§ 228.6 Penalties.

(a) Civil penalties. Any person (an entity of any type covered under 49 U.S.C. 21301, including the following: a railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent contractor) who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where:

(1) a grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons, or

(2) a death or injury has occurred. See 49 CFR part 209, appendix A. Each day a violation continues shall constitute a separate offense. See FRA's website at https://railroads.dot.gov/ for a statement of agency civil penalty policy. Violations of the hours of service laws themselves (e.g., requiring an employee to work excessive hours or beginning construction of sleeping quarters subject to approval under subpart C of this part without prior approval) are subject to penalty under 49 U.S.C. 21303.

(b) Criminal penalties. Any person who knowingly and willfully falsifies a report or record required to be kept under this part or otherwise knowingly and willfully violates any requirement of this part may be liable for criminal penalties of a fine under title 18 of the U.S. Code, imprisonment for up to two years, or both, in accordance with 49 U.S.C. 21311(a).

[76 FR 67087, Oct. 31, 2011, as amended at 77 FR 26704, May 7, 2012; 81 FR 43110, July 1, 2016; 82 FR 16134, Apr. 3, 2017; 83 FR 60748, Nov. 27, 2018; 84 FR 23735, May 23, 2019; 84 FR 37074, July 31, 2019; 86 FR 1758, Jan. 11, 2021; 86 FR 23254, May 3, 2021; 87 FR 15868, Mar. 21, 2022; 88 FR 1127, Jan. 6, 2023; 88 FR 89563, Dec. 28, 2023; 89 FR 106296, Dec. 30, 2024; 90 FR 28163, July 1, 2025]