, 2006, and included additional amendments to the Schedules of Parts 217 and 218. See 71 FR 60372.

List of Subjects

49 CFR Part 213

Bridges, Occupational safety and health, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 214

Bridges, Occupational safety and health, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 215

Freight, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 217

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 218

Occupational safety and health, Penalties, Railroad employees, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 219

Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad safety, Reporting and recordkeeping requirements, safety, Transportation.

49 CFR Part 220

Penalties, Radio, Railroad safety.

49 CFR Part 221

Penalties, Railroad safety, reporting and recordkeeping requirements.

49 CFR Part 222

Administrative practice and procedure, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 223

Glass and glass products, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 224

Incorporation by reference, Penalties, Railroad locomotive safety, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 225

Investigations, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 228

Penalties, Railroad employees, Reporting and recordkeeping requirements.

49 CFR Part 229

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 230

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 231

Penalties, Railroad safety.

49 CFR Part 232

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 233

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 234

Highway safety, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 235

Administrative practice and procedure, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 236

Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 238

Fire prevention, Penalties, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 239

Penalties, Railroad safety, Reporting and recordkeeping.

49 CFR Part 240

Administrative practice and procedure, Penalties, Railroad employees, Railroad safety, Reporting and recordkeeping requirements.

49 CFR Part 241

Communications, Penalties, Railroad safety, Reporting and recordkeeping requirements.

In consideration of the foregoing, FRA proposes to amend Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, and 241 of Subtitle B, Chapter II of Title 49 of the Code of Federal Regulations as follows:

PART 213—[AMENDED]

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

Authority:

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

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

Appendix B to Part 213.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart A—General

213.4(a) Excepted track

$5,000

$7,500

213.4(b) Excepted track

6,500

9,000

213.4(c) Excepted track

6,500

9,000

213.4(d) Excepted track

6,500

9,000

213.4(e):

(1) Excepted track

6,500

9,000

(2) Excepted track

6,500

9,000

(3) Excepted track

6,500

9,000

(4) Excepted track

6,500

9,000

213.4(f) Excepted track

3,000

4,500

213.7 Designation of qualified persons to supervise certain renewals and inspect track

5,000

7,500

213.9 Classes of track: Operating speed limits

8,500

11,000

213.11 Restoration or renewal of track under traffic conditions

5,000

7,500

213.13 Measuring track not under load

6,500

9,000

Subpart B—Roadbed

213.33 Drainage

6,500

9,000

213.37 Vegetation

5,000

7,500

Subpart C—Track Geometry

213.53 Gage

8,500

11,000

213.55 Alignment

6,500

9,000

213.57 Curves; elevation and speed limitations

6,500

9,000

213.59 Elevation of curved track; runoff

6,500

9,000

213.63 Track surface

6,500

9,000

Subpart D—Track Structure

213.103 Ballast; general

5,000

7,500

213.109 Crossties

(a) Material used

3,000

4,500

(b) Distribution of ties

6,500

9,000

5,000

7,500

(d) Sufficient number of nondefective ties (effective 9/21/2000)

5,000

7,500

(f) Joint ties

5,000

7,500

(g) Track constructed without crossties

5,000

7,500

213.110 Gage restraint measurement systems

(a) through (b) Notification

5,000

7,500

6,500

9,000

(g) through (i) Exception reports

5,000

7,500

(j) Data integrity

6,500

9,000

(k) Training

5,000

7,500

(l) Remedial actions

8,500

11,000

(m) PTLF

6,500

9,000

(n) Recordkeeping

5,000

7,500

(o) Inspection frequency

8,500

11,000

213.113 Defective rails

8,500

11,000

213.115 Rail end mismatch

5,000

7,500

213.119 Continuous welded rail

(a) CWR plan filed with FRA

6,500

9,000

(b) CWR fastening requirements

6,500

9,000

6,500

9,000

(d) CWR alignment monitoring requirements

6,500

9,000

(e) Procedures for controlling train speed on CWR track

6,500

9,000

(f) CWR track inspections

6,500

9,000

(g) CWR joint bar inspections

6,500

9,000

(h) CWR training

6,500

9,000

(i) CWR recordkeeping requirements

6,500

9,000

213.121(a) Rail joints

6,500

9,000

213.121(b) Rail joints

6,500

9,000

213.121(c) Rail joints

8,500

11,000

213.121(d) Rail joints

6,500

9,000

213.121(e) Rail joints

6,500

9,000

213.121(f) Rail joints

6,500

9,000

213.121(g) Rail joints

6,500

9,000

213.121(h) Rail joints

6,500

9,000

213.122 Torch cut rail

6,500

9,000

213.123 Tie plates

5,000

7,500

213.127 Rail fastenings

6,500

9,000

213.133 Turnouts and track crossings, generally

5,000

7,500

213.135 Switches:

(a) through (g)

6,500

9.000

(h) chipped or worn points

6,500

9,000

213.137 Frogs

6,500

9,000

213.139 Spring rail frogs

6,500

9,000

213.141 Self-guarded frogs

5,000

7,500

213.143 Frog guard rails and guard faces; gage

6,500

9,000

Subpart E—Track Appliances and Track-Related Devices

213.205 Derails

5,000

7,500

Subpart F—Inspection

213.233 Track inspections

5,000

7,500

213.235 Switches, crossings, transition devices

5,000

7,500

213.237 Inspection of rail

6,500

9,000

213.239 Special inspections

5,000

7,500

213.241 Inspection records

5,000

7,500

Subpart G—High Speed

213.305 Designation of qualified individuals; general qualifications

8,500

11,000

213.307 Class of track; operating speed limits

8,500

11,000

213.309 Restoration or renewal of track under traffic conditions

8,500

11,000

213.311 Measuring track not under load

6,500

9,000

213.319 Drainage

5,000

7,500

213.321 Vegetation

5,000

7,500

213.323 Track gage

8,500

11,000

213.327 Alignment

8,500

11,000

213.329 Curves, elevation and speed limits

8,500

11,000

213.331 Track surface

8,500

11,000

213.333 Automated vehicle inspection systems

8,500

11,000

213.335 Crossties

(a) Material used

5,000

7,500

(b) Distribution of ties

6,500

9,000

5,000

7,500

(d) Sufficient number of nondefective, concrete ties

8,500

11,000

(e) Joint ties

8,500

11,000

(f) Track constructed without crossties

8,500

11,000

(g) Non-defective ties surrounding defective ties

8,500

11,000

(h) Tie plates

8,500

11,000

(i) Tie plates

8,500

11,000

213.337 Defective rails

8,500

11,000

213.339 Inspection of rail in service

8,500

11,000

213.341 Inspection of new rail

8,500

11,000

213.343 Continuous welded rail (a) through (h)

8,500

11,000

213.345 Vehicle qualification testing (a) through (b)

8,500

11,000

8,500

11,000

213.347 Automotive or railroad crossings at grade

6,500

9,000

213.349 Rail end mismatch

6,500

9,000

213.351(a) Rail joints

8,500

11,000

213.351(b) Rail joints

8,500

11,000

213.351(c) Rail joints

8,500

11,000

213.351(d) Rail joints

8,500

11,000

213.351(e) Rail joints

6,500

9,000

213.351(f) Rail joints

8,500

11,000

213.351(g) Rail joints

8,500

11,000

213.352 Torch cut rails

5,000

7,500

213.353 Turnouts, crossovers, transition devices

8,500

11,000

213.355 Frog guard rails and guard faces; gage

6,500

9,000

213.357 Derails

5,000

7,500

213.359 Track stiffness

8,500

11,000

213.361 Right of way

5,000

7,500

213.365 Visual inspections

8,500

11,000

213.367 Special inspections

8,500

11,000

213.369 Inspections records

5,000

7,500

In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote, track segments designated as excepted track that are or become ineligible for such designation by virtue of noncompliance with any of the requirements to which this footnote applies are subject to all other requirements of part 213 until such noncompliance is remedied.

PART 214—[AMENDED]

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

Authority:

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

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

Appendix A to Part 214.—Schedule of Civil Penalties

Section

Violation

Willful

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 protection

8,500

11,000

214.105 Standards and practices:

(a) General:

(1) Fall protection used for other purposes

5,000

7,500

(2) Failure to remove from service

5,000

7,500

(3) Failure to protect from deterioration

5,000

7,500

(4) Failure to inspect and remove

6,500

9,000

(5) Failure to train

6,500

9,000

(6) Failure to provide for prompt rescue

6,500

9,000

(7) Failure to prevent damage

5,000

7,500

(8) Failure to use proper connectors

5,000

7,500

(9) Failure to use proper anchorages

5,000

7,500

(b) Fall arrest system:

(1)-(17) Failure to provide conforming equipment

5,000

7,500

(1) Failure to install close to workplace

5,000

7,500

(2) Failure to provide fall arrest if over 30 feet

6,500

9,000

(3) Failure to provide for unobstructed fall

6,500

9,000

(4) Failure to test

5,000

7,500

(5) Failure to use proper equipment

5,000

7,500

(6) Failure to prevent contact with surface below

6,500

9,000

(7) Failure to properly install

6,500

9,000

(8) Failure to remove defective nets

6,500

9,000

(9) Failure to inspect

6,500

9,000

(10) Failure to remove objects

3,000

4,500

(11)-(13) Failure to use conforming equipment

5,000

7,500

214.107 Working over water:

(a)(i) Failure to provide life vest

6,500

9,000

(ii) Failure to use life vest

9,000

5,000

7,500

(e)(i) Failure to provide ring buoys

6,500

9,000

(ii) Failure to use ring buoys

5,000

7,500

(f)(i) Failure to provide skiff

5,000

7,500

(ii) Failure to use skiff

7,500

214.109 Scaffolding:

(a)-(f) Failure to provide conforming equipment

6,500

9,000

214.113 Head protection:

(a)(i) Failure to provide

6,500

9,000

(ii) Failure to use

9,000

(b) or (c) Failure to provide conforming equipment

5,000

7,500

214.115 Foot protection:

(a)(i) Failure to require use of

5,000

7,500

(ii) Failure to use

7,500

214.117 Eye and face protection:

(a)(i) Failure to provide

5,000

7,500

(ii) Failure to use

4,500

(b) Failure to use conforming equipment

5,000

7,500

5,000

7,500

(d) Failure to provide for corrective lenses

5,000

7,500

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 Program

8,500

11,000

(b) On-track Safety Program of a railroad includes no internal monitoring procedure

8,500

11,000

214.305 Compliance Dates:

Failure of a railroad to comply by the specified dates

5,000

7,500

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 Program

5,000

7,500

(ii) Failure to designate primary person to contact for program review

5,000

7,500

214.309 On-track safety program documents:

(1) On-track Safety Manual not provided to prescribed employees

6,500

9,000

(2) On-track Safety Program documents issued in fragments

5,000

7,500

214.311 Responsibility of employers:

(b) Roadway worker required by employer to foul a track during an unresolved challenge

8,500

11,000

6,500

9,000

214.313 Responsibility of individual roadway workers:

(a) Failure to follow railroad's on-track safety rules

11,000

(b) Roadway worker fouling a track when not necessary in the performance of duty

11,000

(d) Roadway worker failing to notify employer of determination of improper on-track safety provisions

11,000

214.315 Supervision and communication:

(a) Failure of employer to provide job briefing

8,500

11,000

(b) Incomplete job briefing

6,500

9,000

(c)(i) Failure to designate roadway worker in charge of roadway work group

6,500

9,000

(ii) Designation of more than one roadway worker in charge of one roadway work group

5,000

7,500

(iii) Designation of non-qualified roadway worker in charge of roadway work group

6,500

9,000

(d)(i) Failure to notify roadway workers of on-track safety procedures in effect

6,500

9,000

(ii) Incorrect information provided to roadway workers regarding on-track safety procedures in effect

6,500

9,000

(iii) Failure to notify roadway workers of change in on-track safety procedures

6,500

9,000

(e)(i) Failure of lone worker to communicate with designated employee for daily job briefing

7,500

(ii) Failure of employer to provide means for lone worker to receive daily job briefing

6,500

9,000

214.317 On-track safety procedures, generally:

On-track safety rules conflict with this part

8,500

11,000

214.319 Working limits, generally:

(a) Non-qualified roadway worker in charge of working limits

8,500

11,000

(b) More than one roadway worker in charge of working limits on the same track segment

6,500

9,000

(c)(1) Working limits released without notifying all affected roadway workers

8,500

11,000

(2) Working limits released before all affected roadway workers are otherwise protected

8,500

11,000

214.321 Exclusive track occupancy:

(a) Improper transmission of authority for exclusive track occupancy

5,000

7,500

(b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee

7,500

(2) Failure to retain possession of written authority for exclusive track occupancy

9,000

(3) Failure to record authority for exclusive track occupancy when issued

9,000

8,500

11,000

(d)(1) Movement authorized into limits of exclusive track occupancy without authority of roadway worker in charge

8,500

11,000

(2) Movement authorized within limits of exclusive track occupancy without authority of roadway worker in charge

8,500

11,000

(3) Movement within limits of exclusive track occupancy exceeding restricted speed without authority of roadway worker in charge

8,500

11,000

214.323 Foul time:

(a) Foul time authority overlapping movement authority of train or equipment

8,500

11,000

(b) Failure to repeat foul time authority to issuing employee

6,500

9,000

214.325 Train coordination:

(a) Train coordination limits established where more than one train is authorized to operate

6,500

9,000

(b)(1) Train coordination established with train not visible to roadway worker at the time

5,000

7,500

(2) Train coordination established with moving train

7,500

(3) Coordinated train moving without authority of roadway worker in charge

6,500

9,000

(4) Coordinated train releasing movement authority while working limits are in effect

6,500

9,000

214.327 Inaccessible track:

(a) Improper control of entry to inaccessible track

6,500

9,000

(5) Remotely controlled switch not properly secured by control operator

6,500

9,000

(b) Train or equipment moving within inaccessible track limits without permission of roadway worker in charge

6,500

9,000

6,500

9,000

214.329 Train approach warning provided by watchmen/lookouts:

(a) Failure to give timely warning of approaching train

11,000

(b)(1) Failure of watchman/lookout to give full attention to detecting approach of train

9,000

(2) Assignment of other duties to watchman/lookout

6,500

9,000

5,000

7,500

(d) Failure to maintain position to receive train approach warning signal

6,500

9,000

(e) Failure to communicate proper warning signal

6,500

9,000

(f)(1) Assignment of non-qualified person as watchman/lookout

6,500

9,000

(2) Non-qualified person accepting assignment as watchman/lookout

5,000

7,500

(g) Failure to properly equip a watchman/lookout

5,000

7,500

214.331 Definite train location:

(a) Definite train location established where prohibited

6,500

9,000

(b) Failure to phase out definite train location by required date

5,000

7,500

(d)(1) Train location information issued by unauthorized person

6,500

9,000

(2) Failure to include all trains operated on train location list

8,500

11,000

(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 passed

9,000

(6) Train passing station before time shown in train location list

8,500

11,000

(7) Non-qualified person using definite train location to establish on-track safety

6,500

9,000

214.333 Informational line-ups of trains:

(a) Informational line-ups of trains used for on-track safety where prohibited

8,500

11,000

(b) Informational line-up procedures inadequate to protect roadway workers

8,500

11,000

5,000

7,500

214.335 On-track safety procedures for roadway work groups:

(a) Failure to provide on-track safety for a member of a roadway work group

8,500

11,000

(b) Member of roadway work group fouling a track without authority of employee in charge

6,500

9,000

8,500

11,000

214.337 On-track safety procedures for lone workers:

(b) Failure by employer to permit individual discretion in use of individual train detection

8,500

11,000

(c)(1) Individual train detection used by non-qualified employee

6,500

9,000

(2) Use of individual train detection while engaged in heavy or distracting work

5,000

7,500

(3) Use of individual train detection in controlled point or manual interlocking

5,000

7,500

(4) Use of individual train detection with insufficient visibility

8,500

11,000

(5) Use of individual train detection with interfering noise

7,500

(6) Use of individual train detection while a train is passing

9,000

(d) Failure to maintain access to place of safety clear of live tracks

11,000

(e) Lone worker unable to maintain vigilant lookout

9,000

(f)(1) Failure to prepare written statement of on-track safety

4,500

(2) Incomplete written statement of on-track safety

4,500

(3) Failure to produce written statement of on-track safety to FRA

4,500

214.339 Audible warning from trains:

(a) Failure to require audible warning from trains

5,000

7,500

(b) Failure of train to give audible warning where required

5,000

7,500

214.341 Roadway maintenance machines:

(a) Failure of on-track safety program to include provisions for safety near roadway maintenance machines

8,500

11,000

(b) Failure to provide operating instructions

5,000

7,500

(1) Assignment of non-qualified employee to operate machine

6,500

9,000

(2) Operator unfamiliar with safety instructions for machine

6,500

9,000

(3) Roadway worker working with unfamiliar machine

6,500

9,000

(c) Roadway maintenance machine not clear of passing trains or operation of machine component closer than four feet to adjacent track without procedural instructions

8,500

11,000

214.343 Training and qualification, general:

(a)(1) Failure of railroad program to include training provisions

6,500

9,000

(2) Failure to provide initial training

6,500

9,000

(b) Failure to provide annual training

6,500

9,000

6,500

9,000

(d)(1) Failure to maintain records of qualifications

5,000

7,500

(2) Incomplete records of qualifications

5,000

7,500

(3) Failure to provide records of qualifications to FRA

5,000

7,500

214.345 Training for all roadway workers

6,500

9,000

214.347 Training and qualification for lone workers.

214.349 Training and qualification of watchmen/lookouts.

214.351 Training and qualification of flagmen.

214.353 Training and qualification of roadway workers who provide on-track safety for roadway work groups.

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 operation

9,000

(b) Roadway worker required to operate machine or vehicle when good-faith challenge not resolved

8,500

11,000

8,500

11,000

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 systems

8,500

11,000

(b) Failure of new or existing machines to protect employees from exposure to air contaminants

8,500

11,000

5,000

7,500

(d) Removal of “designated machine” from list before retired or sold

5,000

7,500

(e) Personal respiratory protective equipment not provided when ventilation system fails

8,500

11,000

(f) Personal respiratory protective equipment fails to meet required standards

8,500

11,000

(g) Other new machines with enclosed cabs not equipped with operable heating and ventilation systems

8,500

11,000

(h) Non-enclosed station not equipped with covering, where feasible

8,500

11,000

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 paragraphs

8,500

11,000

(a)(6)-(7) Failure to equip new machine with first-aid kit or operative and charged fire extinguisher

6,500

9,000

(b) Position for operator to stand not properly equipped to provide safe and secure position

8,500

11,000

6,500

9,000

(d) As-built light weight not conspicuously displayed on new machine

6,500

9,000

214.509 Required visual illumination and reflective devices for new on-track roadway maintenance machines

6,500

9,000

214.511 Required audible warning devices for new on-track roadway maintenance machines

8,500

11,000

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 machine

8,500

11,000

(b) Horn or other audible warning device is missing, inoperable, or has non-compliant triggering mechanism

6,500

9,000

(c) Illumination device or portable light missing, inoperable, improperly secured, or incapable of illuminating track as required

6,500

9,000

214.515 Overhead covers for existing on-track roadway maintenance machines:

(a) Failure to repair, reinstall, or maintain overhead cover as required

8,500

11,000

(b) Failure to provide written response to operator's request within 60 days

5,000

7,500

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 device

8,500

11,000

(b) Failure to equip machine with operative heater

8,500

11,000

6,500

9,000

(d) Failure to equip machine with reflective material, reflective device, or operable brake lights

8,500

11,000

(e) Failure to install or replace safety glass as required

8,500

11,000

(f) Failure to equip machine with turntable restraint device or warning light as required

8,500

11,000

214.518 Safe and secure position for riders

8,500

11,000

214.519 Floors, decks, stairs, and ladders for on-track roadway maintenance machines

8,500

11,000

214.521 Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles

6,500

9,000

214.523 Hi-rail vehicles:

(a) Failure to inspect hi-rail gear annually

8,500

11,000

(b) Failure to maintain inspection record or make record available to FRA

5,000

7,500

6,500

9,000

(d)(2) Failure of operator to tag, date or report non-complying condition

5,000

7,500

(d)(3) Failure to repair or replace non-complying alarms, lights or beacons as required

6,500

9,000

214.525 Towing with on-track roadway maintenance machines or hi-rail vehicles

8,500

11,000

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 compliance

5,000

7,500

(b) Failure of operator to tag, date, or report noncomplying condition

5,000

7,500

(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 beacon

6,500

9,000

(c)(5) Failure to repair or replace defective or missing operator's seat within required time period

8,500

11,000

214.529 In-service failure of primary braking system

8,500

11,000

214.531 Schedule of repairs; general

6,500

9,000

214.533 Schedule of repairs subject to availability of parts:

(a)-(c) Failure to order necessary part(s), make repair(s), or remove on-track roadway maintenance machine or hi-rail vehicle from service as required

6,500

9,000

(d) Failure to maintain record or make record available to FRA

5,000

7,500

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 214. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 215—[AMENDED]

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

Authority:

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

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

Appendix B to Part 215.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart A—General

215.9 Movement for repair:

(a), (c)

(

)

(

)

(b)

$3,000

$4,500

215.11 Designation of qualified persons

5,000

7,500

215.13 Pre-departure inspection

5,000

7,500

Subpart B—Freight Car Components

215.103 Defective wheel:

(a) Flange thickness of:

(1)

7/8

″ or less but more than

13/16

″

5,000

7,500

(2)

13/16

″ or less

6,500

9,000

(b) Flange height of:

(1) 1

1/2

″ or greater but less than 1

5/8

″

5,000

7,500

(2) 1

5/8

″ or more

6,500

9,000

(1)

11/16

″ or less but more than

5/8

″

5,000

7,500

(2)

5/8

″ or less

6,500

9,000

(d) Wheel rim, flange plate hub width:

(1) Crack of less than 1″

5,000

7,500

(2) Crack of 1″ or more

6,500

9,000

(3) Break

8,500

11,000

(e) Chip or gouge in flange of:

(1) 1

1/2

″ or more but less than 1

5/8

″ in length; and

1/2

″ or more but less than

5/8

″ in width

3,000

4,500

(2) 1

5/8

″ or more in length; or

5/8

″ or more in width

5,000

7,500

(f) Slid flat or shelled spot(s):

(1)(i) One spot more than 2

1/2

″, but less than 3″, in length

3,000

4,500

(ii) One spot 3″ or more in length

5,000

7,500

(2)(i) Two adjoining spots each of which is more than 2″ but less than 2

1/2

″ in length

3,000

4,500

(ii) Two adjoining spots both of which are at least 2″ in length, if either spot is 2

1/2

″, or more in length

5,000

7,500

(g) Loose on axle

8,500

11,000

(h) Overheated; discoloration extending:

(1) more than 4″ but less than 4

1/2

″

5,000

7,500

(2) 4

1/2

″ or more

6,500

9.000

(i) Welded

6,500

9,000

215.105 Defective axle:

(a)(1) Crack of 1″ or less

5,000

7,500

(2) Crack of more than 1″

6,500

9,000

(3) Break

8,500

11,000

(b) Gouge in surface that is between the wheel seats and is more than

1/8

″ in depth

3,000

4,500

5,000

7,500

(d) Journal overheated

8,500

11,000

(e) Journal surface has: a ridge; a depression; a circumferential score; corrugation; a scratch; a continuous streak; pitting; rust; or etching

5,000

7,500

215.107 Defective plain bearing box: general:

(a)(1) No visible free oil

3,000

4,500

(2) Lubricating pad dry (no expression of oil observed when pad is compressed)

6,500

9,000

(b) Box lid is missing, broken, or open except to receive servicing

3,000

4,500

(c) Contains foreign matter that can be expected to damage the bearing or have a detrimental effect on the lubrication of the journal and bearing

5,000

7,500

215.109 Defective plain bearing box: journal lubrication system:

(a) Lubricating pad has a tear

3,000

4,500

(b) Lubricating pad scorched, burned, or glazed

5,000

7,500

5,000

7,500

(d) Lubricating pad has an exposed center core or metal parts contacting the journal

5,000

7,500

(e) Lubricating pad is missing or not in contact with the journal

6,500

9,000

215.111 Defective plain bearing:

(a) Missing

8,500

11,000

(b) Bearing liner is loose or has piece broken out

5,000

7,500

8,500

11,000

215.113 Defective plain bearing wedge:

(a) Missing

8,500

11,000

(b) Cracked

5,000

7,500

6,500

9,000

(d) Not located in its design position

5,000

7,500

215.115 Defective roller bearing:

(a)(1) Overheated

8,500

11,000

(2)(i) Cap screw(s) loose

6,500

9,000

(ii) Cap screw lock broken, missing or improperly applied

3,000

4,500

(3) Seal is loose or damaged, or permits leakage of lubricant

3,000

4,500

(b)(1) Not inspected and tested after derailment

6,500

9,000

(2) Not disassembled after derailment

5,000

7,500

(3) Not repaired or replaced after derailment

6,500

9,000

215.117 Defective roller bearing adapter:

(a) Cracked or broken

5,000

7,500

(b) Not in its design position

6,500

9,000

5,000

7,500

215.119 Defective freight car truck:

(a)(1) A side frame or bolster that is broken

8,500

11,000

(2)(i) Side frame or bolster with crack of:

1/4

″ or more, but less than 1″

5,000

7,500

(ii) 1″ or more

6,500

9,000

(b) A snubbing device that is ineffective or missing

5,000

7,500

(1) Assembly missing or broken

8,500

11,000

(2) In contact except by design

6,500

9,000

(3), (4) Total clearance at one end or at diagonally opposite sides of:

(i) more than

3/4

″ but not more than 1″

5,000

7,500

(ii) more than 1″

6,500

9,000

(d) Truck spring(s):

(1) Do not maintain travel or load

5,000

7,500

(2) Compressed solid

5,000

7,500

(3) Outer truck springs broken or missing:

(i) Two outer springs

5,000

7,500

(ii) Three or more outer springs

6,500

9,000

(e) Truck bolster-center plate interference

6,500

9,000

(f) Brake beam shelf support worn

5,000

7,500

215.121 Defective car body:

(a) Has less than 2

1/2

″ clearance from the top of rail

5,000

7,500

(b) Car center sill is:

(1) Broken

8,500

11,000

(2) Cracked more than 6″

5,000

7,500

(3) Bent or buckled more than 2

1/2

″ in any 6″ length

5,000

7,500

5,000

7,500

(d) Car door not equipped with operative safety hangers

8,500

11,000

(e)(1) Center plate not properly secured

8,500

11,000

(2) Portion missing

5,000

7,500

(3) Broken

8,500

11,000

(4) Two or more cracks

5,000

7,500

(f) Broken sidesill, crossbearer, or body bolster

5,000

7,500

215.123 Defective couplers:

(a) Shank bent out of alignment

3,000

4,500

(b) Crack in highly stressed junction area

5,000

7,500

5,000

7,500

(d) Coupler knuckle pin or thrower that is missing or inoperative

5,000

7,500

(e) Coupler retainer pin lock that is missing or broken

3,000

4,500

(f) Coupler with following conditions: locklift inoperative; no anticreep protection; or coupler lock is missing, inoperative, bent, cracked, or broken

5,000

7,500

215.125 Defective uncoupling device

5,000

7,500

215.127 Defective draft arrangement:

(a) Draft gear that is inoperative

5,000

7,500

(b) Yoke that is broken

5,000

7,500

5,000

7,500

(d) Vertical coupler pin retainer plate missing or has missing fastener

8,500

11,000

(e) Draft key or draft key retainer that is inoperative or missing

8,500

11,000

(f) Follower plate that is missing or broken

5,000

7,500

215.129 Defective cushioning device

5,000

7,500

Subpart C—Restricted Equipment

215.203 Restricted cars

5,000

7,500

Subpart D—Stenciling

215.301 General

3,000

4,500

215.303 Stenciling of restricted cars

3,000

4,500

215.305 Stenciling of maintenance-of-way

3,000

4,500

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.

PART 217—[AMENDED]

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

Authority:

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

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

Appendix A to Part 217.—Schedule of Civil Penalties

Section

Violation

Willful

violation

217.7 Operating Rules:

(a)

$6,500

$9,000

(b)

6,500

9,000

(c)

6,500

9,000

217.9 Operational tests and inspections:

(a) Program

8,500

11,000

(b) Record of program

6,500

9,000

8,500

11,000

(d) Annual Summary

8,500

11,000

217.11 Program of instruction on operating rules:

(a)

8,500

11,000

(b)

8,500

11,000

PART 218—[AMENDED]

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

Authority:

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

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

Appendix A to Part 218.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart B—Blue Signal Protection of Workmen

218.22 Utility employees:

(a) Employee qualifications

$5,000

$7,500

(b) Concurrent service

6,500

9,000

(1) No controlling locomotive

6,500

9,000

(2) Empty cab

6,500

9,000

(3)(4) Improper communication

6,500

9,000

(5) Performing functions not listed

5,000

7,500

(d) Improper release

5,000

7,500

(f) More than three utility employees with one crew

5,000

7,500

218.23 Blue signal display

6,500

9,000

218.24 One-person crew:

(a)(1) Equipment not coupled or insufficiently separated

6,500

9,000

(a)(2) Unoccupied locomotive cab not secured

5,000

7,500

(b) Helper service

6,500

9,000

218.25 Workmen on a main track

6,500

9,000

218.27 Workmen on track other than main track:

(a) Protection provided except that signal not displayed at switch

6,500

9,000

(b) through (e)

5,000

7,500

218.29 Alternate methods of protection:

(a)(1) protection provided except that signal not displayed at switch

6,500

9,000

(a)(2) through (a)(8)

6,500

9,000

(b)(1) Protection provided except that signal not displayed at switch

6,500

9,000

(b)(2) through (b)(4)

6,500

9,000

5,000

7,500

(d) Emergency repairs

6,500

9,000

218.30 Remotely controlled switches:

(a) and (b)

5,000

7,500

(c)

1,500

2,500

Subpart C—Protection of Trains and Locomotives

218.35 Yard limits:

(a) and (b)

3,000

4,500

(c)

3,000

4,500

218.37 Flag protection:

(a)

1,500

2,500

(b) and (c)

1,500

2,500

218.39 Hump operations

6,500

9,000

218.41 Noncompliance with hump operations rule

6,500

9,000

Subpart D—Prohibition Against Tampering With Safety Devices

218.55 Tampering

11,000

218.57 (i) Knowingly operating or permitting operation of disabled equipment

3,000

(ii) Willfully operating or permitting operation of disabled equipment

4,500

218.59 Operation of disabled equipment

3,000

4,500

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.

PART 219—[AMENDED]

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

Authority:

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

12. Appendix A to part 219 is revised to read as follows:

Appendix A to Part 219—Schedule of Civil Penalties

The following chart lists the schedule of civil penalties:

Penalty Schedule

Section

Violation

Willful

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 testing

8,500

11,000

(b)(2) Employer fails to give priority to medical treatment

8,500

11,000

(b)(3) Employee fails to remain available

8,500

11,000

(b)(4) Employee tampers with specimen

8,500

11,000

(d) Employee unlawfully required to execute a waiver of rights

5,000

7,500

(e) Railroad used or authorized the use of coercion to obtain specimens

1,500

2,500

(g) Failure to meet supervisory training requirements or program of instruction not available or program not complete

6,500

9,000

(h) Urine or blood specimens provided for Federal testing were used for non-authorized testing

8,500

11,000

219.23 Railroad policies:

(a) Failure to provide written notice of FRA test

3,000

4,500

(b) Failure to provide written notice of basis for FRA test

3,000

4,500

3,000

4,500

(d) Failure to provide educational materials

1,500

2,500

(e) Educational materials fail to explain requirements of this part and/or include required content

1,500

2,500

(f) Non-Federal provisions are clearly described as independent authority

1,500

2,500

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 requirements

5,000

7,500

219.104 Responsive Action:

(a) Failure to remove employee from covered service immediately

8,500

11,000

(b) Failure to provide notice for removal

5,000

7,500

8,500

11,000

(d) Employee improperly returned to service

8,500

11,000

219.105 Railroad's duty to prevent violations:

(a) Employee improperly permitted to remain in covered service

8,500

11,000

(b) Failure to exercise due diligence to assure compliance with prohibition

6,500

9,000

219.107 Consequences of unlawful refusal:

(a) Failure to disqualify an employee for nine months following a refusal

8,500

11,000

(e) Employee unlawfully returned to service

8,500

11,000

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)

8,500

11,000

(c)(1)(i) Failure to make good faith determination

5,000

7,500

(c)(1)(ii) Failure to provide requested decision report to FRA

1,500

2,500

(c)(2) Testing performed after non-qualifying event

8,500

11,000

219.203 Responsibilities of railroads and employees:

(a)(1)(i) and (a)(2)(i) Failure to properly test/exclude from testing

5,000

7,500

(a)(1)(ii) and (a)(2)(ii) Non-covered service employee tested

5,000

7,500

(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort

3,000

4,500

5,000

7,500

(d) Failure to report event or contact FRA when intervention required

1,500

2,500

219.205 Specimen collection and handling:

(a) Failure to observe requirements with respect to specimen collection, marking and handling

5,000

7,500

(b) Failure to provide properly prepared forms with specimens

1,500

2,500

(d) Failure to promptly or properly forward specimens

5,000

7,500

219.207 Fatality:

(a) Failure to test

6,500

9,000

(a)(1) Failure to ensure timely collection and shipment of required specimens

1,500

2,500

(b) Failure to request assistance when necessary

5,000

7,500

219.209 Reports of tests and refusals:

(a)(1) Failure to provide telephonic report

3,000

4,500

(b) Failure to provide written report of refusal to test

3,000

4,500

3,000

4,500

219.211 Analysis and follow-up:

1,500

2,500

Subpart D—Testing for Cause

219.300 Mandatory reasonable suspicion testing:

(a)(1) Failure to test when reasonable suspicion criteria met

8,500

11,000

(a)(2) Tested when reasonable suspicion criteria not met

8,500

11,000

219.301 Testing for reasonable cause:

(a) Event did not occur during daily tour

6,500

9,000

(b)(2) Tested when accident/incident criteria not met

8,500

11,000

(b)(3) Tested when operating rules violation criteria not met

8,500

11,000

219.302 Prompt specimen collection:

(a) Specimen collection not conducted promptly

5,000

7,500

Subpart E—Identification of Troubled Employees

219.401 Requirement for policies:

(b) Failure to publish and/or implement required policy

5,000

7,500

219.407 Alternate policies:

5,000

7,500

Subpart F—Pre-Employment Tests

219.501 Pre-employment tests:

(a) Failure to perform pre-employment drug test before first time employee performs covered service

5,000

7,500

Subpart G—Random Testing Programs

219.601 Railroad random drug programs:

(a)(1) Failure to file a random program

6,500

9,000

(a)(2) Failure to file amendment to program

5,000

7,500

(b) Failure to meet random testing criteria

3,000

4,500

(b)(1)(i) Failure to use a neutral selection process

8,500

11,000

(b)(2)(i)(B) Testing not spread throughout the year

3,000

4,500

(b)(3) Testing not distributed throughout the day

3,000

4,500

(b)(4) Advance notice provided to employee

8,500

11,000

(b)(6) Testing when employee not on duty

6,500

9,000

219.601A Failure to include covered service employee in pool

5,000

7,500

219.602 Administrator's determination of drug testing rate:

(f) Total number of tests below minimum random drug testing rate

6,500

9,000

219.603 Participation in drug testing:

Failure to document reason for not testing selected employee

5,000

7,500

219.607 Railroad random alcohol programs:

(a)(1) Failure to file a random alcohol program

5,000

7,500

(a)(2) Failure to file amendment to program

5,000

7,500

(b) Failure to meet random testing criteria

8,500

11,000

(b)(1) Failure to use a neutral selection process

6,500

9,000

(b)(5) Testing when employee not on duty

5,000

7,500

(b)(8) Advance notice provided to employee

8,500

11,000

219.607A Failure to include covered service employee in pool

6,500

9,000

219.608 Administrator's determination of random alcohol testing rate:

(e) Total number of tests below minimum random alcohol testing rate

6,500

9,000

219.609 Participation in alcohol testing:

Failure to document reason for not testing selected employee

5,000

7,500

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 testing

1,500

2,500

(b) Testing not performed in a timely manner

3,000

4,500

Subpart I—Annual Report

219.801 Reporting alcohol misuse prevention program results in a management information system:

(a) Failure to submit MIS report on time

3,000

4,500

3,000

4,500

(d) Failure to include required data

1,500

2,500

219.803 Reporting drug misuse prevention program results in a management information system:

3,000

4,500

(d) Failure to submit MIS report on report

3,000

4,500

(e) Failure to include required data

1,500

2,500

Subpart J—Recordkeeping Requirements

219.901 Retention of Alcohol Testing Records:

(a) Failure to maintain records required to be kept by part 40

5,000

7,500

(b) Failure to maintain records required to be kept for five years

5,000

7,500

5,000

7,500

219.903 Retention of Drug Testing Records:

(a) Failure to maintain records required to be kept by part 40

5,000

7,500

(b) Failure to maintain records required to be kept for five years

5,000

7,500

5,000

7,500

219.905 Access to facilities and records:

(a) Failure to release records in this subpart in accordance with part 40

6,500

9,000

(b) Failure to permit access to facilities

8,500

11,000

8,500

11,000

A penalty may be assessed against an individual only for a willful violation. The FRA Administrator reserves the right to assess a penalty of up to $27,000 for any violation, including ones not listed in this penalty schedule, where circumstances warrant. See 49 CFR part 209, appendix A.

PART 220—[AMENDED]

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

Authority:

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

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

Appendix C to Part 220.—Schedule of Civil Penalties

Section

Violation

Willful

violation

220.9 Requirements for trains

$8,500

$11,000

220.11 Requirements for roadway workers

6,500

9,000

220.21 Railroad Operating rules; radio communications:

(a)

8,500

11,000

(b)

6,500

9,000

220.23 Publication of radio information

5,000

7,500

220.25 Instruction of employees

8,500

11,000

220.27 Identification

6,500

9,000

220.29 Statement of letters and numbers

6,500

9,000

220.31 Initiating a transmission

3,000

4,500

220.33 Receiving a transmission

5,000

7,500

220.35 Ending a transmission

5,000

7,500

220.37 Voice test

6,500

9,000

220.39 Continuous monitoring

5,000

7,500

220.41 [Reserved].

220.43 Communication consistent with the rules

6,500

9,000

220.45 Complete communications

8,500

11,000

220.47 Emergencies

8,500

11,000

220.49 Switching, backing or pushing

8,500

11,000

220.51 Signal indications

6,500

9,000

220.61 Radio transmission of mandatory directives

8,500

11,000

A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

PART 221—[AMENDED]

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

Authority:

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

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

Appendix C to Part 221.—Schedule of Civil Penalties

Section

Violation

Willful

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 rail

3,000

4,500

221.14 Marking devices: Use of unapproved or noncomplying device

3,000

4,500

221.15 Marking device inspection:

(a) Failure to inspect at crew change

3,000

4,500

(b), (c) improper inspection

3,000

4,500

221.16 Inspection procedure:

(a) Failure to obtain protection

5,000

7,500

(b) Improper protection

5,000

7,500

221.17 Movement of defective equipment

5,000

7,500

PART 222—[AMENDED]

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

Authority:

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

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

Appendix G to Part 222.—Schedule of Civil Penalties

Section

Violation

Willful

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 pattern

5,000

7,500

(b) Failure to sound horn at least 15 and no more than 20 seconds before crossing

3,000

4,500

Routine sounding of the locomotive horn more than

1/4

-mile in advance of crossing

3,000

4,500

222.33

Failure to sound horn when conditions of § 222.33 are not met

6,500

9,000

222.45

Routine sounding of the locomotive horn at a grade crossing within a quiet zone

3,000

4,500

222.49

(b) Failure to provide Grade Crossing Inventory Form information

1,500

2,500

222.59

(d) Routine sounding of the locomotive horn at a grade crossing equipped with wayside horn

1,500

2,500

PART 223—[AMENDED]

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

Authority:

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

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

Appendix B to Part 223.—Schedule of Civil Penalties

Section

Violation

Willful

violation

223.9 New or rebuilt equipment:

(a) Locomotives

$3,000

$4,500

(b) Cabooses

3,000

4,500

3,000

4,500

(d)(1), (d)(2):

(i) Window not marked or instructions not posted

5,000

7,500

(ii) Window improperly marked or instructions improperly posted

3,000

4,500

223.11(c) Existing locomotives

3,000

4,500

(d) Repair of window

1,500

2,500

223.13(c) Existing cabooses

3,000

4,500

(d) Repair of window

1,500

2,500

223.15(c) Existing passenger cars

3,000

4,500

(d) Repair of window

1,500

2,500

223.17 Identification of units

1,500

2,500

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 223. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 224—[AMENDED]

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

Authority:

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

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

Appendix A to Part 224.—Schedule of Civil Penalties

Section

Violation

Willful

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 quantity

3,000

4,500

(a) Failure to apply minimum amount of retroreflective sheeting in accordance with Table

3,000

4,500

(b) Applying retroreflective sheeting of wrong dimensions

3,000

4,500

224.106 Location of retroreflective sheeting:

(a), (b) Applying retroreflective sheeting in nonconforming pattern

3,000

4,500

224.107 Implementation schedule:

(a)(1), (b)(1) Failure to apply retroreflective sheeting to new freight car or locomotive before equipment placed in service

3,000

4,500

(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)

3,000

4,500

224.109 Inspection, repair, and replacement:

(a)(1) Failure to perform inspection

3,000

4,500

(2) Failure to properly notify car owner of defect

3,000

4,500

(3) Failure to retain written notification of defect for two years

3,000

4,500

(4) Failure to repair defect after notification

3,000

4,500

(b)(1) Failure to perform inspection

3,000

4,500

(2) Failure to repair defect

3,000

4,500

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. The penalty schedule uses section numbers from 49 CFR part 224. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 225—[AMENDED]

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

Authority:

49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

24. Appendix A to part 225 is revised to read as follows:

Appendix A to Part 225.—Schedule of Civil Penalties

Section

Violation

Willful

violation

225.9 Telephonic reports of certain accidents/incidents

$1,500

$2,500

225.11 Reports of accidents/incidents

6,500

9,000

225.12(a):

Failure to file Railroad Employee Human Factor Attachment properly

(1) Employee identified

6,500

9,000

(2) No employee identified

3,000

4,500

225.12(b):

(1) Failure to notify employee properly

6,500

9,000

(2) Notification of employee not involved in accident

6,500

9,000

225.12(c):

Failure of employing railroad to provide requested information properly

1,500

2,500

225.12(d):

(1) Failure to revise report when identity becomes known

6,500

9,000

(2) Failure to notify after late identification

6,500

9,000

225.12(f)(1):

Submission of notice if employee dies as result of the reported accident

6,500

9,000

225.12(g):

Willfully false accident statement by employee

9,000

225.13 Late reports

1,500

2,500

225.17(d) Alcohol or drug involvement

8,500

11,000

225.23 Joint operations

(

)

(

)

225.25 Recordkeeping

5,000

7,500

225.27 Retention of records

1,500

2,500

225.33:

(1) Failure to adopt the Internal Control Plan

6,500

9,000

(2) Inaccurate reporting due to failure to comply with the Internal Control Plan

6,500

9,000

(3) Failure to comply with the intimidation/harassment policy in the Internal Control Plan

6,500

9,000

225.35 Access to records and reports

8,500

11,000

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.

PART 228—[AMENDED]

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

Authority:

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

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

Appendix B to Part 228.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart B—Records and Reporting

228.9 Railroad records

$5,000

$7,500

228.11 Hours of duty records

1,500

2,500

228.17 Dispatcher's record

5,000

7,500

228.19 Monthly reports of excess service

1,500

2,500

PART 229—[AMENDED]

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

Authority:

49 U.S.C. 20102-20103, 20107, 20133, 20137-20138, 20143, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49 (c), (m).

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

Appendix B to Part 229.—Schedule of Civil Penalties

Section

Violation

Willful

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

(

)

(

)

229.11 Locomotive identification

1,500

2,500

229.13 Control of locomotives

5,000

7,500

229.17 Accident reports

3,000

4,500

219.19 Prior waivers

(

)

(

)

Subpart B—Inspection and Tests

229.21 Daily inspection:

(a)(b):

(1) Inspection overdue

3,000

4,500

(2) Inspection report not made, improperly executed, or not retained

1,500

2,500

1,500

2,500

229.23 Periodic inspection: General

(a)(b):

(1) Inspection overdue

3,000

4,500

(2) Inspection performed improperly or at a location where the underneath portion cannot be safely inspected

3,000

4,500

(c)(d):

(1) Form missing

1,500

2,500

(2) Form not properly displayed

1,500

2,500

(3) Form improperly executed

1,500

2,500

(e) Replace Form FRA F 6180-49A by April 2

1,500

2,500

(f) Secondary record of the information reported on Form FRA F 6180.49A

1,500

2,500

229.25

(a) through (e)(4) Tests: Every periodic inspection

3,000

4,500

(e)(5) Ineffective maintenance

6,500

9,000

229.27 Annual tests

3,000

4,500

229.29 Biennial tests

3,000

4,500

229.31

(a) Biennial hydrostatic tests of main reservoirs

3,000

4,500

(b) Biennial hammer tests of main reservoirs

3,000

4,500

3,000

4,500

(d) Biennial tests of aluminum main reservoirs

3,000

4,500

229.33 Out-of-use credit

1,500

2,500

Subpart C—Safety Requirements

229.41 Protection against personal injury

5,000

7,500

229.43 Exhaust and battery gases

5,000

7,500

229.45 General condition: To be assessed based on relevant facts

1,500-6,500

2,500-9,000

229.46 Brakes: General

5,000

7,500

229.47 Emergency brake valve

5,000

7,500

229.49 Main reservoir system:

(a)(1) Main reservoir safety valve

5,000

7,500

(2) Pneumatically actuated control reservoir

5,000

7,500

(b)(c) Main reservoir governors

5,000

7,500

229.51 Aluminum main reservoirs

5,000

7,500

229.53 Brake gauges

5,000

7,500

229.55 Piston travel

5,000

7,500

229.57 Foundation brake gear

5,000

7,500

229.59 Leakage

5,000

7,500

229.61 Draft system

3,000

4,500

229.63 Lateral motion

3,000

4,500

229.64 Plain bearing

3,000

4,500

229.65 Spring rigging

3,000

4,500

229.67 Trucks

5,000

7,500

229.69 Side bearings

5,000

7,500

229.71 Clearance above top of rail

1,500

2,500

229.73 Wheel sets

5,000

7,500

229.75 Wheel and tire defects:

(a), (d) Slid flat or shelled spot(s):

(1) One spot 2

1/2

″ or more but less than 3″ in length

5,000

7,500

(2) One spot 3″ or more in length

6,500

9,000

(3) Two adjoining spots each of which is 2″ or more in length but less than 2

1/2

″ in length

5,000

7,500

(4) Two adjoining spots each of which are at least 2″ in length, if either spot is 2

1/2

″ or more in length

6,500

9,000

(b) Gouge or chip in flange of:

(1) more than 1

1/2

″ but less than 1

5/8

″ in length; and more than

1/2

″ but less than

5/8

″ in width

5,000

7,500

(2) 1

5/8

″ or more in length and 5/8″ or more in width

6,500

9,000

8,500

11,000

(e) Seam in tread

5,000

7,500

(f) Flange thickness of:

(1)

7/8

″ or less but more than

13/16

″

5,000

7,500

(2)

13/16

″ or less

6,500

9,000

(g) Tread worn hollow

5,000

7,500

(h) Flange height of:

(1) 1

1/2

″ or greater but less than 1

5/8

″

5,000

7,500

(2) 1

5/8

″ or more

6,500

9,000

(i) Tire thickness

5,000

7,500

(j) Rim thickness:

(1) Less than 1″ in road service and

3/4

″ in yard service

5,000

7,500

(2)

15/16

″ or less in road service and

11/16

″ in yard service

6,500

9,000

(k):

(1) Crack of less than 1″

5,000

7,500

(2) Crack of 1″ or more

6,500

9,000

(3) Break

8,500

11,000

(l) Loose wheel or tire

8,500

11,000

(m) Welded wheel or tire

5,000

7,500

229.77 Current collectors

3,000

4,500

229.79 Third rail shoes and beams.

3,000

4,500

229.81 Emergency pole; shoe insulation

5,000

7,500

229.83 Insulation or grounding

6,500

9,000

229.85 Door and cover plates marked “Danger”

3,000

4,500

229.87 Hand operated switches

3,000

4,500

229.89 Jumpers; cable connections:

(a) Jumpers and cable connections; located and guarded

5,000

7,500

(b) Condition of jumpers and cable connections

5,000

7,500

229.91 Motors and generators

5,000

7,500

229.93 Safety cut-off device

5,000

7,500

229.95 Venting

5,000

7,500

229.97 Grounding fuel tanks

5,000

7,500

229.99 Safety hangers

5,000

7,500

229.101 Engines:

(a) Temperature and pressure alarms, controls, and switches

3,000

4,500

(b) Warning notice

5,000

7,500

3,000

4,500

229.103 Safe working pressure; factor of safety

5,000

7,500

229.105 Steam generator number

1,500

2,500

229.107 Pressure gauge

5,000

7,500

229.109 Safety valves

5,000

7,500

229.111 Water-flow indicator

5,000

7,500

229.113 Warning notice

5,000

7,500

229.115 Slip/slide alarms

5,000

7,500

229.117 Speed indicators

5,000

7,500

229.119 Cabs, floors, and passageways:

(a)(1) Cab set not securely mounted or braced

3,000

4,500

(2) Insecure or improper latching device

3,000

4,500

(b) Cab windows of lead locomotive

3,000

4,500

3,000

4,500

(d) Ventilation and heating arrangement

5,000

7,500

(e) Continuous barrier

5,000

7,500

(f) Containers for fuses and torpedoes

5,000

7,500

229.121 Locomotive cab noise

5,000

7,500

229.123 Pilots, snowplows, end plates

3,000

4,500

229.125

(a) Headlights

5,000

7,500

(d) Auxiliary lights

5,000

7,500

229.127 Cab lights

3,000

4,500

229.129 Audible warning device:

(a) prescribed sound levels

5,000

7,500

arrangement of device

5,000

7,500

(b) testing

5,000

7,500

5,000

7,500

(c)(10) records of tests

5,000

7,500

229.131 Sanders

1,500

2,500

229.135 Event Recorders:

(a) Lead locomotive without in-service event recorder

5,000

7,500

(b) Failure to meet equipment requirements

5,000

7,500

5,000

7,500

(d) Improper response to out of service event recorder

5,000

7,500

(e) Failure to preserve data or unauthorized extraction of data

5,000

7,500

(g) Tampering with device or data

5,000

7,500

229.137 Sanitation, general:

(a) Sanitation compartment in lead unit, complete failure to provide required items

5,000

7,500

(1) Ventilation

3,000

4,500

(2) Door missing

3,000

4,500

(2)(i) Door doesn't close

3,000

4,500

(2)(ii) No modesty lock

1,500

2,500

(3) Not equipped with toilet in lead

5,000

7,500

(4) Not equipped with washing system

3,000

4,500

(5) Lack of paper

3,000

4,500

(6) Lack of trash receptacle

3,000

4,500

(b) Exceptions:

(1)(i) Commuter service, failure to meet conditions of exception

1,500

2,500

(1)(ii) Switching service, failure to meet conditions of exception

1,500

2,500

(1)(iii) Transfer service, failure to meet conditions of exception

1,500

2,500

(1)(iv) Class III, failure to meet conditions of exception

1,500

2,500

(1)(v) Tourist, failure to meet conditions of exception

1,500

2,500

(1)(vi) Control cab locomotive, failure to meet conditions of exception

1,500

2,500

(2) Noncompliant toilet

3,000

4,500

3,000

4,500

(1)-(5) Failure to meet conditions of exception

3,000

4,500

(d) Defective/unsanitary unit; failure to meet conditions for trailing position

3,000

4,500

(e) Defective/sanitary unit; failure to meet conditions for switching/transfer service

3,000

4,500

(f) Paper, washing, trash holder; failure to equip prior to departure

3,000

4,500

(g) Inadequate ventilation; failure to repair or move prior to departure

3,000

4,500

(h) Door closure/modesty lock; failure to repair or move

1,500

2,500

(i) Failure to retain/maintain of equipped units

3,000

4,500

(j) Failure to equip new units/in-cab facility

3,000

4,500

(k) Failure to provide potable water

3,000

4,500

229.139 Servicing requirements:

(a) Lead occupied unit not sanitary

3,000

4,500

(b) Components not present/operating

1,500

2,500

1,500

2,500

(d) Defective unit used more than 10 days

3,000

4,500

(e) Failure to repair defective modesty lock

1,500

2,500

229.141 Body structure, MU locomotives

5,000

7,500

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.

The penalty schedule uses section numbers from 49 CFR part 229. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 230—[AMENDED]

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

Authority:

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

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

Appendix D to Part 230.—Schedule of Civil Penalties

Section

Violation

Willful

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 locomotive

3,000

4,500

230.12 Movement of non-complying steam locomotive

(

)

(

)

230.13 Daily inspection:

(a) (b):

(1) Inspection overdue

5,000

7,500

(2) Inspection not performed by qualified person

3,000

4,500

3,000

4,500

230.14 Thirty-one service day inspection:

(a):

(1) Inspection overdue

5,000

7,500

(2) Inspection not performed by qualified person

3,000

4,500

(b) Failure to notify FRA

3,000

4,500

3,000

4,500

230.15 Ninety-two service day inspection:

(a):

(1) Inspection overdue

5,000

7,500

(2) Inspection not performed by qualified person

3,000

4,500

(b) Inspection report not made, improperly executed, not properly filed

3,000

4,500

230.16 Annual inspection:

(a):

(1) Inspection overdue

5,000

7,500

(2) Inspection not performed by qualified person

3,000

4,500

(b) Failure to notify FRA

3,000

4,500

3,000

4,500

230.17 One thousand four hundred seventy-two service day inspection:

(a):

(1) Inspection overdue

5,000

7,500

(2) Inspection not performed by qualified person

3,000

4,500

(b) Inspection report not made, improperly executed, not properly maintained, not properly filed

3,000

4,500

230.18 Service days:

(a) Service day record not available for inspection

3,000

4,500

(b) Failure to file service day report with FRA Regional Administrator

3,000

4,500

5,000

7,500

230.19 Posting of forms:

(a) FRA Form No. 1:

(1) FRA Form No. 1 not properly filled out

3,000

4,500

(2) FRA Form No. 1 not properly displayed

3,000

4,500

(b) FRA Form No. 3:

(1) FRA Form No. 3 not properly filled out

3,000

4,500

(2) FRA Form No. 3 not properly displayed

3,000

4,500

230.20 Alteration and repair reports:

(a) Alterations:

(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator

3,000

4,500

(2) FRA Form No. 19 not properly filled out

3,000

4,500

(3) FRA Form No. 19 not properly maintained

3,000

4,500

(b) Repairs to unstayed portions of the boiler:

(1) FRA Form No. 19 not properly filled out

3,000

4,500

(2) FRA Form No. 19 not properly maintained

3,000

4,500

(1) FRA Form No. 19 not properly filled out

3,000

4,500

(2) FRA Form No. 19 not properly maintained

3,000

4,500

230.21 Failure to properly document steam locomotive number Change

3,000

4,500

Subpart B—Boilers and Appurtenances

230.22 Failure to properly report accident resulting from failure of steam locomotive boiler or part or appurtenance thereof

5,000

7,500

230.23 Responsibility for general construction and safe working pressure:

(a) Failure to properly establish safe working pressure for steam locomotive boiler

8,500

11,000

(b) Placing steam locomotive in service before safe working pressure for boiler has been established

8,500

11,000

230.24 Maximum allowable stress values on boiler components:

(a) Use of materials not of sufficient tensile strength

3,000

4,500

(b) Use of a safety factor value of less than 4 when using the code of original construction in boiler calculations

6,500

9,000

230.25 Maximum allowable stresses on stays and braces:

(a) Exceeding allowable stress values on fire box and/or combustion chamber

3,000

4,500

(b) Exceeding allowable stress values on round, rectangular or gusset braces

3,000

4,500

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 thereof

5,000

7,500

(2) Failure to remove steam locomotive from service when considered necessary to do so

6,500

9,000

(b):

(1) Failure of perform repairs in accordance with accepted industry standards

6,500

9,000

(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 service

6,500

9,000

230.30 Lap-joint seam boilers, Failure to properly inspect

6,500

9,000

230.31 Flues to be removed:

(a):

(1) Failure to remove all flues when inspecting boiler

5,000

7,500

(2) Failure to enter boiler and clean and inspect

5,000

7,500

(b) Failure to remove superheater flues when deemed necessary to do so

3,000

4,500

230.32 Time and method of inspection:

(a) Failure to perform 1,472 service day inspection when required to do so

5,000

7,500

(b) Failure to properly inspect boiler during 1,472 service day inspection

5,000

7,500

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 carbon

5,000

7,500

(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 repairs

5,000

7,500

(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

inch

5,000

7,500

(2) Repairing wasted sheets

5,000

7,500

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 repairs

5,000

7,500

(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs

5,000

7,500

(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs

3,000

4,500

230.35 Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying hydrostatic pressure to the boiler

3,000

4,500

230.36 Hydrostatic testing of boilers:

(a) Failure to perform hydrostatic test of boiler as required

5,000

7,500

(b) Failure to properly perform hydrostatic test

5,000

7,500

5,000

7,500

230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or alteration to boiler

3,000

4,500

230.38 Telltale holes:

(a) Failure to have telltale holes as required in staybolts

3,000

4,500

(b) Failure to have proper telltale holes in reduced body staybolts

3,000

4,500

3,000

4,500

230.39 Broken staybolts:

(a) Boiler in service with excess number of broken staybolts

5,000

7,500

(b) Failure to replace staybolts when required to do so; to properly replace staybolts when so required; to inspect adjacent staybolts when replacing broken staybolts

5,000

7,500

5,000

7,500

(d) Closing telltale holes by prohibited means

5,000

7,500

230.40 Time and method of staybolt testing:

(a) Failure to hammer test staybolts when so required

3,000

4,500

(b) Failure to properly hammer test staybolts

3,000

4,500

230.41 Flexible staybolts with caps:

(a) Failure to inspect flexible staybolts as required

3,000

4,500

(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required

3,000

4,500

3,000

4,500

(d) Failure to remove staybolt caps or otherwise test when FRA inspector or steam locomotive owner and/or operator consider it necessary to do so

3,000

4,500

230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read

6,500

9,000

230.43 Failure to have gauge siphon of proper capacity on steam gauge supply pipe; failure to properly clean, maintain the steam gauge supply pipe

3,000

4,500

230.44 Failure to test steam gauge when so required

3,000

4,500

230.45 Failure to properly test and/or set steam gauge

3,000

4,500

230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure

3,000

4,500

230.47 Boiler Number:

(a) (b) (c) Failure to stamp builder's number on boiler when number is known

3,000

4,500

230.48 Number and capacity of safety relief valves:

(a) Failure to equip steam locomotive boiler with proper safety relief valves

6,500

9,000

(b) Failure to provide additional safety relief valve capacity when so required

6,500

9,000

230.49 Setting of safety relief valves:

(a) Safety relief valve(s) set and/or adjusted by person not competent to do so

6,500

9,000

(b) Safety relief valve(s) not set to open at prescribed pressure(s)

6,500

9,000

6,500

9,000

(d) Set pressure of lowest safety relief valve not properly indicated

3,000

4,500

230.50 Failure to test and adjust safety relief valves when required to do so

5,000

7,500

230.51 Failure to equip steam locomotive boiler with at least 2 properly installed water glasses

3,000

4,500

230.52 Failure to properly equip water glasses

6,500

9,000

230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so

3,000

4,500

230.54 Testing and maintenance:

(a) Failure to properly test water glasses and/or gauge cocks

3,000

4,500

(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves

5,000

7,500

230.55 Tubular type water and lubricator glasses and shields:

(a) Failure to renew tubular type water glasses as required

3,000

4,500

(b) Failure to properly shield tubular water glasses and/or lubricator glasses

3,000

4,500

3,000

4,500

230.56 Failure to equip water glass with suitable lamp

3,000

4,500

230.57 Injectors and feedwater pumps:

(a) Failure to equip steam locomotive with proper means for delivering water to the boiler

6,500

9,000

(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, feed water pipes, tank hose, tank valves

6,500

9,000

3,000

4,500

230.58 Flue plugs:

(a) Plugging flue plugs when not otherwise permitted

3,000

4,500

(b) Improperly plugging flue plugs, when otherwise permitted

3,000

4,500

230.59 Failure to remove and properly clean fusible boiler plugs when required to do so; failure to properly note removal

5,000

7,500

230.60 Time of washing:

(a) Failure to thoroughly wash boiler when required to do so

3,000

4,500

(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water bar plugs when washing locomotive boiler

5,000

7,500

5,000

7,500

(d) Failure to clean fusible plugs when required to do so

5,000

7,500

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 required

3,000

4,500

(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators, thermic siphons when required

5,000

7,500

5,000

7,500

230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure

6,500

9,000

230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so

5,000

7,500

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 service

5,000

7,500

230.65 Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does not obscure vision

3,000

4,500

230.66 Failure to properly oversee general design, construction, maintenance of steam locomotive(s) and tender(s)

3,000

4,500

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 service

6,500

9,000

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 functioning

3,000

4,500

230.69 Failure to equip steam locomotive with properly supported ash pan with operating mechanism that may be safely operated and securely closed

3,000

4,500

230.70 Safe condition:

(a) Failure to perform proper pre-departure inspection when so required

3,000

4,500

(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as “Emergency Brake Valve”

3,000

4,500

230.71 Orifice testing of air compressors:

(a)(b):

Failure to properly test and/or maintain air compressor(s) capacity

3,000

4,500

230.72 Testing main reservoirs:

(a) Failure to properly test main reservoir(s) when required

3,000

4,500

(b) Impermissibly or improperly drilling main reservoir

3,000

4,500

3,000

4,500

(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 thickness

5,000

7,500

230.73 Air gauges:

(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more than 3 psi in error

3,000

4,500

(b) Failure to test air gauge(s) when so required

3,000

4,500

3,000

4,500

230.74 Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when required to do so

3,000

4,500

230.75 Failure to properly stencil or display date of testing and cleaning and initials of shop or station performing work

3,000

4,500

230.76 Piston travel:

(a) Insufficient minimum piston travel

3,000

4,500

(b) Excessive piston travel when steam locomotive is stationary

3,000

4,500

230.77 Foundation brake gear:

(a) Failure to properly maintain foundation brake gear

3,000

4,500

(b) Foundation brake gear less than 2.5 inches above rail

3,000

4,500

230.78 Leakage:

(a):

(1) Failure to test for leakage from main reservoir or related piping as required

3,000

4,500

(2) Failure to repair excessive leakage from main reservoir or related piping leakage

3,000

4,500

(b) Failure to test for brake cylinder as required

3,000

4,500

(c):

(1) Failure to test for leakage from steam locomotive brake pipe as required

3,000

4,500

(2) Failure to repair excessive brake pipe leakage

3,000

4,500

230.79 Train signal system:

(1) Failure to test the train signal system or other form of on-board communication as required

3,000

4,500

(2) Failure to repair train signal system or other on-board communication when not safe or suitable for service

3,000

4,500

230.80 Cabs:

(a) Steam locomotive cab not safe and suitable for service

3,000

4,500

(b) Steam pipes: Construction, attachment

3,000

4,500

3,000

4,500

230.81 Cab aprons:

(a) Cab apron, general provisions

3,000

4,500

(b) Cab apron, insufficient width

3,000

4,500

230.82 Fire doors:

(a) Safe and suitable for service, general provisions

3,000

4,500

(b) Construction and maintenance of mechanically operated fire doors

3,000

4,500

3,000

4,500

230.83 Cylinder cocks:

(1) Failure to properly equip with cylinder cocks

3,000

4,500

(2) Failure to properly maintain cylinder cocks

3,000

4,500

230.84 Sanders:

(1) Inoperable sanders

3,000

4,500

(2) Failure to test sanders

3,000

4,500

230.85 Audible warning devices:

(a) General provisions

3,000

4,500

(b) Sound level measurements, Failure to properly take

3,000

4,500

230.86 Required illumination:

(a) General provisions

3,000

4,500

(b) Dimming device, Failure to properly equip with

3,000

4,500

3,000

4,500

230.87 Cab lights: Failure to properly equip with

3,000

4,500

230.88 Throttles: Failure to properly maintain, equip

3,000

4,500

230.89 Reverse gear:

(a) General provisions

3,000

4,500

(b) Air-operated power reverse gear

3,000

4,500

3,000

4,500

230.90 Draw gear and draft systems:

(a) Maintenance and testing

3,000

4,500

(b) Safety bars and chains, general

3,000

4,500

3,000

4,500

(d) Lost motion between steam locomotive and tender

3,000

4,500

(e) Spring buffers: Improper application, compression

3,000

4,500

230.91 Chafing irons: Improper application, maintenance

3,000

4,500

230.92 Draw gear, draft systems: Improperly maintained, fastened

3,000

4,500

230.93 Pistons and piston rods:

(a) Failure to properly inspect, maintain, renew

3,000

4,500

(b) Fasteners: Failure to keep tight, properly equip

3,000

4,500

230.94 Crossheads: Improperly maintained, excess clearance

3,000

4,500

230.95 Guides: Failure to securely fasten, properly maintain

3,000

4,500

230.96 Main, side, valve motion rods:

(a) General

3,000

4,500

(b) Repairs

3,000

4,500

(1) Failure to make in accordance with accepted national standard

3,000

4,500

(2) Failure to submit written request for approval prior to welding

3,000

4,500

3,000

4,500

(d) Rod side motion: Excessive motion

3,000

4,500

(e) Oil, grease cups: Failure to securely fasten, properly equip

3,000

4,500

(f) Main rod bearings:

(1) excessive bore

3,000

4,500

(2) excessive lost motion

3,000

4,500

(g) Side rod bearings, excessive bore

3,000

4,500

230.97 Crank pins:

(a) General provisions

3,000

4,500

(b) Maintenance: Failure to maintain in safe, suitable condition

3,000

4,500

230.98 Driving, trailing, engine truck axles:

(a) Condemning defects

3,000

4,500

(b) Journal diameter: Failure to stamp on end of axle

1,500

2,500

230.99 Tender truck axle: Insufficient diameter

3,000

4,500

230.100 Defects in tender truck axles and journals:

(a) Tender truck axle condemning defects

3,000

4,500

(b) Tender truck journal condemning defects

3,000

4,500

230.101 Steam locomotive driving journal boxes:

(a) Driving journal boxes: Failure to properly maintain

3,000

4,500

(b) Broken bearings: Failure to renew

3,000

4,500

3,000

4,500

230.102 Tender plain bearing journal boxes: Failure to repair

3,000

4,500

230.103 Tender roller bearing journal boxes: Failure to properly maintain

3,000

4,500

230.104 Driving box shoes and wedges: Failure to properly maintain

3,000

4,500

230.105 Lateral motion:

(a) Condemning limits: Total lateral motion in excess of

3,000

4,500

(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion

3,000

4,500

3,000

4,500

230.106 Steam locomotive frame:

(a) Failure to properly inspect and/or maintain

3,000

4,500

(b) Broken frames, not properly patched or secured

6,500

9,000

230.107 Tender frame and body:

(a) Failure to properly maintain

3,000

4,500

(b) Height difference between tender deck and steam locomotive cab floor or deck excessive

3,000

4,500

3,000

4,500

(d) Tender frame condemning defects

5,000

7,500

230.108 Steam locomotive leading and trailing trucks:

(a) Failure to properly maintain

3,000

4,500

(b) Safety chain, suitable safety chain not provided

3,000

4,500

3,000

4,500

230.109 Tender trucks:

(a):

(1) Tender truck frames

3,000

4,500

(2) Tender truck center plate

3,000

4,500

(b) Tender truck bolsters: Failure to properly maintain

5,000

7,500

3,000

4,500

(d) Truck securing arrangement: Not properly maintained

3,000

4,500

(e) Side bearings, truck centering devices

3,000

4,500

(f) Friction side bearings: Run in contact

3,000

4,500

(g):

(1) Side bearings, failure to equip rear trucks with

3,000

4,500

(2) Insufficient clearance of

3,000

4,500

230.110 Pilots:

(a) General provisions

3,000

4,500

(b) Clearance, insufficient or excessive

3,000

4,500

230.111 Spring rigging:

(a) Arrangement of springs and equalizers

3,000

4,500

(b) Spring or spring rigging condemning defects

3,000

4,500

230.112 Wheels and tires:

(a) Improperly Mounted, excess variance in axle diameter

5,000

7,500

(b) Out of gage

3,000

4,500

3,000

4,500

(d) Tire thickness, insufficient

3,000

4,500

(e) Tire width, insufficient

3,000

4,500

230.113 Wheels and tire defects:

(1) Failure to repair

3,000

4,500

(2) Welding on, except as otherwise provided for

5,000

7,500

(a) Cracks or breaks in

3,000

4,500

(b) Flat spots

3,000

4,500

3,000

4,500

(d) Broken rim

3,000

4,500

(e) Shelled-out spots

3,000

4,500

(f) Seams

3,000

4,500

(g) Worn flanges, excessive wear

3,000

4,500

(h) Worn treads, excessive wear

3,000

4,500

(i) Flange height, insufficient or excessive

3,000

4,500

(j) Rim thickness, insufficient

3,000

4,500

(k) Wheel diameter, excessive variance

3,000

4,500

230.114 Wheel centers:

(a) Filling blocks and shims

3,000

4,500

(b) Wheel center condemning limits, failure to repair

3,000

4,500

3,000

4,500

(d) Counterbalance maintenance

3,000

4,500

230.115 Feed water tanks:

(a) General provisions

3,000

4,500

(b) Inspection frequency, failure to inspect as required

3,000

4,500

3,000

4,500

230.116 Oil tanks:

(1) Failure to properly maintain

6,500

9,000

(2) Failure to equip with complying safety cut-off device

8,500

11,000

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.

PART 231—[AMENDED]

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

Authority:

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

32. Appendix A to part 231 is revised to read as follows:

Appendix A to Part 231.—Schedule of Civil Penalties

Section

Violation

Willful

violation

110.A1 Hand Brake or Hand Brake Part Missing

$6,500

$9,000

110.A2 Hand Brake or Hand Brake Part Broken

6,500

9,000

110.A3 Hand Brake or Hand Brake Part Loose or Worn

5,000

7,500

110.B1 Hand Brake Inoperative

6,500

9,000

110.B2 Hand Brake Inefficient

5,000

7,500

110.B3 Hand Brake Improperly Applied

5,000

7,500

110.B4 Hand Brake Incorrectly located

3,000

4,500

110.B5 Hand Brake Shaft Welded or Wrong Dimension

3,000

4,500

110.B6 Hand Brake Shaft Not Retained in Operating Position

3,000

4,500

110.B8 Hand Brake or Hand Brake Parts Wrong Design

3,000

4,500

114.B2 Hand Brake Wheel or Lever Has Insufficient Clearance Around Rim or Handle

3,000

4,500

114.B3 Hand Brake Wheel/Lever Clearance Insufficient to Vertical Plane Through Inside Face of Knuckle

3,000

4,500

120.A1 Brake Step Missing Except by Design

6,500

9,000

120.A2 Brake Step or Brace Broken or Decayed

6,500

9,000

120.A3 Brake Step or Brace Loose

5,000

7,500

120.B1 Brake Step or Brace Bent

5,000

7,500

120.B2 Brake Step or Wrong Dimensions

3,000

4,500

120.C1 Brake Step Improperly Applied

3,000

4,500

120.C2 Brake Step Improperly Located

3,000

4,500

120.C3 Brake Step With Less Than 4″ Clearance to Vertical Plane through Inside Face of Knuckle

3,000

4,500

120.C4 Brake Step Obstructed or Otherwise Unsafe

5,000

7,500

124.A1 Running Board Missing or Part Missing Except By Design

6,500

9,000

124.A2 Running Board Broken or Decayed

6,500

9,000

124.A3 Running Board Loose Presents a Tripping Hazard or Other Unsafe Condition

6,500

9,000

124.A4 Running Board Wrong Material

3,000

4,500

124.B1 Running Board Bent to the Extent that It is Unsafe

5,000

7,500

124.B2 Running Board Wrong Dimensions

3,000

4,500

124.B3 Running Board Wrong Location

3,000

4,500

124.C1 Running Board Improperly Applied

3,000

4,500

124.C2 Running Board Obstructed

5,000

7,500

126.A1 End Platform Missing or Part Except By Design

6,500

9,000

126.A2 End Platform Broken or Decayed

6,500

9,000

126.A3 End Platform Loose

5,000

7,500

126.B1 End Platform or Brace Bent

3,000

4,500

126.B2 End Platform Wrong Dimensions

3,000

4,500

126.C1 End Platform Improperly Applied

3,000

4,500

126.C2 End Platform With Less Than Required Clearance to Vertical Plane Through Inside Knuckle

3,000

4,500

126.C3 End Platform Improperly Located

3,000

4,500

126.C4 End Platform Obstructed

5,000

7,500

128.A1 Platform or Switching Step Missing

6,500

9,000

128.A2 Platform or Switching Step Broken or Decayed

6,500

9,000

128.A3 Platform or Switching Step Loose

5,000

7,500

128.B1 Platform or Switching Step Bent

5,000

7,500

128.B2 Platform or Switching Step Does Not Meet the Required Location or Dimensions

3,000

4,500

128.C1 Platform or Switching Step Improperly Applied or Repaired

5,000

7,500

128.C2 Platform or Switching Step Obstructed

5,000

7,500

128.D1 Switching Step Back Stop or Kick Plate Missing

3,000

4,500

128.D2 Switching Step Not Illuminated When Required

3,000

4,500

128.D3 Non-Illuminated Step Not Painted Contrasting Color

1,500

2,500

130.A1 Sill Step or Additional Tread, Missing

6,500

9,000

130.A2 Sill Step or Additional Tread, Broken

6,500

9,000

130.A3 Sill Step or Additional Tread, Loose

5,000

7,500

130.B1 Sill Step or Additional Tread, Bent

5,000

7,500

130.B2 Sill Step or Additional Tread, Having Wrong Dimensions or Improperly Located

3,000

4,500

130.B3 Sill Step Improperly Applied

3,000

4,500

132.A1 Side Missing Step

6,500

9,000

132.A2 Side Door Step Broken

6,500

9,000

132.A3 Side Door Step Loose

5,000

7,500

132.B1 Side Door Step Bent

5,000

7,500

132.B2 Side Door Step Having Wrong Dimensions

3,000

4,500

134.A1 Ladder Missing

6,500

9,000

134.A2 Ladder Broken

6,500

9,000

134.A3 Ladder Loose

5,000

7,500

134.B1 Ladder Bent

5,000

7,500

134.B2 Ladder Having Wrong Dimensions

3,000

4,500

134.C1 Ladder Improperly Applied

3,000

4,500

134.C2 Ladder Having Insufficient Clearance or Improperly Located

3,000

4,500

134.C3 Ladder Wrong Design

3,000

4,500

134.C4 Ladder Wrong Material

3,000

4,500

134.D1 End Clearance Insufficient

3,000

4,500

136.A1 Ladder Tread or Handholds Missing

6,500

9,000

136.A2 Ladder Tread or Handhold Broken

6,500

9,000

136.A3 Ladder Tread or Handhold Loose Except By Design

5,000

7,500

136.B1 Ladder Tread or Handhold Bent to The Extent That It May Be Unsafe

5,000

7,500

136.B2 Ladder Tread or Handhold Wrong Dimensions

3,000

4,500

136.C1 Ladder Tread or Handhold Improperly Applied

3,000

4,500

136.C2 Ladder Tread or Handhold Having Wrong Clearance

3,000

4,500

136.C3 Ladder or Handhold Improperly Located

3,000

4,500

136.C4 Ladder Tread or Handhold Obstructed

5,000

7,500

136.C5 Ladder Tread Without Footguards

5,000

7,500

138.A1 Hand or Safety Railing Missing

6,500

9,000

138.A2 Hand or Safety Railing Broken

6,500

9,000

138.A3 Hand or Safety Railing Loose Except by Design

5,000

7,500

138.B1 Hand or Safety Railing Bent

5,000

7,500

138.B2 Hand or Safety Railing Wrong Dimensions

3,000

4,500

138.C1 Hand or Safety Railing Improperly Applied

3,000

4,500

138.C2 Hand or Safety Railing Having Less Than the Required Clearance

3,000

4,500

138.C3 Hand or Safety Railing Improperly Located

3,000

4,500

140.A1 Uncoupling Lever Missing

5,000

7,500

140.A2 Uncoupling Lever Broken or Disconnected

5,000

7,500

140.B1 Uncoupling Lever Bent Will Not Safely and Reasonably Function As Intended

5,000

7,500

140.C1 Uncoupling Lever Bracket Bent Lever Will Not Function Properly

5,000

7,500

140.C2 Uncoupling Lever Bracket Broken or Missing

5,000

7,500

140.D1 Uncoupling Lever Wrong Dimension

3,000

4,500

140.D2 Uncoupling Lever With Improper Handle Clearance

3,000

4,500

144.A1 Coupler Missing

6,500

9,000

144.B1 Coupler Height Incorrect

3,000

4,500

144.C1 Coupler Inoperative

5,000

7,500

145.A1 Kick Plates Missing

3,000

4,500

145.A2 Kick Plates Broken

3,000

4,500

145.B1 Kick Plates Wrong Dimensions

3,000

4,500

145.B2 Kick Plates Improper Clearance

3,000

4,500

145.B3 Kick Plates Insecure Or Improperly Applied

3,000

4,500

146.A Notice or Stencil not Posted on Cabooses with Running Boards Removed

1,500

2,500

146.B Safe Means not Provided to Clean or Maintain Windows of Caboose

1,500

2,500

231.31 Drawbars, standard height

5,000

7,500

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.

This schedule uses section numbers from FRA's Safety Appliance Defect Code, a restatement of the CFR text in a reorganized format. For convenience, and as an exception to FRA's general policy, penalty citations will cite the defect code rather than the CFR. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR and/or statutory citation in place of the defect code section cited in the penalty demand letter.

PART 232—[AMENDED]

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

Authority:

49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-20303, 20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

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

Appendix A to Part 232.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart A—General

232.15 Movement of power brake defects:

(a) Improper movement, general

(

)

(

)

(11) Failure to make determinations and provide notification of en route defect

$5,000

$7,500

(b) Complete failure to tag

5,000

7,500

(1) Insufficient tag or record

1,500

2,500

(2), (4) Improper removal of tag

5,000

7,500

(3) Failure to retain record of tag

5,000

7,500

5,000

7,500

(e) Improper placement of defective equipment

5,000

7,500

232.19 Availability of records

(

)

(

)

Subpart B—General Requirements

232.103 All train brake systems:

(a)-(c), (h)-(i) Failure to meet general design requirements

5,000

7,500

(d) Failure to have proper percentage of operative brakes from Class I brake test

6,500

9,000

(e) Operating with less than 85 percent operative brakes

6,500

9,000

(f) Improper use of car with inoperative or ineffective brakes

5,000

7,500

(g) Improper display of piston travel

5,000

7,500

(m) Failure to stop train with excess air flow or gradient

5,000

7,500

(n) Securement of unattended equipment:

(1) Failure to apply sufficient number of hand brakes; failure to develop or implement procedure to verify number applied

6,500

9,000

(2) Failure to initiate emergency

5,000

7,500

(3) Failure to apply hand brakes on locomotives

5,000

7,500

(4) Failure to adopt or comply with procedures for securing unattended locomotive

6,500

9,000

(o) Improper adjustment of air regulating devices

5,000

7,500

(p) Failure to hold supervisors jointly responsible

5,000

7,500

232.105 Locomotives:

(a) Air brakes not in safe and suitable condition

6,500

9,000

(b) Not equipped with proper hand or parking brake

6,500

9,000

(c)(1) Failure to inspect/repair hand or parking brake

5,000

7,500

(2) Failure to properly stencil, tag, or record

3,000

4,500

(d) Excess leakage from equalizing reservoir

5,000

7,500

(e) Improper use of feed or regulating valve braking

5,000

7,500

(f) Improper use of passenger position

5,000

7,500

(g) Brakes in operative condition

6,500

9,000

232.107 Air sources/cold weather operations:

(a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources

6,500

9,000

(3) Failure to maintain records

5,000

7,500

(b) Failure to blow condensation

6,500

9,000

6,500

9,000

(d) Failure to equip or drain yard air reservoirs

6,500

9,000

(e) Failure to adopt or comply cold weather operating procedures

6,500

9,000

232.109 Dynamic brakes:

(a) Failure to provide information

5,000

7,500

(b) Failure to make repairs

5,000

7,500

3,000

4,500

(d) Failure to maintain record of repair

1,500

2,500

(e) Improper deactivation

5,000

7,500

(f) Improper use of locomotive as controlling unit

5,000

7,500

(g) Locomotive not properly equipped with indicator

5,000

7,500

(h) Rebuilt locomotive not properly equipped

5,000

7,500

(j) Failure to adopt or comply with dynamic brake operating rules

6,500

9,000

(k) Failure to adopt or comply with training on operating procedures

6,500

9,000

232.111 Train handling information:

(a) Failure to adopt and comply with procedures

6,500

9,000

(b) Failure to provide specific information

5,000

7,500

Subpart C—Inspection and Testing Requirements

232.203 Training requirements:

(a) Failure to develop or adopt program

8,500

11,000

(b)(1)-(9) Failure to address or comply with specific required item or provision of program

5,000

7,500

6,500

9,000

(d) Failure to adopt or comply with retaining valve program

6,500

9,000

(e) Failure to maintain adequate records

6,500

9,000

(f) Failure to adopt and comply with periodic assessment plan

8,500

11,000

232.205 Class I brake test—initial terminal inspection:

(a) Complete failure to perform inspection

8,500

11,000

(c)(1)-(4), (6)-(8) Partial failure to perform inspection

6,500

9,000

(c)(5) Failure to properly adjust piston travel (per car)

5,000

7,500

(d) Failure to use carman when required

3,000

4,500

(e) Failure to provide proper notification

5,000

7,500

(f) Failure to void compressed air

5,000

7,500

232.207 Class IA brake tests—1,000-mile inspection:

(a) Complete failure to perform inspection

6,500

9,000

(b)(1)-(6) Partial failure to perform inspection

5,000

7,500

5,000

7,500

(c)(1) Failure to perform at designated location

5,000

7,500

(c)(2) Failure to provide notification

5,000

7,500

232.209 Class II brake tests—intermediate inspection:

(a) Complete failure to perform inspection

6,500

9,000

(b)(1)-(5), (c) Partial failure to perform inspection

5,000

7,500

(d) Failure to conduct Class I after Class II pick-up

(

)

(

)

232.211 Class III brake tests—trainline continuity inspection:

(a) Complete failure to perform inspection

6,500

9,000

(b)(1)-(4), (c) Partial failure to perform inspection

5,000

7,500

(d) Failure to restore air pressure at rear

5,000

7,500

232.213 Extended haul trains:

(a)(1) Failure to properly designate an extended haul train

6,500

9,000

(a)(2)-(3), (5)(i), (8) Failure to perform inspections

(

)

(

)

(a)(4) Failure to remove defective car (per car)

3,000

4,500

(a)(5)(ii), (6) Failure to conduct inbound inspection

6,500

9,000

(a)(7) Failure to maintain record of defects (per car)

3,000

4,500

(b) Improper movement or use of extended haul train

6,500

9,000

232.215 Transfer train brake tests:

(a) Failure to perform inspection

6,500

9,000

(b) Failure to perform on cars added

5,000

7,500

232.217 Train brake system tests conducted using yard air:

(a) Failure to use suitable device

5,000

7,500

(b) Improper connection of air test device

6,500

9,000

(

)

(

)

(d) Failure to calibrate test device

5,000

7,500

(e) Failure to use accurate device

5,000

7,500

232.219 Double heading and helper service:

(a) Failure to perform inspection or inability to control brakes

5,000

7,500

(b) Failure to make visual inspection

5,000

7,500

5,000

7,500

Subpart D—Periodic Maintenance and Testing Requirements

232.303 General requirements:

(b)-(d) Failure to conduct inspection or test when car on repair track

5,000

7,500

(e) Improper movement of equipment for testing

5,000

7,500

(e)(1) Failure to properly tag equipment for movement

3,000

4,500

(e)(2)-(4) Failure to retain record or improper removal of tag or card

3,000

4,500

(f) Failure to stencil or track test information

5,000

7,500

232.305 Single car tests:

(a) Failure to test in accord with required procedure

5,000

7,500

(b)-(c) Failure to perform test

5,000

7,500

232.309 Repair track air brake test and single car test equipment and devices:

(a)-(f) Failure to properly test or calibrate

5,000

7,500

Subpart E—End-of-Train Devices

232.403 Design standards for one-way devices:

(a)-(g) Failure to meet standards

5,000

7,500

232.405 Design standards for two-way devices:

(a)-(i) Failure to meet standards

5,000

7,500

232.407 Operating requirements for two-way devices:

(b) Failure to equip a train

6,500

9,000

5,000

7,500

(f)(1) Failure of device to be armed and operable

6,500

9,000

(f)(2) Insufficient battery charge

5,000

7,500

(f)(3) Failure to activate the device

5,000

7,500

(g) Improper handling of en route failure, freight or other non-passenger

6,500

(h) Improper handling of en route failure, passenger

6,500

9,000

232.409 Inspection and testing of devices:

(a) Failure to have unique code

5,000

7,500

(b) Failure to compare quantitative values

5,000

7,500

6,500

9,000

(d) Failure to properly calibrate

5,000

7,500

Subpart F—Introduction of New Brake System Technology

232.503 Process to introduce new technology:

(b) Failure to obtain FRA approval

8,500

11,000

232.505 Pre-revenue service acceptance testing plan:

(a) Failure to obtain FRA approval

6,500

9,000

(b) Failure to comply with plan

5,000

7,500

(f) Failure to test previously used technology

6,500

9,000

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.

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.

PART 233—[AMENDED]

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

Authority:

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

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

Appendix A to Part 233.—Schedule of Civil Penalties

Section

Violation

Willful

violation

233.5 Accidents resulting from signal failure

$5,000

$7,500

233.7 Signal failure reports

3,000

4,500

233.9 Annual reports

1,500

2,500

PART 234—[AMENDED]

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

Authority:

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

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

Appendix A to Part 234.—Schedule of Civil Penalties

Section

Violation

Willful

violation

Subpart B—Reports

234.7 Accidents involving grade crossing signal failure

$5,000

$7,500

234.9 Grade crossing signal system failure reports

3,000

4,500

Subpart C—Response to Reports of Warning System Malfunction

234.101 Employee notification rules

3,000

4,500

234.103 Timely response to report of malfunction

6,500

9,000

234.105 Activation failure:

(a) Failure to notify—train crews

8,500

11,000

Other railroads

8,500

11,000

(b) Failure to notify law enforcement agency

3,000

4,500

6,500

9,000

Speed restrictions

6,500

9,000

(d) Failure to activate horn or whistle

3,000

4,500

234.106 Partial activation:

(a) Failure to notify—train crews

5,000

7,500

Other railroads

5,000

7,500

(b) Failure to notify law enforcement agency

3,000

4,500

5,000

7,500

(d) Failure to activate horn or whistle

3,000

4,500

234.107 False activation:

(a) Failure to notify—train crews

6,500

9,000

Other railroads

6,500

9,000

(b) Failure to notify law enforcement agency

3,000

4,500

5,000

7,500

Speed restrictions

5,000

7,500

(d) Failure to activate horn or whistle

3,000

4,500

234.109 Recordkeeping

1,500

2,500

Subpart D—Maintenance, Inspection, and Testing

Maintenance Standards:

234.201 Location of plans

3,000

4,500

234.203 Control circuits

5,000

7,500

234.205 Operating characteristics of warning system apparatus

6,500

9,000

234.207 Adjustment, repair, or replacement of component

6,500

9,000

234.209 Interference with normal functioning of system

8,500

11,000

234.211 Locking of warning system apparatus

3,000

4,500

234.213 Grounds

5,000

7,500

234.215 Standby power system

8,500

11,000

234.217 Flashing light units

3,000

4,500

234.219 Gate arm lights and light cable

3,000

4,500

234.221 Lamp voltage

5,000

7,500

234.223 Gate arm

3,000

4,500

234.225 Activation of warning system

8,500

11,000

234.227 Train detection apparatus

8,500

11,000

234.229 Shunting sensitivity

8,500

11,000

234.231 Fouling wires

6,500

9,000

234.233 Rail joints

6,500

9,000

234.235 Insulated rail joints

8,500

11,000

234.237 Switch equipped with circuit controller

3,000

4,500

234.239 Tagging of wires and interference of wires or tags with signal apparatus

3,000

4,500

234.241 Protection of insulated wire; splice in underground wire

5,000

7,500

234.243 Wire on pole line and aerial cable

5,000

7,500

234.245 Signs

3,000

4,500

Inspections and Tests:

234.247 Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements

6,500

9,000

234.249 Ground tests

6,500

9,000

234.251 Standby power

5,000

7,500

234.253 Flashing light units and lamp voltage

3,000

4,500

234.255 Gate arm and gate mechanism

3,000

4,500

234.257 Warning system operation

6,500

9,000

234.259 Warning time

5,000

7,500

234.261 Highway traffic signal pre-emption

5,000

7,500

234.263 Relays

5,000

7,500

234.265 Timing relays and timing devices

5,000

7,500

234.267 Insulation resistance tests, wires in trunking and cables

5,000

7,500

234.269 Cut-out circuits

8,500

11,000

234.271 Insulated rail joints, bond wires, and track connections

5,000

7,500

234.273 Results of tests

1,500

2,500

234.275 Processor-Based Systems

6,500

9,000

The penalty schedule uses section numbers from 49 CFR part 234. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.

PART 235—[AMENDED]

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

Authority:

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

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

Appendix A to Part 235.—Schedule of Civil Penalties

Section

Violation

Willful

violation

235.5 Changes requiring filing of application

$3,000

$4,500

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

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