Part 209

49 CFR Section Description Guideline amount1 

Emergency Orders

Penalty will vary 

depending on the specific 

circumstances of the 

order and facts. 

107.608 Failure to register or to renew registration. (Note: registration—or 

renewal—is mitigation.) 1,500

107.620(d) Failure to show registration records on proper request. 2,000

Deliberate attempt to hide records-considerable aggravation

possible. Varies.

130.31 Failure to have a basic spill response plan.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.33 Failure to implement basic spill response plan after a discharge of 

oil.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.100 Failure to develop or submit a comprehensive oil spill response 

plan (COSRP) for approval. (See also 130.150.)

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.105-.130 Failure to include one or more required components in COSRP.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

(current as of July 12, 2021)

PART 107—HAZARDOUS MATERIALS PROGRAM PROCEDURES

PART 130 –OIL SPILL PREVENTION AND RESPONSE PLANS
130.135(a) Failure to certify in COSRP that employees were trained. 

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.135(b) Failure to conduct recurrent training on COSRPs.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.135(c) Failure to create, retain, or make training records available to DOT 

officials.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.140(a) Failure to include in COSRP description of methods used to ensure 

equipment testing.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.140(b) Failure to implement exercise program for COSRPs.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.140(c) Failure to keep records on exercise or provide them to DOT 

officials.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.145 Failure to review plan, update plan, or maintain or provide copies 

of plan to appropriate individuals.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

130.155 Failure to implement COSRP after a discharge of oil.

See 33 U.S.C. 1321(6), 

as adjusted for inflation 

per 40 CFR 19.4

171.2(a), (b), (c), (e), (f) General duty sections—may be cited in support of another, more 

specific citation to the actual regulatory section violated.

171.2(d) Offering or accepting a hazardous material (hazmat or HM)

without being registered. 1,500

171.2(g) Representing (marking, certifying, selling, or offering) a packaging 

as meeting regulatory specification when it does not. 8,000

PART 171—GENERAL REGULATIONS
171.2(i)

Certifying that a hazardous material is offered for transportation in 

commerce in accordance with the regulations (packaged, marked, 

labeled, etc.) when it is not. A more specific citation to the actual 

underlying regulation violated should be used instead of this 

section, or accompanying this section, if possible. 5,000

171.2(j)

Representing (by marking or otherwise) that a container or 

package for transportation of a hazardous material is safe, 

certified, or in compliance with the regulations when it is not. 8,000

171.2(k)

Representing, marking, etc. for the presence of HM when no HM 

is present. (Mitigation required for shipments smaller than a 

carload, e.g., single drum penalty is $1,000.) 2,000

171.2(l)

Tampering with (altering, removing, defacing, or destroying) any 

marking, label, placard, or description on a document required by 

hazmat law or regulations; unlawfully tampering with a package, 

container, motor vehicle, rail car, aircraft, or vessel used for the 

transportation of hazardous materials.

Varies—considerable 

aggravation possible.

171.2(m)

Falsifying or altering an exemption, approval, registration, or other 

grant of authority issued under hazmat regulations.

Offering or transporting a hazmat under an altered exemption, 

approval, registration, or other grant of authority without the 

consent of the issuing authority. Representing, marking, certifying, 

or selling a packaging or container under an altered exemption, 

approval, registration, or other grant of authority.

Varies—considerable 

aggravation possible.

171.3(a)

Offering for transportation or transport a hazardous waste in 

interstate or intrastate commerce not in accordance with the 

requirements of this subchapter. A more specific citation should 

be used instead.

171.12; 171.22-171.25

Hazardous materials offered for transportation must be transported 

in accordance with U.S. requirements, Transport Canada TDG 

Regulations, an equivalency certificate issued under Transport 

Canada TDG Regulations, or an authorized international standard 

as described in §§ 171.22-171.26. Failure to consistently apply 

one set of requirements or standards will result in penalties that 

equivalent to parallel penalties in other sections of this subchapter.

Equivalent penalties 

depending on the 

circumstances.
Failure to provide immediate notice of certain hazardous

materials incidents.

171.16 Failure to file a detailed incident report (form DOT 5800.1). 

(Multiple failures will aggravate the penalty.) 4,000

Offering hazardous materials for transportation when the material 

is not properly described on the shipping paper as required by 

§§ 172.200—.203. (The “shipping paper” is the document tendered 

by the shipper/offeror to the carrier. The original shipping paper 

contains the shipper's certification at § 172.204.) Considerable 

aggravation of penalties under these sections is possible, 

particularly in case involving undeclared hazmat.

—Undeclared shipment: offering a hazardous material without 

shipping papers, package markings, labels, or placards. (See also 

§§ 172.300, 172.400, 172.500 for specific requirements.) 15,000

—Information on the shipping paper is wrong to the extent that it 

caused or materially contributed to a reaction by emergency 

responders that aggravated the situation or caused or materially 

contributed to improper handling by the carrier that led to or 

materially contributed to a product release. 15,000

—Total lack of hazardous materials information on shipping 

paper. (Some shipping names alone contain sufficient information 

to reduce the guideline to the next lower level, but there may be 

such dangerous products that aggravation needs to be considered.) 7,500

—Some information is present, but the missing or improper 

description could cause mishandling by the carrier or a delay or 

error in emergency response.

5,000

PART 172—SHIPPING PAPERS

172.200-.203

171.15 6,000
—When the improper description is not likely to cause

serious problem (technical defect). 2,000

—Shipping paper includes a hazardous material description and no 

hazardous material is present. (Technically, this is also a violation 

of § 171.2(k); it is presented here as a convenience.) 7,500

172.201(d) Failure to put emergency response telephone number on

shipping paper. 4,000

172.201(e) Failure to retain shipping paper for required period (1year if

carrier, 2 years if offeror). 7,500

172.204 Offeror's failure to certify. 2,000

172.205

Hazardous waste manifest. (Applies only to defects in the 

Hazardous Waste Manifest form [EPA Form 8700-22 and 8700-

22A]; shipping paper defects are cited and penalized under 

§ 172.200-.203.)

Equivalent penalties for 

§§ 172.200-.203, 

depending on 

circumstances.

172.301

Failure to mark a non-bulk package as required (e.g., no 

commodity name on a 55-gallon drum). (Shipment is the unit of 

violation.) 1,000

172.302 Failure to follow standards for marking bulk packaging. 2,000

172.302(a)

ID number missing or in improper location. (The guideline is for a 

portable tank; for smaller bulk packages, the guideline should be 

mitigated downward.) 2,500

172.302(b)

Failure to use the correct size of markings. (Note: If

§ 172.326(a) is also cited, it takes precedence and

§ 172.302(b) is not cited. Note also: the guideline is for a gross 

violation of marking size—1/2′′ where 2′′ is required—and 

mitigation should be considered for markings approaching the 

required size.) 2,000

172.302(c) Failure to place exemption number markings on bulk package. 2,000

Failure to include emergency response information is covered at §§ 172.600-604; while the 

normal unit of violation for shipping papers is the whole document, failure to provide 

emergency response information is a separate violation.

Marking:
172.303

Prohibited marking. (Package is marked for a hazardous material 

and contains either another hazardous material or no hazardous 

material.)

—The marking is wrong and caused or contributed to a

wrong emergency response. 10,000

—Use of a tank car stenciled for one commodity to transport

another. 5,000

—Inconsistent marking; e.g., shipping name and ID number

do not agree. 5,000

—Marked as a hazardous material when package does not

contain a hazardous material. 2,000

172.304 Obscured marking. 2,000

172.310-.324 Failure to mark in accordance with the appropriate subsection. 2,500

Improper, or missing, HOT mark for elevated temperature

material.

172.325(b) Improper or missing commodity stencil. 2,500

172.326(a) Failure to mark a portable tank with the commodity name. 2,500

Failure to have commodity name visible (“legible”) when

portable tank is loaded on intermodal equipment.

172.326(b) Owner's/lessee's name not displayed. 500

172.326(c) Failure to mark portable tank with ID number. 2,500

Failure to have ID number visible when portable tank is

loaded on intermodal equipment.

2,500

172.330(a)(1)(ii)

Offering/transporting hazardous material in a tank car that does 

not have the required shipping name or common name stenciled on 

the car. This section “lists” the materials that require such 

markings on the tank. For tank car marking requirements for 

molten aluminum and molten sulfur, see § 172.325(b). 2,500

172.330(c) 2,500

2,500

172.330(a)(1)(i) Offering/transporting hazardous material in a tank car that does 

not have the required ID number displayed on the car.

172.325(a) 1,500

2,500

Failing to mark tank car as NON-ODORIZED or NOT 

ODORIZED when offering/transporting tank car or multi- unit 

tank car containing unodorized LPG.
172.331(b) 2,500

172.332 2,000

Displaying ID numbers on a RADIOACTIVE, EXPLOSIVES 1.1, 

1.2, 1.3, 1.4, 1.5, or 1.6, or DANGEROUS, or

172.334(a) subsidiary hazard placard. 4,000

—Improper display of ID number that caused or contributed

to a wrong emergency response.

5,000

—Technical error. 2,000

Displaying ID number on orange panel not in proximity to

the placard.

Labeling:

Failure to label properly. (See also § 172.301 regarding the

marking of packages.)

Placarding:

—Placarded as hazardous material when car does not contain

a hazardous material.

—Hazardous material is present, but the placard does not

represent hazard of the contents.

2,000

172.503 Improper display of ID number on placards. See § 172.334.

172.504(a)

—Improper display of ID number that could cause carrier 

mishandling or minor error in emergency response.

172.334(f) 1,500

172.400-.406 2,500

Offering bulk packaging other than a portable tank, cargo tank, or 

tank car (e.g., a hopper car) not marked with ID number. (E.g., a 

hopper car carrying a hazardous substance, where a placard is not 

required.)

Improper display of identification number markings. Citation of 

this section and §§ 172.326(c) (portable tanks), 172.328 (cargo 

tanks), or 172.330 (tank cars) does not create two separate 

violations.

172.334(b) 15,000

Failure to placard; affixing or displaying wrong placard. (See also §§ 172.502(a),

172.504(a), 172.505, 172.512, 172.516, 174.33, 174.59, 174.69; all applicable sections 

should be cited, but the penalty should be set at the amount for the violation most directly on 

point.) (Generally, the car is the unit of violation, and penalties vary with the number of 

errors, typically at the rate of $1,000 per placard.)

172.502 2,000

4,000

—Display of sign or device that could be confused with regulatory 

placard. Photograph or good, clear description necessary.
—Complete failure to placard. 7,500

—One placard missing (add $1,000 per missing placard up to

a total of three; then use the guideline above).

2,500

172.504(b) Improper use of DANGEROUS placard for mixed loads. 5,000

Placarded for wrong hazard class when no placard was

required due to “1,001 pound” exemption.

172.504(e) Use of placard other than as specified in the table:

15,000

—Improper placard that could cause improper emergency

response or handling by carrier.

—Technical violation. 2,500

172.505 5,000

172.508(a) 7,500

1,000

500

See § 172.516.

Accepting hazardous material for rail transportation without

placards affixed.

1,000

—Complete failure to placard, but only two (2) placards are 

required (e.g., intermediate bulk containers [IBCs]).

Improper application of placards for subsidiary hazards. (This is in 

addition to any violation on the primary hazard placards.)

Offering hazardous material for rail transportation without affixing 

placards. (The preferred section for a total failure to placard is 

§ 172.504(a); only one section should be cited to avoid a dual 

penalty.) (Note also: Persons offering hazardous material for rail 

movement must affix- placards; if offering for highway movement, 

the placards must be tendered to the carrier. § 172.506.)

One placard missing (per car). (Add $1,000 per missing placard up 

to a total of three; if all placards are missing, the guideline above 

applies.)

Placards OK, except they were International Maritime Dangerous 

Goods (IMDG) labels instead of 10′′ placards. (Unit of violation is 

the packaging, usually a portable tank.)

Placards on Container on Flatcar/Trailer on Flatcar (TOFC/COFC) 

units not readily visible. (§ 172.516 should be cited.)

172.504(c) 2,000

—Improper placard caused or contributed to improper reaction by 

emergency response forces or caused or contributed to improper 

handling by carrier that led to a product release.

5,000

172.508(b) 5,000
EXPLOSIVES 1.1, EXPLOSIVES 1.2, POISON GAS,

172.510(a)

(Division 2.3, Hazard Zone A), POISON, (Division 6.1, Packing 

Group I, Hazard Zone A), or a Division 2.1 material transported in 

a Class DOT 113 tank car, placards displayed without square 

background. 5,000

Follow § 172.504

guidelines.

172.514 2,000

172.516 1,000

2,000

 172.519(b)(4) Improper display of hazard class on placard—primary hazard. 2,500

Improper display of hazard class on placard—secondary

hazard.

Placard not readily visible, improperly located or displayed, or 

deteriorated. Placard is the unit of violation.

—When placards on an intermodal container are not visible, for 

instance, because the container is in a well car. Container is the 

unit of violation, and, as a matter of enforcement policy, FRA 

accepts the lack of visibility of the end placards.

—Note that, while placards on freight containers, portable tanks, 

or TOFC vehicles may be used in lieu of placards on the rail cars, 

if both are placarded, each must be done properly. Thus, for 

instance, EXPLOSIVES 1.1 placards on intermodal containers do 

not require white square backgrounds, but if the rail car carrying 

such a container is placarded, the white square background is 

required on the rail car.

2,500

172.512(a) Improper placarding of freight containers.

Improper placarding of bulk packaging other than a tank car: For 

the “exception” packages in 174.514(c). Use the regular placarding 

sections for the guideline amounts for larger bulk packages.

Violations of §§ 172.600-.604 are in addition to shipping paper violations. In citing a carrier, 

if the railroad's practice is to carry an emergency response (E/R) book or to put the E/R 

information as an attachment to the consist, the unit of violation is generally the train (or the 

consist). “Telephone number” violations are generally best cited against the shipper; if 

against a railroad, there should be proof that the number was given to the railroad; that is, the 

number was on the original shipping document.

Considerable aggravation of the penalties under these sections is possible.
Emergency Response 

Information:

172.600-.602 15,000

5,000

2,500

172.602(c) 15,000

7,500

172.604 Emergency response telephone number

—Failure to include emergency response telephone number

on a shipping paper.

4,000

Training:

172.702(a) General failure to train hazardous material employees. 7,500

172.702(b) 1,000

172.704(a) —Failure to train in a required area:

—General awareness/familiarization;

—Function-specific;

—Safety;

—Security awareness;

—In-depth security training.

(Unit of violation is the “area,” per employee. For a total

failure to train, § 172.702(a) applies.)

Initial and recurrent training. (This section should be cited with the 

relevant substantive section, e.g., § 172.702(a), and use penalty 

Out-of-date, missing, or incorrect emergency response information 

that could cause a significant difference in response.

Out-of-date, missing, or incorrect emergency response information 

not likely to cause a significant difference in response.

Failure to have emergency response information “immediately 

accessible,” resulting in delay or confusion in emergency response.

Failure to have emergency response information “immediately 

accessible” with no negative effect on emergency response.

Where improper emergency response information has caused an 

improper reaction from emergency forces and the improper 

response has aggravated the situation.

4,000

—Listing an unauthorized, incorrect, non-working, or unmonitored 

(24 hrs. a day) emergency response telephone number on a 

shipping paper.

Hazardous material employee performing covered function 

without training. (Unit of violation is the employee.)

2,500
172.704(c) Varies.

Failure to maintain record of training. (Unit of violation is

the employee.)

4,000

Security:

Total failure to develop security plan. Factors to consider are the 

size of the entity (is it a small business?); the type of hazmat 

handled; and the quantities of hazmat handled.

172.800

Aggravation should be considered, for example, if it is a large 

entity that handles significant quantities of chlorine or other toxic 

inhalation hazard (TIH) material. 5,000 to 10,000.

1,000 to 10,000.

172.802(a) Failure to include each required component in plan:

—Personnel security;

—Unauthorized access;

—En route security.

(Unit of violation is the “area.” For a total failure to have a 

security plan, cite § 172.800 and use that penalty instead of

§ 172.802.)

172.802(b) 5,000

172.802(c)

5,000

172.820(a)-(e) General failure to perform safety and security route analysis.

 

   

provided there.)

172.704(d) 2,500

There is some evidence of training, but no (or inadequate) records 

and the employee demonstrates no or very little knowledge or 

skills in doing the job.

Failure to adhere to the developed security plan—considerable 

aggravation possible. Factors to consider include size of entity, 

quantities and types of hazmat handled, number of security plan 

components not complied with.

Failure to have security plan (or appropriate portions of it) 

available to implementing employees. (A failure to have the plan 

“in writing” is treated as a violation of the requirement to have a 

plan and cited under § 172.800, using that penalty.)

Failure to revise/ update all copies of the plan to the current level 

(i.e. all copies should be identical). (As in the tank car quality 

control area, the requirement to conform copies applies only to the 

“official” copies of the plan. Uncontrolled (and non-updated) 

copies of the security plan are not a violation if the uncontrolled 

copies are clearly marked as such.)

2,000

 
Factors to consider are the size of the railroad carrier, and

the quantities of hazmat transported.

Partial failure to complete route analysis; failure to complete

a component of the route analysis.

—Compilation of security-sensitive commodity data

—Identification of practicable alternative routes

—Safety and security route analysis of route used

—Safety and security alternative route analysis

Failure to complete route analyses within the prescribed time

frame.

Failure to include one of the following components in safety

and security plan.

—Measures to limit unauthorized access to the materials

during storage or delays in transit.

—Measures to mitigate risk to population centers associated

with in-transit storage of the materials.

—Measures to be taken in the event of escalating threat

levels for the materials stored in transit.

Failure to include one or more of the following measures in a 

safety and security plan:

—Measures that minimize the duration of any storage of the 

material incidental to the movement

—Measures that prevent unauthorized access to materials during 

storage or delays in transit

—Measures that mitigate risks to population centers.

172.820(a)-(e)

—Consultation with State, local, and tribal officials, as 

appropriate, regarding security risks to high-consequence targets 

along or in proximity to a route used by the carrier to transport 

security-sensitive materials

5,000 to 10,000

5,000

172.820(f) 2,000

172.820(g)

—Procedure for consultation with offerors and consignees to 

minimize storage of security-sensitive materials incidental to 

movement.

2,000

(Unit of violation is the component. For a total failure to have a 

security plan, cite § 172.800 and use the penalties provided for 

that section. )

172.820(h)

1,000-4,000 depending 

 
—Measures that address situations of escalating threat levels for 

materials stored in transit

Failure to develop procedures for notifying consignee within 48 

hours of significant delay during transportation. 1,000

Procedures developed, but do not have a revised delivery schedule. 1,000

Failure to maintain records and make available to DOT and

DHS authorized officials.

Failure to use route designated by FRA Associate

Administrator for Railroad Safety & Chief Safety Officer.

173.1 2,000

Failure to display fumigation marking. (Ordinarily cited

against shipper only, not against railroad.)

173.9(c) Marked FUMIGANT when not fumigated. 1,000

173.9(d) Fumigant marking removed prior to complete ventilation. 2,000

173.9(e) Fumigant marking not in conformance with this section. 2,000

173.10 Delivery requirements for gases and for flammable liquids.

See also §§ 174.204 and 174.304.

173.21 Offering for transportation materials designated as forbidden in 

this section. 3,000

173.22 See specific section.

173.22a Improper use of packagings authorized under exemption. 2,500

Failure to maintain copy of exemption as required. 1,000

172.820(j) 10,000

173.9(b) 2,000

3,000

Preparation of Hazardous Materials for Transportation:

Shipper responsibility: This general duty section should ordinarily 

be cited only to support a more specific charge.

PART 173—SHIPPERS—GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGES

General:

General duty section applicable to shippers; also includes 

subparagraph (b), the requirement to train employees about 

applicable regulations. (Cite the appropriate section in the 172.700-

704 series for training violations.)

 

on the number of 

measures missing.

172.820(i) 2,000
173.24(b)(1) and

173.24(b)(2) and 173.24(f)(1)

and 173.24(f)(1)(ii)

—Small bottle or box. 1,000

—55-gallon drum. 2,500

—Larger container, e.g., IBC; not portable tank or tank car. 5,000

—Residue adhering to outside of package (i.e., portable

tanks, tank cars, etc.)

173.24(c)

—Small bottle or box. 1,000

—55-gallon drum. 2,500

—Larger container, e.g., IBC; not portable tank or tank

car, but this section is applicable to a hopper car.

—Larger container, e.g., IBC; not portable tank or tank car,

but this section is applicable to a hopper car.

Securing closures: These subsections are the general “no leak” standard for all packagings. 

Sec. 173.24(b) deals primarily with packaging as a whole, while §173.24(f) focuses on 

closures. Use §173.31(d) for tank cars, when possible. Cite the sections accordingly, using 

both the leak/non-leak criteria and the package size considerations to reach the appropriate 

penalty. Any leak of vapors or less than a gallon of product will aggravate the guideline by, 

typically, 50%; a leak of a gallon or more of product by 75%; a leak with contact with a 

human will aggravate by at least 100%, up to the maximum annual penalty amount, if the 

violation results in death, serious illness or injury or substantial destruction of property. For 

intermodal (IM) portable tanks and other tanks of that size range, use the tank car penalty 

amounts, as stated in §173.31.

—IM portable tank, cite § 173.24(f) and use the penalty amounts 

for tank cars: Residue, generally, § 173.29(a) and, loaded, 

§ 173.31(d).

For more specific sections: Tank cars-§ 173.31(a), portable tanks-§ 173.32, and IM portable 

tanks-§§ 173.32a, 173.32b, and 173.32c.

5,000

For more specific sections: Tank cars—§ 173.31(a), portable 

tanks—§ 173.32, and IM portable tanks—§§ 173.32a,173.32b, and 

5,000

Use of package not meeting specifications, including required stencils and markings. The 

most specific section for the package involved should be cited (see below). The penalty 

guideline should be adjusted for the size of the container. Any leak of vapors or less than a 

gallon of product will aggravate the guideline by, typically, 50%; a leak of a gallon or more 

of product by 75%; a leak with contact with a human will aggravate by at least 100%, up to 

the maximum of $84,425, and up to $196,992 if the violation results in death, serious illness 

or injury or substantial destruction of property. 

5,000
Non-bulk packagings: Failure to secure and cushion inner

packagings.

—Causes leak of vapors or less than a gallon of product. 5,000

—Causes leak of a gallon or more of product. 10,000

—Leak with any contact between product and any human. 20,000

173.24a(b) and (d) Non-bulk packagings: Exceeding filling limits. 1,000

—Causes leak of vapors or less than a gallon of product. 5,000

—Causes leak of a gallon or more of product. 10,000

—Leak with any contact between product and any human. 20,000

173.24b(a) Insufficient outage:

—<1% 3,000

—Causes leak 5,000

Outage <5% on PIH material 5,000

—Causes leak of vapors or less than a gallon of product. 5,000

—Causes leak of a gallon or more of product. 10,000

—Leak with any contact between product and any human. 20,000

Overloaded to exceed the maximum weight of lading marked

on the specification plate.

173.26 5,000

Improper reuse, reconditioning, or remanufacture of

packagings.

   

    

173.32c.

173.24b(d)(2) 5,000

Loaded beyond gross weight or capacity as stated in specification. 

(Applies only if quantity limitations do not appear in packaging 

requirements of part 173.) (For tank cars, see § 179.13.) For gross 

weight and capacity requirements, see § 179.13. § 173.26 should 

be the citation for the violation and civil penalty; § 179.13 can be 

cited as a reference section.

173.28 1,000

173.24a(a)(3) 1,000

173.29(a)

Offering residue tank car for transportation when openings are not tightly closed (§ 173.31(d) 

is also applicable for tank cars). The regulation requires offering “in the same manner as 

when” loaded and may be cited when a car not meeting specifications (see § 173.31(a)(1)) is 

released back into transportation after unloading; same guideline amount. Guidelines vary 

with the type of commodity involved. In addition to the vapor pressure factor cited below, the 

RQ (reportable quantity) is a fair measure of the danger of a commodity to the environment. 

For RQ values ≤10, consider aggravating the penalties below by no less than 50 percent.
—Hazardous material with insignificant vapor pressure and

without classification as “poison” or “inhalation hazard.” 2,000

•—With leak of vapors or less than a gallon of product.

•—Causes leak of a gallon or more of product. 

•—With leak allowing the product to contac

human. 20,000

5,000

•With leak of vapors or less than a gallon of product

•

Causes leak of a gallon or more of product 

22,500

—Where only violation is failure to secure a protective

housing, e.g., the covering for the gaging device.

173.30

173.31(a)(1)

§ 173.240 1,000

§ 173.241 2,500

§ 173.242 5,000

§ 173.243 5,000

§ 173.244 7,500

§ 173.245 7,500

§ 173.247 1,000

§ 173.249 7,500

§ 173.314 5,000

§ 173.315 5,000

§ 173.319 5,000

§ 173.320 5,000

§ 173.323 7,500

•With leak allowing the product (or fumes or va

to contact any human. (In the case of fumes, the “contact” 

must be substantial.)

1,000

A general duty section that should be cited with the explicit statement of the duty.

Use of a tank car not meeting specifications and the “Bulk packaging” authorization in 

Column 8 of the § 172.101 Hazardous Materials Table reference is:

—Hazardous material with vapor pressure (essentially any gas or 

compressed gas) and/or with classification as “poison” or 

“inhalation hazard.”
500

—Defect of greater importance, e.g., safety valve tested, but

test date not stenciled on valve.

1,000

2,500

173.31(a)(2) 7,500

173.31(a)(3) 7,500

Use of tank car without air brake support attachments welded

to pads.

Use of a tank car with a self-energized manway located

below the liquid level of the lading.

173.31(b)(1) 10,000

—Against a carrier, cite § 174.3 and this section. 6,000

Filling a tank car overdue for a periodic inspection with a 

hazardous material and then offering it for transportation. (Note: 

Offering a residue car, overdue for inspection, is not a violation; 

neither is filling the car—so long as it is not offered for 

transportation.) (Adjust penalty if less than one month or more 

than one year overdue.)

173.31(a)(4) 5,000

173.31(a)(5) 15,000

—Minor defect not affecting the ability of the package to contain a 

hazardous material, e.g., no chain on a bottom outlet closure plug.

1,000

—Tank meets specification, but specification is not stenciled on 

car. § 179.1(e) implies that only a tank car builder, or facility that 

performs the functions of a tank car builder, has the duty here, but 

it is the presence of the stencil that gives the shipper, or any 

facility that alters the tank car, the right to rely on the builder or 

facility. (See § 173.22(a)(3).)

—Tank car not stenciled according to Appendix C of the Tank Car 

Manual. The sub-reference is to § 179.22 which requires each tank 

car to be marked in accordance with Appendix C of the Tank Car 

Manual. For example, Appendix 3.03(a)(5), requires marking of 

the tank “NOT FOR FLAMMABLE LIQUIDS” or “NOT FOR 

FLAMMABLE OR POISONOUS LIQUIDS.”

Tank cars and appurtenances used for a material not authorized on 

the certificate of construction (or by addendum on Association of 

American Railroads (AAR) form R-1 or TCID).

Use of DOT-specification tank car, or any tank car used for 

transportation of a hazardous material, without shelf couplers. See 

§ 179.14 for correct coupler.
173.31(b)(2) 7,500

1,000

5,000

173.31(b)(3)

—Class 2 10,000

—Tank car constructed from aluminum or nickel plate. 7,500

—Against a carrier, cite § 174.3 and this section. 6,000

173.31(b)(4) 10,000

173.31(b)(5) 5,000

173.31(b)(6) Failure to submit a progress report to FRA. 2,500

173.31(c) Use of a tank car with an incorrect tank test pressure. 10,000

Offering a tank car for transportation with a hazardous material, or 

a residue of a hazardous material, that is not in proper condition or 

that is unsafe for transportation. Sections 173.24(b) and (f) 

establish a “no-leak” design standard, and

173.31 imposes that standard on operations. In addition to the 

vapor pressure factor cited below, the RQ (reportable quantity) is a 

fair measure of the danger of a commodity to the environment. For 

RQ values ≤10, consider aggravating the penalties below by no 

less than 50 percent. The unit of violation is the car, aggravated if 

necessary for truly egregious condition.

Use of a tank car for the transportation of a Class 2 material 

without the required thermal protection. See paragraphs (b)(4)(i) 

for compliance periods.

Use of a tank car for the transportation of a hazardous material 

without the required bottom-discontinuity protection. See the 

paragraph for compliance periods.

Tank car with nonreclosing pressure relief device used to transport 

Class 2 gases, Class 3 or 4 liquids, or Division 6.1 liquids, PG I or 

II.

Tank car has a nonreclosing pressure relief device and the wrong 

pressure is stenciled on the tank. Cite this section where the 

standard in § 179.22(a) is not met and the respondent is other than 

the builder.

Where either the rupture disc is unmarked for pressure or 

manufacturer name or is marked but is of the wrong pressure. Cite 

this section for a violation of § 179.156(h) against other than the 

builder.

Use of a tank car for the transportation of a hazardous material without the required tankhead protection. See paragraphs (b)(3)(iii) and (iv) for compliance periods.

173.31(d)

5,000
5,000

—With leak of vapors or less than a gallon of product. 10,000

—With leak of a gallon or more of product. 15,000

20,000

1,000

—Hazardous material with insignificant vapor pressure and

without classification as “poison” or “inhalation hazard.” 2,000

—With leak of vapors or less than a gallon of product. 5,000

—With leak of a gallon or more of product. 10,000

—With leak allowing the product to contact any human. 20,000

5,000

—With leak of vapors or less than a gallon of product. 7,500

—With leak of a gallon or more of product. 12,500

22,500

1,000

Whether loaded or residue:

—Where the only violation is the failure to secure a protective 

housing, e.g., the covering for the gaging device.

Wh “ h di i ” h l l k k 

 

 

Offering residue tank car for transportation when openings are not tightly closed (§ 173.29(a) 

is also applicable for tank cars) Guidelines vary with the type of commodity involved:

—With leak allowing the product (or fumes or vapors) to contact 

any human. (With safety vent, investigate to determine any carrier 

responsibility.

—Minor violation, e.g., bottom outlet cap loose on tank car of 

molten sulfur (because product is a solid when shipped).

Residue car: (The penalties are the same as in 173.29(a).)

Loaded car:

—Failure to inspect the tank car, service equipment, or all 

markings prior to offering the car for transportation.: If the failure 

to inspect resulted in a release of product, the appropriate penalty 

amount below applies.

—Hazardous material with vapor pressure (essentially any gas or 

compressed gas) and/or with classification as “poison” or 

“inhalation hazard.”

—With leak allowing the product (or fumes or vapors) to contact 

any human. (In the case of “fumes,” the “contact” must be 

substantial.)
2,500 (Varies to account 

for seriousness).

173.31(e)(1) 7,500

173.31(e)(2) 10,000

173.31(f) 5,000

173.31(g)(1) 4,000

Unloading a tank car without caution signs properly

displayed. (See Part 218, Subpart B.)

173.31(g)(3)

—No brakes set, no wheels blocked, or fewer brakes

set/wheels blocked than facility's operating plan.

—No brakes set, but wheels blocked. 3,000

—Brakes set, but wheels not blocked. 4,000

173.32(a)(1) 5,000

Filling and offering portable tank when periodic test or

—Where “other conditions” than a loose closure make a tank car 

not “in proper condition for transportation” (e.g., loose ladders, 

seals thrown into safety valves, etc.)

Tank car with interior heating coils used to transport Division 2.3 

or Division 6.1, PG I, based on inhalation toxicity.

Use of a tank car for a material poisonous by inhalation that does 

not meet the minimum specification i.e., 300-pound tank test 

pressure, head protection, and a metal jacket.) See the paragraph 

for the compliance dates.

Use of a tank car for a “listed” hazardous substance that does not 

meet the minimum specification (i.e., 200-pound tank test 

pressure, head protection, and a metal jacket.): See the paragraph 

for the compliance dates and § 173.31(f)(2) for the list of 

hazardous substances.

Unloading a tank car without securing access to the track to 

prevent entry by other rail equipment. Derails, lined and blocked 

switches, or other equipment that provides equivalent level of 

security is acceptable.

Using a portable tank for transportation of hazardous materials, 

when tank does not meet regulatory requirements. (For loose 

closures or leaks on portable tanks use 173.24.)

173 32(a)(2)

173.31(g)(2) 2,000

Unloading without brakes set and/or wheels blocked. (The 

enforcement standard, as per 1995 Hazardous Materials Technical 

Resolution Committee, is that sufficient handbrakes must be 

applied on one or more cars to prevent movement and each car 

with a handbrake set must be blocked in both directions. The 

unloading facility must make a determination on how many brakes 

to set.)

5,000
inspection overdue.

Compressed gas loaded in excess of filling density (same

basic concept as insufficient outage).

Failure to comply with a special requirement for a

compressed gas.

174.3

For loaded car 5,000. For 

residue car 2,000.

174.14 Failure to expedite: Violation of “48-hour rule.” 2,500

174.16 Failure to properly remove or dispose of hazardous materials at 

destination. 2,500

173.314(e) through (o) 5,000

General Requirements:

173.32(a)(2) 5,000

Gases; Preparation and Packaging:

173.314(c) 6,000

PART 174—CARRIAGE BY RAIL

Acceptance of improperly prepared shipment. This general duty section shall be 

accompanied by a citation to the specific section violated.

174.9

Failure to properly inspect a rail car containing a hazardous 

material when accepted for transportation or placed in a train: The 

carrier shall inspect the rail car, at ground level, for required 

markings, labels, placards, securement of closures, leakage, and 

signs of tampering, including presence of an improvised explosive 

device. The inspection may be performed in conjunction with the 

inspections required under parts 215 and 232. This requirement 

will not “trigger” an inspection and require a train to be stopped. 

For example, in run through train operations, the train crew of the 

receiving railroad s assumes responsibility for the train from the 

delivering crew. Acceptance of responsibility includes the right to 

receive a penalty action for transporting a rail car with a noncomplying condition. Note also that the presence of a noncomplying condition by itself does not prove that there was a 

failure to inspect. Penalties may also be assessed under this section 

for forwarding or transporting a defective car without repairing the 

deficiency or obtaining a movement approval in accordance with 

174.50.
General Operating 

Requirements

174.24(a)

—Improper hazardous material information that could cause

delay or error in emergency response.

—Total absence of hazardous material information. 5,000

—Technical errors, not likely to cause problems, especially

with emergency response.

500

174.24(b) 7,500

7,500

1,000

—Minor errors not relating to hazardous material emergency 

response, e.g., not listing an exemption number and the exemption 

is not one affecting emergency response.

This subpart (subpart B) of part 174 has two sections referring to shipment documentation: 

§ 174.24 relating to accepting documents, and § 174.26 relating to movement documents in 

the possession of the train crew. Only the most relevant section should be cited. In most 

cases, the unit of violation is the shipment, although where a unified consist is used to give 

notice to the crew, there is some justification for making it the train, especially where the 

discrepancy was generated using automated data processing and the error is repetitious.

Accepting hazardous material shipment without properly prepared 

shipping paper. (The carrier's duty extends only to the document 

received, that is, a shipment of hazardous material in a nonplacarded transport vehicle with a shipping paper showing other 

than a hazardous material is not a violation against the carrier 

unless knowledge of the contents of the vehicle is proved. 

Likewise, receipt of a tank car placarded for Class 3 with a 

shipping paper indicating a flammable liquid does not create a 

carrier violation if the car, in fact, contains a corrosive. On the 

other hand, receipt of a placarded trailer with a shipping paper 

listing only FAK (“freight-all-kinds”), imposes a duty on the 

carrier to inquire further and to reject the shipment if it is 

improperly billed.)

Failure to include emergency response information is covered at §§ 172.600-172.604; while 

the normal unit of violation for movement documents is the whole document, failure to 

provide emergency response information is a separate violation.

Failure to retain shipping papers for one year. (Variation over a 

wide range is not unusual, depending upon circumstances.)
Train crew does not have a document indicating position in train 

of each rail car containing a hazardous material.

Routinely aggravate by 50% for Poison Gas, 2.3, and Explosives, 

1.1 and 1.2. (Train is the unit of violation—this is generally going 

to be the consist list for a train.)

174.26(a) 6,000

2,000 to 4,000.

174.26(b)

15,000

15,000

—Information on the document possessed by the train crew is 

wrong to the extent that it caused or materially contributed to a 

reaction by emergency responders that aggravated the situation or 

caused or materially contributed to improper handling by the 

carrier that led to or materially contributed to a product release.

Train crew has documents described above but they have not 

updated the document to account for delivery or pickup of car or 

cars. Penalty amount may vary depending on the number of cars 

not listed or out of place, the number of places the cars are off, the 

type of commodity in the car, and the potential effects on safe 

handling of the cars or emergency response. (Each failure to 

update is a separate unit of violation—if the crew picked up one 

cut of cars and failed to update the document, that would be one 

unit of violation. The “update” requirement only matures when the 

crew has placed the cars into the train—or removed them from the 

train—re-laced the air hoses, and are ready to depart.)

Improper paperwork in possession of train crew. (Shipment is unit of violation, although 

there is justification for making it the train if a unified consist [e.g. one that shows both train 

car order and hazmat information] is used to carry this information and the violation is a 

pattern one throughout all, or almost all, of the hazardous material shipments. For intermodal 

traffic, “shipment” can mean the container or trailer—e.g., a UPS trailer with several nondisclosed hazardous material packages would be one unit.)

—Information on the document possessed by the train crew is 

wrong to the extent that it caused or materially contributed to a 

reaction by emergency responders that aggravated the situation or 

caused or materially contributed to improper handling by the 

carrier that led to or materially contributed to a product release.
3,000

7,500

5,000

3,000

—Lack of emergency response phone number. 4,000

500-1,000.

For loaded car 5,000. For 

residue car 2,000.

174.50

5,000

—Forwarding a leaking bulk package beyond the movement

“as necessary to reduce or to eliminate an immediate threat *

* *.” Consider mitigation for low hazard HM (e.g., HOT) 10,000

and for bulk packages smaller than tank cars.

—Loss of product resulted in human contact because of

improper carrier handling.

—Information is present and wrong, but without adverse 

emergency response effect (e.g. insignificant error in shipping 

name for the hazmat; name is incorrect but the emergency 

response would be the same.)

—Total lack of hazardous material information on movement 

document. (Some shipping names alone contain sufficient 

information to reduce the guideline to the next lower level, but 

there may be such dangerous products that aggravation needs to be 

considered.)

—Some information is present but the error(s) could cause 

mishandling by the carrier or a delay or error in emergency 

response. Includes missing RESIDUE description required by 

§ 172.203(e)(2).

15,000

—Failure to obtain movement approval from the FRA for the 

transportation of a bulk packaging that no longer conforms to the 

—Improper information, but the hazardous material are small 

shipments (e.g., UPS moves) and PG III (e.g., the “low hazard” 

material allowed in TOFC/COFC service without an exemption 

since HM-197.)

—Technical defect or minor error not likely to cause delay or error 

in emergency response or carrier handling.

Forwarding a bulk packaging (e.g. a tank car) that no longer 

conforms to the hazmat regulations without first repairing the 

defect. This includes such non-conforming conditions as loose 

closures visible from ground level (e.g. loose bottom outlet caps), 

improper stenciling or marking.

—Forwarding a leaking, or non-conforming non-bulk package 

containing a hazardous material without repair or over-packing.
7,500

—Failure to follow directives in a movement approval. 5,000

—Failure to report corrective actions (or any other reporting

requirement in the movement approval).

174.55

—General failure to block and brace. 5,000

—Inadequate blocking and bracing (an attempt was made but 

blocking/bracing was insufficient). 2,500

—Inadequate blocking and bracing leading to a leak. 7,500

—Inadequate blocking and bracing leading to a leak and

human contact.

174.57 Failure to clean hazardous material leakage. 5,000

174.59

—Complete failure to placard or to replace missing placards. 7,500

 

 

regulations.

5,000

General Handling and Loading Requirements:

Failure to block and brace as prescribed. (See also §§ 174.61, 174.63, 174.101, 174.112, 

174.115; where these more specific sections apply, cite them.) Note: The regulatory 

requirement is that hazardous material packages be loaded and securely blocked and braced 

to prevent the packages from changing position, falling or sliding into each other. If the load 

is tight and secure, pieces of lumber or other material may not be necessary to achieve the 

“tight load” requirement.

15,000

Other specific placarding and marking sections may also be applicable.

Marking and placarding. A railroad's placarding duties are to not accept a car without 

placards [§ 172.508(b)], and to not transport a car without placards [§ 174.59]. At each 

inspection point, a railroad must determine that all placards are in place. [§ 174.9]. The “next 

inspection point” replacement requirement in this section refers to placards that disappear 

between inspection points. A car at an inspection point must be placarded because it is “in 

transportation” [49 U.S.C. 5102(12)], even if held up at that point.

Because the statute creates civil penalty liability only if a violation is “knowing,” that is, “a 

reasonable person knew or should have known that an act performed by him was in violation 

of the HMR,” and because railroads are not under a duty to inspect hazardous material cars 

merely standing in a yard, violations written for unplacarded cars in yards must include 

proof that the railroad knew about the unplacarded cars and took no corrective action 

within a reasonable time. (Note also that the real problem with unplacarded cars in a railyard 

may be a lack of emergency response information, §§ 172.600-172.604, and investigation 

may reveal that those sections should be cited instead of this one.)
1,000

174.61 3,000

—Improper transportation of portable tank or other bulk

packaging in TOFC/COFC service.

—Portable tank double stacked with container above or

below. (§ 174.63(c)(5)(i).)

—Portable tank transported in a well car with its outlet valve

facing inward. (§ 174.63(c)(5)(ii).)

5,000

—Improper transportation leading to a release of product. 7,500

—Improper transportation leading to a release and human contact. 15,000

174.63(b)

—General failure to secure. 5,000

—Inadequate securement (an attempt to secure was made but the 

means of securement were inadequate). 2,500

—Inadequate securement leading to a leak. 7,500

—Inadequate securement leading to a leak and human contact. 15,000

174.63(e) 7,500

—One placard missing (per car). (Add $1,000 per missing placard 

up to a total of three; then use the guideline above.)

For other placarding violations, see §§ 172.500-.560 and determine if one of them more 

correctly states the violation. For marking violations, see §§ 172.300-.338 and determine if 

one of them more correctly states the violation. Note that marking violations, except for the 

UN number, are generally applicable to the shipper/offeror.

Improper transportation of transport vehicle or freight container on 

flat car. (If improper lading restraint is the violation, see § 174.55; 

if improper restraint of a bulk packaging inside a closed transport 

vehicle is the violation, see § 174.63(b).)

174.63(a) and (c) 3,000

Improper securement of bulk packaging inside enclosed transport vehicle or freight container.

Transportation of cargo tank or multi-unit tank car tank in TOFC 

or COFC service without authorization and in the absence of an 

emergency.

Tank car transloading operations performed by persons not 

properly instructed (case cannot be based on inference). (Note: for 

all transloading requirements, there must be clear evidence that the 

hazmat shipment is continuing in transportation by another mode. 

 

 

 

 

5,000

3,000

—Portable tank transported without securement fittings engaged 

and locked or void filling devices not properly deployed.
174.67(a)(1) 5,000

174.67(a)(2)

—No brakes set, no wheels blocked, or fewer brakes

set/wheels blocked than facility's operating plan.

—No brakes set, but wheels blocked. 3,000

—Brakes set, but wheels not blocked. 4,000

174.67(a)(3) 4,000

Unloading/transloading without caution signs properly

displayed. (See Part 218, Subpart B.)

174.67(a)(5) 2,500

174.67(c)(2)

—Flammable or combustible liquid, or other product with a

vapor flash point hazard.

—Material with no vapor flammability hazard. 500

Insecure unloading connections, resulting in actual leak of

product.

Insecure unloading connections, no leak of product. 5,000

 

 

 

 

For example, shipping papers show another destination than the 

one where the tank car is being unloaded/transloaded, and the 

contents of the tank car are being transloaded into a highway tank 

truck. Otherwise, the tank car unloading requirements contained in 

section 173.31(g) apply.)

Unloading/transloading hazmat without brakes set and/or wheels blocked. (The enforcement 

standard, as per 1995 Hazardous Materials Technical Resolution Committee, is that sufficient 

handbrakes must be applied on one or more cars to prevent movement and each car with a 

handbrake set must be blocked in both directions. The unloading facility must make a 

determination on how many brakes to set.)

5,000

3,000

174.67(h) 10,000

Unloading/transloading without securing access to the track to 

prevent entry by other rail equipment. Derails, lined and blocked 

switches, or other equipment that provides equivalent level of 

security is acceptable.

174.67(a)(4) 2,000

Failure of transloading facility to maintain written safety 

procedures (such as those it may already be required to maintain 

pursuant to the Department of Labor's Occupational Safety and 

Health Administration requirements in 29 CFR 1910.119 and 

1910.120) in a location where they are immediately available to 

hazmat employees responsible for the transloading operation.

Failure to use non-metallic block to prop manway cover open while unloading through 

bottom outlet.
174.67(i) 5,000

174.67(j) Noncompliance with piping requirements. 2,000

2,000

—With actual leak. 5,000

—With leak allowing the product to contact any human. 15,000

5,000

—With actual leak. 7,500

15,000

174.67(l) 2,000

174.81 6,000

4,000

174.83(a) Improper switching of placarded rail cars. 5,000

174.83(b) 8,000

174.83(c)-(e) Improper switching of placarded flatcar. 5,000

174.83(f) 8,000

Improper handling of Division 1.1/1.2, 2.3 PG I Zone A, 6.1

Unattended/unmonitored unloading. Tank car must be attended by 

a designated employee or monitored by a signaling system.

—With leak allowing the product (or fumes or vapors) to contact 

any human). Contact with “fumes” must be substantial.

Failure to remove connections, tighten all valves with a “suitable 

tool” and tighten all other closures once unloading is complete.

—Failure to obey segregation requirements for materials forbidden 

to be stored or transported together. (“X” in the table.)

—Failure to obey segregation requirements for materials that must 

be separated to prevent commingling in the event of a leak. (“O” in 

the table.)

174.67(k) Failure to comply with requirements for leaving tank car unloading connections

attached.

—Hazardous material with insignificant vapor pressure and 

without classification as “poison” or “inhalation hazard.” (One 

count can be assessed for each element not followed. May also 

assess per tank car if more than one is involved in violation).

—Hazardous material with vapor pressure (essentially any gas or 

compressed gas) and/or with classification as “poison” or 

“inhalation hazard.”

Improper switching of loaded rail car containing Division 1.1/1.2, 

2.3 PG I Zone A, or Division 6.1 PG I Zone A, or DOT 113 tank 

car placarded for 2.1.

Switching Division 1.1/1.2 without a buffer car or placement of 

Division 1.1/1.2 car under a bridge or alongside a passenger train 

or platform.

174 84

Handling of Placarded Rail Cars, Transport Vehicles and Freight Containers:
PG I Zone A in relation to guard or escort cars.

174.85

RESIDUE car without at least 1 buffer from engine or

occupied caboose.

—Fewer than six (6) cars (where train length permits) from

engine or occupied caboose.

—As above but with at least one (1) buffer. 7,000

—No buffer at all (where train length doesn't permit five (5)

cars).

7,000

6,000

—Next to operating temperature-control equipment or

internal combustion engine in operation.

—Next to placarded car, except one from same placard

group or COMBUSTIBLE.

—Fewer than six (6) cars (where train length permits) from

engine or occupied caboose.

—As above but with at least one (1) buffer. 5,000

No buffer at all (where train length doesn't permit five (5)). 6,000

3,000

Placard Group 1—Division 1.1/1.2 materials (Class A explosive) See chart at § 174.85.

8,000

174.84 4,000

Improper Train Placement (The unit of violation under this section is the car. Where more 

than one placarded car is involved, e.g., if two (2) placarded cars are too close to the engine, 

both are violations. Where both have a similar violation, e.g., a Division 1.1 car next to a 

loaded tank car of a Class 3 material, each car gets the appropriate penalty as listed below.)

7,000

7,000

Placard Group 2—Division 1.3/1.4/1.5 (Class B and C explosives); Division

2.1/2.2 (compressed gas, other than Division 2.3, PG 1 Zone A; Class 3 (flammable liquids); 

Class 4 (flammable solid); Class 5 (oxidizing materials); Class 6 (poisonous liquids), except 

6.1 PG 1 Zone A; Class 8 (corrosive materials). See chart at § 174.85.

8,000

—Next to open top car or car with permanent bulkheads, where 

lading extends beyond car ends/bulkheads or, if shifted, would be 

beyond car ends/bulkheads.

—Next to loaded flat car, except closed TOFC/COFC equipment, 

auto carriers, specially equipped car with tie- down devices.

For tank cars:

6,000

—Next to open top car or car with permanent bulkheads, where 

lading extends beyond car ends/bulkheads or, if shifted, would be 

 
7,000

6,000

—Next to operating temperature-control equipment or

internal combustion engine in operation.

—Next to placarded car, except one from same placard

group or COMBUSTIBLE.

—Next to placarded car, except one from same placard

group or COMBUSTIBLE.

Placard Group 4—Class 7 (radioactive) materials

—Next to locomotive or occupied caboose. 8,000

—Next to placarded car, except one from same placard

group or COMBUSTIBLE.

—Next to carload of undeveloped film. 3,000

Exceeding maximum allowable operating speed (15 mph)

while transporting molten metals or molten glass.

174.101

—General failure to follow loading procedures for explosives. 5,000

—Inadequate loading (an attempt was made to follow prescribed 

procedures but was insufficient). 2,500

174.101(o)(4)

—Complete failure to placard. 7,500

—One placard missing (add $1,000 per missing placard up to

a total of three, then use the guideline above).

174.102 Forbidden mixed materials loaded or transported. 5,000

174.103 Improper disposition of damaged or astray shipments. 5,000

174.104(b) 5,000

Failure to inspect and certify car before placing for loading

with Division 1.1 or 1.2 materials.

—Next to loaded flat car, except closed TOFC/COFC equipment, 

auto carriers, specially equipped car with tie- down devices.

7,000

7,000

 

 

beyond car ends/bulkheads.

174.86 3,000

Class 1 (Explosive) Materials:

Failure to load explosives as prescribed.

Failure to have proper explosives placards on flatcar carrying trailers/containers placarded 

for Class 1. (Except for a complete failure to placard, the unit of violation is the placard.)

For other rail cars:

5,000

For rail cars:

5,000

1,000

Car used to transport Division 1.1 or 1.2 materials does not meet 

requirements. (Aggravation to be considered, and may be 

considerable, for multiple failures to meet requirements.)

174.104(c) 7,500
174.104(e) 5,000

174.104(f) Failure to retain car certificates at “forwarding station.” 1,000

Failure to attach car certificates to car. (Unit of violation is

the certificate, two (2) are required.)

174.105 Failure to verify correct routing information. 2,500

174.106 Failure to follow proper procedures for “Order-Notify” or 

“C.O.D.” shipments. 1,000

174.110 Failure to follow requirements for magazine boxes. 1,000

174.112 Failure to follow loading requirements for Division 1.3 and 1.2 

materials. 5,000

174.114 Failure to follow record requirements for changing seals. 2,500

174.115 Failure to follow loading requirements for Division 1.4 materials. 5,000

174.200 Failure to follow special handling requirements. 5,000

174.201 Failure to properly transport Class 2 material cylinders. 5,000

174.204 Improper tank car delivery of gases (Class 2 materials). 3,000

174.290

Failure to follow special handling requirements for materials 

extremely poisonous by inhalation shipped by, for, or to the 

Department of Defense. 7,500

174.300 Failure to follow special handling requirements. 5,000

Improper tank car delivery of flammable liquids (Class 3

materials).

174.310 Failure to follow additional safety requirements for the operation 

of high-hazard flammable trains. 5,000

174.312(a) Complete failure to provide SERC, TERC, or other agency 

required high hazard flammable train (HHFT) information. 10,000

174.312(b) Failure to provide one or more required categories of information 

(penalty is per category). 2,500

173.312(c) Failure to keep record of HHFT notification or provide record to 

DOT officials. 2,500

Failure to supervise the loading and securement of a container (of 

Division 1.1 or 1.2 materials) on a flat car and failure to certify the 

car. (Unit of violation is the container.)

1,000

Detailed Requirements for Class 2 (Gases) Materials:

Detailed Requirements for Class 3 (Flammable Liquid) Materials:

174.304 3,000

Detailed Requirements for Division 6.1 (Poisonous) Materials:
174.600 5,000

174.615 Failure to properly clean cars before returning to other use. 5,000

174.680 Transportation of Division 6.1 materials in the same car with 

foodstuffs. 5,000

174.700 Failure to follow special handling requirements. 5,000

174.715 Failure to decontaminate before returning to other use. 5,000

174.750 Failure to follow procedures for leakage incidents. 5,000

178.2(b)

—Bulk packages, including portable tanks 8,000

—55-gallon drum 2,500

—Smaller package 1,000

179.1(e) 8,000

Constructing tank car without securing approval from Tank

Car Committee.

Failure to furnish a Certificate of Construction before tank

car is placed in service.

179.6 Repairs and modifications not in compliance with Appendix R of 

the Specifications for Tank Cars. 10,000

PART 178—SPECIFICATIONS FOR PACKAGINGS

Package not constructed according to specifications—also cite specific section not complied 

with.

PART 179—SPECIFICATIONS FOR TANK CARS

Tank car not constructed according to specifications—also cite 

section not complied with. (Part 179 violations are against the 

builder or repairer. Sections in this Part are often cited in 

conjunction with violations of §§ 172.330 and 173.31(a) and (b) by 

shippers. In such cases, the part 179 sections are cited as 

references, not as separate alleged violations.)

179.3 10,000

Improper tank car delivery of materials extremely poisonous by 

inhalation (Division 2.3 Zone A or 6.1 Zone A materials).

Detailed Requirements for Class 7 (Radioactive) Materials:

179.5(a) 7,500

Section 179.7 requires that each tank car facility have a quality assurance program that 

encompasses at least the elements in § 179 7(b) A facility that only manufactures maintains 

 

 

 

 
Total failure to have a quality assurance program. 15,000

10,000

7,500

Failure to ensure the requirements of AAR Specifications for Tank 

Cars apply. 10,000

Failure to provide written procedures to its employees. 7,500

Use of an employee to perform nondestructive testing on a

tank when that employee does not have the qualifications for

that type of nondestructive testing.

Varies. See 173.26 for 

overloaded cars.

5,000

179.201-3(a) Failure to line a tank car in compliance with specification and 

lining owner’s acceptance criteria. 7,500

179.201-3(b) Three possible violations under this section:

The quality assurance program does not contain one or more of the 

elements in § 179.7(b). (The “element” is the unit of violation.)

10,000

179.13

Tank cars may not be built or converted to exceed 34,500 gallons 

capacity or 263,000 pounds gross weight on rail. This is the 

building specification only; for tank cars loaded beyond capacity 

or gross weight see 173.26.

179.7

 

encompasses at least the elements in § 179.7(b). A facility that only manufactures, maintains, 

or repairs service equipment or other components is not a tank car facility. The facility that 

qualifies the completed tank car for service after installation of the service equipment is the 

tank car facility. Manufacture and maintenance triggers qualification. After the car is 

manufactured or maintenance or a repair is performed, the tank car must be qualified before 

it can be used to transport hazardous materials in commerce.

Failure to perform activities as a tank car facility other than in 

accordance with the quality assurance program. See 180.513 for 

applicability to tank car maintenance activities. Note that failures 

to perform ministerial activities such as updating the pages in a 

quality assurance manual or calibrating an instrument carry a 

lesser penalty (e.g. $2,500), unless they are the cause of a release 

or an injury or death.

179.15 Pressure relief device (e.g. rupture disc) that does not conform to 

the requirements (loaded car). May also cite 173.31(d).

(1) Failure of lining applicator to produce car owner report 

certifying that a tank car and its equipment have been brought into 

compliance with specification. Must occur prior to lining the tank 

 
180.501(a)

Failure to establish or confirm, in writing, the use of a 

qualification and maintenance program and written procedures for 

tank cars and components as required under §179.7(d), for use by 

tank car facility employees. The owner’s qualification and 

maintenance program for each tank car and component must 

identify where to inspect, how to inspect, and the acceptance 

criteria.

Failure to incorporate the owner’s qualification and maintenance 

program in the facility’s quality assurance program, as required 

under §179.7(a)(2), (b)(3), (b)(5), and (d).

180.501(c) Failure to make documents available to credentialed FRA 

representatives for viewing and copying.

180.505

This section brings the quality assurance requirements of § 179.7 

into the tank car qualification and maintenance arena. See § 179.7 

for penalty guidelines, cite this section and reference the 

applicable paragraph(s) or subparagraph(s). No dual penalty will 

apply. (Part 180 applies the standards of Part 179 to in-service 

qualification and maintenance of tank cars.)

PART 180 Subpart F— QUALIFICATION AND MAINTENANCE OF TANK CARS

Part 180 Subpart F prescribes the requirements applicable to any person that manufactures, 

fabricates, marks, maintains, repairs, inspects, or services tank cars to ensure that the tank 

cars are in proper condition for transportation. 

180.501(b)

7,500

 

 

 

car and its equipment.

5,000

(2) Failure of lining applicator to provide copy of the inspection 

and test report(s) to tank car owner and lining owner certifying 

that the tank has been lined in compliance with specification and 

owner’s acceptance criteria.

(3) Failure of tank car owner and lining owner to retain reports of 

latest lining application and qualification until next lining has been 

applied, qualified, and documented.

PART 180 — CONTINUING QUALIFICATION AND MAINTENANCE OF PACKAGINGS
180.509(a)

180.509(a)(1)

Failure to inspect and test each item according to the owner’s 

qualification and maintenance program and the requirements of 

this section; 10,000

180.509(a)(2) Failure to evaluate each item in conformance with the owner’s 

acceptance criteria; See § 180.511.

180.509(a)(3) Failure to ensure each tank car and component that is qualified is 

marked in conformance with the requirements of this section;

See § 180.515

180.509(a)(4)

Failure to ensure written reports for each tank car or component 

qualified under this section are prepared, in English, as required by 

§180.517(b) and sent to the owner according to the owner’s 

instructions. See § 180.517

Failure to perform inspections and tests when at least one of

the qualifying conditions has been met.

180.509(c) Failure to properly perform inspections and tests at specified 

intervals. 5,000

180.509(d) Failure to properly perform visual inspections. 7,500

Failure to properly perform structural integrity inspections

and tests.

180.509(f) Failure to properly perform thickness tests. 10,000

180.509(h) Failure to properly inspect safety systems. 7,500

180.509(i) Failure to properly perform lining and coating inspections and 

tests. 7,500

180.509(i)(2)

Failure to develop a written procedure for collecting, analyzing, 

and documenting records of the interior coating or lining and 

commodity combination loaded into a tank car that supports the 

qualification interval. 7,500

180.509(j) Failure to properly perform leakage pressure tests. 7,500

Tank car owner and tank car facility specific provisions: Multiple violations under this 

section are possible.

180.509(b) 5,000

180.509(e) 10,000
Failure to analyze service equipment inspection and test results for 

any given lading and, based on the analysis, adjust the inspection 

and test frequency to ensure that the design level of reliability and 

safety of the equipment is met. 7,500

Failure to maintain all supporting documentation used to make 

such analyses and inspection and test frequency adjustments and 

make the supporting documentation available to FRA upon 

request. 7,500

180.509(k)(2)

Failure to qualify service equipment, including reclosing pressure 

relief devices and interior heater systems, in accordance with the 

applicable provisions of Appendix D of the Specification for Tank 

Cars (IBR, see §171.7 of this subchapter). 7,500

180.509(l) 10,000

Failure to state inspection and test acceptance criteria.

Failure to evaluate the results of inspections and tests to ensure the 

tank car is qualified for use (railworthy).

180.515 Failure to mark the tank as required. 7,500

180.509(k)(1)

Failure to perform inspections and tests in accordance with an 

alternative inspection and test procedure or interval based on 1) a 

damage-tolerance analysis that includes a determination of the 

probable locations and modes of damage or 2) a service reliability 

assessment supported by an analysis of systematically collected 

data. (Applies to all non-DOT specification tank cars as of July 1, 

2000, but see § 180.509(l)(3) for “20-year” cars. See also 

§ 179.7(f).)

180.511

10,000

180.513

Failure to comply with the applicable requirements of this subpart, 

the AAR Specifications for Tank Cars, or the owner’s 

requirements (including the failure to identify and obtain tank car 

owner, service equipment owner, or interior coating / lining owner 

written permission before performing work affecting alteration, 

conversion, repair, or qualification.) 7,500
180.517

Failure to retain the approved Certificate of Construction (AAR 

Form 4–2) and related papers throughout the period of ownership 

and for one year thereafter certifying that the specification tank car 

identified in the documents was manufactured in accordance with 

the applicable specification. This includes a change of ownership 

requiring the applicable provisions of AAR Specifications for 

Tank Cars Chapter 1.3.1.5 to apply. 7,500

180.517(b)

Failure to retain copies of written reports for each tank car 

inspected and tested as specified in §180.509 until successfully 

completing the next inspection and test of the same type. 7,500

180.519

180.519(a) Failure to retest at required interval. Cite 180.519(b)(5).

Failure to perform hydrostatic pressure/expansion test as

required.

180.519(b)(2) Failure to perform interior air pressure test as required. 7,500

180.519(b)(3) Failure to test pressure relief valves as required. 7,500

Failure to remove and inspect frangible discs and fusible plugs. 

180.519(b)(5) Failure to retest at required interval. 3,000

180.519(b)(6) Failure to stamp tank as required. 5,000

Failure to visually inspect as required. 5,000

Failure to use competent persons to perform visual inspection. 

180.519(d) 7,500

1

A person who knowingly violates the hazardous material transportation law or a regulation, order, special permit, or 

approval issued thereunder, is subject to a civil penalty of up to $84,425 for each violation, except that the maximum civil 

penalty for a violation is $196,992 if the violation results in death, serious illness, or severe injury to any person or 

substantial destruction of property; and a minimum $508 civil penalty applies to a violation related to training. Each day that 

the violation continues is a separate offense. 49 U.S.C. 5123; 28 U.S.C. 2461, note.

180.519(b)(4) 5,000

180.519(c)

5,000

Failure to record and retain documentation. Mitigate/aggravate 

depending on the extent of the violation.

Periodic retest and inspection of tank cars other than single-unit tank car tanks.

180.519(b)(1) 7,500
[61 FR 38647, July 25, 1996, as amended at 69 FR 30591, May 28, 2004; 71 FR 77295, Dec. 26, 2006; 73 FR 72200, Nov. 

26, 2008; 73 FR 79701, Dec. 30, 2008; 75 FR 43842, July 27, 2010; 77 FR 24419, Apr. 24, 2012; 78 FR 9847, Feb. 12, 

2013; 81 FR 43104, 43109, July 1, 2016; 81 FR 16131, June 10, 2016; 83 FR 60745, Nov. 27, 2018; 84 FR 37059, July 31, 

2019; 86 FR 1745, Jan. 11, 2021; 86 FR 23241, May 3, 2021]
Part 213—Schedule of Civil Penalties

Section Violation

Willful 

Violation1

Subpart A—General:

213.4(a) Excepted track2 $2,500 $5,000 

213.4(b) Excepted track2 2,500 5,000

213.4(c) Excepted track2 2,500 5,000

213.4(d) Excepted track2 2,500 5,000

213.4(e):

(1) Excepted track 5,000 7,500

(2) Excepted track 7,000 10,000

(3) Excepted track 7,000 10,000

(4) Excepted track 5,000 7,500

213.4(f) Excepted track 2,000 4,000

213.7 Designation of qualified persons to supervise certain renewals and inspect track 1,000 2,000

213.9 Classes of track: Operating speed limits 2,500 2,500

213.11 Restoration or renewal of track under traffic conditions 2,500 2,500

213.13 Measuring track not under load 1,000 2,000

Subpart B—Roadbed:

213.33 Drainage 2,500 5,000

213.37 Vegetation 1,000 2,000

Subpart C—Track Geometry:

213.53 Gage 5,000 7,500

213.55 Track alinement  5,000 7,500

213.57 Curves; elevation and speed limitations 2,500 5,000

213.59 Elevation of curved track; runoff 2,500 2,500

213.63 Track surface 5,000 7,500

213.65 Combined track alinement and surface deviations 5,000 7,500

Subpart D—Track structure:

213.103 Ballast; general 2,500 5,000

213.109 Crossties

(a) Material used 1,000 2,000

(b) Distribution of ties 2,500 5,000

(c) and (d) Sufficient number of non-defective ties 1,000 2,000

(current as of July 12, 2021)
(e) Joint ties 2,500 5,000

(f) Track constructed without crossties 2,500 5,000

213.110 Gage restraint measurement systems 5,000 7,500

213.113 Defective rails 5,000 7,500

213.115 Rail end mismatch 2,500 5,000

213.118 Continuous welded rail plan (a) through (e) 5,000 7,500

213.119 Continuous welded rail plan contents (a) through (k) 5,000 7,500

213.121 (a) Rail joints 2,500 5,000

213.121 (b) Rail joints 2,500 5,000

213.121 (c) Rail joints 5,000 7,500

213.121 (d) Rail joints 2,500 5,000

213.121 (e) Rail joints 2,500 5,000

213.121 (f) Rail joints 2,500 5,000

213.121 (g) Rail joints 2,500 5,000

213.121 (h) Rail joints 5,000 7,500

213.122 Torch cut rail 2,500 5,000

213.123 Tie plates 1,000 2,000

213.127 Rail Fastening Systems 2,500 5,000

213.133 Turnouts and track crossings, generally 1,000 1,000

213.135 Switches:

(a) through (g) 2,500 5,000

(h) chipped or worn points 5,000 7,500

213.137 Frogs 2,500 5,000

213.139 Spring rail frogs 2,500 5,000

213.141 Self-guarded frogs 2,500 5,000

213.143 Frog guard rails and guard faces; gage 2,500 5,000

Subpart E—Track appliances and track-related devices:

213.205 Derails 2,500 5,000

Subpart F—Inspection:

213.233 Track inspections 2,000 4,000

213.234 Automated inspection of track constructed with concrete crossties 5,000 7,500

213.235 Switches, crossings, transition devices 2,000 4,000

213.237 Inspection of rail 2,500 5,000

213.238 Qualified operator 2,500 5,000

213.239 Special inspections 2,500 5,000

213.240 Continuous rail testing
(b) Adopt necessary procedures 5,000 7,500

(c) Record type of test and change in test 2,500 5,000

(d) Qualifications 2,500 5,000

(e) Field verification 5,000 7,500

(f) Repeatable accuracy 5,000 7,500

(g) Annual report 2,500 5,000

213.241 Inspection records 1,000 1,000

Subpart G—Train operations at track classes 6 and higher:

213.305 Designation of qualified individuals; general qualifications 1,000 2,000

213.307 Classes of track: operating speed limits 2,500 5,000

213.309 Restoration or renewal of track under traffic conditions 2,500 5,000

213.311 Measuring track not under load 1,000 2,000

213.319 Drainage 2,500 5,000

213.321 Vegetation 1,000 2,000

213.323 Track gage 5,000 7,500

213.327 Track alinement 5,000 7,500

213.329 Curves; elevation and speed limits 2,500 5,000

213.331 Track surface 5,000 7,500

213.332 Combined track alinement and surface deviations 5,000 7,500

213.333 Automated vehicle-based inspection systems 5,000 7,500

213.335 Crossties

(a) Material used 1,000 2,000

(b) Distribution of ties 2,500 5,000

(c) Sufficient number of nondefective ties, non-concrete 1,000 2,000

(d) Sufficient number of nondefective concrete ties 1,000 2,000

(e) Joint ties 2,500 5,000

(f) Track constructed without crossties 2,500 5,000

(g) Non-defective ties surrounding defective ties 2,500 5,000

(h) Tie plates 2,500 5,000

(i) Tie plates 1,000 2,000

213.337 Defective rails 5,000 7,500

213.339 Inspection of rail in service 2,500 5,000

213.341 Inspection of new rail 2,500 5,000

213.343 Continuous welded rail (a) through (h) 5,000 7,500

213.345 Vehicle/track system qualification:

(a) through (d) 5,000 7,500
(e) through (i) 2,500 5,000

213.347 Automotive or railroad crossings at grade 5,000 7,500

213.349 Rail end mismatch 2,500 5,000

213.351 (a) Rail joints 2,500 5,000

213.351 (b) Rail joints 2,500 5,000

213.351 (c) Rail joints 5,000 7,500

213.351 (d) Rail joints 2,500 5,000

213.351 (e) Rail joints 2,500 5,000

213.351 (f) Rail joints 5,000 7,500

213.351 (g) Rail joints 5,000 7,500

213. 352 Torch cut rails 2,500 5,000

213.353 Turnouts, crossovers, transition devices 1,000 2,000

213.355 Frog guard rails and guard faces; gage 2,500 5,000

213.357 Derails 2,500 5,000

213.359 Track stiffness 5,000 7,500

213.361 Right of way 5,000 7,500

213.365 Visual inspections 2,500 5,000

213.367 Special inspections 2,500 5,000

213.369 Inspections records 2,000 4,000

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998, as amended at 70 FR 66299, Nov. 2, 2005; 73 FR 79701, Dec. 30, 2008; 74 FR 43006, Aug. 

25, 2009; 77 FR 24419, Apr. 24, 2012; 78 FR 16115, Mar. 13, 2013; 79 FR 4260, Jan. 24, 2014; 81 FR 43109, July 1, 2016; 83 FR 60746, Nov. 27, 

2018; 85 FR 63389, Oct. 7, 2020]

2

In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote, track segments designated 

as excepted track that are or become ineligible for such designation by virtue of noncompliance with any of the requirements to which this footnote 

applies are subject to all other requirements of part 213 until such noncompliance is remedied.

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the 

statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
Part 214—Schedule of Civil Penalties

1

Section

2 Violation Willful

Subpart B—Bridge Worker Safety Standards

214.103 Fall protection:

(i) Failure to provide fall protection $5,000 $10,000 

(ii) Failure to use fall protection 2,500

214.105 Standards and practices:

(a) General:

(1) Fall protection used for other purposes 2,500 5,000

(2) Failure to remove from service 2,500 5,000

(3) Failure to protect from deterioration 2,500 5,000

(4) Failure to inspect and remove 5,000 10,000

(5) Failure to train 5,000 10,000

(6) Failure to provide for prompt rescue 5,000 10,000

(7) Failure to prevent damage 2,500 5,000

(8) Failure to use proper connectors 2,500 5,000

(9) Failure to use proper anchorages 2,500 5,000

(b) Fall arrest system:

(1)-(17) Failure to provide conforming equipment 2,500 5,000

(c) Safety net systems:

(1) Failure to install close to workplace 2,500 5,000

(2) Failure to provide fall arrest if over 30 feet 5,000 10,000

(3) Failure to provide for unobstructed fall 5,000 10,000

(4) Failure to test 2,500 5,000

(5) Failure to use proper equipment 2,500 5,000

(6) Failure to prevent contact with surface below 5,000 10,000

(7) Failure to properly install 5,000 10,000

(8) Failure to remove defective nets 5,000 10,000

(9) Failure to inspect 5,000 10,000

(10) Failure to remove objects 1,000 2,500

(11)-(13) Failure to use conforming equipment 2,500 10,000

214.107 Working over water:

(a)(i) Failure to provide life vest 5,000 10,000

(ii) Failure to use life vest 1,500

(current as of July 12, 2021)
(c) Failure to inspect 2,500 5,000

(e)(i) Failure to provide ring bouys 5,000 10,000

(ii) Failure to use ring bouys 1,500

(f)(i) Failure to provide skiff 1,000 2,500

(ii) Failure to use skiff 1,500

214.109 Scaffolding:

(a)-(f) Failure to provide conforming equipment 2,500 5,000

214.113 Head protection:

(a)(i) Failure to provide 2,500 5,000

(ii) Failure to use 1,500

(b) or (c) Failure to provide conforming equipment 2,500 5,000

214.115 Foot protection:

(a)(i) Failure to require use of 2,500 5,000

(ii) Failure to use 1,500

214.117 Eye and face protection:

(a)(i) Failure to provide 2,500 5,000

(ii) Failure to use 1,500

(b) Failure to use conforming equipment 2,500 5,000

(c) Use of defective equipment 2,500 5,000

(d) Failure to provide for corrective lenses 2,500 5,000

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 10,000 20,000

(b) Failure of a railroad to include and use internal monitoring procedure 5,000 10,000

214.305 Compliance Dates:

Failure of a railroad to comply by the specified dates 5,000 10,000

214.307 On-track safety programs:

(a)(i) Failure to adopt On-Track Safety Program 10,000 13,000

(ii) Failure to provide On-track Safety Program to FRA upon request 1,000 5,000

(b) Failure to notify FRA of adoption or change to On-Track Safety Program 1,000 5,000

(c) Failure to amend or provide written response after disapproval of On-track Safety Program 10,000 20,000

214.309 On-track safety manual:

(a) On-track Safety Manual not provided to prescribed employees 2,000 5,000

(b) Failure to establish provision for lone worker to have alternative access to On-track Safety Manual 5,000 10,000

(c) Failure to maintain entire set of on-track safety rules and instructions, including updates temporarily published 

in bulletins or notices, in one On-Track Safety Manual 2,000 5,000
214.311 Responsibility of employers:

(b) Roadway worker required by employer to foul a track during an unresolved challenge 5,000 10,000

(c) Roadway workers not provided with written procedure to resolve challenges of on-track safety procedures 5,000 10,000

214.313 Responsibility of individual roadway workers:

(b) Roadway worker fouling a track when not necessary in the performance of duty 1,000

(c) Roadway worker fouling a track without ascertaining that provision is made for on-track safety 1,500

(d) Roadway worker failing to notify employer of determination of improper on-track safety provisions 3,000

214.315 Supervision and communication:

(a)(1) Complete failure of employer to provide on-track safety job briefing 5,000 10,000

(2)-(5) Partial failure of employer to provide on-track safety job briefing 2,000 4,000

(b) Incomplete job briefing 2,000 5,000

(c)(i) Failure to designate roadway worker in charge of roadway work group 2,000 5,000

(ii) Designation of more than one roadway worker in charge of a roadway work group 1,000 2,000

(iii) Designation of non-qualified roadway worker in charge of roadway work group 3,000 6,000

(d)(i) Failure to notify roadway workers of on-track safety procedures in effect 3,000 6,000

(ii) Incorrect information provided to roadway workers regarding on-track safety procedures in effect 3,000 6,000

(iii) Failure to notify roadway workers of change in on-track safety procedures 3,000 6,000

(e)(i) Failure of lone worker to communicate with designated employee for daily job briefing 1,500

(ii) Failure of employer to provide means for lone worker to receive daily job briefing 3,000 6,000

214.317 On-track safety procedures, generally:

(a) On-track safety rules conflict with this part 5,000 10,000

(b) Failure to adopt or comply with rules governing safe crossing of track 2,000 5,000

(3) Failure to establish on-track safety if required 2,000 5,000

(c)(1) Failure to adopt or comply with operating procedure if this section is utilized in lieu of establishing 

working limits 3,000 5,000

(2) Failure to grant absolute right to establish working limits if requested by RWIC or lone worker 3,000 5,000

(3) Except as permitted, roadway worker fouling track without on-track safety 3,000 5,000

(4) Roadway maintenance machine not properly equipped or utilized 3,000 5,000

(d)(1) Failure to inspect tunnel niche or clearing bay 3,000 5,000

(2) Lack of adequate sight distance 3,000 5,000

(3) Failure to grant absolute right to establish other place of safety or to establish working limits if requested by 

RWIC or lone worker 5,000 10,000

214.318 Locomotive servicing and car shop repair track areas:

(a)-(c) 3,000 5,000

214.319 Working limits, generally:

(a)(1)Non-qualified RWIC of working limits 5,000 10,000
(a)(2) More than one RWIC of working limits on the same track segment 2,000 5,000

(a)(3)(i) Working limits released without notifying all affected roadway workers 5,000 10,000

(a)(3)(ii) Working limits released before all affected roadway workers are otherwise protected 5,000 10,000

(b)(1) Failure to adopt redundant protections in on-track safety program 5,000 10,000

(b)(2) Failure to comply with redundant protections identified in on-track safety program when controlled track 

working limits are established 5,000 10,000

214.320 Roadway maintenance machine movements over signalized non-controlled track 5,000 7,500

214.321 Exclusive track occupancy:

(b) Improper transmission of authority for exclusive track occupancy 2,000 5,000

(b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee 1,500

(2) Failure to retain possession of written authority for exclusive track occupancy 1,000

(3) Failure to record authority for exclusive track occupancy when issued 2,000

(4)(i) Failure to specify unique roadway work group number, employee name, or unique identifier 3,000 5,000

(ii) Failure to adopt procedure requiring precise communication between RWIC or lone worker and trains or other 

on-track equipment 3,000 5,000

(c) Limits of exclusive track occupancy not identified by proper physical features 2,000 4,000

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

charge 5,000 10,000

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

charge 5,000 10,000

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

worker in charge 5,000 10,000

(e)(1)-(4) Failure to comply with occupancy behind requirements 5,000 10,000

214.322 Exclusive track occupancy, electronic display:

(a) Contents of authority electronically displayed not readily viewable 3,000 5,000

(b) Failure to timely obtain written/printed authority or occupy place of safety if electronic display fails while 

authority is in effect 3,000 5,000

(c)-(h) 2,000 4,000

214.323 Foul time:

(a) Foul time authority overlapping movement authority of train or equipment 5,000 10,000

(b) Failure to repeat foul time authority to issuing employee 1,500

(c) Train dispatcher or control operator permitting movement of trains or other on-track equipment into working 

limits prior to RWIC reporting clear of track 5,000 10,000

(d) RWIC permitting movement of trains or on-track equipment into or within working limits 5,000 10,000

214.325 Train coordination:

(a) Train coordination limits established where more than one train is authorized to operate 1,500 4,000
(b)(1) Train coordination established with train not visible to roadway worker at the time 1,500

(2) Train coordination established with moving train 1,500

(3) Coordinated train moving without authority of roadway worker in charge 2,000 5,000

(4) Coordinated train releasing movement authority while working limits are in effect 3,000 6,000

214.327 Inaccessible track:

(a) Improper control of entry to inaccessible track 3,000 6,000

(5) Remotely controlled switch not properly secured by control operator 3,000 6,000

(b) Train or equipment moving within inaccessible track limits without permission of roadway worker in charge 3,000 6,000

(c) Unauthorized train or equipment located within inaccessible track limits 2,000 5,000

214.329 Train approach warning provided by watchmen/lookouts:

(a)(i) Failure to give timely warning of approaching train 5,000 10,000

(ii) Failure to use maximum authorized speed in formulating sight distance 3,000 5,000

(iii) Use of another track as a place of safety without establishing working limits on that track 3,000 5,000

(b)(1) Failure of watchman/lookout to give full attention to detecting approach of train 3,000

(2) Assignment of other duties to watchman/lookout 3,000 5,000

(c) Failure to provide proper warning signal devices 2,000 5,000

(d) Failure to maintain position to receive train approach warning signal 2,000

(e) Failure to communicate proper warning signal 1,500 3,000

(f)(1) Assignment of non-qualified person as watchman/lookout 3,000 5,000

(2) Non-qualified person accepting assignment as watchman/lookout 1,500

(g) Failure to properly equip a watchman/lookout 2,000 4,000

214.331 Definite train location:

(a) Definite train location established where prohibited 3,000 5,000

(b) Failure to phase out definite train location by required date 3,000 5,000

(d)(1) Train location information issued by unauthorized person 2,000 5,000

(2) Failure to include all trains operated on train location list 3,000 5,000

(5) Failure to clear a by ten minutes at the last station at which time is shown 2,000

(6) Train passing station before time shown in train location list 3,000 5,000

(7) Non-qualified person using definite train location to establish on- track safety 2,000 3,000

(e) Failure to discontinue use of definite train location by required date 9,500 13,000

214.333 Informational line-ups of trains:

(a) Informational line-ups of trains used for on-track safety where prohibited 3,000 5,000

(b) Informational line-up procedures inadequate to protect roadway workers 5,000 10,000

(c) Failure to discontinue informational line-ups by required date 5,000 10,000

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 3,000 5,000

(b) Member of roadway work group fouling a track without authority of employee in charge 2,000

214.336 On-track safety procedures for certain roadway work groups and adjacent tracks:

(a)(1) Failure to establish on-track safety for each adjacent controlled track as required under this section 5,000 10,000

(2) Failure to implement the more restrictive procedure required by paragraph (b) during special circumstance of 

concurrent movement(s) on two adjacent controlled tracks where one movement is authorized or permitted at a 

speed over 25 mph (or over 40 mph for a passenger movement)

1,500 3,000

(b)(1) Failure of roadway worker to cease work and occupy a predetermined place of safety upon receiving a 

warning or notification of train or other on-track equipment movement(s) on an adjacent controlled track 5,000 10,000

(2) Resumption of work before trailing-end of all applicable movements has passed the roadway worker 5,000 10,000

(c) Failure to maintain 25-foot spacing between on-track, self-propelled equipment or coupled equipment and 

roadway worker(s) on the occupied track during an adjacent-controlled-track movement at 25 mph or less 2,000 4,000

(d) Failure to implement on-track safety procedures on an adjacent track when deemed necessary by the roadway 

worker in charge of providing on-track safety for a roadway work group 2,000 4,000

(e) 1 1

(f) Roadway maintenance machine component fouling an adjacent controlled track without working limits or with 

movements permitted within working limits 5,000 10,000

214.337 On-track safety procedures for lone workers:

(b) Failure by employer to permit individual discretion in use of individual train detection 5,000 10,000

(c)(1) Individual train detection used by non-qualified employee 2,000 4,000

(2) Use of individual train detection while engaged in heavy or distracting work 2,000

(3) Use of individual train detection in controlled point or manual interlocking 2,000

(4) Use of individual train detection with insufficient visibility 2,000

(5) Use of individual train detection with interfering noise 2,000

(6) Use of individual train detection while a train is passing 3,000

(d) Failure to maintain access to place of safety clear of live tracks 2,000

(e) Lone worker unable to maintain vigilant lookout 2,000

(f)(1) Failure to prepare written statement of on-track safety 1,500

(2) Incomplete written statement of on-track safety 1,000

(3) Failure to produce written statement of on-track safety to FRA 1,500

(g) Use of individual train detection while using machine, equipment, or material that cannot be readily removed 

by hand 2,000 4,000

214.339 Audible warning from trains:

(a)-(b) Failure to adopt or comply with audible warning procedures 2,000 4,000
214.341 Roadway maintenance machines:

(a) Failure of on-track safety program to include provisions for safety near roadway maintenance machines 3,000 5,000

(b) Failure to provide operating instructions 2,000 4,000

(1) Assignment of non-qualified employee to operate machine 2,000 5,000

(2) Operator unfamiliar with safety instructions for machine 2,000 5,000

(3) Roadway worker working with unfamiliar machine 2,000 5,000

(c) Roadway maintenance machine not clear of passing trains 3,000 6,000

214.343 Training and qualification, general:

(a)(1) Failure of railroad program to include training provisions 5,000 10,000

(2) Failure to provide initial training 3,000 6,000

(b) Failure to provide annual training 2,500 5,000

(c) Assignment of non-qualified railroad employees to provide on-track safety 4,000 8,000

(d)(1) Failure to maintain records of qualifications 2,000 4,000

(2) Incomplete records of qualifications 1,000 3,000

(3) Failure to provide records of qualifications to FRA 2,000 4,000

214.345 Training for all roadway workers

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 in charge 2,000 4,000

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 4,000

(b) Roadway worker required to operate machine or vehicle when good-faith challenge not resolved 5,000 10,000

(c) Failure of employer to have or follow written procedures to resolve good-faith challenges 5,000 10,000

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 5,000 10,000

(b) Failure of new or existing machines to protect employees from exposure to air contaminants 5,000 10,000

(c) Failure of employer to maintain required list of machines or make list available 2,000 4,000

(d) Removal of “designated machine” from list before retired or sold 2,000 4,000

(e) Personal respiratory protective equipment not provided when ventilation system fails 5,000 10,000

(f) Personal respiratory protective equipment fails to meet required standards 5,000 10,000

(g) Other new machines with enclosed cabs not equipped with operable heating and ventilation systems 5,000 10,000
(h) Non-enclosed station not equipped with covering, where feasible 5,000 10,000

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 5,000 10,000

(a)(6)-(7) Failure to equip new machine with first-aid kit or operative and charged fire extinguisher 2,500 5,000

(b) Position for operator to stand not properly equipped to provide safe and secure position 5,000 10,000

(c) New machine not equipped with accurate speed indicator, as required. 2,500 5,000

(d) As-built light weight not conspicuously displayed on new machine 2,500 5,000

214.509 Required visual illumination and reflective devices for new on-track roadway maintenance machines 2,500 5,000

214.511 Required audible warning devices for new on-track roadway maintenance machines 5,000 10,000

214.513 Retrofitting of existing on-track roadway maintenance machines; general:

(a) Failure to provide safe and secure position and protection from moving parts 2,000 4,000 inside cab for each 

roadway worker transported on machine 5,000 10,000

(b) Horn or other audible warning device is missing, inoperable, or has non-compliant triggering mechanism 2,500 5,000

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

track as required 2,500 5,000

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

(a) Failure to repair, reinstall, or maintain overhead cover as required 5,000 10,000

(b) Failure to provide written response to operator's request within 60 days 2,000 4,000

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. 5,000 10,000

(b) Failure to equip machine with operative heater 5,000 10,000

(c) Failure to display light weight of machine as required 2,500 5,000

(d) Failure to equip machine with reflective material, reflective device, or operable brake lights 5,000 10,000

(e) Failure to install or replace safety glass as required 5,000 10,000

(f) Failure to equip machine with turntable restraint device or warning light as required 5,000 10,000

214.518 Safe and secure position for riders 5,000 10,000

214.519 Floors, decks, stairs, and ladders for on-track roadway maintenance machines 5,000 10,000

214.521 Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles 2,500 5,000

214.523 Hi-rail vehicles:

(a) Failure to inspect hi-rail gear annually 5,000 10,000

(b) Failure to maintain inspection record or make record available to FRA 2,000 4,000

(c) Failure to equip new hi-rail vehicle with alarm and light or beacon as required 2,500 5,000

(d)(2) Failure of operator to tag, date or report non-complying condition 2,000 4,000

(d)(3) Failure to repair or replace non-complying alarms, lights or beacons as required 2,500 5,000
214.525 Towing with on-track roadway maintenance machines or hi-rail vehicles 5,000 10,000

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 2,000 4,000

(b) Failure of oeprator to tag, date, or report noncomplying condition 2,000 4,000

(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 2,500 5,000

(c)(5) Failure to repair or replace defective or missing operator's seat within required time period 5,000 10,000

214.529 In-service failure of primary braking system 5,000 10,000

214.531 Schedule of repairs; general 2,500 5,000

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 hirail vehicle from service as required 2,500 5,000

(d) Failure to maintain record or make record available to FRA 2,000 4,000

[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 63 FR 11620, Mar. 10, 1998; 68 FR 44412, July 28, 2003; 69 FR 

8839, Feb. 26, 2004; 69 FR 30593, May 28, 2004; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, Apr. 24, 2012; 76 FR 74615, Nov. 30, 2011; 

79 FR 1770, Jan. 10, 2014; 81 FR 43109, July 1, 2016; 83 FR 60746, Nov. 27, 2018]

2

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.

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up 

to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any 

condition(s) of an exception set forth in paragraph (e) of §214.336 deprives the railroad or contractor of the benefit of the exception and 

makes the railroad or contractor, and any responsible individuals, liable for penalty under the particular regulatory provision(s) from which 

the exception would otherwise have granted relief.
Part 215—Schedule of Civil Penalties1

Section Violation Willful 

violation

Subpart A—General:

215.9 Movement for repair:

(a), (c) 1 1

(b) $2,500 $5,000 

215.11 Designation of qualified persons 2,500 5,000

215.13 Pre-departure inspection 2,000 4,000

Subpart B—Freight Car Components:

215.103 Defective wheel:

(a) Flange thickness of:

(1) 7/8′′ or less but more than 13/16′′ 2,500 5,000

(2) 13/16′′ or less 5,000 7,500

(b) Flange height of:

(1) 11/2′′ or greater but less than 15/8′′ 2,500 5,000

(2) 15/8′′ or more 5,000 7,500

(c) Rim thickness of:

(1) 11/16′′ or less but more than 5/8′′ 2,500 5,000

(2) 5/8′′ or less 5,000 7,500

(d) Wheel rim, flange plate hub width:

(1) Crack of less than 1′′ 2,500 5,000

(2) Crack of 1′′ or more 5,000 7,500

(3) Break 5,000 7,500

(e) Chip or gouge in flange of:

(1) 11/2′′ or more but less than 15/8′′ in length; and 1/2′′ or more but less than 5/8′′ in width. 2,500 5,000

(2) 15/8′′ 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 21/2′′, but less than 3′′, in length 2,500 5,000

 (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 21/2′′ in length 2,500 5,000

 (ii) Two adjoining spots both of which are at least 2′′ in length, if either spot is 21/2′′, or more in length 5,000 7,500

(g) Loose on axle 6,000 8,500

(h) Overheated; discoloration extending:

(current as of July 12, 2021)
(1) more than 4′′ but less than 41/2′′ 2,500 5,000

(2) 41/2′′ or more 5,000 7,500

(i) Welded 5,000 7,500

215.105 Defective axle:

(a)(1) Crack of 1′′ or less. 2,500 5,000

 (2) Crack of more than 1′′ 5,000 7,500

 (3) Break 6,000 8,500

(b) Gouge in surface that is between the wheel seats and is more than 1/8′′ in depth 2,500 5,000

(c) End collar with crack or break 2,500 5,000

(d) Journal overheated 5,000 7,500

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

pitting; rust; or etching 2,500 5,000

215.107 Defective plain bearing box: general:

(a)(1) No visible free oil 1,500 3,000

 (2) Lubricating pad dry (no expression of oil observed when pad is compressed) 5,000 7,500

(b) Box lid is missing, broken, or open except to receive servicing 1,000 2,000

(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 2,500 5,000

215.109 Defective plain bearing box: journal lubrication system:

(a) Lubricating pad has a tear 1,000 2,000

(b) Lubricating pad scorched, burned, or glazed 2,500 5,000

(c) Lubricating pad contains decaying or deteriorating fabric 2,500 5,000

(d) Lubricating pad has an exposed center core or metal parts contacting the journal 2,500 5,000

(e) Lubricating pad is missing or not in contact with the journal 5,000 7,500

215.111 Defective plain bearing:

(a) Missing 5,000 7,500

(b) Bearing liner is loose or has piece broken out 2,500 5,000

(c) Overheated 5,000 7,500

215.113 Defective plain bearing wedge:

(a) Missing 5,000 7,500

(b) Cracked 2,500 5,000

(c) Broken 5,000 7,500

(d) Not located in its design position 5,000 7,500

215.115 Defective roller bearing:

(a)(1) Overheated 5,000 7,500
 (2) (i) Cap screw(s) loose 2,500 5,000

 (ii) Cap screw lock broken, missing or improperly applied 1,000 2,000

 (3) Seal is loose or damaged, or permits leakage of lubricant 2,500 5,000

(b)(1) Not inspected and tested after derailment 2,500 5,000

 (2) Not disassembled after derailment 2,500 5,000

 (3) Not repaired or replaced after derailment 5,000 7,500

215.117 Defective roller bearing adapter:

(a) Cracked or broken 2,500 5,000

(b) Not in its design position 5,000 7,500

(c) Worn on the crown 2,500 5,000

215.119 Defective freight car truck:

(a)(1) A side frame or bolster that is broken 5,000 7,500

 (2)(i) Side frame or bolster with crack of: 1/4′′ or more, but less than 1′′ 2,500 5,000

 (ii) 1′′ or more 5,000 7,500

(b) A snubbing device that is ineffective or missing 2,500 5,000

(c) Side bearing(s):

(1) Assembly missing or broken 5,000 7,500

(2) In contact except by design 5,000 7,500

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

 (i) more than 3/4′′ but not more than 1′′ 2,500 5,000

 (ii) more than 1′′ 5,000 7,500

(d) Truck spring(s):

(1) Do not maintain travel or load 2,500 5,000

(2) Compressed solid 2,500 5,000

(3) Outer truck springs broken or missing:

 (i) Two outer springs 2,500 5,000

 (ii) Three or more outer springs 5,000 7,500

(e) Truck bolster-center plate interference 5,000 7,500

(f) Brake beam shelf support worn 2,500 5,000

215.121 Defective car body:

(a) Has less than 21/2′′ clearance from the top of rail 2,500 5,000

(b) Car center sill is:

(1) Broken 6,000 8,500

(2) Cracked more than 6′′ 2,500 5,000

(3) Bent or buckled more than 21/2′′ in any 6′ length 2,500 5,000

(c) Coupler carrier that is broken or missing 2,500 5,000
(d) Car door not equipped with operative safety hangers 5,000 7,500

(e)(1) Center plate not properly secured 5,000 7,500

 (2) Portion missing 2,500 5,000

 (3) Broken 5,000 7,500

 (4) Two or more cracks 2,500 5,000

(f) Broken sidesill, crossbearer, or body bolster 2,500 5,000

215.123 Defective couplers:

(a) Shank bent out of alignment 1,000 2,000

(b) Crack in highly stressed junction area. 2,500 5,000

(c) Coupler knuckle broken or cracked 2,500 5,000

(d) Coupler knuckle pin or thrower that is missing or inoperative. 2,500 5,000

(e) Coupler retainer pin lock that is missing or broken 1,000 2,000

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

inoperative, bent, cracked, or broken 2,500 5,000

215.125 Defective uncoupling device 2,500 5,000

215.127 Defective draft arrangement:

(a) Draft gear that is inoperative 2,500 5,000

(b) Yoke that is broken 2,500 5,000

(c) End of car cushioning unit is leaking or inoperative 2,500 5,000

(d) Vertical coupler pin retainer plate missing or has missing fastner 5,000 7,500

(e) Draft key or draft key retainer that is inoperative or missing 5,000 7,500

(f) Follower plate that is missing or broken 2,500 5,000

215.129 Defective cushioning device 2,500 5,000

Subpart C—Restricted equipment:

215.203 Restricted cars 2,500 5,000

Subpart D—Stencilling:

215.301 General 1,000 2,000

215.303 Stencilling of restricted cars 1,000 2,000

215.305 Stencilling of maintenance-of-way 1,000 2,000
[53 FR 52925, Dec. 29, 1988, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004; 72 FR 51196, Sept. 6, 2007; 73 FR 79701, 

Dec. 30, 2008; 77 FR 24419, Apr. 24, 2012; 81 FR 43109, July 1, 2016; 82 FR 16132, Apr. 3, 2017; 83 FR 60746, Nov. 27, 2018; 84 FR 37059, July 

31, 2019; 86 FR 1745, Jan. 11, 2021; 86 FR 23241, May 3, 2021]

1

A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are 

discovered with respect to a single freight car that is placed or continued in service by a railroad, the appropriate penalties set forth above are 

aggregated up to a maximum of $30,058 per day. However, 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 the statutory maximum amount 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 movementfor-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).
Part 217—Schedule of Civil Penalties1

Section Violation Willful 

violation

217.7 Operating rules:

(a) $2,500 $5,000 

(b) $2,000 $5,000 

(c) $2,500 $5,000 

217.9 Operational tests and inspections:

(a) Failure to implement a program $9,500-

12,500 $13,000-16,000

(b) Railroad and railroad testing officer responsibilities:

(1) Failure to provide instruction, examination, or field training, or failure to conduct tests in accordance with 

program

9,500 13,000

(2) Records 7,500 11,000

(c) Record of program; program incomplete 7,500-12,500 11,000-16,000

(d) Records of individual tests and inspections 7,500

(e) Failure to retain copy of or conduct:

(1)(i) Quarterly review 9,500 13,000

(1)(ii) and (2) Six month review 9,500 13,000

(3) Records 7,500 11,000

(f) Annual summary 7,500 11,000

(h) Failure to timely or appropriately amend program after disapproval 9,500-12,500 13,000-16,000

217.11 Program of instruction on operating rules:

(a) $5,000 $7,500 

(b) $2,500 $5,000 

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the 

statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

(current as of July 12, 2021)
[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998; 69 FR 30593, May 28, 2004; 73 FR 8497, Feb. 13, 2008; 73 FR 

79701, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43109, July 1, 2016; 83 FR 60747, Nov. 27, 2018]
Part 218—Schedule of Civil Penalties

1

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 5,000 7,500

(c) Assignment conditions

(1) No controlling locomotive 5,000 7,500

(2) Empty cab 5,000 7,500

(3)(4) Improper communication 5,000 7,500

(5) Performing functions not listed 2,000 4,000

(d) Improper release of utility employee 2,000 4,000

(f) More than three utility employees with one crew 2,000 4,000

218.23 Blue signal display 5,000 7,500

218.24 One-person crew:

(a)(1) Equipment not coupled or insufficiently separated 2,000 4,000

(a)(2) Unoccupied locomotive cab not secured 5,000 7,500

(b) Helper service 2,000 4,000

218.25 Workmen on a main track 5,000 7,500

218.27 Workmen on track other than main track:

(a) Protection provided except that signal not displayed at switch 2,000 4,000

(b) through (e) 5,000 7,500

218.29 Alternate methods of protection:

(a)(1) protection provided except that signal not displayed at switch 2,000 4,000

(a)(2) through (a)(8) 5,000 7,500

(b)(1) Protection provided except that signal not displayed at switch 2,000 4,000

(b)(2) through (b)(4) 5,000 7,500

(c) Use of derails 5,000 7,500

(d) Emergency repairs 5,000 7,500

218.30 Remotely controlled switches:

(a) and (b) 5,000 7,500

(c) 1,000 2,000

Subpart C—Protection of trains and locomotives:

(current as of July 12, 2021)
218.35 Yard limits:

(a) and (b) 5,000 7,500

(c) 1,000 2,000

218.37 Flag protection:

(a) 5,000 7,500

(b) and (c) 5,000 7,500

218.39 Hump operations 5,000 7,500

218.41 Noncompliance with hump operations rule 5,000 7,500

Subpart D—Prohibition against tampering with safety devices:

218.55 Tampering 7,500

218.57 (i) Knowingly operating or permitting operation of disabled equipment 2,500

 (ii) Willfully operating or permitting operation of disabled equipment 5,000

218.59 Operation of disabled equipment 2,500 5,000

Subpart F—Handling Equipment, Switches and Derails:

218.95 Instruction, Training, and Examination:

(a) Program 9,500-

12,500 13,000-16,000

(b) Records 7,500 11,000

(c) Failure to timely or appropriately amend program after disapproval 9,500-

12,500 13,000-16,000

218.97 Good Faith Challenge Procedures:

(a) Employee Responsibility Failure 5,000

(b) through (d) Failure to adopt or implement procedures 7,500

218.99 Shoving or Pushing Movements:

(a) Failure to implement required operating rule 9,500

(b) Failure to conduct job briefing, use a qualified employee, or establish proper protection 7,500-9,500 11,000-13,000

(c) Failure to observe equipment direction 9,500 13,000

(d) Failure to properly establish point protection within a remote control zone 9,500 13,000

(e) Failure to abide by operational exception requirements 9,500 13,000

218.101 Leaving Equipment in the Clear:

(a) Failure to implement required operating rule 9,500

(b) Equipment left improperly fouling 9,500 13,000

(c) Failure to implement procedures for identifying clearance points 9,500 13,000

218.103 Hand-operated switches, including crossover switches:

(a) Failure to implement required operating rule 9,500
(b) through (d) Railroad and employee failures 7,500

218.105 Additional operational requirements for hand-operated main track switches:

(a) Failure to implement required operating rule 9,500

(b) and (c) Railroad and employee failures 7,500 11,000

(d) Failure to properly release authority limits 12,500

218.107 Additional operational requirements for hand-operated crossover switches:

(a) Failure to implement required operating rule 9,500

(b) and (c) Railroad and employee failures 7,500 11,000

218.109 Hand-operated fixed derails:

(a) Failure to implement required operating rule 9,500 13,000

(b) and (c) Railroad and employee failures 7,500 11,000

1

Except as provided for in §218.57, a penalty may be assessed against an individual only for a willful violation. The Administrator 

reserves the right to assess a penalty of up to the statutory maximum amount for any violation where the circumstances warrant. See 

49 CFR part 209, appendix A.

[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58 FR 43293, Aug. 16, 1993; 60 FR 11050, Mar. 1, 1995; 63 

FR 11621, Mar. 10, 1998; 72 FR 51196, Sept. 6, 2007; 73 FR 8503, Feb. 13, 2008; 73 FR 79701, Dec. 30, 2008; 77 FR 24420, Apr. 

24, 2012; 81 FR 43109, July 1, 2016; 83 FR 60747, Nov. 27, 2018]
Part 219— Schedule of Penalties

The following chart lists the schedule of civil penalties:

Penalty Schedule1

Section2 Violation Willful 

violation

Subpart A—General

219.3 Application:

(a) Railroad or contractor does not have required program $5,000 $7,500 

(c) Railroad or contractor improperly tests under subpart E or G of this part 2,500 5,000

219.9 Responsibility for compliance:

(b)(1) Host railroad failed to take responsibility for compliance or other railroad or contractor did not take responsive 

action of direction of host railroad during joint operations 5,000 7,500

219.11 General conditions for chemical tests:

(b)(1) Employee unlawfully refuses to participate in testing 2,500 5,000

(b)(2) Employer fails to give priority to medical treatment 3,000 8,000

(b)(3) Employee fails to remain available 2,500 5,000

(d) Employee unlawfully required to execute a waiver of rights 2,500 5,000

(e)(1) Failure to direct employee to proceed to collection site as soon as possible without affecting safety 2,500 5,000

(e)(3) Railroad used or authorized the use of coercion to obtain specimens 5,000 7,500

(g) Failure to meet supervisory training requirements or program of instruction not available or program not complete 2,500 5,000

(h) Urine or blood specimens provided for Federal testing were used for non-authorized testing 2,500 5,000

219.12 Hours-of-service laws implications:

(a)-(d) Failure to exceed Hours of Service to conduct required testing or exceeding HOS when not authorized to 

conduct testing 2,500 5,000

219.23 Railroad policies:

(a) Failure to provide written notice of FRA test 1,000 4,000

(a)(1) Failure to provide written notice of basis for FRA test 1,000 4,000

(a)(2) Use of a non-approved FRA form for mandatory post-accident toxicological testing 1,000 4,000

(b) Improper use of Federal drug or alcohol testing form or use of Subpart C form for other test 1,000 4,000

(c) Failure to make required educational materials available 2,500 5,000

(d) Failure to provide required minimum educational content 2,500 5,000

(e) Non-Federal provisions are not clearly described as independent authority 2,500 5,000

219.25 Previous employer drug and alcohol checks:

(current as of July 12, 2021)
(a)(1)Failure to conduct previous employer drug and alcohol check or failure to provide response to previous 

employer when requested 2,500 5,000

(a)(2) Failure to perform and complete FRA and DOT-required background checks in a timely manner 2,500 5,000

(a)(3) Failure to document due diligence in completing FRA and DOT-required background checks 2,500 5,000

(b) Failure to comply with § 240.119(c) (for engineers) or § 242.115(e) (for conductors) of this chapter regarding the 

consideration of Federal alcohol and drug violations that occurred within a period of 60 consecutive months prior to 

the review of the person's records

2,500 5,000

Subpart B—Prohibitions

219.101 Alcohol and drug use prohibited:

(a) Railroad with actual knowledge of use, possession or impairment from alcohol or controlled substances permits 

employee to go on duty or remain on duty 10,000

219.103 Prescribed and over-the-counter drugs:

(a) Failure to train employee properly on requirements 2,500 5,000

219.104 Responsive action:

(a) Failure to remove employee from regulated service immediately 5,000 7,500

(b) Failure to provide written notice for removal 2,500 5,000

(c) Failure to provide prompt hearing within 10 calendar days 2,500 5,000

(d) Employee improperly returned to regulated service 5,000 7,500

(e) Failure to ensure certified locomotive engineers and conductors received required follow-up testing minimums as 

per § 240.119(d)(2) and § 242.115(f)(2) of this chapter 2,500 5,000

219.105 Railroad's duty to prevent violations:

(a) Employee improperly permitted to remain in regulated service 7,500 10,000

(b) Failure to exercise due diligence to assure compliance with prohibition 5,000 7,500

(d) Failure to conduct and record minimum number of Rule G observations 2,500 5,000

219.107 Consequences of unlawful refusal:

(a) Failure to disqualify an employee for nine months following a refusal 5,000 7,500

(b) Fail to provide written notice of withdrawal to employee 2,500 5,000

(c) Employee unlawfully returned to service 5,000 7,500

Subpart C—Post-Accident Toxicological Testing

219.201 Events for which testing is required:

(a) Failure to test after qualifying event (each regulated employee not tested is a violation) 5,000 7,500

(c)(1)(i) Failure to make good faith determination 5,000 7,500

(c)(1)(ii) Failure to provide requested decision report to FRA 2,500 5,000

(c)(2) Testing performed after non-qualifying event 5,000 10,000

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-regulated service employee tested 5,000 7,500

(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort 2,500 5,000

(c) Independent medical facility not utilized 2,500 5,000

(d) Failure to report event or contact FRA when intervention required 1,000 3,000

(d)(1) Failure to collect specimens in a timely manner 2,500 5,000

(e)(2) Failure to recall employee for testing when conditions met 2,500 5,000

(e)(5) Failure to document why employee could not be recalled 2,500 5,000

(f)(1) Specimen collection not completed at an independent medical facility 2,500 5,000

219.205 Specimen collection and handling:

(a) Failure to observe requirements with respect to specimen collection, marking and handling 2,500 5,000

(b) Failure to provide properly prepared forms with specimens 2,500 5,000

(d) Failure to promptly or properly forward specimens 2,500 5,000

219.207 Fatality:

(a) Failure to collect specimens 5,000 7,500

(a)(1) Failure to ensure timely collection and shipment of required specimens 2,500 5,000

(b) Failure to request assistance when necessary 2,500 5,000

219.209 Reports of tests and refusals:

(a)(1) Failure to provide telephonic report 1,000 2,000

(b) Failure to provide written report of refusal to test 1,000 2,000

(c) Failure to maintain report explaining why test not conducted within 4 hours 1,000 2,000

219.211 Analysis and follow-up:

(c) Failure of the MRO to report MRO downgrades and/or verified non-negative results to FRA in a timely manner 2,500 5,000

(g)(3) Unauthorized withholding of regulated employee out of regulated service pending receipt of PAT testing results 2,500 5,000

Subpart D—Reasonable Suspicion Testing

219.301 Mandatory reasonable suspicion testing:

(a) Failure to conduct breath alcohol test when reasonable suspicion testing criteria met or conduct breath alcohol test 

under reasonable suspicion when criteria not met 5,000 7,500

(b) Failure to conduct drug test when reasonable suspicion testing criteria met or conduct drug test under reasonable 

suspicion when criteria not met 5,000 7,500

219.303 Testing when reasonable suspicion criteria not met:

(a) Failure to use a trained supervisor when conducting a reasonable suspicion determination for alcohol 2,500 5,000

(b) Failure to use two supervisors, one of which must have been trained, when conducting a reasonable suspicion 

determination for drugs 2,500 5,000

(c) Improperly holding employee out of service 2,500 5,000
(d) Failure to provide adequate written documentation for the reasons for a reasonable suspicion test 2,500 5,000

219.305 Prompt specimen collections; time limitations:

(a) Fail to promptly conduct test 2,500 5,000

(b) Failure to document why test not administered within time limits 2,500 5,000

(c) Improper recall of employee 2,500 5,000

Subpart E—Reasonable Cause Testing

219.401 Authorization for reasonable cause testing:

(a) Failure to declare which authority (Federal or company) is being used for reasonable cause testing 2,500 5,000

(b) Testing conducted after regulated employee is released from duty 2,500 5,000

219.403 Requirements for reasonable cause testing:

(a) Testing when event did not meet the criteria for train accident or train incident 2,500 5,000

(b) Testing when event did not meet the criteria for rule violation 2,500 5,000

219.405 Documentation requirements:

(a) Failure to provide adequate written documentation for the reasons for a reasonable cause test 1,000 2,500

(b) Failure to document specific type of rule violation and the involvement of each tested regulated employee 1,000 2,500

219.407 Prompt Specimen Collection; Time Limitations:

(a) Failure to perform a test in a timely 2,500 5,000

(b) Failure to document why test not administered within time limits 1,000 2,500

(c) Improper recall of employee 2,500 5,000

219.409 Limitations on authority:

(b) Improper withholding of regulated employee from regulated service pending test results 2,500 5,000

Subpart F—Pre-Employment Tests

219.501 Pre-employment drug testing:

(a) Failure to conduct a Federal pre-employment test before a final applicant or employee transfer performs regulated 

service 2,500 5,000

(b) Failure to conduct a Federal pre-employment test before an employee of a contractor performs regulated service 2,500 5,000

(e) Pre-employment testing of grandfathered regulated employee 1,000 2,500

219.502 Pre-employment alcohol testing:

(a)(1) Failure to conduct alcohol testing of a regulated employee after choosing to perform Federal pre-employment 

alcohol testing 2,500 5,000

(a)(2) Failure to treat all regulated employees the same for purposes of Federal pre-employment alcohol testing 2,500 5,000

219.503 Notification; records:

Failure to notify the applicant in writing of non-negative test results or refusal 1,000 2,500

Subpart G—Random Alcohol and Drug Testing Programs

219.601 Purpose and scope of random testing programs:
(b) Failure to ensure regulated employee is subject to random testing 2,500 5,000

(c) Contractor or volunteer not included in random testing while subject to performing regulated service 2,500 5,000

(d)(1) Regulated employee not subject to random testing at minimum rate set by agency covering more than 50% of 

employee's regulated functions 2,500 5,000

219.605 Submission and approval of random testing plans:

(a)(1) Failure to obtain FRA approval of random testing program 2,500 5,000

(c) Failure to implement random testing plan within 30 days of notification of FRA approval 2,500 5,000

(d)(1) Failure to implement substantive plan amendment within 30 days of notification of FRA approval, or failure to 

obtain FRA approval before implementing substantive plan amendment before implementation 2,500 5,000

(d)(2) Failure to submit non-substantive plan amendment before implementation 2,500 5,000

219.607 Requirements for random testing plans:

(a) Railroad implementation failed to comply with approved plan 2,500 5,000

(c) Failure to contain required plan elements 2,500 5,000

219.609 Inclusion of contractor employees and volunteers in random testing plans:

(a) Failure to demonstrate that regulated service contractor employees and volunteers are subject to random testing 2,500 5,000

(c) Failure to ensure regulated service contractor and volunteers are tested in accordance with this subpart 2,500 5,000

219.611 Random drug and alcohol and drug testing pools:

(a) Failure of railroad to ensure that all regulated employees including contractors and volunteers are included in 

random testing pools 2,500 5,000

(b)(2) Improper criteria for pool entries which allows for employer discretion over who is to be tested 2,500 5,000

(b)(3) Failure to construct and maintain pool entries that will ensure regulated employees have an equal chance of 

being selected randomly for each draw 2,500 5,000

(c) Maintaining a random testing pool with less than four pool entries 2,500 5,000

(d)(1) Failure to ensure that pools do not contain non-regulated employees 2,500 5,000

(d)(2) Regulated employee included in more than one DOT random pool 2,500 5,000

(d)(3) Failure to maintain pools and/or pool entries that meet FRA/DOT regulations 2,500 5,000

(d)(5) Failure to add or remove regulated employees to or from the proper random pool in a timely manner 2,500 5,000

(e)(2) Failure to remove employees who perform de minimis service from pools which include employees who 

perform regulated service on a regular basis 2,500 5,000

(f) Failure to have an effective mechanism to update and maintain pools 2,500 5,000

219.613 Random testing selections:

(b)(1) Failure to use an FRA-acceptable selection procedure 2,500 5,000

(b)(2) Failure to ensure every regulated employee has an equal chance at being selected at each draw 2,500 5,000

(b)(3) Failure to have necessary documentation verifying the selection process for testing window 2,500 5,000
(c)(1) Failure to select pool entries at a rate which ensures compliance with FRA required random rates or fail to 

reasonably distribute selections throughout the selection year 2,500 5,000

(d) Railroad failed to select at least one entry from each of its random testing pools every three months 2,500 5,000

(e) Railroad discarded selection draws without an acceptable explanation 2,500 5,000

(g) Failure to capture and maintain electronic or hard copy snapshot of each random testing pool at the time it makes a 

testing selection 2,500 5,000

219.615 Random testing collections:

(a) Failure to comply with minimum annual random collection testing rates 2,500 5,000

(b) Failure to test selections within the approved testing window 2,500 5,000

(c)(1) Testing a regulated employee while not on duty or testing a regulated employee not randomly selected or 

testing a non-regulated employee 2,500 5,000

(c)(2) Failure to distribute collections reasonably throughout all shifts, days of the week, weeks of the month, and 

months of the year 2,500 5,000

(c)(3) Failure to perform at least 10% of its random alcohol tests at the beginning of shifts and at least 10% of random 

alcohol tests at the end of shifts 2,500 5,000

(e)(1) Advance notification given to employees selected for testing 2,500 5,000

(e)(2) Fail to begin collection within two hours of notice of random selection without an acceptable reason for the 

delay 2,500 5,000

(f) Failure to test a selection without an FRA-acceptable reason 2,500 5,000

(g)(1) Fail to immediately terminate random collection due to hours of service expiration 2,500 5,000

219.617 Participation in random alcohol and drug testing:

(a)(1) Failure to test regulated employee when properly selected for random test 2,500 5,000

(a)(2) Failure to restrict regulated employee from performing regulated service prior to completion of random testing 2,500 5,000

(a)(3) Improperly excused without substantiated medical emergency 2,500 5,000

219.621 Use of Service Agents:

(g) Improper use a service agent to notify a regulated employee that they have been selected for random testing 2,500 5,000

219.623 Records

(a) Failure of railroads to meet recordkeeping requirements 2,500 5,000

(g) Failure of contractors and service agents to provide required random testing records when requested by the 

contracting railroad or FRA 2,500 5,000

219.625 FRA Administrator's determination of random alcohol and drug rates

(d) Failure to meet the required FRA random testing rate for drugs 2,500 5,000

(e) Failure to meet the required FRA random testing rate for alcohol 2,500 5,000

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, E, F, G and K testing 5,000 7,500

Subpart I—Annual Report

219.800 Annual Reports:

(a) Failure to submit MIS report on time 2,500 5,000

(c) Failure to submit accurate MIS report 2,500 5,000

(d) Failure to include required data 2,500 5,000

Subpart J—Recordkeeping Requirements

219.901 Retention of alcohol and drug testing records:

(a) Failure to maintain records required to be kept by part 40 of this chapter 2,500 5,000

(b) Failure to maintain records required to be kept for five years 2,500 5,000

(c) Failure to maintain records required to be kept for two years 2,500 5,000

219.903 Access to facilities and records:

(a) Failure to release records in this subpart in accordance with part 40 of this chapter 2,500 5,000

(b) Failure to permit access to facilities 2,500 5,000

(c) Failure to provide access to results of railroad alcohol and drug testing programs 2,500 5,000

Subpart K—Referral Programs

219.1001 Requirement for referral programs:

(b)(1) Failure to adopt or implement required self-referral program or alternate program that meets the requirements 

of this subpart 2,500 5,000

(b)(2) Failure to adopt or implement required co-worker referral program or alternate program that meets the 

requirements of subpart K of this part 2,500 5,000

(d) Violation of referral program prohibitions 2,500 5,000

219.1003 Referral program conditions:

(a) Failure to comply with referral program conditions 2,500 5,000

(b) Failure to maintain employment 2,500 5,000

(c) Failure to disqualify regulated employee when referral conditions not met 2,500 5,000

(d) Use of unqualified DAC 2,500 5,000

(e) Allowing person evaluated as having active substance abuse disorder to perform regulated service 2,500 5,000

(f) Breach of confidentiality 2,500 5,000

(g) Failure to allow recommended leave of absence 2,500 5,000

(h)(1)-(3) Failure to meet return to service conditions 2,500 5,000

(h)(4) Failure to return to service when conditions met 2,500 5,000

(i) Improper modification to rehabilitation plan 2,500 5,000

(l) Failure to complete DAC evaluation within time limit 2,500 5,000

(m) Exceeding 24 month time limit on aftercare when not associated with a substantiated part 219 violation 2,500 5,000

219.1007 Alternate programs:
(c) Failure to obtain FRA approval of alternate program 2,500 5,000

[81 FR 37944, June 10, 2016, as amended at 83 FR 60747, Nov. 27, 2018]

2

The penalty schedule uses section numbers from 49 CFR part 219; and 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. 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.

1

A penalty may be assessed against an individual only for a willful violation. The FRA Administrator reserves the right to assess a penalty of up to 

the statutory maximum amount for any violation, including ones not listed in this penalty schedule, where circumstances warrant. See 49 CFR part 

209, appendix A.
Part 220—Schedule of Civil Penalties

1

Section

2 Violation Willful 

violation

220.9 Requirements for trains $5,000 $7,500 

220.11 Requirements for roadway workers 5,000 7,500

220.21 Railroad Operating rules; radio communications

(a) 5,000 7,500

(b) 2,500 5,000

220.23 Publication of radio information 2,500 5,000

220.25 Instruction of employees 5,000 7,500

220.27 Identification 1,000 2,000

220.29 Statement of letters and numbers 1,000 2,000

220.31 Initiating a transmission 1,000 2,000

220.33 Receiving a transmission 1,000 2,000

220.35 Ending a transmission 1,000 2,000

220.37 Voice test 5,000 7,500

220.39 Continuous monitoring 2,500 5,000

220.41 [Reserved]

220.43 Communication consistent with the rules 2,500 5,000

220.45 Complete communications 2,500 5,000

220.47 Emergencies 2,500 5,000

220.49 Switching, backing or pushing 5,000 7,500

220.51 Signal indications 5,000 7,500

220.61 Radio transmission of mandatory directives 5,000 7,500

Subpart C—Electronic Devices

220.302 Operating rules 9,500 17,000

220.303 General; interfering with safety-related duties 9,500 17,000

220.305 Personal electronic device turned on while prohibited 5,500 10,000

(a)-(c) Personal device in use while prohibited 9,500 17,000

220.307 Railroad-supplied device turned on while prohibited 5,500 10,000

(a) Use not authorized by railroad in writing 9,500 17,000

(b)-(d) Railroad-supplied devices in use while prohibited 9,500 17,000

220.311 Railroad operating employees in deadhead status:

(current as of July 12, 2021)
(a) 9,500 17,000

(b) Devices turned on while prohibited; or 5,500 10,000

device in use while prohibited 9,500 17,000

220.313 Program of instruction:

(a)-(d) 9,500 17,000

220.315 Operational tests and inspections:

(a)-(b) 9,500 17,000

1

A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

2

The penalty schedule uses section numbers from 49 CFR part 220. 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.

[63 FR 47195, Sept. 4, 1998, as amended at 69 FR 30593, May 28, 2004; 73 FR 79702, Dec. 30, 2008; 75 FR 59604, Sept. 27, 2010; 

77 FR 24420, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 60747, Nov. 27, 2018]
Part 221—Schedule of Civil Penalties1

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 1,000 2,000

221.14 Marking devices: Use of unapproved or noncomplying device 2,500 5,000

221.15 Marking device inspection:

(a) Failure to inspect at crew change 2,500 5,000

(b), (c) improper inspection 2,500 5,000

221.16 Inspection procedure:

(a) Failure to obtain protection 5,000 7,500

(b) Improper protection 2,500 5,000

221.17 Movement of defective equipment 1 1

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the 

statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Where the conditions for movement of 

defective equipment set forth in §221.17 of this part are not met, the movement constitutes a violation of §221.13 of this part.

[53 FR 52930, Dec. 29, 1988, as amended at 69 FR 62818, Oct. 28, 2004; 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43110, 

July 1, 2016; 83 FR 60747, Nov. 27, 2018]

(current as of July 12, 2021)
Part 222—Schedule of Civil Penalties1

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 1,000 3,000

(b) Failure to sound horn at least 15 seconds and less than 1/4-mile before crossing 5,000 7,500

Sounding the locomotive horn more than 25 seconds before crossing 1,000 2,000

Sounding the locomotive horn more than 1/4-mile in advance of crossing 1,000 2,000

§ 222.33 Failure to sound horn when conditions of § 222.33 are not met 5,000 7,500

§ 222.45 Routine sounding of the locomotive horn at quiet zone crossing 5,000 7,500

§ 222.49 (b) Failure to provide Grade Crossing Inventory Form information 2,500 5,000

§ 222.59 (d) Routine sounding of the locomotive horn at a grade crossing equipped with wayside horn 5,000 7,500

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up 

to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[71 FR 47634, Aug. 17, 2006, as amended at 73 FR 79702, Dec. 30, 2008. Redesignated at 74 FR 46394, Sept. 9, 2009 as amended at77 FR 

24420, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 60747, Nov. 27, 2018]

(current as of July 12, 2021)
Part 223—Schedule of Civil Penalties 1

Section Violation Willful 

violation

223.9 New or rebuilt equipment:

(a) Locomotives $2,500 $5,000 

(b) Cabooses 2,500 5,000

(c) Passenger cars 2,500 5,000

223.11(c) Existing locomotives 2,500 5,000

(d) Repair of window 1,000 2,000

223.13(c) Existing cabooses 2,500 5,000

(d) Repair of window 1,000 2,000

223.15(c) Existing passenger cars 2,500 5,000

(d) Repair of window 1,000 2,000

1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a 

penalty of up to the statutory maximum amount for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, 

and 49 CFR part 209, appendix A. 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.

[63 FR 24676, May 4, 1998, as amended at 69 FR 30594, May 28, 2004; 73 FR 6400, Feb. 1, 2008; 73 FR 79702, Dec. 30, 2008; 

77 FR 24420, Apr. 24, 2012; 81 FR 6790, Feb. 9, 2016; 81 FR 43110, July 1, 2016; 83 FR 60747, Nov. 27, 2018]

(current as of July 12, 2021)
Part 224—Schedule of Civil Penalties1

Subpart B—Application, Inspection, and Maintenance of Retroreflective Material

Section Violation Willful 

violation

§ 224.103 Characteristics of retroreflective sheeting:

(a)-(d) Retroreflective sheeting applied does not meet the requirements of § 224.103 $2,500 $5,000 

§ 224.105 Sheeting dimensions and quantity:

Failure to apply minimum amount of retroreflective sheeting in accordance with Table 2 2,500 5,000

Applying retroreflective sheeting of wrong dimensions 2,500 5,000

§ 224.106 Location of retroreflective sheeting:

(a), (b)Applying retroreflective sheeting in nonconforming pattern 2,000 4,000

§ 224.107 Implementation schedule:

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

placed in service 5,000 7,500

(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), or (b)(4) 5,000 7,500

§ 224.109 Inspection, repair, and replacement:

(a) Failure to perform inspection 5,000 7,500

Failure to properly notify car owner of defect 2,500 5,000

Failure to retain written notification of defect for two years 1,500 2,500

Failure to repair defect after notification 5,000 7,500

(b) Failure to perform inspection 5,000 7,500

Failure to repair defect 5,000 7,500

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[70 FR 62176, Oct. 28, 2005, as amended at 73 FR 79702, Dec. 30, 2008; 77 FR 24420, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 

60747, Nov. 27, 2018]

(current as of July 12, 2021)
Part 225—Schedule of Civil Penalties1

Section2 Violation Willful 

Violation

225.6: Failure to comply with consolidated reporting requirements $2,500 $5,000 

225.9:

(1) Failure to report 2,500 5,000

(2) Failure to immediately report 1,000 2,000

(3) Failure to accurately report 1,000 2,000

225.11:

(1) Failure to report accident/incident 2,500 5,000

(a) Highway-rail grade crossing

(b) Rail Equipment

(c) Death, Injury, or occupational illness

(2) Report is incomplete 1,000 2,000

225.12: Failure to file Railroad Employee Human Factor form 2,500 5,000

(a) Failure to file Railroad Employee Human Factor Attachment correctly:

(1) Employee identified 2,500 5,000

(2) No employee identified 1,000 2,000

(b)

(1) Failure to notify employee properly 2,500 5,000

(2) Notification of employee not involved in accident 2,500 5,000

(c) Failure of employing railroad to provide requested information properly 1,000 2,000

(d)

(1) Failure to revise report 2,500 5,000

(2) Failure to notify after late identification 2,500 5,000

(f) Submission of notice if employee dies as result of the reported accident 2,500 5,000

(g) Willfully false accident statement by employee 5,000

225.13:

(1) Failure to Late reports 2,500 5,000

(2) Failure to Review Employee Statement 2,500 5,000

(3) Failure to Amend Report 1,000 2,000

225.18: Alcohol or drug involvement 2,500 5,000

225.23: Joint operations 1 1

225.25:

(current as of July 12, 2021)
(1) Recordkeeping 2,500 5,000

(2) Failure to post list 1,000 2,000

(3) Posting Prohibited Information 1,000 2,000

(4) Missing fields 1,000 2,000

225.27:

(1) Failure to retain records 1,000 2,000

(2) Failure to retain electronic receipt 1,000 2,000

(3) Failure to comply with electronic recordkeeping requirements 1,000 2,000

(4) Failure to provide access to records 1,000 2,000

225.33:

(1) Failure to adopt Internal Control Plan or more than two missing/outdated/incorrect components 2,500 5,000

(2) Internal Control Plan with less than three missing/outdated/incorrect components 1,000 2,000

(3) Failure to comply with Internal Control Plan 2,500 5,000

(4) Failure to comply with the intimidation/harassment policy in Internal Control Plan 2,500 5,000

(5) Failure to comply with requirements associated with Form FRA F 6180.150 2,500 5,000

225.35: Access to records and reports 2,500 5,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty 

of up to the statutory maximum amount 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.

2

 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.

[75 FR 68909, Nov. 9, 2010, as amended at 77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 60748, Nov. 27, 2018]
Part 227—Schedule of Civil Penalties

Section Violation Willful 

violation

Subpart A—General

227.3 Application:

(b)(4) Failure to meet the required conditions for foreign railroad operations $2,500 $5,000 

Subpart B—General Requirements

227.103 Noise monitoring program:

(a) Failure to develop and/or implement a noise monitoring program 7,500 10,000

(b) Failure to use sampling as required 2,500 5,000

(c) Failure to integrate sound levels and/or make noise measurements as required 2,500 5,000

(d) Failure to repeat noise monitoring where required 2,500 5,000

(e) Failure to consider work environments where hearing protectors may be omitted 2,500 5,000

(f) Failure to provide opportunity to observe monitoring 2,000 4,000

(g) Reporting of Monitoring Results:

(1) Failure to notify monitored employee 2,500 5,000

(2) Failure to post results as required 2,500 5,000

227.105 Protection of employees:

(a) Failure to provide appropriate protection to exposed employee 7,500 10,000

(b) Failure to observe and document source(s) of noise exposures 2,500 5,000

(c)-(d) Failure to protect employee from impermissible continuous noise 5,000 7,500

227.107 Hearing conservation program:

(a) Failure to administer a HCP 7,500 10,000

(b) Failure to compute noise exposure as required 3,500 7,000

227.109  Audiometric testing program:

(a) Failure to establish and/or maintain an audiometric testing program 7,500 10,000

(b) Failure to provide audiometric test at no cost to employee 2,500 5,000

(c) Failure to have qualified person perform audiometric test 2,500 5,000

(d) [Reserved]

(e) Failure to establish baseline audiogram as required 3,500 7,000

(f) Failure to offer and/or require periodic audiograms as required 2,500 5,000

(g) Failure to evaluate audiogram as required 2,500 5,000

(h) Failure to comply with follow-up procedures as required 2,500 5,000

(i) Failure to use required method for revising baseline audiograms 2,500 5,000

227.111 Audiometric test requirements:

(current as of July 12, 2021)
(a) Failure to conduct test as required 2,500 5,000

(b) Failure to use required equipment 2,500 5,000

(c) Failure to administer test in room that meets requirements 2,500 5,000

(d) Complete failure to calibrate 5,000 7,500

(1) Failure to perform daily calibration as required 2,000 4,000

(2) Failure to perform annual calibration as required 2,000 4,000

(3) Failure to perform exhaustive calibration as required 2,000 4,000

227.115 Hearing protectors (HP):

(a) Failure to comply with general requirements 3,000 6,000

(b) Failure to make HP available as required 2,500 5,000

(c) Failure to require use of HP at action level 5,000 7,500

(d) Failure to require use of HP at TWA of 90 dB(A) 5,000 7,500

227.117 Hearing protector attenuation:

(a) Failure to evaluate attenuation as required 2,500 5,000

(b)-(c) Failure to attenuate to required level 2,500 5,000

(d) Failure to re-evaluate attenuation 2,500 5,000

227.119 Training program:

(a) Failure to institute a training program as required 5,000 7,500

(b) Failure to provide training within required time frame 2,500 5,000

(c) Failure of program and/or training materials to include required information 2,500 5,000

227.121 Recordkeeping:

(a) General Requirements:

(1) Failure to make record available as required 2,500 5,000

(3) Failure to transfer or retain records as required 2,000 4,000

(b)-(f) Records:

(1) Failure to maintain record or failure to maintain record with required information 2,000 4,000

(2) Failure to retain records for required time period 2,000 4,000

1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the 

statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 83 FR 60748, 

Nov. 28, 2018]
Part 228—Schedule of Civil Penalties1

Section Violation Willful 

violation

Subpart B—Records and Reporting:

228.9 Railroad records $1,000 $2,000 

228.11 Hours of duty records 1,000 2,000

228.17 Dispatcher's record 1,000 2,000

228.19 Monthly reports of excess service 1,000 2,000

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of 

up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[53 FR 52931, Dec. 29, 1988, as amended at 69 FR 30594, May 28, 2004; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 24, 2012; 81 

FR 43111, July 1, 2016; 83 FR 60748, Nov. 27, 2018]

(current as of July 12, 2021)
Part 229—Schedule of Civil Penalties1

Section Violation Willful 

violation

229.7 Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant 

facts $1,000-5,000 $2,000-7,500

229.9 Movement of noncomplying locomotives 1 1

229.11 Locomotive identification 1,000 2,000

229.13 Control of locomotives 2,500 5,000

229.15 Remote control locomotives 2,500 5,000

229.17 Accident reports 2,500 5,000

229.19 Prior Waivers 1 1

229.21 Daily inspection:

(a)(b):

(1) Inspection overdue 2,000 4,000

(2) Inspection report not made, improperly executed, or not retained 1,000 2,000

(c) Inspection not performed by a qualified person 1,000 2,000

229.23 Periodic inspection General:

(a)(1) Inspection overdue 2,500 5,000

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

inspected 2,500 5,000

(b)(1) Inspection overdue 2,500 5,000

(b)(2) Inspection overdue 2,500 5,000

(c) Inspection overdue 2,500 5,000

(e):

(1) Form missing 1,000 2,000

(2) Form not properly displayed 1,000 2,000

(3) Form improperly executed 1,000 2,000

(f) Replace Form FRA F 6180.49A by April 2 or July 3

(g) Secondary record of the information reported Form FRA F 6180.49A 1,000 2,000

229.25 Tests: every periodic inspection:

(a) through (d)(4) and (e) and (f) Tests 2,500 5,000

(d)(5) Ineffective maintenance 8,000 16,000

(current as of July 12, 2021)

Subpart A—General

Subpart B—Inspection and tests
229.27 Annual tests 2,500 5,000

229.29 Biennial tests 2,500 5,000

229.31:

(a) Biennial hydrostatic tests of main reservoirs 2,500 5,000

(b) Biennial hammer tests of main reservoirs 2,500 5,000

(c) Drilled telltale holes in welded main reservoirs 2,500 5,000

(d) Biennial tests of aluminum main reservoirs 2,500 5,000

229.33 Out-of-use credit 1,000 2,000

229.41 Protection against personal injury 2,500 5,000

229.43 Exhaust and battery gases 2,500 5,000

229.45 General condition: To be assessed based on relevant facts 1,000-5,000 2,000-7,500

229.46 Brakes: General 2,500 5,000

229.47 Emergency brake valve 2,500 5,000

229.49 Main reservoir system:

(a)(1) Main reservoir safety valve 2,500 5,000

(2) Pneumatically actuated control reservoir 2,500 5,000

(b)(c) Main reservoir governors 2,500 5,000

229.51 Aluminum main reservoirs 2,500 5,000

229.53 Brake gauges 2,500 5,000

229.55 Piston travel 2,500 5,000

229.57 Foundation brake gear 2,500 5,000

229.59 Leakage 2,500 5,000

229.61 Draft system 2,500 5,000

229.63 Lateral motion 2,500 5,000

229.64 Plain bearing 2,500 5,000

229.65 Spring rigging 2,500 5,000

229.67 Trucks 2,500 5,000

229.69 Side bearings 2,500 5,000

229.71 Clearance above top of rail 2,500 5,000

229.73 Wheel sets 2,500 5,000

229.75 Wheel and tire defects:

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

(1) One spot 21/2′′ or more but less than 3′′ in length 2,500 5,000

(2) One spot 3′′ or more in length 5,000 7,500

(3) Two adjoining spots each of which is 2′′ or more in length but less than 21/2′′ in length 2,500 5,000

Subpart C—Safety Requirements
(4) Two adjoining spots each of which are at least 2′′ in length, if either spot is 21/2′′ or more in length 5,000 7,500

(b) Gouge or chip in flange of:

(1) more than 11/2′′ but less than 15/8′′ in length; and more than 1/2′′ but less than 5/8′′ in width 2,500 5,000

(2) 15/8′′ or more in length and 5/8′′ or more in width 5,000 7,500

(c) Broken rim 5,000 7,500

(e) Seam in tread 2,500 5,000

(f) Flange thickness of:

(1) 7/8′′ or less but more than 13/16′′ 2,500 5,000

(2) 13/16′′ or less 5,000 7,500

(g) Tread worn hollow 2,500 5,000

(h) Flange height of:

(1) 11/2′′ or greater but less than 15/8′′ 2,500 5,000

(2) 15/8′′ or more 5,000 7,000

(i) Tire thickness 2,500 5,000

(j) Rim thickness:

(1) Less than 1′′ in road service and 3/4′′ in yard service 2,500 5,000

(2) 15/16′′ or less in road service and 11/16′′ in yard service 5,000 7,500

(k) Crack of less than 1′′ 5,000 7,500

(1) Crack of less than 1′′ 2,500 5,000

(2) Crack of 1′′ or more 5,000 7,500

(3) Break 5,000 7,500

(l) Loose wheel or tire 5,000 7,500

(m) Welded wheel or tire 5,000 7,500

229.77 Current collectors 2,500 5,000

229.79 Third rail shoes and beams 2,000 4,000

229.81 Emergency pole; shoe insulation 2,500 5,000

229.83 Insulation or grounding 5,000 7,500

229.85 Door and cover plates marked “Danger” 2,500 5,000

229.87 Hand operated switches 2,500 5,000

229.89 Jumpers; cable connections:

(a) Jumpers and cable connections; located and guarded 2,500 5,000

(b) Condition of jumpers and cable connections 2,500 5,000

229.91 Motors and generators 2,500 5,000

229.93 Safety cut-off device 2,500 5,000

229.95 Venting 2,500 5,000

229.97 Grounding fuel tanks 2,500 5,000
229.99 Safety hangers 2,500 5,000

229.101 Engines:

(a) Temperature and pressure alarms, controls, and switches 2,500 5,000

(b) Warning notice 2,500 5,000

(c) Wheel slip/slide protection 2,500 5,000

229.103 Safe working pressure; factor of safety 2,500 5,000

229.105 Steam generator number 1,000 1,500

229.107 Pressure gauge 2,500 5,000

229.109 Safety valves 2,500 5,000

229.111 Water-flow indicator 2,500 5,000

229.113 Warning notice 2,500 5,000

229.114 Steam generator inspections and tests 2,500 5,000

229.115 Slip/slide alarms 2,500 5,000

229.117 Speed indicators 2,500 5,000

229.119 Cabs, floors, and passageways:

(a)(1) Cab seat not securely mounted or braced 2,500 5,000

(2) Insecure or improper latching device 2,500 5,000

(b) Cab windows of lead locomotive 2,500 5,000

(c) Floors, passageways, and compartments 2,500 5,000

(d) Ventilation and heating arrangement 2,500 5,000

(e) Continuous barrier 2,500 5,000

(f) Containers for fuses and torpedoes 2,500 5,000

(g) Failure to equip 2,500 5,000

(h) Failure to maintain 2,500 5,000

(i) Failure to equip 2,500 5,000

229.121 Locomotive Cab Noise:

(a) Performance Standards

(1) Failure to meet sound level 5,000 7,500

(2) Improper maintenance alterations 2,500 5,000

(3) Failure to comply with static test protocols 2,500 5,000

(b) Maintenance of Locomotives

(1) Failure to maintain excessive noise report record or respond to report as required 2,500 5,000

(3) Failure to make good faith effort as required 2,500 5,000

(4) Failure to maintain record as required 2,000 4,000

229.123 Pilots, snowplows, end plates 2,500 5,000

229.125
(a) Headlights 2,500 5,000

(d) Auxiliary lights 2,500 5,000

229.127 Cab lights 2,500 5,000

229.129 Locomotive horn:

(a) Prescribed sound levels 2,500 5,000

Arrangement of horn 2,500 5,000

(b) Failure to perform sound level test 2,500 5,000

(c) Sound level test improperly performed 2,500 5,000

Record of sound level test improperly executed, or not retained 1,000 4,000

229.131 Sanders 1,000 2,000

229.135 Event Recorders:

(a) Lead locomotive without in-service event recorder 2,500 5,000

(b) Failure to meet equipment requirements 2,500 5,000

(c) Unauthorized removal or failure to remove from service 2,500 5,000

(d) Improper response to out of service event recorder 2,500 5,000

(e) Failure to preserve data or unauthorized extraction of data 2,500 5,000

(g) Tampering with device or data 2,500 5,000

229.137 Sanitation, general:

(a) Sanitation compartment in lead unit, complete failure to provide required items $5,000 $10,000 

(1) Ventilation 2,500 5,000

(2) Door missing 2,000 4,000

(2)(i) Door doesn't close 1,000 2,000

(2)(ii) No modesty lock 1,000 2,000

(3) Not equipped with toilet in lead 5,000 10,000

(4) Not equipped with washing system 1,000 2,000

(5) Lack of paper 1,000 2,000

(6) Lack of trash receptacle 1,000 2,000

(b) Exceptions:

(1)(i) Commuter service, failure to meet conditions of exception 2,500 5,000

(1)(ii) Switching service, failure to meet conditions of exception 2,500 5,000

(1)(iii) Transfer service, failure to meet conditions of exception 2,500 5,000

(1)(iv) Class III, failure to meet conditions of exception 2,500 5,000

(1)(v) Tourist, failure to meet conditions of exception 2,500 5,000

(1)(vi) Control cab locomotive, failure to meet conditions of exception 2,500 5,000

(2) Noncompliant toilet 5,000 10,000

(c) Defective/unsanitary toilet in lead unit 2,500 5,000
(1-5) Failure to meet conditions of exception 2,500 5,000

(d) Defective/unsanitary unit; failure to meet conditions for trailing position 2,500 5,000

(e) Defective/sanitary unit; failure to meet conditions for switching/transfer service 2,500 5,000

(f) Paper, washing, trash holder; failure to equip prior to departure 2,500 5,000

(g) Inadequate ventilation; failure to repair or move prior to departure 2,500 5,000

(h) Door closure/modesty lock; failure to repair or move 1,000 2,000

(i) Failure to retain/maintain of equipped units 2,500 5,000

(j) Failure to equip new units/in-cab facility 2,500 5,000

(k) Failure to provide potable water 2,500 5,000

229.139 Servicing requirements:

(a) Lead occupied unit not sanitary 2,500 5,000

(b) Components not present/operating 2,500 5,000

(c) Occupied unit in switching, transfer service, in trailing position not sanitary 2,500 5,000

(d) Defective unit used more than 10 days 2,500 5,000

(e) Failure to repair defective modesty lock 1,000 2,000

229.140 Alerters 2,500 5,000

229.141 Body structure, MU locomotives 2,500 5,000

229.205 General requirements:

(a)(1) Wide-nose locomotive not designed in compliance with AAR S-580-2005 $5,000 $7,500 

(2) Wide-nose locomotive not designed in compliance with new approved design standard 5,000 7,500

(3) Wide-nose locomotive not designed in compliance with alternate approved design standard 5,000 7,500

(b) Monocoque or semi-monocoque locomotive not in compliance with design requirements 5,000 7,500

(c) Narrow-nose not in compliance with design requirements 5,000 7,500

229.206 Design requirements:

Locomotive fails to meet—

(1) Emergency egress requirements 2,500 5,000

(2) Emergency interior lighting requirements 2,500 5,000

(3) Interior configuration requirements 2,500 5,000

229.213 Locomotive manufacturing information:

(a) Failure to retain required information 2,500 5,000

(b) Failure to produce required information 2,500 5,000

229.215 Retention and inspection of designs:

(a) Failure to retain required design records 2,500 5,000

(b) Failure to retain required repair or modification records 2,500 5,000

(c) Failure to make records available when requested 2,500 5,000

Subpart D—Locomotive Crashworthiness Design Requirements
229.217 Fuel tank:

(a) External fuel tank 5,000 7,500

(b) Internal fuel tank 5,000 7,500

229.307 Safety analysis:

(a) Failure to establish and maintain a safety analysis 5,000 10,000

(b) Failure to provide safety analysis upon request 2,500 5,000

(c) Failure to comply with safety analysis 5,000-10,000 15,000

229.309 Safety-critical changes and failure:

(a)(1) Failure to notify FRA 1,000 2,000

(a)(2) Failure to update safety analysis 3,500 7,000

(a)(4) Failure to notify manufacturer 10,000 15,000

(b) Failure to notify railroad 10,000 15,000

(c) Failure to establish and maintain program 3,500 7,000

229.311 Review of SAs:

(a) Failure to notify FRA 1,000 2,000

(b) Failure to report 1,000 2,000

(c) Failure to correct safety hazards 5,000-10,000 15,000

(d) Failure to final report 1,000 2,000

229.313 Product testing results and records:

(a) Failure to maintain records and database 5,000 10,000

(b) Incomplete testing records 3,500 7,000

(c) Improper signature 3,500 7,000

229.315 Operations and maintenance manual:

(a) Failure to implement and maintain manual 5,000 10,000

(c) Failure to document revisions 5,000 10,000

(d) Failure to follow plan 5,000-10,000 15,000

229.317 Training and qualification program:

(a) Failure to establish and implement program 5,000 10,000

(b) Failure to conduct training 2,500 5,000

(g) Failure to evaluate program 2,500 5,000

(h) Failure to maintain records 1,500 3,000

229.319 Operating personnel training 2,500 5,000

Subpart E—Locomotive Electronics
[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 1998; 67 FR 

16052, Apr. 4, 2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr. 27, 2005; 70 FR 37942, June 30, 2005; 71 FR 36915, June 28, 2006; 

71 FR 47667, Aug. 17, 2006; 71 FR 63136, Oct. 27, 2006; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008; 77 FR 21351, Apr. 9, 

2012; 77 FR 24421, Apr. 24, 2012; 81 FR 43111, July 1, 2016; 82 FR 16134, Apr. 3, 2017; 83 FR 60748, Nov. 27, 2018; 84 FR 37059, July 

31, 2019; 86 FR 1745, Jan. 11, 2021; 86 FR 23241, May 3, 2021]

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.

1 A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations 

are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth above are aggregated up to a 

maximum of $30,058 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 the statutory maximum 

amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
Part 230—Civil Penalty Schedule

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 $1,000 $2,500 

(b) Failure of owner and/or operator to approve repairs made prior to use of steam locomotive 1,000 1,500

230.12 Movement of non-complying steam locomotive: 1 1

230.13 Daily inspection:

(a) (b):

(1) Inspection overdue 1,500 3,000

(2) Inspection not performed by qualified person 1,000 1,500

(c) Inspection report not made, improperly executed or not retained 1,000 1,500

230.14 Thirty-one service day inspection:

(a):

(1) Inspection overdue 1,500 3,000

(2) Inspection not performed by qualified person

(b) Failure to notify FRA 1,000 1,500

(c) Inspection report not made, improperly executed, not properly filed 1,000 1,500

230.15 Ninety-two service day inspection:

(a):

(1) Inspection overdue 1,500 3,000

(2) Inspection not performed by qualified person 1,000 1,500

(b) Inspection report not made, improperly executed, not properly filed 1,000 1,500

230.16 Annual inspection:

(a):

(1) Inspection overdue 1,500 3,000

(2) Inspection not performed by qualified person 1,000 1,500

(b) Failure to notify FRA 1,000 1,500

(c) Inspection report not made, improperly executed, not properly filed 1,000 1,500

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

(a):

(1) Inspection overdue 1,500 3,000

(2) Inspection not performed by qualified person 1,250 2,000

(b) Inspection report not made, improperly executed, not properly maintained, not properly filed 1,000 1,500

(current as of July 12, 2021)
230.18 Service days:

(a) Service day record not available for inspection 1,000 1,500

(b) Failure to file service day report with FRA Regional Administrator 1,000 1,500

(c) Failure to complete all 1,472 service day inspection items prior to returning retired steam locomotive 

to service 1,500 3,000

230.19 Posting of forms:

(a) FRA Form No. 1:

(1) FRA Form No. 1 not properly filled out 1,000 1,500

(2) FRA Form No. 1 not properly displayed 1,000 1,500

(b) FRA Form No. 3:

(1) FRA Form No. 3 not properly filled out 1,000 1,500

(2) FRA Form No. 3 not properly displayed 1,000 1,500

230.20 Alteration and repair reports:

(a) Alterations:

(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator 1,000 1,500

(2) FRA Form No. 19 not properly filled out 1,000 1,500

(3) FRA Form No. 19 not properly maintained 1,000 1,500

(b) Repairs to unstayed portions of the boiler:

(1) FRA Form No. 19 not properly filled out 1,000 1,500

(2) FRA Form No. 19 not properly maintained 1,000 1,500

(c) Repairs to stayed portions of the boiler:

(1) FRA Form No. 19 not properly filled out 1,000 1,500

(2) FRA Form No. 19 not properly maintained 1,000 1,500

230.21 Failure to properly document steam locomotive number Change 1,000 1,500

Subpart B—Boilers and Appurtenances

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

appurtenance thereof 1,500 2,500

230.23 Responsibility for general construction and safe working pressure:

(a) Failure to properly establish safe working pressure for steam locomotive boiler 5,000 10,000

(b) Placing steam locomotive in service before safe working pressure for boiler has been established 5,000 10,000

230.24 Maximum allowable stress values on boiler components:

(a) Use of materials not of sufficient tensile strength 1,000 2,000

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

calculations 2,000 4,000

230.25 Maximum allowable stresses on stays and braces:

(a) Exceeding allowable stress values on fire box and/or combustion chamber 1,000 2,000
(b) Exceeding allowable stress values on round, rectangular or gusset braces 1,000 2,000

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 1,500 3,000

(2) Failure to remove steam locomotive from service when considered necessary to do so 2,500 5,000

(b):

(1) Failure of perform repairs in accordance with accepted industry standards 2,000 4,000

(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 2,000 4,000

230.30 Lap-joint seam boilers, Failure to properly inspect 2,000 4,000

230.31 Flues to be removed:

(a):

(1) Failure to remove all flues when inspecting boiler 1,500 3,000

(2) Failure to enter boiler and clean and inspect 1,500 3,000

(b) Failure to remove superheater flues when deemed necessary to do so 1,000 2,000

230.32 Time and method of inspection:

(a) Failure to perform 1,472 service day inspection when required to do so 1,500 3,000

(b) Failure to properly inspect boiler during 1,472 service day inspection 1,500 3,000

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 1,500 3,000

(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 1,500 3,000

(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

1,500 3,000

(2) Repairing wasted sheets 1,500 3,000

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

1,500 3,000

(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad 

practices or accepted national standards for boiler repairs 1,500 3,000
(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad 

practices or accepted national standards for boiler repairs 1,000 2,000

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

hydrostatic pressure to the boiler 1,000 2,000

230.36 Hydrostatic testing of boilers:

(a) Failure to perform hydrostatic test of boiler as required 1,500 3,000

(b) Failure to properly perform hydrostatic test 1,500 3,000

(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP 1,500 3,000

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

to boiler 1,000 2,000

230.38 Telltale holes:

(a) Failure to have telltale holes as required in staybolts 1,000 2,000

(b) Failure to have proper telltale holes in reduced body staybolts 1,000 2,000

(c) Failure to keep telltales holes when so required 1,000 2,000

230.39 Broken staybolts:

(a) Boiler in service with excess number of broken staybolts 1,500 3,000

(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 1,500 3,000

(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts 1,500 3,000

(d) Closing telltale holes by prohibited means 1,500 3,000

230.40 Time and method of staybolt testing:

(a) Failure to hammer test staybolts when so required 1,000 2,000

(b) Failure to properly hammer test staybolts 1,000 2,000

230.41 Flexible staybolts with caps:

(a) Failure to inspect flexible staybolts as required 1,000 2,000

(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required 1,000 2,000

(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3 when so 

required 1,000 2,000

(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 1,000 2,000

230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read 2,000 4,000

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 1,000 2,000

230.44 Failure to test steam gauge when so required 1,000 2,000

230.45 Failure to properly test and/or set steam gauge 1,000 2,000
230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure 1,000 1,500

230.47 Boiler Number:

(a) (b) (c) Failure to stamp builder's number on boiler when number is known 1,000 1,500

230.48 Number and capacity of safety relief valves:

(a) Failure to equip steam locomotive boiler with proper safety relief valves 2,500 5,000

(b) Failure to provide additional safety relief valve capacity when so required 3,000 6,000

230.49 Setting of safety relief valves:

(a) Safety relief valve(s) set and/or adjusted by person not competent to do so 2,500 5,000

(b) Safety relief valve(s) not set to open at prescribed pressure(s) 2,500 5,000

(c) Safety relief valve(s) not properly set 3,000 6,000

(d) Set pressure of lowest safety relief valve not properly indicated 1,000 2,000

230.50 Failure to test and adjust safety relief valves when required to do so 1,500 3,000

230.51 Failure to equip steam locomotive boiler with at least 2 properly installed water glasses 1,000 2,000

230.52 Failure to properly equip water glasses 2,000 4,000

230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so 1,000 2,000

230.54 Testing and maintenance:

(a) Failure to properly test water glasses and/or gauge cocks 1,000 2,000

(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves 1,500 3,000

230.55 Tubular type water and lubricator glasses and shields:

(a) Failure to renew tubular type water glasses as required 1,000 2,000

(b) Failure to properly shield tubular water glasses and/or lubricator glasses 1,000 2,000

(c) Failure to properly locate and/or maintain water glasses and/or water glass shields 1,000 2,000

230.56 Failure to equip water glass with suitable lamp 1,000 2,000

230.57 Injectors and feedwater pumps:

(a) Failure to equip steam locomotive with proper means for delivering water to the boiler 3,000 6,000

(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, 

feed water pipes, tank hose, tank valves 2,500 5,000

(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping 1,000 2,000

230.58 Flue plugs:

(a) Plugging flue plugs when not otherwise permitted 1,000 2,000

(b) Improperly plugging flue plugs, when otherwise permitted 1,000 2,000

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

properly note removal 1,500 3,000

230.60 Time of washing:

(a) Failure to thoroughly wash boiler when required to do so 1,000 2,000
(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water bar 

plugs when washing locomotive boiler 1,500 3,000

(c) Failure to examine and/or properly maintain washout plugs washout plug sleeves, threaded openings 1,500 3,000

(d) Failure to clean fusible plugs when required to do so 1,500 3,000

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 1,000 2,000

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

when required 1,500 3,000

(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes, circulators 1,500 3,000

230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure 2,500 5,000

230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so 1,500 3,000

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 1,500 3,000

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

obscure vision 1,000 2,000

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

and tender(s) 1,000 2,000

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

2,500 5,000

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 1,000 1,500

230.69 Failure to equip steam locomotive with properly supported ash pan with operating mechanism 

that may be safely operated and securely closed 1,000 2,000

230.70 Safe condition:

(a) Failure to perform proper pre-departure inspection when so required 1,000 2,000

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

Brake Valve” 1,000 2,000

230.71 Orifice testing of air compressors:

(a)(b):

Failure to properly test and/or maintain air compressor(s) capacity 1,000 2,000

230.72 Testing main reservoirs:

(a) Failure to properly test main reservoir(s) when required 1,000 2,000
(b) Impermissibly or improperly drilling main reservoir 1,000 2,000

(c) Impermissibly using NDE method to measure wall thickness of main reservoir 1,000 2,000

(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

1,500 3,000

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

1,000 1,500

(b) Failure to test air gauge(s) when so required 1,000 1,500

(c) Failure to properly test air gauge(s) 1,000 1,500

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

required to do so 1,000 1,500

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

performing work 1,000 1,500

230.76 Piston travel:

(a) Insufficient minimum piston travel 1,000 1,500

(b) Excessive piston travel when steam locomotive is stationary 1,000 2,000

230.77 Foundation brake gear:

(a) Failure to properly maintain foundation brake gear 1,000 2,000

(b) Foundation brake gear less than 2.5 inches above rail 1,000 2,000

230.78 Leakage:

(a):

(1) Failure to test for leakage from main reservoir or related piping as required 1,000 1,500

(2) Failure to repair excessive leakage from main reservoir or related piping leakage 1,000 2,000

(b) Failure to test for brake cylinder as required 1,000 1,500

(c):

(1) Failure to test for leakage from steam locomotive brake pipe as required 1,000 2,000

(2) Failure to repair excessive brake pipe leakage 1,000 2,000

230.79 Train signal system:

(1) Failure to test the train signal system or other form of on-board communication as required 1,000 1,500

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

service 1,000 1,500

230.80 Cabs:

(a) Steam locomotive cab not safe and suitable for service 1,000 2,000

(b) Steam pipes: Construction, attachment 1,000 2,000

(c) Oil-burning steam locomotive, cab-enclosed 1,000 1,500
230.81 Cab aprons:

(a) Cab apron, general provisions 1,000 1,500

(b) Cab apron, insufficient width 1,000 1,500

230.82 Fire doors:

(a) Safe and suitable for service, general provisions 1,000 2,000

(b) Construction and maintenance of mechanically operated fire doors 1,000 2,000

(c) Construction and maintenance of hand-operated fire doors 1,000 2,000

230.83 Cylinder cocks:

(1) Failure to properly equip with cylinder cocks 1,000 1,500

(2) Failure to properly maintain cylinder cocks 1,000 1,500

230.84 Sanders:

(1) Inoperable sanders 1,000 1,500

(2) Failure to test sanders 1,000 1,500

230.85 Audible warning devices:

(a) General provisions 1,000 1,500

(b) Sound level measurements, Failure to properly take 1,000 1,500

230.86 Required illumination:

(a) General provisions 1,000 1,500

(b) Dimming device, Failure to properly equip with 1,000 1,500

(c) Multiple locomotives, Failure of lead locomotive to display headlight 1,000 1,500

230.87 Cab lights: Failure to properly equip with 1,000 2,000

230.88 Throttles: Failure to properly maintain, equip 1,000 2,000

230.89 Reverse gear:

(a) General provisions 1,000 2,000

(b) Air-operated power reverse gear 1,000 2,000

(c) Power reverse gear reservoirs 1,000 2,000

230.90 Draw gear and draft systems:

(a) Maintenance and testing 1,000 1,500

(b) Safety bars and chains, general 1,000 1,500

(c) Safety bars and chains, minimum length 1,000 1,500

(d) Lost motion between steam locomotive and tender 1,000 1,500

(e) Spring buffers: Improper application, compression 1,000 1,500

230.91 Chafing irons: Improper application, maintenance 1,000 1,500

230.92 Draw gear, draft systems: Improperly maintained, fastened 1,000 1,500

230.93 Pistons and piston rods:

(a) Failure to properly inspect, maintain, renew 1,000 2,000
(b) Fasteners: Failure to keep tight, properly equip 1,000 2,000

230.94 Crossheads: Improperly maintained, excess clearance 1,000 2,000

230.95 Guides: Failure to securely fasten, properly maintain 1,000 2,000

230.96 Main, side, valve motion rods:

(a) General 1,000 2,000

(b) Repairs

(1) Failure to make in accordance with accepted national standard 1,000 2,000

(2) Failure to submit written request for approval prior to welding 1,000 2,000

(c) Bearings and bushings 1,000 1,500

(d) Rod side motion: Excessive motion 1,000 1,500

(e) Oil, grease cups: Failure to securely fasten, properly equip 1,000 1,500

(f) Main rod bearings:

(1) excessive bore 1,000 1,500

(2) excessive lost motion 1,000 1,500

(g) Side rod bearings, excessive bore 1,000 1,500

230.97 Crank pins:

(a) General provisions 1,000 2,000

(b) Maintenance: Failure to maintain in safe, suitable condition 1,000 2,000

230.98 Driving, trailing, engine truck axles:

(a) Condemning defects 1,000 2,000

(b) Journal diameter: Failure to stamp on end of axle 750 1,000

230.99 Tender truck axle: Insufficient diameter 1,000 2,000

230.100 Defects in tender truck axles and journals:

(a) Tender truck axle condemning defects 1,000 2,000

(b) Tender truck journal condemning defects 1,000 2,000

230.101 Steam locomotive driving journal boxes:

(a) Driving journal boxes: Failure to properly maintain 1,000 2,000

(b) Broken bearings: Failure to renew 1,000 2,000

(c) Loose bearings: Failure to repair or renew 1,000 2,000

230.102 Tender plain bearing journal boxes: Failure to repair 1,000 1,500

230.103 Tender roller bearing journal boxes: Failure to properly maintain 1,000 1,500

230.104 Driving box shoes and wedges: Failure to properly maintain 1,000 1,500

230.105 Lateral motion:

(a) Condemning limits: Total lateral motion in excess of 1,000 1,500

(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion 1,000 1,500

(c) Interferes with other parts of steam locomotive 1,000 1,500
230.106 Steam locomotive frame:

(a) Failure to properly inspect and/or maintain 1,000 2,000

(b) Broken frames, not properly patched or secured 2,500 5,000

230.107 Tender frame and body:

(a) Failure to properly maintain 1,000 1,500

(b) Height difference between tender deck and steam locomotive cab floor or deck excessive 1,000 1,500

(c) Gangway minimum width excessive 1,000 1,500

(d) Tender frame condemning defects 1,500 3,000

230.108 Steam locomotive leading and trailing trucks:

(a) Failure to properly maintain 1,000 1,500

(b) Safety chain, suitable safety chain not provided 1,000 1,500

(c) Insufficient truck clearance 1,000 2,000

230.109 Tender trucks:

(a):

(1) Tender truck frames 1,000 2,000

(2) Tender truck center plate 1,000 2,000

(b) Tender truck bolsters: Failure to properly maintain 1,500 3,000

(c) Condemning defects, springs and/or spring rigging 1,000 2,000

(d) Truck securing arrangement: Not properly maintained 1,000 1,500

(e) Side bearings, truck centering devices 1,000 2,000

(f) Friction side bearings: Run in contact 1,000 2,000

(g):

(1) Side bearings, failure to equip rear trucks with 1,000 2,000

(2) Insufficient clearance of 1,000 2,000

230.110 Pilots:

(a) General provisions 1,000 1,500

(b) Clearance, insufficient or excessive 1,000 1,500

230.111 Spring rigging:

(a) Arrangement of springs and equalizers 1,000 2,000

(b) Spring or spring rigging condemning defects 1,000 2,000

230.112 Wheels and tires:

(a) Improperly Mounted, excess variance in axle diameter 1,500 3,000

(b) Out of gage 1,000 2,000

(c) Flange distance variance, excessive 1,000 2,000

(d) Tire thickness, insufficient 1,000 2,000

(e) Tire width, insufficient 1,000 2,000
230.113 Wheels and tire defects:

(1) Failure to repair 1,000 2,000

(2) Welding on, except as otherwise provided for 1,500 3,000

(a) Cracks or breaks in 1,000 2,000

(b) Flat spots 1,000 2,000

(c) Chipped flange 1,000 2,000

(d) Broken rim 1,000 2,000

(e) Shelled-out spots 1,000 2,000

(f) Seams 1,000 2,000

(g) Worn flanges, excessive wear 1,000 2,000

(h) Worn treads, excessive wear 1,000 2,000

(i) Flange height, insufficient or excessive 1,000 2,000

(j) Rim thickness, insufficient 1,000 2,000

(k) Wheel diameter, excessive variance 1,000 2,000

230.114 Wheel centers:

(a) Filling blocks and shims 1,000 2,000

(b) Wheel center condemning limits, failure to repair 1,000 2,000

(c) Wheel center repairs 1,000 2,000

(d) Counterbalance maintenance 1,000 2,000

230.115 Feed water tanks:

(a) General provisions 1,000 2,000

(b) Inspection frequency, failure to inspect as required 1,000 1,500

(c) Top of tender: Improperly maintained and/or equipped 1,000 1,500

230.116 Oil tanks:

(1) Failure to properly maintain 2,500 5,000

(2) Failure to equip with complying safety cut-off device 5,000 7,500

1 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.
Part 231—Schedule of Civil Penalties1

FRA safety appliance defect code section2 Violation Willful violation

110.A1 Hand Brake or Hand Brake Part Missing $5,000 $7,500 

110.A2 Hand Brake or Hand Brake Part Broken 5,000 7,500

110.A3 Hand Brake or Hand Brake Part Loose or Worn 2,500 5,000

110.B1 Hand Brake Inoperative 5,000 7,500

110.B2 Hand Brake Inefficient 2,500 5,000

110.B3 Hand Brake Improperly Applied 2,500 5,000

110.B4 Hand Brake Incorrectly located 2,500 5,000

110.B5 Hand Brake Shaft Welded or Wrong Dimension 2,500 5,000

110.B6 Hand Brake Shaft Not Retained in Operating Position 2,500 5,000

110.B8 Hand Brake or Hand Brake Parts Wrong Design 2,500 5,000

114.B2 Hand Brake Wheel or Lever Has Insufficient Clearance Around Rim or Handle 2,500 5,000

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

Knuckle 2,500 5,000

120.A1 Brake Step Missing Except by Design 5,000 7,500

120.A2 Brake Step or Brace Broken or Decayed 2,500 5,000

120.A3 Brake Step or Brace Loose 2,500 5,000

120.B1 Brake Step or Brace Bent 2,500 5,000

120.B2 Brake Step or Wrong Dimensions 2,500 5,000

120.C1 Brake Step Improperly Applied 2,500 5,000

120.C2 Brake Step Improperly Located 2,500 5,000

120.C3 Brake Step With Less Than 4′′ Clearance to Vertical Plane Through Inside Face of Knuckle 2,500 5,000

120.C4 Brake Step Obstructed or Otherwise Unsafe 2,500 5,000

124.A1 Running Board Missing or Part Missing Except By Design 5,000 7,500

124.A2 Running Board Broken or Decayed 5,000 7,500

124.A3 Running Board Loose Presents a Tripping Hazard or Other Unsafe Condition 2,500 5,000

124.A4 Running Board Wrong Material 2,500 5,000

124.B1 Running Board Bent to the Extent that It is Unsafe 2,500 5,000

124.B2 Running Board Wrong Dimensions 2,500 5,000

124.B3 Running Board Wrong Location 2,500 5,000

124.C1 Running Board Improperly Applied 2,500 5,000

124.C2 Running Board Obstructed 2,500 5,000

(current as of July 12, 2021)
126.A1 End Platform Missing or Part Except By Design 5,000 7,500

126.A2 End Platform Broken or Decayed 5,000 7,500

126.A3 End Platform Loose 2,500 5,000

126.B1 End Platform or Brace Bent 2,500 5,000

126.B2 End Platform Wrong Dimensions 2,500 5,000

126.C1 End Platform Improperly Applied 2,500 5,000

126.C2 End Platform With Less Than Required Clearance to Vertical Plane Through Inside Knuckle 2,500 5,000

126.C3 End Platform Improperly Located 2,500 5,000

126.C4 End Platform Obstructed 5,000 7,500

128.A1 Platform or Switching Step Missing 5,000 7,500

128.A2 Platform or Switching Step Broken or Decayed 5,000 7,500

128.A3 Platform or Switching Step Loose 2,500 5,000

128.B1 Platform or Switching Step Bent 2,500 5,000

128.B2 Platform or Switching Step Does Not Meet the Required Location or Dimensions 2,500 5,000

128.C1 Platform or Switching Step Improperly Applied or Repaired 2,500 5,000

128.C2 Platform or Switching Step Obstructed 2,500 5,000

128.D1 Switching Step Back Stop or Kick Plate Missing 2,500 5,000

128.D2 Switching Step Not Illuminated When Required 2,500 5,000

128.D3 Non-Illuminated Step Not Painted Contrasting Color 1,000 2,000

130.A1 Sill Step or Additional Tread, Missing 5,000 7,500

130.A2 Sill Step or Additional Tread, Broken 5,000 7,500

130.A3 Sill Step or Additional Tread, Loose 2,500 5,000

130.B1 Sill Step or Additional Tread, Bent 2,500 5,000

130.B2 Sill Step or Additional Tread, Having Wrong Dimensions or Improperly Located 2,500 5,000

130.B3 Sill Step Improperly Applied 2,500 5,000

132.A1 Side Missing Step 5,000 7,500

132.A2 Side Door Step Broken 5,000 7,500

132.A3 Side Door Step Loose 2,500 5,000

132.B1 Side Door Step Bent 2,500 5,000

132.B2 Side Door Step Having Wrong Dimensions 2,500 5,000

134.A1 Ladder Missing 5,000 7,500

134.A2 Ladder Broken 5,000 7,500

134.A3 Ladder Loose 2,500 5,000

134.B1 Ladder Bent 2,500 5,000

134.B2 Ladder Having Wrong Dimensions 2,500 5,000

134.C1 Ladder Improperly Applied 2,500 5,000
134.C2 Ladder Having Insufficient Clearance or Improperly Located 2,500 5,000

134.C3 Ladder Wrong Design 2,500 5,000

134.C4 Ladder Wrong Material 2,500 5,000

134.D1 End Clearance Insufficient 2,500 5,000

136.A1 Ladder Tread or Handholds Missing 5,000 7,500

136.A2 Ladder Tread or Handhold Broken 5,000 7,500

136.A3 Ladder Tread or Handhold Loose Except By Design 2,500 5,000

136.B1 Ladder Tread or Handhold Bent to The Extent That It May Be Unsafe 2,500 5,000

136.B2 Ladder Tread or Handhold Wrong Dimensions 2,500 5,000

136.C1 Ladder Tread or Handhold Improperly Applied 2,500 5,000

136.C2 Ladder Tread or Handhold Having Wrong Clearance 2,500 5,000

136.C3 Ladder or Handhold Improperly Located 2,500 5,000

136.C4 Ladder Tread or Handhold Obstructed 2,500 5,000

136.C5 Ladder Tread Without Footguards 2,500 5,000

138.A1 Hand or Safety Railing Missing 5,000 7,500

138.A2 Hand or Safety Railing Broken 5,000 7,500

138.A3 Hand or Safety Railing Loose Except by Design 2,500 5,000

138.B1 Hand or Safety Railing Bent 2,500 5,000

138.B2 Hand or Safety Railing Wrong Dimensions 2,500 5,000

138.C1 Hand or Safety Railing Improperly Applied 2,500 5,000

138.C2 Hand or Safety Railing Having Less Than the Required Clearance 2,500 5,000

138.C3 Hand or Safety Railing Improperly Located 2,500 5,000

140.A1 Uncoupling Lever Missing 2,500 5,000

140.A2 Uncoupling Lever Broken or Disconnected 2,500 5,000

140.B1 Uncoupling Lever Bent Will not Safely and Reasonably Function As Intended 2,500 5,000

140.C1 Uncoupling Lever Bracket Bent Lever Will Not Function Properly 2,500 5,000

140.C2 Uncoupling Lever Bracket Broken or Missing 2,500 5,000

140.D1 Uncoupling Lever Wrong Dimension 2,500 5,000

140.D2 Uncoupling Lever With Improper Handle Clearance 2,500 5,000

144.A1 Coupler Missing 5,000 7,500

144.B1 Coupler Height Incorrect 2,500 5,000

144.C1 Coupler Inoperative 2,500 5,000

145.A1 Kick Plates Missing 2,500 5,000

145.A2 Kick Plates Broken 2,500 5,000

145.B1 Kick Plates Wrong Dimensions 2,500 5,000

145.B2 Kick Plates Improper Clearance 2,500 5,000
145.B3 Kick Plates Insecure Or Improperly Applied 2,500 5,000

146.A Notice or Stencil not Posted on Cabooses with Running Boards Removed 1,000 2,000

146.B Safe Means not Provided to Clean or Maintain Windows of Caboose 1,000 2,000

231.31 Drawbars, standard height 2,500 5,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

2

 This schedule uses section numbers from FRA's Safety Appliance Defect Code, a restatement of the CFR text in a reorganized format. For 

convenience, and as an exception to FRA's general policy, penalty citations will cite the defect code rather than the CFR. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR and/or statutory citation in place of the defect code section 

cited in the penalty demand letter.

[53 FR 52933, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 66 FR 4193, Jan. 17, 2001; 73 FR 79703, Dec. 30, 2008; 77 FR 

24421, Apr. 24, 2012; 77 FR 26704, May 7, 2012; 81 FR 43111, July 1, 2016; 83 FR 60748, Nov. 27, 2018]
Part 232—Schedule of Civil Penalties1

Section Violation Willful 

violation

Subpart A—General

232.15 Movement of power brake defects:

(a) Improper movement, general 1 1

(11) Failure to make determinations and provide notification of en route defect $2,500 $5,000 

(b) Complete failure to tag 2,500 5,000

(1) Insufficient tag or record 1,000 2,000

(2), (4) Improper removal of tag 2,000 4,000

(3) Failure to retain record of tag 2,000 4,000

(c) Improper loading or purging 2,500 5,000

(e) Improper placement of defective equipment 2,500 5,000

232.19 Availability of records 1 1

Subpart B—General Requirements

232.103 All train brake systems:

(a)-(c), (h)-(i) Failure to meet general design requirements 2,500 5,000

(d) Failure to have proper percentage of operative brakes from Class I brake test 5,000 7,500

(e) Operating with less than 85 percent operative brakes 5,000 7,500

(f) Improper use of car with inoperative or ineffective brakes 2,500 5,000

(g) Improper display of piston travel 2,500 5,000

(m) Failure to stop train with excess air flow or gradient 2,500 5,000

(n) Securement of unattended equipment

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

verify number applied 5,000 7,500

(2) Failure to initiate emergency or depend upon air brake 2,500 5,000

(3) Failure to apply hand brakes on locomotives 2,500 5,000

(4) Failure to adopt or comply with procedures for securing unattended locomotive 5,000 7,500

(5) Release of hand brakes before brake system is properly charged 5,000 7,500

(7)(i) Failure to adopt or comply with unattended location plan 2,500 5,000

(8)(i) Failure to verify securement 2,500 5,000

(8)(ii) Failure to apply lock or remove and secure reverser 2,500 5,000

(9) Failure implement operating rule for securement job briefing 2,500 2,500

(10) Failure to adopt and comply with securement procedures for after emergency response 2,500 5,000

(current as of July 12, 2021)
(o) Improper adjustment of air regulating devices 2,500 5,000

(p) Failure to hold supervisors jointly responsible 2,500 5,000

232.105 Locomotives:

(a) Air brakes not in safe and suitable condition 1,000-5,000 2,000-7,500

(b) Not equipped with proper hand or parking brake 5,000 7,500

(c)(1) Failure to inspect/repair hand or parking brake 2,500 5,000

(2) Failure to properly stencil, tag, or record 2,000 4,000

(d) Excess leakage from equalizing reservoir 2,500 5,000

(e) Improper use of feed or regulating valve braking 2,500 5,000

(f) Improper use of passenger position 2,500 5,000

(g) Brakes in operative condition 2,500 5,000

(h)(1) Failure to equip with operative locomotive lock 2,500 5,000

(h)(2)-(h)(3) Failure to inspect or timely repair locomotive lock 2,500 5,000

232.107 Air sources/cold weather operations:

(a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources 5,000 7,500

(3) Failure to maintain records 2,500 5,000

(b) Failure to blow condensation 2,500 5,000

(c) Use of improper chemicals 5,000 7,500

(d) Failure to equip or drain yard air reservoirs 2,500 5,000

(e) Failure to adopt or comply cold weather operating procedures 5,000 7,500

232.109 Dynamic brakes:

(a) Failure to provide information 5,000 7,500

(b) Failure to make repairs 5,000 7,500

(c) Failure to properly tag 2,500 5,000

(d) Failure to maintain record of repair 2,000 4,000

(e) Improper deactivation 2,500 5,000

(f) Improper use of locomotive as controlling unit 2,500 5,000

(g) Locomotive not properly equipped with indicator 2,500 5,000

(h) Rebuilt locomotive not properly equipped 2,500 5,000

(j) Failure to adopt or comply with dynamic brake operating rules 5,000 7,500

(k) Failure to adopt or comply with training on operating procedures 5,000 7,500

232.111 Train handling information:

(a) Failure to adopt and comply with procedures 5,000 7,500

(b) Failure to provide specific information 2,500 5,000

Subpart C—Inspection and Testing Requirements

232.203 Training requirements:
(a) Failure to develop or adopt program 7,500 11,000

(b)(1)-() Failure to address or comply with specific required item or provision of program 5,000 7,500

(c) Failure to adopt or comply with two-way EOT program 5,000 7,500

(d) Failure to adopt or comply with retaining valve program 5,000 7,500

(e) Failure to maintain adequate records 5,000 7,500

(f) Failure to adopt and comply with periodic assessment plan 7,500 11,000

232.205 Class I brake test—initial terminal inspection:

(a) Complete failure to perform inspection 1 10,000 15,000

(c)(1)-(4), (6)-(9) Partial failure to perform inspection 5,000 7,500

(c)(5) Failure to properly adjust piston travel (per car) 2,500 5,000

(d) Failure to use carman when required 5,000 7,500

(e) Failure to provide proper notification 2,500 5,000

(f) Failure to void compressed air 2,500 5,000

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

(a) Complete failure to perform inspection 1 5,000 7,500

(b)(1)-(6) Partial failure to perform inspection 2,500 5,000

(c) Failure to properly designate location 5,000 7,500

(c)(1) Failure to perform at designated location 5,000 7,500

(c)(2) Failure to provide notification 2,500 5,000

232.209 Class II brake tests—intermediate inspection:

(a) Complete failure to perform inspection 1 5,000 7,500

(b)(1)-(5), (c) Partial failure to perform inspection 2,500 5,000

(d) Failure to conduct Class I after Class II pick-up 1 1

232.211 Class III brake tests—trainline continuity inspection:

(a) Complete failure to perform inspection 5,000 7,500

(b)(1)-(4), (c) Partial failure to perform inspection 2,500 5,000

(d) Failure to restore air pressure at rear 2,500 2,500

232.213 Extended haul trains:

(a)(1) Failure to properly designate an extended haul train 5,000 7,500

(a)(2)-(3), (5),(6) Failure to perform inspections 1 1

(a)(4) Failure to remove defective car (per car) 2,000 4,000

(a)(7) Failure to maintain record of defects (per car) 2,000 4,000

(a)(8) Failure to provide notification 2,500 5,000

(b) Improper movement or use of extended haul train 5,000 7,500

232.215 Transfer train brake tests:
(a) Failure to perform inspection 5,000 7,500

(b) Failure to perform on cars added 2,500 5,000

232.217 Train brake system tests conducted using yard air:

(a) Failure to use suitable device 2,500 5,000

(b) Improper connection of air test device 5,000 7,500

(c) Failure to properly perform inspection

11

(d) Failure to calibrate test device 2,500 5,000

(e) Failure to use accurate device 2,500 5,000

232.219 Double heading and helper service:

(a) Failure to perform inspection or inability to control brakes 2,500 5,000

(b) Failure to make visual inspection 2,500 5,000

(c) Improper use of helper link device 2,500 5,000

(c)(4) Failure to properly test or calibrate 2,500 5,000

Subpart D—Periodic Maintenance and Testing Requirements

232.303 General requirements:

(b)-(d) Failure to conduct inspection or test when car on repair track 2,500 5,000

(e) Improper movement of equipment for testing 2,500 5,000

(e)(1) Failure to properly tag equipment for movement 2,000 5,000

(e)(2)-(4) Failure to retain record or improper removal of tag or card 2,000 4,000

(f) Failure to stencil or track test information 2,500 5,000

232.305 Repair track air brake tests:

(a) Failure to test in accord with required procedure 2,500 5,000

(b)-(d) Failure to perform test 2,500 5,000

232.307 Single car tests:

(a) Failure to test in accord with required procedure 2,500 5,000

(b)-(c) Failure to perform test 2,500 5,000

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

(a)-(f) Failure to properly test or calibrate 2,500 5,000

Subpart E—End-of-Train Devices

232.403 Design standards for one-way devices:

(a)-(g) Failure to meet standards 2,500 5,000

232.405 Design standards for two-way devices:

(a)-(i) Failure to meet standards 2,500 5,000

232.407 Operating requirements for two-way devices:

(b) Failure to equip a train 5,000 7,500
(c) Improper purchase 2,500 5,000

(f)(1) Failure of device to be armed and operable 5,000 7,500

(f)(2) Insufficient battery charge 2,500 5,000

(f)(3) Failure to activate the device 2,500 5,000

(g) Improper handling of en route failure, freight or other non-passenger 5,000 7,500

(h) Improper handling of en route failure, passenger 5,000 7,500

232.409 Inspection and testing of devices:

(a) Failure to have unique code 2,500 5,000

(b) Failure to compare quantitative values 2,500 5,000

(c) Failure to test emergency capability 5,000 7,500

(d) Failure to properly calibrate 2,500 5,000

(e) Failure to properly test 2,500 5,000

(f)(1) Failure to publish tranceiver calibration period 2,500 5,000

(f)(2) Failure to provide annual report 2,500 5,000

Subpart F—Introduction of New Brake System Technology

232.503 Process to introduce new technology:

(b) Failure to obtain FRA approval 10,000 15,000

232.505 Pre-revenue service acceptance testing plan:

(a) Failure to obtain FRA approval 5,000 7,500

(b) Failure to comply with plan 2,500 5,000

(f) Failure to test previously used technology 5,000 7,500

Subpart G—Electronically Controlled Pneumatic (ECP) Braking Systems

232.603 Design, interoperability, and configuration management requirements:

(a) Failure to meet minimum standards 7,500 11,000

(b) Using ECP brake equipment without approval 7,500 11,000

(c) Failure to adopt and comply with a proper configuration management plan 7,500 11,000

232.605 Training Requirements:

(a) Failure to adopt and comply with a proper training, qualification, and designation program for 

employees that perform inspection, testing or maintenance

1 1

(b) Failure to amend operating rules 12,500 16,000

(c) Failure to adopt and comply with proper training criteria for locomotive engineers 12,500 16,000

232.607 Inspection and testing requirements:

(a)(1), (b), (c)(1) Complete or partial failure to perform inspection 1 1

(a)(2) Complete or partial failure to perform pre-departure inspection 7,500 11,000

(c)(1)(iv), (c)(2) Failure to perform visual inspection on a car added en route 4,500 6,500
(d) Failure to perform inspection 1 1

(e)(1), (2) Failure to properly initialize the train 7,500 11,000

(e)(3) Failure to ensure identical consist and system information 7,500 11,000

(f)(1) Failure to apply a proper brake pipe service reduction 1 1

(f)(2) Failure to properly adhere to the proper piston travel ranges 1 1

(g)(1)-(4) Improperly located and guarded cable 7,500 11,000

(g)(5) Condition of cable and connections 7,500 11,000

232.609 Handling of defective equipment with ECP brake systems:

(a) Failure to have proper percentage of operative brakes from Class I brake test 1 1

(b) Failure to prevent a car known to arrive with defective brakes to depart location where a Class I brake 

test is required 7,500 11,000

(c) Improper movement of a car equipped with conventional pneumatic brakes 7,500 11,000

(d) Operating with less than 85 percent operative brakes 1 1

(f)(2)(i) Improper placement of defective conventional brake equipment 1 1

(f)(2)(ii) Improper placement of defective ECP brake equipment 7,500 11,000

(g) Improper movement of defective stand-alone ECP brake equipment in a train operating with 

conventional pneumatic brakes

1 1

(h) Improper movement from initial terminal of stand-alone ECP brake equipment in a conventional 

brake operated train

1 1

(i) Failure to tag equipment 1 1

(j)(1) Failure to adopt and comply with procedures for the movement of defective equipment 7,500 11,000

(j)(2) Failure to submit list of ECP brake system repair locations 7,500 11,000

232.611 Periodic maintenance:

(a) Failure to ensure the proper and safe condition of car 7,500 11,000

(b)-(d) Failure to perform test 7,500 11,000

232.613 End-of-train devices:

(a) Failure to meet design standards for ECP-EOT devices 7,500 11,000
(b) Moving with an improper or improperly connected ECP-EOT device 9,500 13,000

Subpart H—Tourist, Scenic, Historic, and Excursion Operations Braking Systems

232.701 Operating with less than 85 percent operative brakes 5,000 7,500

232.710 General rules—locomotives:

(b) Air brakes not in safe and suitable condition 1,000-5,000 2,000-7,500

(c) Compressor not tested for capacity 2,500 5,000

(d) Main reservoir not tested 2,500 5,000

(e) Air gauges not tested; if inaccurate not repaired or replaced 2,500 5,000

(f)(1) Operating portion of air brake equipment, dirt collectors, and filters not cleaned, repaired, and 

tested 2,500 5,000

(f)(2) Hand brakes, parts and connections not inspected or suitably stenciled 1,000 2,000

(g) Date of testing or cleaning of air brake equipment not displayed in the cab 1,000 2,000

(h)(1) Minimum brake cylinder piston travel insufficient 2,500 5,000

(h)(2) Maximum brake cylinder piston travel excessive 2,500 5,000

(i)(1) Foundation brake rigging, safety supports and brake shoes 2,500 5,000

(i)(2) Foundation brake rigging or safety supports have improper clearance to the rails 2,500 5,000

(j)(1) Main reservoir leakage 2,500 5,000

(j)(2) Brake pipe leakage 2,500 5,000

(j)(3) Brake cylinder leakage 2,500 5,000

(j)(4) Main reservoir safety valve 2,500 5,000

(j)(5) Governor 2,500 5,000

(j)(6) Compressor governor when used in connection with automatic air brake system 2,500 5,000

(k) Communicating signal system on locomotive 1,000 2,000

(l) Enginemen taking charge of locomotive 2,500 5,000

(m) Drain cocks on air compressors of steam locomotives 2,500 5,000

(n) Air pressure regulating devices 2,500 5,000

232.711 Train air brake system tests:

(b) Communicating signal system on passenger train 2,500 5,000

(c) Effective and operative air brakes 2,500 5,000

(d) Condensation from yard line or motive power 2,500 5,000

232.712 Initial terminal road train air brake tests:

(a) Total failure to perform initial terminal test 10,000 1

(b) 1,000 mile inspection not performed 5,000 10,000

(c)–(j) partial failure to perform initial terminal test 2,500 5,000
232.713 Road train and intermediate terminal train air brake tests:

(a) Passenger trains: before locomotive is detached 5,000 7,500

(b) Freight trains: before locomotive is detached 5,000 7,500

(c)(1) Locomotive or caboose is changed, or one or more cars are cut off from the rear end or head end 5,000 7,500

(c)(2) Brake pipe pressure restored 5,000 7,500

(c)(3) Electropneumatic application and release test 5,000 7,500

(d)(1) Cars are added at a point other than a terminal 5,000 7,500

(d)(2)(i) Cars added at a terminal and have been charged and tested 5,000 7,500

(d)(2)(ii) Cars added at a terminal and have not been charged and tested 5,000 7,500

(d)(3) Brake pipe pressure restored at the rear of freight train 5,000 7,500

(e)(1) Transfer train and yard train movements 2,500 5,000

(e)(2) Transfer train and yard train movements exceeding 20 miles 5,000 7,500

(f) Locomotives, cars or train standing on a yard 5,000 7,500

(h) Device is used to comply with test requirement 2,500 5,000

232.714 Inbound brake equipment inspection:

(a) Inspection of trains upon arrival at terminals 1,000 2,000

(b) Special instructions provide for immediate brake inspection and repairs 1,000 2,000

232.715 Double heading and helper service:

(a) Engineman of the leading locomotive shall operate the brakes 5,000 7,500

(b) Electropneumatic brake valve 5,000 7,500

232.716 Running tests 2,500 5,000

232.717 Freight and passenger train car brakes:

(a) Testing and repairing brakes on cars while in shop or on repair track:

(a)(1) Periodic attention on freight car air brake equipment while car is on repair track 5,000 7,500

(a)(2)(i) Single car testing of freight cars 2,500 5,000

(a)(ii) Repair track tests of freight cars 2,500 5,000

(a)(iii) Single car testing of passenger cars 2,500 5,000

(a)(iv) Car is released from a shop or repair track 2,500 5,000

(b)(1) Brake equipment on cars other than passenger cars 2,500 5,000

(b)(2) Brake equipment on passenger cars 4,000 6,000

(c) Maintenance plan for discontinued brake systems 5,000 7,500
[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 61556, Oct. 16, 2008; 73 FR 

79703, Dec. 30, 2008; 74 FR 15388, Apr. 6, 2009; 77 FR 24421, Apr. 24, 2012; 80 FR 47836, Aug. 6, 2015; 81 FR 43111, July 1, 2016; 82 

FR 16134, Apr. 3, 2017; 83 Fr 60748, Nov. 27, 2018; 84 FR 37059, July 31, 2019; 85 FR 80544, Dec. 11, 2020; 86 FR 1745, Jan. 11, 2021; 

86 FR 23241, May 3, 2021]

1 A penalty may be assessed against an individual only for a willful violation. Generally when two or more violations of these regulations 

are discovered with respect to a single unit of equipment that is placed or continued in service by a railroad, the appropriate penalties set 

forth above are aggregated up to a maximum of $30,058 per day. An exception to this rule is the $15,000 penalty for willful violation of 

§232.503 (failure to get FRA approval before introducing new technology) with respect to a single unit of equipment; if the unit has 

additional violative conditions, the penalty may routinely be aggregated to $15,000. 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 violative conditions found on the equipment contained in the train consist. Moreover, the Administrator 

reserves the right to assess a penalty of up to the statutory maximum amount 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, § 232.217, and subpart G 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—Schedule of Civil Penalties1

Section Violation Willful 

violation

233.5 Accidents resulting from signal failure $2,500 $5,000 

233.7 Signal failure reports 5,000 7,500

233.9 [Reserved]

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 77 FR 

24422, Apr. 24, 2012; 79 FR 37669, July 2, 2014; 81 FR 43111, July 1, 2016; 83 FR 60479, Nov. 27, 2018]

(current as of July 12, 2021)
Part 234—Schedule of Civil Penalties

1

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 2,500 5,000

Subpart C—Response to Reports of Warning System Malfunction

Sec.

234.101 Employee notification rules 2,500 5,000

234.103 Timely response to report of malfunction 2,500 5,000

234.105 Activation failure

(a) Failure to notify—train crews 5,000 7,500

Other railroads 5,000 7,500

(b) Failure to notify law enforcement agency 2,500 5,000

(c) Failure to comply with—flagging requirements 5,000 5,000

Speed restrictions 5,000 7,500

(d) Failure to activate horn or whistle 5,000 7,500

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 2,500 5,000

(c) Failure to comply with—flagging requirements speed restrictions 5,000 7,500

(d) Failure to activate horn or whistle 5,000 7,500

234.107 False activation

(a) Failure to notify—train crews 5,000 7,500

Other railroads 5,000 7,500

(b) Failure to notify law enforcement agency 2,500 5,000

(c) Failure to comply with—flagging requirements 5,000 7,500

Speed restrictions 5,000 7,500

(d) Failure to activate horn or whistle 5,000 7,500

234.109 Recordkeeping 1,000 2,000

Subpart D—Maintenance, Inspection, and Testing

Maintenance Standards:

234.201 Location of plans 1,000 2,000

(current as of July 12, 2021)
234.203 Control circuits 1,000 2,000

234.205 Operating characteristics of warning system apparatus 2,500 5,000

234.207 Adjustment, repair, or replacement of component 2,500 5,000

234.209 Interference with normal functioning of system 5,000 7,500

234.211 Locking of warning system apparatus 1,000 2,000

234.213 Grounds 1,000 2,000

234.215 Standby power system 5,000 7,500

234.217 Flashing light units 1,000 2,000

234.219 Gate arm lights and light cable 1,000 2,000

234.221 Lamp voltage 1,000 2,000

234.223 Gate arm 1,000 2,000

234.225 Activation of warning system 5,000 7,500

234.227 Train detection apparatus 2,500 5,000

234.229 Shunting sensitivity 2,500 5,000

234.231 Fouling wires 1,000 2,000

234.233 Rail joints 1,000 2,000

234.235 Insulated rail joints 1,000 2,000

234.237 Switch equipped with circuit controller 1,000 2,000

234.239 Tagging of wires and interference of wires or tags with signal apparatus 1,000 2,000

234.241 Protection of insulated wire; splice in underground wire 1,000 2,000

234.243 Wire on pole line and aerial cable 1,000 2,000

234.245 Signs 1,000 2,000

Inspections and Tests:

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

requirements 2,500 5,000

234.249 Ground tests 2,500 5,000

234.251 Standby power 5,000 7,500

234.253 Flashing light units and lamp voltage 1,000 2,000

234.255 Gate arm and gate mechanism 1,000 2,000

234.257 Warning system operation 2,500 5,000

234.259 Warning time 1,000 2,000

234.261 Highway traffic signal pre-emption 1,000 2,000

234.263 Relays 1,000 2,000

234.265 Timing relays and timing devices 1,000 2,000

234.267 Insulation resistance tests, wires in trunking and cables 2,500 5,000

234.269 Cut-out circuits 1,000 2,000
234.271 Insulated rail joints, bond wires, and track connections 2,500 5,000

234.273 Results of tests 1,000 2,000

234.275 Processor-Based Systems $5,000 $7,500 

Subpart E—Emergency Notification Systems for Telephonic Reporting of Unsafe Conditions at 

Highway-Rail and Pathway Grade Crossings

 234.303 Emergency notification systems (ENS) for telephonic reporting of unsafe conditions at 

highway-rail and pathway grade crossings:

(a) Dispatching railroad fails to establish and maintain a toll-free telephone service by which the railroad 

can directly and promptly receive telephone calls (calls) from the public of reports of unsafe conditions at 

crossings

15,000 25,000

(a)(1) Dispatching railroad fails to have either a live person answer calls directly and promptly, or use an 

automated answering system or third-party telephone service for receiving calls from the public of reports 

of unsafe conditions at crossings

10,000 15,000

(a)(2) Dispatching railroad improperly uses an automated answering system 10,000 15,000

(b)(1)-(2) Excepted dispatching railroad improperly uses answering machine to receive calls of unsafe 

conditions at crossings 5,000 7,500

(b)(2) Excepted dispatching railroad fails to use proper method to receive calls of unsafe conditions at 

crossings during either operational or non-operational hours 5,000 7,500

(e) Dispatching railroad improperly uses local telephone number to receive calls of unsafe conditions at 

crossings 5,000 7,500

 234.305 Remedial actions in response to reports of unsafe conditions at highway-rail and pathway 

grade crossings:

Response to credible report of warning system malfunction at a highway-rail grade crossing.

(a)(1) Maintaining railroad fails under subpart C to follow subpart C of this part2 5,000 7,500

(a)(2)(i) Dispatching railroad fails to promptly contact all trains authorized to operate through the crossing 

and inform them of the reported malfunction 5,000 7,500

(ii) Dispatching railroad fails to promptly contact the maintaining railroad and inform it of the reported 

malfunction 5,000 7,500

Response to public report of warning system malfunction at a highway-rail grade crossing.

(b)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains 

authorized to operate through the crossing and inform them of the reported malfunction 5,000 7,500

(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the 

appropriate law enforcement agency and inform it of the reported malfunction 5,000 7,500

(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the 

report, determine the nature of the malfunction, and take the appropriate remedial action 5,000 7,500
(b)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to 

operate through the crossing and inform them of the reported malfunction 5,000 7,500

(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law 

enforcement agency and inform it of the reported malfunction 5,000 7,500

(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and 

inform it of the reported malfunction 5,000 7,500

(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the malfunction, 

and take the appropriate remedial action 5,000 7,500

Response to report of warning system failure at a pathway grade crossing.

(c)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains 

authorized to operate through the crossing and inform them of the reported failure 5,000 7,500

(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the 

appropriate law enforcement agency and inform it of the reported failure 5,000 7,500

(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the 

report, determine the nature of the failure, and without undue delay repair the active warning system if 

necessary

5,000 7,500

(c)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to 

operate through the crossing and inform them of the reported failure 5,000 7,500

(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law 

enforcement agency and inform it of the reported failure 5,000 7,500

(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and 

inform it of the reported failure 5,000 7,500

(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the failure, and 

without undue delay repair the active warning system if necessary 5,000 7,500

Response to report of a disabled vehicle or other obstruction blocking a railroad track at a highway-rail 

or pathway grade crossing.

(d)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains 

authorized to operate through the crossing and inform them of the reported obstruction 5,000 7,500

(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the 

appropriate law enforcement agency and inform it of the reported obstruction 5,000 7,500

(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the 

report, determine the nature of the obstruction, and without undue delay take the necessary action to have 

the obstruction removed

5,000 7,500

(d)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to 

operate through the crossing and inform them of the reported obstruction 5,000 7,500
(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law 

enforcement agency and inform it of the reported obstruction 5,000 7,500

(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and 

inform it of the reported obstruction 5,000 7,500

(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the obstruction, 

and without undue delay take the necessary action to have the obstruction removed 5,000 7,500

Special rule on contacting a train that is not required to have communication equipment.

(e) Having received a report pursuant to § 234.303(c)(1), (c)(2), (d)(1), or (d)(2), railroad fails to promptly 

contact the occupied controlling locomotive of the train by the quickest means available consistent with 

§ 220.13(a) of this chapter

5,000 7,500

Response to report of an obstruction of view at a highway-rail or pathway grade crossing.

(f)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report 

and remove the obstruction if it is lawful and feasible to do so 5,000 7,500

(f)(2)(i) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad 5,000 7,500

(ii) Maintaining railroad fails to timely investigate the report and remove the obstruction if it is lawful and 

feasible to do so 5,000 7,500

Response to report of other unsafe condition at a highway-rail or pathway grade crossing.

(g)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report, 

and timely correct the unsafe condition if it is lawful and feasible to do so 5,000 7,500

(g)(2) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad 5,000 7,500

(g)(3) Maintaining railroad fails to timely investigate the report, and timely correct the unsafe condition if 

it is lawful and feasible to do so 5,000 7,500

Maintaining railroad's responsibilities for receiving reports of unsafe conditions at highway-rail and 

pathway grade crossings.

(h)(1)(i) Maintaining railroad fails to provide sufficient contact information to dispatching railroad, by 

which the dispatching railroad may timely contact the maintaining railroad upon receipt of a report 5,000 7,500

(ii) Maintaining railroad fails either to have a live person answer calls directly and promptly, or to use an 

automated answering system for receiving calls from the dispatching railroad of a report of an unsafe 

condition

10,000 15,000

(iii) Dispatching railroad improperly uses an automated answering system 10,000 15,000

(h)(2)(i)-(ii) Excepted maintaining railroad fails to use proper method to receive calls of unsafe conditions 

at crossings during operational or non-operational hours 5,000 7,500

 234.306 Multiple dispatching or maintaining railroads with respect to the same highway-rail or 

pathway grade crossing; appointment of responsible railroad:

(a)(1) Each of the dispatching railroads for the crossing fails to appoint a primary dispatching railroad for 

the crossing 10,000 15,000
(a)(1)(i)-(iv) The primary dispatching railroad for the crossing fails to carry out one of the prescribed 

duties 5,000 7,500

(a)(2) Another pertinent dispatching railroad for the crossing fails to carry out remedial action as required 

by § 234.305 5,000 7,500

(b)(1) Each of the maintaining railroads for the crossing fails to appoint one maintaining railroad 

responsible for the placement and maintenance of the ENS sign(s) 5,000 7,500

(b)(2) The assigned maintaining railroad in § 234.306(b)(1) fails to display on the ENS sign(s) the 

emergency telephone number of the dispatching railroad or primary dispatching railroad for the crossing 5,000 7,500

(c)(1) The dispatching railroad or primary dispatching railroad fails to promptly contact and inform the 

appropriate maintaining railroad(s) for the crossing of the reported problem 5,000 7,500

(c)(2) The maintaining railroad fails to carry out remedial action as required by § 234.305 10,000 15,000

 234.307 Use of third-party telephone service by dispatching and maintaining railroads3:

(a)(1) Dispatching railroad improperly uses third-party telephone service 10,000 15,000

(a)(2) Dispatching railroad fails to ensure third-party telephone service compliance with § 234.307 10,000 15,000

(b)(1) Maintaining railroad improperly uses third-party telephone service 10,000 15,000

(b)(2) Maintaining railroad fails to ensure third-party telephone service compliance with § 234.307 10,000 15,000

(d)(1) Railroad fails to provide sufficient contact information to third-party telephone service 2,500 5,000

(d)(2)(i) Railroad fails to inform FRA in writing before the implementation of a third-party telephone 

service 2,500 5,000

(ii) Railroad fails to provide FRA with contact information for the third-party telephone service 2,500 5,000

(iii) Railroad fails to provide FRA with information identifying the crossings about which the third-party 

telephone service will receive reports 2,500 5,000

(d)(3) Railroad fails to inform FRA in writing within 30 days following any changes in the use of, or the 

discontinuance of, third-party telephone service 2,500 5,000

(d)(4)4 Dispatching or maintaining railroad fails to take appropriate action required by § 234.305.

(e)5 Railroad fails to ensure third-party telephone service compliance with § 234.313 or § 234.315, as 

applicable.

 234.309 ENS signs in general:

(a) Dispatching railroad fails to provide ENS telephone number to the maintaining railroad a minimum of 

180 days prior to the required implementation date of the ENS 2,500 5,000

(b)(1)-(3)6 Responsible railroad fails to display minimum required information on ENS sign 5,000 7,500

(c)(1)-(4)7 Responsible railroad fails to display ENS sign that meets size and other physical requirements 5,000 7,500

 234.311 ENS sign placement and maintenance:
(a)(1)-(2) Responsible railroad fails to place and maintain required number of sign(s) at the crossing or 

entrance(s) to facility 5,000 7,500

(b)(1)-(2) Responsible railroad fails to properly locate and maintain the sign(s) at the crossing 5,000 7,500

 234.313 Recordkeeping:

(a)(1)-(9) Railroad fails to maintain in its records the minimum information required for each ENS report 

received 2,500 5,000

(c)(1)-(2) Responsible railroad(s) fail(s) to record in writing an appointment of a railroad, pursuant to 

§ 234.306, or properly retain a copy of the document 2,500 5,000

(d)(1) Railroad fails to properly retain records 2,500 5,000

(d)(2) Railroad fails to provide FRA access to records 2,500 5,000

 234.315 Electronic recordkeeping:

(a)-(b) Railroad fails to comply with electronic recordkeeping requirements 2,500 5,000

Subpart F—Highway-Rail and Pathway Crossing Inventory Reporting

§ 234.403 Submission of data to the Crossing Inventory:

(b) Failure to complete Inventory Form (or electronic equivalent) in accordance with the Inventory Guide $1,000 $2,000 

(c) Class I railroad failure to submit crossing data to the Crossing Inventory electronically 1,000 2,000

§ 234.405 Submission of initial data to the Crossing Inventory for previously unreported crossings

(a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic 

equivalent) to the Crossing Inventory for previously unreported crossing 2,500 5,000

(b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for 

previously unreported crossing 2,500 5,000

(c) Operating railroad failure to provide written notification to FRA that the primary operating railroad 

failed to timely report previously unreported crossing 1,000 2,000

§ 234.407 Submission of initial data to the Crossing Inventory for new crossings:

(a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic 

equivalent) to the Crossing Inventory for new crossing 2,500 5,000

(b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for 

new crossing 2,500 5,000

(c) Operating railroad failure to provide written notification to FRA that the primary operating railroad 

failed to timely report new crossing 1,000 2,000

§ 234.409 Submission of periodic updates to the Crossing Inventory:

(a) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the 

Crossing Inventory for highway-rail or pathway crossing 2,500 5,000

(b) Operating railroad failure to timely submit up-to-date and accurate partial crossing data to the Crossing 

Inventory for highway-rail or pathway crossing 2,500 5,000
§ 234.411 Changes requiring submission of updated information to the Crossing Inventory:

(a) Failure to timely report crossing sale to the Crossing Inventory 2,500 5,000

(b) Primary operating railroad failure to timely report crossing closure to the Crossing Inventory 2,500 5,000

(c) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the 

Crossing Inventory after change in crossing characteristics 2,500 5,000

§ 234.413 Recordkeeping 1,000 2,000

§ 234.415 Electronic Recordkeeping 1,000 2,000

[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11094, Mar. 7, 2005; 73 

FR 76704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 80 FR 786, Jan. 6, 2015; 80 FR 30364, May 28, 2015; 81 FR 37534, June 10, 

2016; 81 FR 43111, July 1, 2016; 83 FR 60749, Nov. 27, 2018]

2

 Either this section or the parallel section of subpart C of this part may be cited, but not both.

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of 

up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A. To facilitate the 

assessment of penalty amounts, the specific types of violations of a given section are sometimes designated by the paragraph of the 

section (e.g., “(a)”) and a code not corresponding to the legal citation for the violation (e.g., “(1)”), so that the complete citation in the 

penalty schedule is e.g., “(a)(1).” FRA reserves the right to revise the citation of the violation in the Summary of Alleged Violations 

issued by FRA in the event of litigation.

3

 FRA does not plan to assess civil penalties against a third-party telephone service, under § 234.307(c) or (e). However, FRA plans to 

assess violations against the dispatching and maintaining railroads for failing to ensure that the third-party telephone service complies 

with the requirements of §§ 234.307, 234.313, or 234.315, if applicable. See § 234.307(a), (b), (e).

4

 For a violation of § 234.307(d)(4), a penalty should be assessed for the specific type of violation according to the penalty schedule for 

a violation of § 234.305.

5

 For a violation of § 234.307(e) pertaining to recordkeeping, a penalty should be assessed for the specific type of violation in the 

penalty schedule for a violation of §§ 234.313 or 234.315, as applicable.

6

 FRA reserves the right to cite a violation for each item of required information omitted from a sign.

7

 FRA reserves the right to cite a violation for each physical characteristic that is nonconforming.
Part 235—Schedule of Civil Penalties1

Section Violation Willful 

violation

235.5 Changes requiring filing of application $5,000 $7,500 

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty 

of up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[53 FR 52936, Dec. 29, 1988, as amended at 69 FR 62818, Oct. 28, 2004; 77 FR 24422, Apr. 24, 2012; 81 FR 43112, July 1, 2016; 83 

FR 60749, Nov. 27, 2018]

(current as of July 12, 2021)
Part 236—Civil Penalties1,2

Section Violation Willful 

violation

Subpart A—Rules and Instructions—All Systems

General:

236.0 Applicability, minimum requirements $2,500 $5,000 

236.1 Plans, where kept 1,000 2,000

236.2 Grounds 1,000 2,000

236.3 Locking of signal apparatus housings:

(a) Power interlocking machine cabinet not secured against unauthorized entry 2,500 5,000

(b) other violations 1,000 2,000

236.4 Interference with normal functioning of device 5,000 7,500

236.5 Design of control circuits on closed circuit principle 1,000 2,000

236.6 Hand-operated switch equipped with switch circuit controller 1,000 2,000

236.7 Circuit controller operated by switch-and-lock movement 1,000 2,000

236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus 1,000 2,000

236.9 Selection of circuits through indicating or annunciating instruments 1,000 2,000

236.10 Electric locks, force drop type; where required 1,000 2,000

236.11 Adjustment, repair, or replacement of component 2,500 5,000

236.12 Spring switch signal protection; where required 1,000 2,000

236.13 Spring switch; selection of signal control circuits through circuit controller 1,000 2,000

236.14 Spring switch signal protection; requirements 1,000 2,000

236.15 Timetable instructions 1,000 2,000

236.16 Electric lock, main track releasing circuit:

(a) Electric lock releasing circuit on main track extends into fouling circuit where turnout not equipped 

with derail at clearance point either pipe-connected to switch or independently locked, electrically 2,500 5,000

(b) other violations 1,000 2,000

236.17 Pipe for operating connections, requirements 1,000 2,000

236.18 Software management control plan:

Failure to develop and adopt a plan $5,000 $10,000 

Failure to fully implement plan 5,000 10,000

Inadequate plan 2,500 10,000

Roadway Signals and Cab Signals —

(current as of July 12, 2021)
236.21 Location of roadway signals 1,000 2,000

236.22 Semaphore signal arm; clearance to other objects 1,000 2,000

236.23 Aspects and indications 1,000 2,000

236.24 Spacing of roadway signals 2,500 5,000

236.26 Buffing device, maintenance 1,000 2,000

Track Circuits —

236.51 Track circuit requirements:

(a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h 2,500 5,000

(b) Track relay not in de-energized position or device that functions as track relay not in its most 

restrictive state when train, locomotive, or car occupies any part of track circuit, except fouling section of 

turnout of hand-operated main-track crossover

2,500 5,000

(c) other violations 1,000 2,000

236.52 Relayed cut-section 1,000 2,000

236.53 Track circuit feed at grade crossing 1,000 2,000

236.54 Minimum length of track circuit 1,000 2,000

236.55 Dead section; maximum length 1,000 2,000

236.56 Shunting sensitivity 2,500 5,000

236.57 Shunt and fouling wires:

(a) Shunt or fouling wires do not consist of at least two discrete conductors 2,500 5,000

(b) other violations 1,000 2,000

236.58 Turnout, fouling section:

(a) Rail joint in shunt fouling section not bonded 2,500 5,000

(b) other violations 1,000 2,000

236.59 Insulated rail joints 1,000 2,000

236.60 Switch shunting circuit; use restricted 2,500 5,000

Wires and Cables —

236.71 Signal wires on pole line and aerial cable 1,000 2,000

236.73 Open-wire transmission line; clearance to other circuits 1,000 2,000

236.74 Protection of insulated wire; splice in underground wire 1,000 2,000

236.76 Tagging of wires and interference of wires or tags with signal apparatus 1,000 2,000

Inspections and Tests; All Systems —

236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test 

requirements 2,500 5,000

236.102 Semaphore or search-light signal mechanism 1,000 2,000

236.103 Switch circuit controller or point detector 1,000 2,000

236.104 Shunt fouling circuit 1,000 2,000
236.105 Electric lock 1,000 2,000

236.106 Relays 1,000 2,000

236.107 Ground tests 1,000 2,000

236.108 Insulation resistance tests, wires in trunking and cables:

(a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 

ohms 2,500 5,000

(b) other violations 1,000 2,000

236.109 Time releases, timing relays and timing devices 1,000 2,000

236.110 Results of tests 1,000 2,000

Subpart B—Automatic Block Signal Systems

236.201 Track circuit control of signals 1,000 2,000

236.202 Signal governing movements over hand-operated switch 1,000 2,000

236.203 Hand-operated crossover between main tracks; protection 1,000 2,000

236.204 Track signaled for movements in both directions, requirements 1,000 2,000

236.205 Signal control circuits; requirements 1,000 2,000

236.206 Battery or power supply with respect to relay; location 1,000 2,000

Subpart C—Interlocking

236.207 Electric lock on hand-operated switch; control:

(a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized 

use of emergency device which is not kept sealed in the non-release position 2,500 5,000

(b) other violations 1,000 2,000

236.301 Where signals shall be provided 1,000 2,000

236.302 Track circuits and route locking 1,000 2,000

236.303 Control circuits for signals, selection through circuit controller operated by switch points or by 

switch locking mechanism 1,000 2,000

236.304 Mechanical locking or same protection effected by circuits 1,000 2,000

236.305 Approach or time locking 1,000 2,000

236.306 Facing point lock or switch-and-lock movement 1,000 2,000

236.307 Indication locking:

236.308 Mechanical or electric locking or electric circuits; requisites 1,000 2,000

236.309 Loss of shunt protection; where required:

(a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, 

movable point frog, or derail 2,500 5,000

(b) Other violations 1,000 2,000

236.310 Signal governing approach to home signal 1,000 2,000
236.311 Signal control circuits, selection through track relays or devices functioning as track relays and 

through signal mechanism contacts and time releases at automatic interlocking 1,000 2,000

236.312 Movable bridge, interlocking of signal appliances with bridge devices:

(a) Emergency bypass switch or device not locked or sealed 2,500 5,000

(b) other violations 1,000 2,000

236.314 Electric lock for hand-operated switch or derail:

(a) Approach or time locking of electric lock at hand-operated switch or derail can be defeated by 

unauthorized use of emergency device which is not kept sealed in non-release position 2,500 5,000

(b) other violations 1,000 2,000

Rules and Instructions —

236.326 Mechanical locking removed or disarranged; requirement for permitting train movements 

through interlocking 1,000 2,000

236.327 Switch, movable-point frog or split-point derail 1,000 2,000

236.328 Plunger of facing-point 1,000 2,000

236.329 Bolt lock 1,000 2,000

236.330 Locking dog of switch and lock movement 1,000 2,000

236.334 Point detector 1,000 2,000

236.335 Dogs, stops and trunnions of mechanical locking 1,000 2,000

236.336 Locking bed 1,000 2,000

236.337 Locking faces of mechanical locking; fit 1,000 2,000

236.338 Mechanical locking required in accordance with locking sheet and dog chart 1,000 2,000

236.339 Mechanical locking; maintenance requirements 1,000 2,000

236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers 1,000 2,000

236.341 Latch shoes, rocker links, and quadrants 1,000 2,000

236.342 Switch circuit controller 1,000 2,000

Inspection and Tests —

236.376 Mechanical locking 1,000 2,000

236.377 Approach locking 1,000 2,000

236.378 Time locking 1,000 2,000

236.379 Route locking 1,000 2,000

236.380 Indication locking 1,000 2,000

236.381 Traffic locking 1,000 2,000

236.382 Switch obstruction test 1,000 2,000

236.383 Valve locks, valves, and valve magnets 1,000 2,000

236.384 Cross protection

236.386 Restoring feature on power switches
236.387 Movable bridge locking 1,000 2,000

Subpart D—Traffic Control Systems Standards

236.401 Automatic block signal system and interlocking standards applicable to traffic control systems:

236.402 Signals controlled by track circuits and control operator 1,000 2,000

236.403 Signals at controlled point 1,000 2,000

236.404 Signals at adjacent control points 1,000 2,000

236.405 Track signaled for movements in both directions, change of direction of traffic 1,000 2,000

236.407 Approach or time locking; where required 1,000 2,000

236.408 Route locking 1,000 2,000

236.410 Locking, hand-operated switch; requirements:

(a) Hand-operated switch on main track not electrically or mechanically locked in normal position where 

signal not provided to govern movement to main track, movements made at speeds in excess of 20 

m.p.h., and train or engine movements may clear main track

2,500 5,000

(b) Hand-operated switch on signaled siding not electrically or mechanically locked in normal position 

where signal not provided to govern movements to signaled siding, train movements made at speeds in 

excess of 30 m.p.h., and train or engine movements may clear signaled siding

2,500 5,000

(c) Approach or time locking of electric lock at hand-operated switch can be defeated by use of 

emergency release device of electric lock which is not kept sealed in non-release position 2,500 5,000

(d) other violations 1,000 2,000

Rules and Instructions —

236.426 Interlocking rules and instructions applicable to traffic control systems 1,000 2,000

236.476 Interlocking inspections and tests applicable to traffic control systems 1,000 2,000

Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards

236.501 Forestalling device and speed control 1,000 2,000

236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in 

advance 1,000 2,000

236.503 Automatic brake application; initiation when predetermined rate of speed exceeded 1,000 2,000

236.504 Operations interconnected with automatic block-signal system 1,000 2,000

236.505 Proper operative relation between parts along roadway and parts on locomotive 1,000 2,000

236.506 Release of brakes after automatic application 1,000 2,000

236.507 Brake application; full service 1,000 2,000

236.508 Interference with application of brakes by means of brake valve 1,000 2,000

236.509 Two or more locomotives coupled 1,000 2,000

236.511 Cab signals controlled in accordance with block conditions stopping distance in advance 1,000 2,000

236.512 Cab signal indication when locomotive enters blocks 1,000 2,000
236.513 Audible indicator 1,000 2,000

236.514 Interconnection of cab signal system with roadway signal system 1,000 2,000

236.515 Visibility of cab signals 1,000 2,000

236.516 Power supply 1,000 2,000

Rules and Instructions; Roadway —

236.526 Roadway element not functioning properly 2,500 5,000

236.527 Roadway element insulation resistance 1,000 2,000

236.528 Restrictive condition resulting from open hand-operated switch; requirement 1,000 2,000

236.529 Roadway element inductor; height and distance from rail 1,000 2,000

236.531 Trip arm; height and distance from rail 1,000 2,000

236.532 Strap iron inductor; use restricted 1,000 2,000

236.534 Rate of pressure reduction; equalizing reservoir or brake pipe 1,000 2,000

236.551 Power supply voltage 1,000 2,000

236.552 Insulation resistance 1,000 2,000

236.553 Seal, where required 2,500 5,000

236.554 Rate of pressure reduction; equalizing reservoir or brake pipe 1,000 2,000

236.555 Repaired or rewound receiver coil 1,000 2,000

236.556 Adjustment of relay 1,000 2,000

236.557 Receiver; location with respect to rail 1,000 2,000

236.560 Contact element, mechanical trip type; location with respect to rail 1,000 2,000

236.562 Minimum rail current required 1,000 2,000

236.563 Delay time 1,000 2,000

236.564 Acknowledging time 1,000 2,000

236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by doubleheading clock; requirement 1,000 2,000

236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped 5,000 7,500

236.567 Restrictions imposed when device fails and/or is cut out en route:

(a) Report not made to designated officer at next available point of communication after automatic train 

stop, train control, or cab signal device fails and/or is cut en route 5,000 7,500

(b) Train permitted to proceed at speed exceeding 79 m.p.h. where automatic train stop, train control, or 

cab signal device fails and/or is cut out en route when absolute block established in advance of train on 

which device is inoperative

5,000 7,500

(c) other violations 1,000 2,000

236.568 Difference between speeds authorized by roadway signal and cab signal; action 1,000 2,000

Inspection and Tests; Roadway —
236.576 Roadway element 1,000 2,000

236.577 Test, acknowledgement, and cut-in circuits 1,000 2,000

Inspection and Tests; Locomotive —

236.586 Daily or after trip test 2,500 5,000

236.587 Departure test:

(a) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made on 

departure of locomotive from initial terminal if equipment on locomotive not cut out between initial 

terminal and equipped territory

5,000 7,500

(b) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made 

immediately on entering equipped territory, if equipment on locomotive cut out between initial terminal 

and equipped territory

5,000 7,500

(c) Automatic train stop, train control, or cab signal apparatus on locomotive making more than one trip 

within 24-hour period not given departure test within corresponding 24-hour period 5,000 7,500

(d) other violations 2,500 5,000

236.588 Periodic test 2,500 5,000

236.589 Relays 2,500 5,000

236.590 Pneumatic apparatus:

(a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once 

every 736 days 2,500 5,000

(b) other violations 1,000 2,000

Subpart F—Dragging Equipment and Slide Detectors and Other Similar Protective Devices; 

Standards

236.601 Signals controlled by devices; location 1,000 2,000

Subpart H—Standards for Processor-Based Signal and Train Control Systems

236.905 Railroad Safety Program Plan (RSPP):

Failure to develop and submit RSPP when required 5,000 7,500

Failure to obtain FRA approval for a modification to RSPP 5,000 7,500

236.907 Product Safety Plan (PSP):

Failure to develop a PSP 5,000 7,500

Failure to submit a PSP when required 5,000 7,500

236.909 Minimum Performance Standard:

Failure to make analyses or documentation available 2,500 5,000

Failure to determine that the standard has been met 5,000 7,500

236.913 Notification to FRA of PSPs: 2,500 5,000

Failure to prepare a PSP or PSP amendment as required 5,000 7,500

Failure to submit a PSP or PSP amendment as required 5,000 7,500
Field testing without authorization or approval 10,000 20,000

236.915 Implementation and operation:

(a) Operation of product without authorization or approval 10,000 20,000

(b) Failure to comply with PSP 2,500 5,000

(c) Interference with normal functioning safety-critical product 7,500 15,000

(d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate 

action pending repair 5,000 7,500

236.917 Retention of records:

Failure to maintain records as required 7,500 15,000

Failure to report inconsistency 10,000 20,000

Failure to take prompt countermeasures 10,000 20,000

Failure to provide final report 2,500 5,000

236.919 Operations and Maintenance Manual 3,000 6,000

236.921 Training and qualification program, general 3,000 6,000

236.923 Task analysis and basic requirements:

Failure to develop an acceptable training program 2,500 5,000

Failure to train persons as required 2,500 5,000

Failure to conduct evaluation of training program as required 2,500 5,000

Failure to maintain records as required 1,500 3,000

236.925 Training specific to control office personnel 2,500 5,000

236.927 Training specific to locomotive engineers and other operating personnel 2,500 5,000

236.929 Training specific to roadway workers 2,500 5,000

Subpart I—Positive Train Control Systems

236.1005 Positive Train Control System Requirements:

Failure to timely complete PTC system installation on track segment where PTC is required 16,000 25,000

Commencement of revenue service prior to obtaining PTC System Certification 16,000 25,000

Failure of the PTC system to perform a safety-critical function required by this section 5,000 7,500

Operating outside the limits of an approved de minimis exception 15,000 25,000

Failure to integrate a hazard detector 15,000 25,000

Non-compliant event recorder 2,500 5,000

Failure of event recorder 2,500 5,000

Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required 5,000 7,500

Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after 

receiving a failed initialization 5,000 7,500

236.1006 Equipping locomotives operating in PTC territory:
Failure to adhere to a PTCIP. 2 2

Operating in PTC territory a controlling locomotive without a required and operative PTC onboard 

apparatus 15,000 25,000

Operating with a PTC onboard apparatus that is not functioning in accordance with the applicable 

PTCSP.. 15,000 25,000

Failure to report as prescribed by this section 5,000 7,500

Non-compliant operation of unequipped trains in PTC territory 15,000 25,000

Failure to equip locomotives in accordance with the applicable PTCIP 15,000 25,000

Failure to comply with conditions of a yard movement exception 2 2

Improper arrangement of the PTC system onboard apparatus 2,500 5,000

Engineer performing prohibited duties 5,000 7,500

236.1007 Additional requirements for high-speed service:

Installing or operating a PTC system without the required safety-critical functional attributes of a block 

signal system 15,000 25,000

Operation of passenger trains at speed equal to or greater than 60 mph on non-PTC-equipped territory 

where required 15,000 25,000

Operation of freight trains at speed equal to or greater than 50 mph on non-PTC-equipped territory where 

required 15,000 25,000

Failure to fully implement incursion protection where required 5,000 7,500

236.1009 Procedural requirements:

Failure to file PTCIP when required 5,000 7,500

Failure to amend PTCIP when required 5,000 7,500

Failure to obtain Type Approval when required 5,000 7,500

Failure to update NPI 5,000 7,500

Operation of PTC system without system certification 16,000 25,000

Failure to comply with FRA condition or modification 2 2

Failure to report as required 5,000 7,500

Failure to provide FRA access 10,000 16,000

236.1011 PTCIP content requirements:

Failure to install a PTC system as required 11,000 16,000

Failure to maintain a PTCIP as required 2 2

236.1013 PTCDP content requirements and Type Approval:

Failure to maintain quality control system 5,000 7,500

Inappropriate use of Type Approval 5,000 7,500
236.1015 PTCSP content requirements and PTC System Certification:

Failure to implement PTC system in accordance with the associated PTCSP and resultant system 

certification 16,000 25,000

Failure to maintain PTC system in accordance with the associated PTCSP and resultant system 

certification 16,000 25,000

Failure to maintain required supporting documentation 2,500 5,000

236.1017 Independent third party Verification and Validation:

Failure to conduct independent third party Verification and Validation when ordered 11,000 16,000

236.1019 Main line track exceptions:

Operations conducted in non-compliance with the passenger terminal exception 16,000 25,000

Operations conducted in non-compliance with the limited operations exception 16,000 25,000

Failure to request modification of the PTCIP or PTCSP when required 11,000 16,000

Operations conducted in violation of (c)(2) 16,000 25,000

Operations conducted in violation of (c)(3) 25,000 25,000

236.1021 Discontinuances, material modifications, and amendments:

Failure to update PTCDP when required 5,000 7,500

Failure to update PTCSP when required 5,000 7,500

Failure to immediately adopt and comply with approved RFA 5,000 7,500

Discontinuance or modification of a PTC system without approval when required 11,000 16,000

236.1023 Errors and malfunctions:

Railroad failure to provide proper notification of PTC system error or malfunction 5,000 7,500

Failure to maintain PTCPVL 2,500 5,000

Supplier failure to provide proper notification of previously identified PTC system error or malfunction 5,000 7,500

Failure to provide timely notification 5,000 7,500

Failure to provide appropriate protective measures in the event of PTC system failure 15,000 25,000

236.1027 Exclusions:

Integration of primary train control system with locomotive electronic system without approval 5,000 7,500

236.1029 PTC system use and en route failures:

Failure to determine cause of PTC system component failure without undue delay 5,000 7,500

Failure to adjust, repair, or replace faulty PTC system component without undue delay 5,000 7,500

Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system 

component 15,000 25,000

PTC territory operation with an inoperative PTC onboard apparatus 5,000 7,500

Interference with the normal functioning of safety-critical PTC system 15,000 25,000

236.1033 Communications and security requirements:
Failure to provide cryptographic message integrity and authentication 5,000 7,500

Improper use of revoked cryptographic key 5,000 15,000

Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution 5,000 15,000

Failure to establish prioritized service restoration and mitigation plan for communication services 5,000 7,500

236.1035 Field testing requirements:

Field testing without authorization or approval 10,000 20,000

Failure to comply with FRA condition 2 2

236.1037 Records retention:

Failure to maintain records and databases as required 7,500 15,000

Failure to report inconsistency 10,000 20,000

Failure to take prompt countermeasures 10,000 20,000

Failure to provide final report 2,500 5,000

236.1039 Operations and Maintenance Manual:

Failure to implement and maintain Operations and Maintenance Manual as required 3,000 6,000

Failure to make Operations and Maintenance Manual available to FRA when required 10,000 16,000

Failure to make Operations and Maintenance Manual available to persons required to performed the 

required tasks 15,000 25,000

Amends Operations and Maintenance Manual without FRA approval 5,000 10,000

236.1043 Task analysis and basic requirements:

Failure to develop and maintain an acceptable training program 10,000 20,000

Failure to train persons as required 2,500 5,000

Failure to conduct evaluation of training program as required 2,500 5,000

Failure to maintain records as required 1,500 3,000

236.1045 Training specific to office control personnel:

Failure to conduct training unique to office control personnel 2,500 5,000

236.1047 Training specific to locomotive engineers and other operating personnel:

Failure to conduct training unique to locomotive engineers and other operating personnel 2,500 5,000

236.1049 Training specific to roadway workers:

Failure to conduct training unique to roadway workers 2,500 5,000

1

A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a civil 

penalty of up to the statutory maximum amount per day for any violation where circumstances warrant. See 49 CFR part 209, 

Appendix A.
[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 

73 FR 79704, Dec. 30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012; 81 FR 10129, Feb. 29, 2016; 81 FR 43112, July 

1, 2016; 83 FR 60749, Nov. 27, 2018]

2

 Each plan has numerous conditions and requirements with varying degrees of importance or impact. Thus, a single recommended 

civil penalty amount for a violation for failure to adhere to each plan or condition is not advisable or warranted. When a violation of 

a plan or condition is found, FRA may consider a variety of factors to determine the appropriate civil penalty to assess, including 

any underlying or related violation.
Part 237—Schedule of Civil Penalties1

Section2 Violation Willful 

violation

Subpart B—Railroad Bridge Safety Assurance

237.31 Adoption of bridge management program $9,500 $17,000 

237.33 Content of bridge management program:

(a) Inventory of railroad bridges 2,500 5,000

(b) Record of safe load capacity 5,500 10,000

(c) Provision to obtain and maintain:

(i) Design documents 5,500 10,000

(ii) Documentation of repairs and modifications 2,500 5,000

(iii) Inspection reports 2,500 5,000

(d) Bridge inspection program content 2,500 5,000

Subpart C—Qualification and Designation of Responsible Persons

237.51 Railroad bridge engineers:

(a) Competency 5,500 10,000

(b) Educational qualification 2,500 5,000

237.53 Railroad bridge inspectors 5,500 10,000

237.55 Railroad bridge supervisors 5,500 10,000

237.57 Designation of individuals 2,500 5,000

Subpart D—Capacity of Bridges

237.71 Determination of bridge load capacities:

(a) Safe load capacity 5,500 10,000

(b) Load capacity documented 5,500 10,000

(c) Load capacity determined by a railroad bridge engineer 5,500 10,000

(d) Method of load capacity determination 2,500 5,000

(e) Prioritization of load capacity determination 2,500 5,000

(f) New load capacity determined due to change in condition 2,500 5,000

(g) Load capacity stated in terms of weight and length of equipment 2,500 5,000

(h) Restriction on operations by railroad bridge engineer 5,500 10,000

237.73 Protection of bridges from over-weight and over-dimension equipment:

(a) Instructions issued 5,500 10,000

(b) Weight instructions 2,500 5,000

(c) Dimensional instructions 2,500 5,000

(current as of July 12, 2021)
(d) Incorrect instructions issued 2,500 5,000

Subpart E—Bridge Inspection

237.101 Scheduling of bridge inspections:

(a) Scheduling:

(i) Failure to inspect 9,500 17,000

(ii) Inspection within calendar year 2,500 5,000

(iii) Inspection frequency exceeding 540 days 2,500 5,000

(b) Increased inspection frequency 5,500 10,000

(c) Special inspections 2,500 5,000

(d) Resumption of railroad operations prior to inspection & review 9,500 17,000

237.103 Bridge inspection procedures 2,500 5,000

237.105 Special inspections:

(a) Procedures to protect train operations and requiring special inspections 2,500 5,000

(b) Provision for the detection of scour or underwater deterioration 2,500 5,000

237.107 Conduct of bridge inspections 5,500 10,000

237.109 Bridge inspection records:

(a) Record of inspection 2,500 5,000

(b) Inspection record:

(i) Certification and date 2,500 5,000

(ii) Falsification 17,000

(c) Inspection record information 2,500 5,000

(d) Initial report within 30 days 2,500 5,000

(e) Final inspection report within 120 calendar days 2,500 5,000

(f) Retention 2,500 5,000

(g) Prompt reporting of dangerous conditions 5,500 10,000

237.111 Review of bridge inspection reports.

(a) Review by railroad bridge engineers and supervisors 2,500 5,000

(b) Appropriate action concerning present or potential safety hazards 5,500 10,000

(c) Modification of inspection frequency or procedures 2,500 5,000

(d) Scheduling remedial action 2,500 5,000

(e) Higher-level review 2,500 5,000

Subpart F—Repair and Modification of Bridges

237.131 Design 5,500 10,000

237.133 Supervision of repairs and modifications 5,500 10,000

Subpart G—Documentation, Records and Audits of Bridge Management Programs

237.151 Audits; general 2,500 5,000
237.153 Audits of inspections 2,500 5,000

237.155 Documents and records:

(a) Electronic recordkeeping, general 2,500 5,000

(b) System security 2,500 5,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty 

of up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

2 The penalty schedule uses section numbers from 49 CFR part 237. 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.

[75 FR 41302, July 15, 2010, as amended at 77 FR 24422, Apr. 24, 2012; 81 FR 43112, July 1, 2016; 83 FR 60749, Nov. 27, 2018]
Part 238—Schedule of Civil Penalties1,2

Section Violation Willful 

violation

238.15 Movement of power brake defects:

(b) Improper movement from Class I or IA brake test 5,000 7,500

(c) Improper movement of en route defect 2,500 5,000

(2), (3) Insufficient tag or record 1,000 2,000

(4) Failure to determine percent operative brake 2,500 5,000

(d) Failure to follow operating restrictions 5,000 7,500

(e) Failure to follow restrictions for inoperative front or rear unit 2,500 5,000

238.17 Movement of other than power brake defects: 1

(c)(4), (5) Insufficient tag or record 1,000 2,000

(d) Failure to inspect or improper use of roller bearings 2,500 5,000

(e) Improper movement of defective safety appliances 1

238.19 Reporting and tracking defective equipment:

(a) Failure to have reporting or tracking system 7,500 11,000

(b) Failure to retain records 2,000 4,000

(c) Failure to make records available 1,000 2,000

(d) Failure to list power brake repair points 2,000 4,000

238.103 Fire protection plan/fire safety:

(a) Failure to use proper materials 5,000 7,500

(b) Improper certification 1,000 2,000

(c) Failure to consider fire safety on new equipment 5,000 7,500

(d) Failure to perform fire safety analysis 5,000 7,500

(e) Failure to develop, adopt or comply with procedures 5,000 7,500

238.105 Train electronic hardware and software safety:

(a), (b), (c) Failure to develop and maintain hardware and software safety 7,500 11,000

(d) Failure to include required design features 5,000 7,500

(e) Failure to comply with hardware and software safety program 5,000 7,500

238.107 Inspection, testing, and maintenance plan:

(b) Failure to develop plan 7,500 11,000

(b)(1)-(5) Failure of plan to address specific item 3,000 6,000

(current as of July 12, 2021)

SUBPART A—GENERAL

SUBPART B—SAFETY PLANNING AND GENERAL REQUIREMENTS
(d) Failure to conduct annual review 5,000 7,500

238.109 Training, qualification, and designation program:

(a) Failure to develop or adopt program 7,500 11,000

(b)(1)-(4) Failure of plan to address specific item 3,000 6,000

(b)(5)-(12) Failure to comply with specific required provision of the program 5,000 7,500

(b)(13) Failure to maintain adequate records 2,500 5,000

238.111 Pre-revenue service acceptance testing plan:

(a) Failure to properly test previously used equipment 7,500 11,000

(b)(1) Failure to develop plan 7,500 11,000

(b)(2) Failure to submit plan to FRA 5,000 7,500

(b)(3) Failure to comply with plan 5,000 7,500

(b)(4) Failure to document results of testing 5,000 7,500

(b)(5) Failure to correct safety deficiencies or impose operating limits 5,000 7,500

(b)(6) Failure to maintain records 3,000 6,000

(b)(7) Failure to obtain FRA approval 5,000 7,500

238.112 Door emergency egress and rescue access systems 2,500 5,000

238.113 Emergency window exits 2,500 5,000

238.114 Rescue access windows 2,500 5,000

238.115 Emergency lighting 2,500 5,000

238.117 Protection against personal injury 2,500 5,000

238.119 Rim-stamped straight plate wheels 2,500 5,000

238.121 Emergency communication 2,500 5,000

238.123 Emergency roof access 2,500 5,000

238.125 Marking and instructions for emergency egress and rescue access 2,500 5,000

238.127 Low-location emergency exit path marking 2,500 5,000

238.131 Exterior side door safety systems—new passenger cars and locomotives used in passenger service 10,000 15,000

238.133 Exterior side door safety systems—all passenger cars and locomotives used in a passenger service:

(a)(1) Failure to verify position of by-pass device or by-pass device not sealed 2,500 5,000

(a)(2) Failure to provide functional test plan 5,000 7,500

(a)(3) Failure to perform visual inspection or functional test 2,500 5,000

(b) Unsealed door by-pass device:

(b)(1) Door by-pass device not inactive, sealed, or seal ineffective 2,500 5,000

(b)(2) Failure to notify designated authority 5,000 7,500

(b)(3) Movement beyond repair point 7,500 11,000
(b)(4) Door by-pass device not sealed by QMP at calendar day inspection 2,500 5,000

(c)(1) Failure to follow en route by-pass activation procedures; improper movement of defective equipment 7,500 11,000

(c)(2) Failure to use QMP 5,000 7,500

(d) Failure to maintain record 2,000 4,000

(e) Door control panel not inactive when the key or other similar device is removed 5,000 7,500

(f) End-of-train circuit:

(f)(1) End-of-train circuit integrity not maintained 5,000 7,500

(f)(2) Switches not secured to prevent unauthorized access 2,500 5,000

(g) Door by-pass device not inactive, sealed or seal ineffective 2,500 5,000

238.135 Operating practices for exterior side door safety systems:

(a) Failure to conduct proper safety briefing 7,500 11,000

(b)(1) Exterior side doors and trap doors not closed when a train is in motion between stations 10,000 15,000

(b)(2) Failure to follow conditions for operating a train while in motion between stations with an exterior side 

door or trap door open 10,000 15,000

(d) Failure to adopt and comply with operating rules on how to safely override a door summary circuit or nomotion system 9,500 13,000

(e) Failure to provide training 9,500 13,000

(f) Failure to adopt and comply with operating rules requiring crewmembers to determine the status of the 

train's exterior side doors 9,500 13,000

(g) Failure to periodically conduct operational (efficiency) tests and observations 9,500 13,000

238.137 Mixed consist; operating equipment with incompatible exterior side door systems:

(a) Incompatible exterior side door systems not operated within the constraints of each door safety system 5,000 7,500

(b) Failure to adopt and comply with operating rules to provide for the safe use of equipment with 

incompatible exterior side door systems when utilized in a mixed consist 9,500 13,000

238.203 Static end strength 2,500 5,000

238.205 Anti-climbing mechanism 2,500 5,000

238.207 Link between coupling mechanism and car body 2,500 5,000

238.209 Forward-facing end structure of locomotives 2,500 5,000

238.211 Collision posts 2,500 5,000

238.213 Corner posts 2,500 5,000

238.215 Rollover strength 2,500 5,000

238.217 Side structure 2,500 5,000

238.219 Truck-to-car-body attachment 2,500 5,000

SUBPART C—SPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT
238.221 Glazing 2,500 5,000

238.223 Fuel tanks 2,500 5,000

238.225 Electrical System 2,500 5,000

238.227 Suspension system 2,500 5,000

238.229 Safety appliances—general:

(e) Failure to properly identify equipment (per car) 2,500 5,000

(g) Failure to adopt or comply with inspection plan 2,500 5,000

(h) Failure to use qualified person (per car) 2,500 5,000

(i) Failure to properly conduct initial or periodic inspection (per car) 2,500 5,000

(j) Failure to take proper remedial action (per car) 2,500 5,000

(k) Failure to maintain records (per car) 2,000 4,000

238.230 Safety appliances—new equipment:

(b)(2) Failure to identify welded appliance (per car) 2,500 5,000

(b)(3) Failure to receive approval for use (per car) 2,500 5,000

(c)(2) Failure to make proper repair (per car) 2,500 5,000

238.231 Brake System (a)-(g), (i)-(n) 2,500 5,000

(h)(1), (2) Hand or parking brake missing or inoperative 5,000 7,500

(h)(3) Hand or parking brake inspection or record (per car) 2,500 5,000

(h)(4) Hand or parking brake not applied to hold unattended equipment or prematurely released 5,000 7,500

238.233 Interior fittings and surfaces 2,500 7,500

238.237 Automated monitoring 2,500 5,000

238.303 Exterior mechanical inspection of passenger equipment:

(a)(1) Failure to perform mechanical inspection 1

 2,000 4,000

(a)(2) Failure to inspect secondary brake system 2,500 5,000

(b) Failure to perform inspection on car added to train 1

 2,000 4,000

(c) Failure to utilize properly qualified personnel 2,000 4,000

(e)(1) Products of combustion not released outside cab 2,500 5,000

(e)(2) Battery not vented or gassing excessively 2,500 5,000

(e)(3) Coupler not in proper condition 2,500 5,000

(e)(4) No device under drawbar pins or connection pins 2,500 5,000

(e)(5) Suspension system and spring rigging not in proper condition 2,500 5,000

(e)(6) Truck not in proper condition 2,500 5,000

(e)(7) Side bearing not in proper condition 2,500 5,000

SUBPART D—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT
(e)(8) Wheel not in proper condition:

(i), (iv) Flat spot(s) and shelled spot(s):

(A) One spot 21/2′′ or more but less than 3′′ in length 2,500 5,000

(B) One spot 3′′ or more in length 5,000 7,500

(C) Two adjoining spots each of which is 2′′ or more in length but less than 21/2′′ in length 2,500 5,000

(D) Two adjoining spots each of which are at least 2′′ in length, if either spot is 21/27′′ or more in length 5,000 7,500

(ii) Gouge or chip in flange:

(A) More than 11/2′′ but less than 15/8′′ in length; and more than 1/2′′ but less than 5/8′′ in width 2,500 5,000

(B) 15/8′′ or more in length and 5/8′′ or more in width 5,000 7,500

(iii) Broken rim 5,000 7,500

(v) Seam in tread 2,500 5,000

(vi) Flange thickness of: 2,500 5,000

(A) 7/8′′ or less but more than

(B) 13/16′′ or less 5,000 7,500

(vii) Tread worn hollow 2,500 5,000

(viii) Flange height of:

(A) 11/2′′ or greater but less than 15/8′′ 2,500 5,000

(B) 15/8′′ or more 5,000 7,500

(ix) Rim thickness:

(A) Less than 1′′ 2,500 5,000

(B) 15/16′′ or less 5,000 7,500

(x) Crack or break in flange, tread, rim, plate, or hub:

(A) Crack of less than 1′′ 2,500 5,000

(B) Crack of 1′′ or more 5,000 7,500

(C) Break 5,000 7,500

(xi) Loose wheel 5,000 7,500

(xii) Welded wheel 5,000 7,500

(e)(10) Improper grounding or insulation 5,000 7,500

(e)(11) Jumpers or cable connections not in proper condition 2,500 5,000

(e)(12) Door or cover plate not properly marked 2,500 5,000

(e)(13) Buffer plate not properly placed 2,500 5,000

(e)(14) Diaphragm not properly placed or aligned 2,500 5,000

(e)(15) Secondary braking system not in operating mode or contains known defect 2,500 5,000

(e)(16) Roller bearings:

(i) Overheated 5,000 7,500

(ii) Cap screw loose or missing 2,500 5,000
(iii) Cap screw lock broken or missing 1,000 2,000

(iv) Seal loose, damaged, or leaks lubricant 2,500 5,000

(e)(17) Air compressor inoperative 2,500 5,000

(g) Record of inspection:

(1), (4) Failure to maintain record of inspection 5,000 4,000

(2) Record contains insufficient information 1,000 2,000

238.305 Interior mechanical inspection of passenger cars:

(a) Failure to perform inspection 1 1,000 2,000

(b) Failure to utilize properly qualified personnel 1,000 2,000

(c)(1) Failure to protect against personal injury 2,500 5,000

(c)(2) Floors not free of condition that creates hazard 2,500 5,000

(c)(3) Access to manual door release not in place 2,000 4,000

(c)(4) Emergency equipment not in place 1,000 2,000

(c)(5) Emergency brake valve not stenciled or marked 2,500 5,000

(c)(6) Door or cover plates not properly marked 2,500 5,000

(c)(7) Safety signage not in place or legible 1,000 2,000

(c)(8) Trap door unsafe or improperly secured 2,500 5,000

(c)(9) Vestibule steps not illuminated 2,000 4,000

(c)(10) Door not safely operate as intended 2,500 5,000

(c)(11) Seat broken, loose, or not properly attached 2,500 5,000

(e) Record of inspection:

(1), (4) Failure to maintain record of inspection 2,000 4,000

(2) Record contains insufficient information 1,000 1,000

(f) Record of inspection:

(1), (4) Failure to maintain record of inspection 2,000 4,000

(2) Record contains insufficient information 1,000 2,000

238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles:

(a) Failure to perform periodic mechanical inspection 1

 2,500 5,000

(b) Failure to utilize properly qualified personnel 2,500 5,000

(c)(1) Seat or seat attachment broken or loose 2,500 5,000

(c)(2) Luggage rack broken or loose 2,500 5,000

(c)(3) Bed, bunks, or restraints broken or loose 2,500 5,000

(c)(4) Emergency window exit not properly operate 2,500 5,000

(c)(5) Emergency lighting not operational 2,500 5,000

(c)(6) Switches not in proper condition 2,500 5,000
(c)(7) Coupler not in proper condition 2,500 5,000

(c)(8) Truck not equipped with securing arrangement 2,500 5,000

(c)(9) Truck center casting cracked or broken 5,000 7,500

(c)(10) General conditions endangering crew, passengers 2,500 5,000

(c)(13) Hand or parking brake test not performed 2,500 5,000

(d)(1) Manual door release not operate as intended 2,500 5,000

(d)(2) Hand or parking brake inspection not performed 2,500 5,000

(e)(1) Failure to maintain record of inspection 2,000 4,000

(i)-(iv) Record contains insufficient information 1,000 2,000

(f)(1) Record of inspection:

(i) Failure to maintain record of inspection 2,000 4,000

(ii) Record contains insufficient information 1,000 2,000

238.309 Periodic brake equipment maintenance:

(b) Failure to perform on MU locomotive 2,500 5,000

(c) Failure to perform on conventional locomotive 2,500 5,000

(d) Failure to perform on passenger coaches or other unpowered vehicle 2,500 5,000

(e) Failure to perform on cab car 2,500 5,000

(f) Record of periodic maintenance:

(1), (2) Failure to maintain record or stencil 2,000 4,000

238.311 Single car tests:

(a) Failure to test in accord with required procedure 2,500 5,000

(b) Failure to utilize properly qualified personnel 2,500 5,000

(c), (e) Failure to perform single car test 2,500 5,000

(f) Improper movement of car for testing 2,000 4,000

(g) Failure to test after repair or replacement of component 2,000 4,000

238.313 Class I brake test:

(a) Failure to perform on commuter or short distance intercity passenger train 1

 10,000 15,000

(b) Failure to perform on long-distance intercity passenger train 1

 10,000 15,000

(c) Failure to perform on cars added to passenger train 1

 5,000 7,500

(d) Failure to utilized properly qualified personnel 5,000 7,500

(f) Passenger train used from Class I brake test with less than 100% operative brakes 5,000 7,500

(g) Partial failure to perform inspection on a passenger train 5,000 7,500

(3) Failure to adjust piston travel (per car) 2,500 5,000

(h) Failure to maintain record 2,000 4,000

(j) Failure to perform additional Class I brake test 5,000 7,500
(j)(3) Failure to maintain record 2,000 4,000

238.315 Class IA brake test:

(a) Failure to perform inspection 1

 5,000 7,500

(d) Failure to utilize properly qualified personnel 2,500 5,000

(e) Passenger train used from Class IA brake test with improper percentage of operative brakes 5,000 7,500

(f) Partial failure to perform inspection on passenger train 2,500 5,000

238.317 Class II brake test:

(a) Failure to perform inspection 1

 2,500 5,000

(b) Failure to utilize properly qualified personnel 2,500 5,000

(c) Improper use of defective equipment from Class II brake test 2,500 5,000

238.319 Running brake tests:

(a), (b) Failure to perform test 2,000 4,000

238.321 Out-of-service credit 1,000 2,000

238.403 Crash energy management 2,500 5,000

238.405 Longitudinal static compressive strength 2,500 5,000

238.407 Anti-climbing mechanism 2,500 5,000

238.409 Forward end structures of power car cabs:

(a) Center collision post 2,500 5,000

(b) Side collision posts 2,500 5,000

(c) Corner posts 2,500 5,000

(d) Skin 2,500 5,000

238.411 Rear end structures of power car cabs:

(a) Corner posts 2,500 5,000

(b) Collision posts 2,500 5,000

238.413 End structures of trailer cars 2,500 5,000

238.415 Rollover strength 2,500 5,000

238.417 Side loads 2,500 5,000

238.419 Truck-to-car-body and truck component attachment 2,500 5,000

238.421 Glazing:

(b) End-facing exterior glazing 2,500 5,000

(c) Alternate glazing requirements 2,500 5,000

(d) Glazing securement 1,000 2,000

(e) Stenciling 2,500 5,000

238.423 Fuel tanks:

SUBPART E—SPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
(a) External fuel tanks 2,500 5,000

(b) Internal fuel tanks 2,500 5,000

238.425 Electrical system:

(a) Circuit protection 2,500 5,000

(b) Main battery system 2,500 5,000

(c) Power dissipation resistors 2,500 5,000

(d) Electromagnetic interference and compatibility 2,500 5,000

238.427 Suspension system 2,500 5,000

238.428 Overheat sensors 2,500 5,000

238.429 Safety Appliances:

(a) Couplers 5,000 7,500

(b) Hand/parking brakes 5,000 7,500

(d) Handrail and handhold missing 2,500 5,000

(d)(1)-(8) Handrail or handhold improper design 2,500 5,000

(e) Sill step missing 5,000 7,500

(e)(1)-(11) Sill step improper design 2,500 5,000

(g) Optional safety appliances 2,500 5,000

238.431 Brake system 2,500 5,000

238.433 Draft System 2,500 5,000

238.435 Interior fittings and surfaces 2,500 5,000

238.437 [Reserved]

238.439 Doors:

(a) Exterior side doors 2,500 5,000

(b) Manual override feature 2,500 5,000

(c) Notification to crew of door status 2,500 5,000

(d) Emergency back-up power 2,500 5,000

(f) End door kick-out panel or pop-out window 2,500 5,000

(g) Marking and instructions [Reserved]

238.441 Emergency roof access 2,500 5,000

238.443 Headlights 2,500 5,000

238.445 Automated monitoring 2,500 5,000

238.447 Train operator's controls and power car cab layout 2,500 5,000

238.503 Inspection, testing, and maintenance requirements:

(a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval 10,000 15,000

SUBPART F—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
(b) Failure to comply with provisions of the program 5,000 7,500

(c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or equipment 2,500 5,000

(d) Specific safety inspections:

(1)(i) Failure to perform Class I brake test or equivalent 10,000 15,000

(1)(ii) Partial failure to perform Class I brake test or equivalent 5,000 7,500

(2)(i) Failure to perform exterior mechanical inspection 1

 2,000 4,000

(2)(ii) Failure to perform interior mechanical inspection 1

 1,000 2,000

(g) Failure to perform scheduled maintenance as required in program 2,500 5,000

(h) Failure to comply with training, qualification and designation program 5,000 7,500

(i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance 2,500 5,000

(j) Failure to conduct annual review 5,000 7,500

(k) Failure to establish or utilize quality control program 5,000 7,500

238.603 Safety plan:

(a) Failure to develop safety operating plan 7,500 11,000

(b) Failure to develop procurement plan 7,500 11,000

(1)-(7) Failure to develop portion of plan 2,500 5,000

(c) Failure to maintain documentation 2,500 5,000

238.703Quasi-static compression load requirements 2,500 5,

238.705Dynamic collision scenario 2,500 5,

238.707Override protection 2,500 5,

238.709Fluid entry inhibition 2,500 5,

238.711End structure integrity of cab end 2,500 5,

238.713End structure integrity of non-cab end 2,500 5,

238.715Roof and side structure integrity 2,500 5,

238.717Truck-to-car-body attachment 2,500 5,

238.721Glazing 2,500 5,

238.731Brake system 2,500 5,

238.733Interior fixture attachment 2,500 5,

238.735Seat crashworthiness 2,500 5,

238.737Luggage racks 2,500 5,

SUBPART G—SPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT

SUBPART H—SPECIFIC REQUIREMENTS FOR TIER III PASSENGER EQUIPMENT
238.741

Emergency window egress and rescue access 2,500 5,

238.751Alerters 2,500 5,

238.753Sanders 1,000 2,

Failure to observe any condition for movement of defective equipment set forth in §238.17 will deprive the railroad of the benefit of the 

movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory 

section(s) concerning the substantive defect(s) present on the unit of passenger equipment at the time of movement.

Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power 

brakes, set forth in §238.17(e) will deprive the railroad of the movement-for-repair provision and make the railroad and any responsible 

individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or §238.429 concerning the 

substantive defective condition.

The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under §238.303 and §238.305 

may be assessed for each unit of passenger equipment contained in a train that is not properly inspected. Whereas, the penalties listed for 

failure to perform the brake inspections and tests under §238.313 through §238.319 may be assessed for each train that is not properly 

inspected.

2

 The penalty schedule uses section numbers from 49 CFR part 238. If more than one item is listed as a type of violation of a given 

section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may 

not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. 

FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR 

and penalty code citation, should they differ.

1 A penalty may be assessed against an individual only for a willful violation. Generally when two or more violations of these regulations 

are discovered with respect to a single unit of passenger equipment that is placed or continued in service by a railroad, the appropriate 

penalties set forth above are aggregated up to a maximum of $30,058 per day. However, failure to perform, with respect to a particular 

unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation 

separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. Moreover, 

the Administrator reserves the right to assess a penalty of up to the statutory maximum amount for any violation where circumstances 

warrant. See 49 CFR part 209, appendix A.
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19994, Apr. 23, 2002; 72 FR 51198, Sept. 6, 2007; 73 FR 

6413, Feb. 1, 2008; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 78 FR 16126, Mar. 13, 2013; 78 FR 71815, Nov. 29, 2013; 

80 FR 76148, Dec. 7, 2015; 81 FR 43112, July 1, 2016; 82 FR 16135, Apr. 3, 2017; 83 FR 60749, Nov. 27, 2018, 83 FR 59227, Nov. 21, 

2018; 84 FR 37059, July 31, 2019; 86 FR 1745, Jan. 11, 2021; 86 FR 23241, May 3, 2021]
Part 239—Schedule of Civil Penalties1

Section Violation Willful 

violation

Subpart B—Specific Requirements:

239.101(a) Failure of a railroad to adopt a written or electronic emergency preparedness plan 7,500 11,000

(a)(1) Failure of the plan to provide for:

(i) Initial or on-board notifications by an on-board crewmember 2,500 5,000

(ii) Notification of outside emergency responders by control center or ERCC 2,500 5,000

(iii) Failure to designate employee responsible for maintaining current emergency telephone numbers for use 

in notifications 2,500 5,000

(a)(2) Failure of the plan to provide for:

(i) Initial or periodic training of on-board personnel 2,500 5,000

(ii) Initial or periodic training of control center and ERCC personnel 2,500 5,000

(iii) Completion of initial training of each on-board, control center, and ERCC personnel by the specified date 2,500 5,000

(iv) Completion of initial training of each newly-hired on-board, control center, and ERCC personnel by the 

specified date 2,500 5,000

(v) Adequate procedures to evaluate and test on-board, control center, and ERCC personnel for qualification 

under the emergency preparedness plan 2,500 5,000

(vi) Adequate on-board staffing 2,500 5,000

(a)(3) Failure of a host railroad involved in joint operations to coordinate applicable portions of the 

emergency preparedness plan with the railroad or railroads providing or operating a passenger train service 

operation

3,000 6,000

(a)(4) Failure of the plan to address:

(i) Readiness procedures for emergencies in tunnels 2,500 5,000

(ii) Readiness procedures for emergencies on an elevated structure or in electrified territory 2,500 5,000

(iii) Coordination efforts involving adjacent rail modes of transportation 2,500 5,000

(a)(5) Failure of the plan to address relationships with on-line emergency responders by providing for:

(i) The development and availability of training programs 3,000 6,000

(ii) Invitations to emergency responders to participate in emergency simulations 3,000 6,000

(iii) Distribution of applicable portions of the current emergency preparedness plan 3,000 6,000

(a)(6) Failure of the plan to provide for, or the railroad to include on board each train and maintain and 

replace:

(i) Emergency equipment 2,500 5,000

(current as of July 12, 2021)
(ii) First-aid kits 2,500 5,000

(iii) Emergency lighting 2,500 5,000

(a)(7) Failure of the plan to provide for emergency instructions inside each passenger car or to include 

additional safety awareness information 3,500 7,000

(a)(8) Failure of the plan to include procedures promoting the safety of passengers with disabilities 2,500 5,000

239.103 Failure to conduct a required full-scale simulation in accordance with the frequency schedule 5,000 7,500

239.105 Debriefing and critique

(a) Failure to conduct a debriefing and critique session after an emergency or full-scale simulation 4,000 7,500

(c) Failure to design the debrief and critique session to determine the five items specified 2,500 5,000

(d)(1) Failure to maintain a record 2,500 5,000

(i) Failure to include date or location of the emergency or simulation 1,000 2,000

(ii) Failure to include date or location of the debriefing and critique session 1,000 2,000

(iii) Failure to include names of participants in the debriefing and critique session 1,000 2,000

(d)(2) Failure to make record available 1,000 2,000

Subpart C—Review, Approval, and Retention of Emergency Preparedness Plans:

239.201 Filing and approval

(a):

(i) Failure of a railroad to file a written emergency preparedness plan 5,000 7,500

(ii) Failure to designate a primary person to contact for plan review 1,000 2,000

(iii) Failure of a railroad to file an amendment to its plan 2,500 5,000

(iv) Failure of a railroad to file a summary of an amendment to its plan 1,000 2,000

(b)(1), (b)(2):

(i) Failure of a railroad to correct a plan deficiency 2,500 5,000

(ii) Failure to provide FRA with a corrected copy of the plan 1,000 2,000

(b)(3):

(i) Failure of a railroad to correct an amendment deficiency 2,500 5,000

(ii) Failure to file a corrected plan amendment with FRA 1,000 1,000

239.203 Retention of emergency preparedness plan

(1) Failure to retain a copy of the plan or an amendment to the plan 2,500 5,000

(2) Failure to make record available 1,000 2,000

Subpart D—Operational Tests and Inspections; Records, Recordkeeping, and Availability of Records

239.301 Operational tests and inspections

(a) Failure to periodically conduct operational tests and inspections of applicable personnel in accordance 

with program of operational tests and inspections 2,500 5,000

(a)(1) Failure to adopt a program of operational tests and inspections that meets the minimum requirements 

within 30 days of commencing rail operations 5,000 7,500
(a)(1)(vi) Failure to train or qualify each railroad officer who conducts operational tests and inspections on 

aspects of the e-prep plan and program procedures relevant to the operational tests and inspections that the 

officer conducts

2,500 5,000

(b)(1) Failure to maintain a record 2,500 5,000

(b)(2) Record improperly completed 1,000 1,000

(c)(1), (d)(1), (e)(2), (f)(1): Failure to retain a copy of the record 2,500 5,000

(c)(2), (d)(2), (e)(3), (f)(2): Failure to make record available 1,000 2,000

(e)(1) Failure to conduct six-month review and analysis of required data and make any necessary or 

appropriate adjustments to the program of operational tests and inspections 4,000 7,500

239.303 Electronic recordkeeping

(a) Insufficient limits or controls on accessibility to records 2,500 5,000

(b) Missing terminal 1,000 2,000

(c) Inability of railroad to produce information in a usable format for immediate review 1,000 2,000

(d) Failure by railroad to designate an authorized representative 1,000 2,000

(e) Failure to make record available 1,000 2,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up 

to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

2

 The penalty schedule uses section numbers from 49 CFR part 239. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not 

correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA 

reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and 

penalty code citation, should they differ.

[63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 78 FR 

71816, Nov. 29, 2013; 79 FR 18150, Mar. 31, 2014; 81 FR 43112, July 1, 2016; 83 FR 60749, Nov. 27, 2018]
Part 240—Schedule of Civil Penalties1

Section Violation Willful 

violation

Subpart B—Component Elements

240.101—Program failures:

(a)-(b) Failure to have program $10,000 $20,000 

(c) Program that fails to include a subject 2,500 5,000

240.103—Failure to, in program approval process:

(a) Timely file program or follow Appendix B 1,000 2,000

(b) Serve copy or affirm such service 1,000 2,000

(g) Resubmit, when directed by FRA 2,500-5,000 5,000-10,000

(h) Timely file material modification 1,000 2,000

240.104—Allowing uncertified person to operate non-traditional locomotives 5,000 10,000

240.105—Failure to have or execute adequate procedure for selection of supervisors 2,500 5,000

240.107—Types of service:

(a) Failure to designate classes of service 2,500 5,000

(d) Conditions or restrictions imposed that are inconsistent with this part 2,500 5,000

(e) Improper reclassification of a certificate 2,500 5,000

240.109—General criteria for eligibility based on prior safety conduct:

(a) Failure to have procedure for determining eligibility 2,500 5,000

(e) Considering excluded data 2,000 4,000

(f), (g) Failure to provide timely review opportunity 2,000 4,000

240.111—Furnishing motor vehicle records:

(a)-(e) Failure to take action required to make information available 1,000 2,000

(f) Failure to request additional record 1,000 2,000

(g) Failure to notify of absence of license 1,000 2,000

(h) Failure to report within 48 hours or railroad taking certification action for not reporting earlier than 48 

hours 1,000 2,000

240.113—Furnishing prior employment information:

(a) Failure to take action required to make information available 2,000 4,000

240.115—Criteria for considering prior motor vehicle conduct:

(a) Railroad failure to include in program or any person's failure to comply 6,000 10,000

(b), (e) Failure to consider motor vehicle conduct 5,000 7,500

(current as of July 12, 2021)
(c)-(d) Failure to follow temporary, 60-day certification requirements 2,000 4,000

(f) Failure to follow certification requirements during pendency of a waiver request 2,000 4,000

(g), (h) Considering excluded data 2,000 4,000

(i) Failure to:

(1) Provide data to DAC or refer person for evaluation 6,000 10,000

(2) Cooperate in evaluation or provide requested records 1,000 2,000

(3)-(4) Properly act in response to data 2,500 5,000

(5) Prevent person who does not comply with 240.115(i)(2) from performing as an engineer 7,500 15,000

240.117—Consideration of operating rules compliance data:

(a) Failure to include in program or violate program 6,000 10,000

(b)-(i) Failure to comply with program or procedure 2,500 5,000

240.119—Consideration of substance abuse disorders and alcohol/drug rules compliance:

(a) Failure to include in program or violate program 6,000 10,000

(c) Failure to have documents on file 2,500 5,000

(d)-(g) Failure to comply with requirements 2,500 5,000

240.121—Criteria for vision and hearing acuity data:

(a) Failure to include in program or violate program 6,000 10,000

(b)-(e) Failure to have adequate procedure for determining acuity 2,500 5,000

(f) Failure of engineer to notify 2,500 5,000

240.123—Training:

(a) Failure to include in program or violate program 6,000 10,000

(b) Failure to comply or inadequate procedures for continuing education 2,500 5,000

(c) Failure to comply or inadequate procedures for training new engineers 2,500 5,000

(d)-(f) Failure to comply or inadequate procedures for physical characteristics training 2,500 5,000

240.125—Knowledge testing:

(a)-(b) Failure to include in program or violate program 6,000 10,000

(c), (e) Failure to have adequate testing methods 2,500 5,000

(d), (f) Failure to have adequate procedures for documenting testing 2,500 5,000

(g) Permitting a person to work as an engineer when test failed, reexamination not passed 7,500 15,000

240.127—Criteria for examining skill performance:

(a) Failure to include in program or violate program 2,500 5,000

(b)-(f) Failure to have adequate procedures 2,500 5,000

240.129—Criteria for monitoring operational performance of certified engineers:

(a) Failure to include in program or violate program 6,000 10,000

(b)-(h) Failure to have adequate procedures, perform required tests, or keep adequate records 2,500 5,000

Subpart C—Implementation of the Process
240.201—Implementation:

(a) Failure to designate supervisors 2,000 4,000

(b) Failure to designate engineers 2,000 4,000

(b)(1) Designating a person as an engineer prematurely 5,000 10,000

(b)(2), (h) Failure to issue certificate to engineer 1,000 2,000

(c) Permitting or requiring engineer service for more than 36 months without recertification or waiver 7,500 15,000

(d) Allowing uncertified person to operate 7,500 15,000

(e)-(g) Certifying without complying with subpart C 5,000 7,500

240.203—Determinations required as a prerequisite to certification:

(a) Certifying a person without determining that:

(1) Person meets the eligibility criteria 5,000 7,500

(2) Person meets the vision and hearing acuity criteria 2,500 5,000

(3) Person has demonstrated knowledge 2,500 5,000

(4) Person has demonstrated skills 2,500 5,000

(5) Person has completed a training program 2,500 5,000

(b) Certifying a person without determining that:

(1) Person has completed training program 2,500 5,000

(2) Person meets the eligibility criteria 2,500 5,000

(3) Student certification period elapsed 2,500 5,000

240.205—Procedures for determining eligibility based on prior safety conduct:

(a) Selecting person lacking eligibility 5,000 7,500

(b) Failure to have documents supporting determination 2,500 5,000

240.207—Procedures for making the determination on vision and hearing acuity:

(a) Selecting person lacking proper acuity 5,000 10,000

(b) Failure to have on file required medical examiner's documents needed for determining proper acuity 1,000 2,000

(c) Acuity examinations performed by unauthorized person 1,000 2,000

(d) Failure to note need for device on certificate to achieve acuity 1,000 2,000

(e) Failure to have notation removed when medical device is no longer needed 1,000 2,000

(e) Failure to use medical device needed for proper acuity 5,000 10,000

240.209—Procedures for making the determination on knowledge:

(a) Failure to properly determine knowledge 2,500 5,000

(b) Improper test procedure or failure to retain written documentation of test 2,000 4,000

(c) Allowing person to operate despite test failure 5,000 10,000

240.211—Procedures for making the determination on performance skills:

(a) Failure to determine skills per most demanding class or type of service to be performed 5,000 10,000
(b) Improper test procedure or failure to retain written documentation of test 2,000 4,000

(c) Allowing person to operate despite test failure 5,000 10,000

(d) DSLE evaluates his or her own skills 5,000 10,000

240.213—Procedures for making the determination on completion of training program:

(a) Failure to properly make determination 2,500 5,000

(b) Failure to document successful program completion 2,500 5,000

240.215—Retaining information supporting determinations:

(a), (h) Complete failure to maintain record for a person 5,000 7,500

(b)-(g) Missing component of relevant record 2,000 4,000

(i) Falsification of record (-) 10,000

(j) Failure to comply with electronic recordkeeping system procedures 5,000 7,500

240.217—Time limitations for making determinations:

(a), (c), (d) Exceeding time limit 2,000 4,000

240.219—Denial of certification:

(a) Failure to notify, provide opportunity for comment, or provide supporting documentation 2,000 4,000

(c) Failure to notify, provide explanation, or address rebuttal information, or untimely notification 2,000 4,000

240.221—Identification of qualified persons:

(a)-(c) Failure to have a record 2,500 5,000

(d) Failure to:

(1) Update a record 2,000 4,000

(2)-(3) Make a record available 2,000 4,000

(e) Knowingly or willfully making false entry, or other falsification (-) 10,000

(f) Records system not maintained as required 5,000 7,500

240.223—Certificate criteria:

(a) Improper certificate 1,000 2,000

(b) Failure to designate those with signatory authority 1,000 2,000

(d) Falsification of certificate (-) 10,000

240.225—Railroad relying on determination of another:

(a) Failure to address in program or failure to require newly hired engineer to take entire training program 5,000 7,500

(b) Failure to properly make determinations 5,000 7,500

240.227—Railroad relying on requirements of a different country (Canada):

(a) Joint operator reliance:

(1) On person not employed 5,000 7,500

(2) On person who fails to meet Canadian requirements 5,000 7,500

(b) Canadian railroad reliance:
(1) On person not employed 5,000 7,500

(2) On person who fails to meet Canadian requirements 5,000 7,500

240.229—Requirements for joint operations territory:

(a)-(d) Allowing uncertified person to operate or certifying improperly 7,500 15,000

(c)(3) Failure to notify the railroad if unqualified 5,000

(e)-(f) Failure to provide qualified person or incorrect determination of an exception 5,000 7,500

240.231—Requirements for engineers unfamiliar with physical characteristics in other than joint 

operations:

(a) Person unqualified, no exception applies or railroad does not adequately address in program 7,500 15,000

(b) Failure to have a pilot:

(1) for engineer who has never been qualified 7,500 15,000

(2) for engineer previously qualified 5,000 7,500

Subpart D—Program Administration

240.301—Replacement of certificates:

(a) Failure to have system for certificate replacement or system not reasonably accessible to engineers 5,000 7,500

(b) Failure to properly issue temporary replacement certificate 2,000 4,000

240.303—Operational monitoring requirements:

(a) Failure to have program for observations or unannounced tests 5,000 10,000

(b) Failure to observe a person in a calendar year 1,000 2,000

(c) Failure to test a person in a calendar year 1,000 2,000

(d) Failure to test properly 1,000 2,000

240.305—Prohibited conduct:

(a) Unlawful:

(1) Passing of stop signal 2,500 5,000

(2) Control of speed 2,500 5,000

(3) Brake tests 2,500 5,000

(4) Occupancy of main track 2,500 5,000

(a)(5) Tampering or operating with unauthorized disabled safety device 2,500 5,000

(a)(6) Supervisor, pilot, or instructor fails to take appropriate action 2,500 5,000

(b) Failure of engineer to:

(1) possess certificate while on duty as an engineer 1,000 2,000

(2) display certificate when requested 1,000 2,000

(c) Failure of engineer to notify railroad of limitations or railroad requiring engineer to exceed limitations 4,000 8,000

(d) Failure of engineer to notify railroad of denial or revocation 4,000 8,000

240.307—Revocation of certification:
(a) Failure to revoke certification 7,500 10,000

(b) Failure to comply with suspension, hearing, and revocation procedures 2,500-5,000 5,000-10,000

(c)-(g) Failure of railroad to comply with hearing or waiver procedures 2,500-5,000 5,000-10,000

(h) Failure to credit suspension period toward revocation period 2,000 4,000

(j) Failure of railroad to place relevant information in records 2,500 5,000

(k) Failure of railroad to conduct reasonable inquiry or make good faith determination 7,500 10,000

240.308—Multiple certifications:

(c) Engineer is not a certified conductor and no assigned certified conductor in or attached to train crew 7,500 10,000

(d) Procedure not followed when conductor removed from passenger train 7,500 10,000

(e) Certified person fails to notify a railroad of denial or revocation by another railroad 5,000

(f), (i) Performing work as an engineer or obtaining an engineer certificate while a conductor certificate is 

revoked for a violation of 242.403(e)(1)-(e)(5) or (e)(12) 7,500 15,000

(g)-(h) Performing work as a conductor or obtaining a conductor certificate while an engineer certificate 

is revoked under 240.307 7,500 15,000

(j) Denying or revoking engineer certification or recertification based solely on the denial of conductor 

certification 4,000 8,000

(k) Denying or revoking conductor certification or recertification based solely on the denial of engineer 

certification 4,000 8,000

(m) Railroad improperly revokes both engineer and conductor certifications for a dual certified person 

based on the same event 5,000 7,500

240.309—Oversight responsibility report:

(a) Failure to perform annual review/analysis or complete on time 5,000 7,500

(b) Incomplete or inaccurate formal annual review and analysis 2,500 5,000

(c) Failure to determine actions to improve safety 2,500 5,000

(d) Failure to provide written report to FRA upon request 2,500 5,000

(e)-(i) Incomplete or inaccurate report 2,000 4,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of 

up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 63 FR 11624, Mar. 10, 1998; 64 FR 60995, Nov. 8, 1999; 69 FR 

30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 74 FR 68185, Dec. 23, 2009; 77 FR 24422, Apr. 24, 2012; 81 FR 43112, July 1, 2016; 

83 FR 60750, Nov. 27, 2018; 85 FR 81290, Dec. 15, 2020]
Part 241—Schedule of Civil Penalties1

Section2 Violation Willful 

violation

241.9(a) Requiring or permitting extraterritorial dispatching of a railroad operation $7,500 $11,000 

(b) Failing to notify FRA about extraterritorial dispatching of a railroad operation in an emergency situation 5,000 7,500

241.11 Conducting a railroad operation that is extraterritorially dispatched:

(a)(1) Generally 7,500 11,000

(a)(2) In an emergency situation-where dispatching railroad fails to notify FRA of the extraterritorial dispatching 2,500 5,000

241.13 Requiring or permitting track to be used for the conduct of a railroad operation that is extraterritorially 

dispatched:

(a)(1) Generally 7,500 11,000

(a)(2) In an emergency situation-where dispatching railroad fails to notify FRA of the extraterritorial dispatching 2,500 5,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to the 

statutory maximum amount for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304 and 49 CFR part 209, appendix A.

2 Further designations for certain provisions, not found in the CFR citation for those provisions, and not found in this appendix, are FRA Office of 

Chief Counsel computer codes added as a suffix to the CFR citation and used to expedite imposition of civil penalties for violations. FRA 

reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined designation cited in 

the civil penalty demand letter.

[67 FR 75960, Dec. 10, 2002, as amended at 73 FR 79705, Dec. 30, 2008; 77 FR 24423, Apr. 24, 2012; 81 FR 43112, July 1, 2016; 83 FR 60750, 

Nov. 27, 2018]

(current as of July 12, 2021)
Section Violation Willful 

violation

Subpart B—Program and Eligibility Requirements

242.101—Program failures:

(a) Failure to have program $10,000 $20,000 

(1)-(6) Program that fails to address a subject 6,000 10,000

242.103—Program approval:

(a)-(b) Failure to follow Appendix B 1,000 2,000

(c)-(g) Failure to comply with filing or submission requirements 1,000 2,000

(h) Failure to resubmit, when directed by FRA 2,500-5,000 5,000-10,000

(i) Failure to timely file material modification 1,000 2,000

242.105—Schedule for implementation:

(a)-(b) Failure to designate conductors 2,000 4,000

(c) Allowing uncertified person to serve as conductor 7,500 15,000

(d)-(e) Certifying without complying with subpart B or failure to issue a certificate 5,000 7,500

(f) Serving as a conductor without complying with subpart B or being issued a certificate 7,500 15,000

242.107—Types of service:

(a) Failure to designate types of service 2,500 5,000

(c) Reclassifying a certificate 2,500 5,000

242.109—Certification and recertification determinations:

(a) Failure to determine in writing that: 

(1) person meets the eligibility criteria 5,000 7,500

(2) person meets the vision and hearing acuity criteria 2,500 5,000

(3) person has demonstrated knowledge 2,500 5,000

(4) person has completed a training program 2,500 5,000

(b) Considering excluded data 2,000 4,000

(c) Failure to have required documents on file 1,000 2,000

(d), (e) Failure to provide timely review opportunity 2,000 4,000

(f) Failure to include method to advise that person has never been a railroad employee or obtained 

motor vehicle licenses 1,000 2,000

242.111—Motor vehicle operator records:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

Part 242—Schedule of Civil Penalties1

(current as of July 12, 2021)
(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to initially certify 2,000 4,000

(d) Failure to recertify 2,000 4,000

(e) Allowing person to serve as conductor before information is evaluated 5,000 7,500

(f) Failure to certify or recertify during pendency of waiver request 2,000 4,000

(g) Failure to take action to make information available 1,000 2,000

(h)-(j) Failure to request record 1,000 2,000

(k) Failure to notify of absence of license 1,000 2,000

(l) Failure to report in timely manner or railroad taking certification action for not reporting earlier 

than 48 hours 1,000 2,000

(m)-(n) Considering excluded data 2,000 4,000

(o) Failure to:

(1) Provide data to DAC or refer person for evaluation 6,000 10,000

(2) Cooperate in evaluation or provide requested records 1,000 2,000

(3)-(4) Properly act in response to data 2,500 5,000

(5) Prevent person who does not comply with 242.111(o)(2) from performing as a conductor 7,500 15,000

242.113—Prior safety conduct:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to request record or take required action 2,000 4,000

242.115—Substance abuse disorders and alcohol drug rules compliance:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to have documents on file 2,500 5,000

(d)-(g) Failure to comply with requirements 2,500 5,000

242.117—Vision and hearing acuity:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to have on file required medical examiner’s documents needed for determining proper 

acuity 1,000 2,000

(d) Acuity examination performed by unauthorized person 1,000 2,000

(e) Failure to note need for device to achieve acuity 1,000 2,000

(f) Failure to have notation removed when medical device is no longer needed 1,000 2,000

(f) Failure to use medical device needed for proper acuity 5,000 10,000

(h)-(j) Failure to comply with requirements 2,500 5,000

(k) Failure of conductor to notify 2,500 5,000
242.119—Training:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to determine in writing the requirements of (c)(1), (c)(2), and/or (c)(3) 2,500 5,000

(d) Failure to:

(1) Make determination, include proper curriculum, and/or document knowledge and ability 2,500 5,000

(2) Include component 1,000 2,000

(3) Make information available 1,000 2,000

(4) Maintain steps or tasks in one manual or make available 1,000 2,000

(5) Review and modify training plan 1,000 2,000

(e) Failure to require person to meet requirements 2,500 5,000

(f) Failure to provide opportunity to consult 1,000 2,000

(g)-(k) Failure to have adequate procedures or include procedures in program 2,500 5,000

(l) Failure to have adequate procedures for or provide continuing education 2,500 5,000

242.121—Knowledge testing:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Failure to determine eligibility requirements met 5,000 7,500

(c) Failure to have adequate procedures for testing knowledge 2,500 5,000

(d) Failure to properly document testing 1,000 2,000

(e) Failure to provide opportunity to consult 1,000 2,000

(f) Failure to document whether test was passed or failed 1,000 2,000

(g) Allowing person to serve as a conductor despite test failure 7,500 15,000

242.123—Monitoring operational performance:

(a)-(b) Failure to implement program meeting requirements 6,000 10,000

(b) Failure to comply with program 2,500 5,000

(c) Failure to test a conductor at least once in a calendar year 2,500 5,000

(d) Failure to test properly 2,500 5,000

(e) Failure to indicate the action to be taken 2,500 5,000

(f) Failure to test within time limits 2,500 5,000

242.125—Certification determinations made by other railroads:

(a) Failure to address in program or require newly hired conductor to take entire training program 5,000 7,500

(b) Failure to make a required determination 5,000 7,500

242.127—Reliance on qualification requirements of other countries (Canada):

(a)-(b) Failure to determine person employed and meets Canadian standards 5,000 7,500

Subpart C—Administration of the Certification Program

242.201—Time limitations:
(a), (c), and (d) Exceeding time limit 2,000 4,000

242.203—Supporting information:

(a), (c)-(e) Complete failure to maintain record for a person 5,000 7,500

(b) Failure to have a complete record 2,000 4,000

(f) Falsification of a record (−) 10,000

(g) Failure to comply with requirements if records maintained electronically 5,000 7,500

242.205—Identification of persons:

(a)-(b) Failure to have a record 2,500 5,000

(c) Failure to update or make a record available 2,000 4,000

(d) Falsification of a record (−) 10,000

(e) Failure to comply with requirements if records maintained electronically 5,000 7,500

242.207—Certificate components:

(a) Improper certificate 1,000 2,000

(b) Failure to designate those with signing authority 1,000 2,000

(d) Falsification of a certificate (−) 10,000

242.209—Maintenance of the certificate:

(a) Failure of conductor to carry certificate or display certificate when requested 1,000 2,000

(b) Failure of conductor to notify railroad of limitations or railroad requiring conductor to exceed 

limitations 4,000 8,000

242.211—Replacement of certificates:

(a) Failure to have system for certificate replacement or system not reasonably accessible to 

conductors 5,000 7,500

(b) Failure to properly issue temporary replacement certificate 2,000 4,000

242.213—Multiple certifications:

(d) Allowing an engineer to operate without a conductor where the engineer is not certified as a 

conductor or not accompanied by a certified conductor 7,500 10,000

(e) Failure to comply with emergency restrictions 7,500 10,000

(f) Failure of conductor to notify railroad of denial or revocation 5,000

(g) Performing conductor service with a revoked conductor certificate 7,500 15,000

(h), (k) Performing work as an engineer or obtaining an engineer certificate while a conductor 

certificate is revoked for a violation of 242.403(e)(1)-(e)(5) or (e)(12) 7,500 15,000

(i)-(j) Performing work as a conductor or obtaining a conductor certificate while an engineer 

certificate is revoked under 240.307 7,500 15,000

(l) Denying or revoking engineer certification or recertification based solely on the denial of 

conductor certification 4,000 8,000
(m) Denying or revoking conductor certification or recertification based solely on the denial of 

engineer certification 4,000 8,000

(o) Revoking both a person's conductor and engineer certificates for a single event 5,000 7,500

242.215—Oversight responsibility:

(a) Failure to perform annual review/analysis or complete on time 5,000 7,500

(b) Incomplete or inaccurate formal annual review and analysis 2,500 5,000

(c) Failure to determine actions to improve safety 2,500 5,000

(d) Failure to provide written report to FRA upon request 2,500 5,000

(e)-(i) Incomplete or inaccurate report 2,000 4,000

Subpart D—Territorial Qualification and Joint Operations

242.301—Territorial qualification:

(a) Allowing uncertified person or person not territorially qualified to serve as a conductor 7,500 15,000

(b) Failure to notify railroad of lack of qualifications 5,000

(c) Failure to provide required assistance 5,000 7,500

(d) Failure to provide assistance or up-to-date job aid 5,000 7,500

Subpart E—Denial and Revocation of Certification

242.401—Denial of certification:

(a) Failure to notify, provide opportunity for comment, or provide supporting documentation 2,000 4,000

(c) Failure to notify, provide explanation, or address rebuttal information, or untimely notification 2,000 4,000

242.403—Revocation criteria:

(a) Failure to implement program meeting requirements or violate program 6,000 10,000

(b) Unlawful failure to comply with rules and practices 2,500 5,000

(c) Failure to revoke certification 5,000 10,000

(d) Considering excluded data 2,500 5,000

(e) Considering unlisted violations of operating rules and practices 2,500 5,000

(f) Improperly counting or considering violations 2,500 5,000

242.405—Periods of ineligibility:

(a)-(c) Imposition of incorrect period of ineligibility 2,500 5,000

242.407—Revocation of certification:

(a) Failure to revoke certification 7,500 10,000

(b) Failure to suspend, notify, or provide hearing opportunity, or improper procedures 2,500-5,000 5,000-10,000

(c)-(g) Failure of railroad to comply with hearing or waiver procedures 2,500-5,000 5,000-10,000

(h) Failure to credit suspension period toward revocation period 2,000 4,000

(j) Failure of railroad to make record 2,500 5,000

(k) Failure of railroad to conduct reasonable inquiry or make good faith determination 7,500 10,000
1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a 

penalty of up to the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 24423, Apr. 24, 2012; 81 FR 43113, July 1, 2016; 83 FR 60750, Nov. 27, 2018; 85 

FR 81290, Dec. 15, 2020]
Part 243—Schedule of Civil Penalties1

Section Violation Willful 

violation

243.101—Employer program required:

(a-c) Complete failure to submit, adopt, or comply with program $7,500-

12,500

$11,000-

$16,000

(a-c) Partial failure to submit, adopt, or comply with program; or failure to 

correct deficiencies upon FRA's request 4,500-9,500 6,500-13,000

(d) OJT program requirements or failure to make reference materials 

available 2,000-4,500 4,000-6,500

(e-f) Program validation 2,000 4,000

243.105 Claiming optional model program is FRA-approved, when it is 

not: 2,000-4,500 4,000-6,500

243.109 Training program submission, review, and approval process:

(a) Failure to timely resubmit program 2,000-4,500 4,000-6,500

(b) Failure to timely submit informational filing 2,000-4,500 4,000-6,500

(c) Failure to submit new portions or revisions 4,500 6,500

(d) Railroad failure to serve program 1,000 2,000

243.111 Approval of programs filed by training organizations or learning 

institutions:

(a-b) Claiming training is FRA-approved, when it is not 2,000-4,500 4,000-6,500

(c-f) FRA approved some training, but all conditions not met 2,000-4,500 4,000-6,500

(g-h) Records 1,000 2,000

243.201 Employee qualification requirements:

(a-b) Failure to designate an employee 1,000 2,000

(c-f) Other failures and refresher training (per employee) 1,000 2,000

243.203 Records:

(a-f) Failure to maintain records (per employee) 1,000 2,000

243.205 Periodic oversight 4,500-9,500 6,500-13,000

243.207 Annual review 4,500 6,500

243.209 Railroad maintained list of contractors utilized 4,500 6,500

Subpart C—Program Implementation and Oversight Requirements

Subpart B—Program Components and Approval Process

(current as of July 12, 2021)
1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves 

the right to assess a penalty of up to the statutory maximum amount for any violation where circumstances 

warrant. See 49 CFR part 209, appendix A.

[79 FR 66501, Nov. 7, 2014, as amended at 81 FR 43113, July 1, 2016; 83 FR 60750, Nov. 27, 2018]
Part 270—Schedule of Civil Penalties

Violation Willful violation

270.101—System safety program; general:

(a) Failure to establish a system safety program $15,000 $30,000 

Failure to include a risk-based hazard management program in the system 

safety program 10,000 20,000

270.103—System safety program plan:

(a)(1) Failure to include and comply with any required element or any subelement in the SSP plan 7,500 15,000

(a)(2) Failure to communicate and coordinate with host railroad on the SSP 

plan 7,500 15,000

270.107—Consultation Requirements:

(a)(1) Failure to consult with directly affected employees 10,000 20,000

Failure to consult in good faith and/or use best efforts 10,000 20,000

(a)(3) Failure to hold preliminary meeting 7,500 15,000

Failure to comply with deadline for holding preliminary meeting 5,000 10,000

Failure to notify directly affected employees no less than 60 days before 

meeting is held 7,500 15,000

(b) Failure to submit consultation statement with plan submission 7,500 15,000

Failure to include all required elements in consultation statement 5,000 10,000

(d) Failure to submit consultation statement with submission of plan 

amendment 5,000 10,000

270.201—Filing and approval:

(a)(1) Failure to file an initial SSP plan 10,000 20,000

Failure to file an SSP plan within 90 days of commencing operations 10,000 20,000

(a)(3) Failure to include all required information in submission 5,000 10,000

(b)(3) Failure to correct identified deficiencies and amend SSP plan 7,500 15,000

Failure to submit corrected SSP plan 7,500 15,000

Failure to submit corrected SSP plan within 90 days 5,000 10,000

(c)(1)(i) Failure to submit amendment to SSP plan 7,500 15,000

(current as of July 12, 2021)

PENALTY SCHEDULE1

Subpart C—Review, Approval, and Retention of SSP Plans

Subpart B—System Safety Program (SSP) Requirements
Failure to submit amendment to SSP plan within 60 days 5,000 10,000

(c)(2)(iii) Failure to submit corrected amendment or notify FRA of retraction 7,500 15,000

Failure to submit corrected amendment within 60 days 5,000 10,000

270.203—Retention of SSP plan:

Failure to retain a copy of the SSP plan at system/division headquarters 10,000 20,000

Failure to make records available to representatives of FRA and States 

participating under part 212 of this chapter 7,500 15,000

270.303—Internal system safety program assessment:

(a) Failure to conduct an annual internal assessment 10,000 20,000

Failure to include all required elements in the internal assessment 7,500 15,000

(b) Failure to include a statement in the SSP plan describing the required 

elements 5,000 10,000

(c)(1)(i) Failure to submit to FRA the internal assessment report 7,500 15,000

Failure of the internal assessment report to contain all required elements and 

sub-elements 5,000 10,000

(c)(1)(ii) Failure to develop and outline improvement plan 7,500 15,000

Failure to comply with improvement plan 7,500 15,000

(c)(2) Failure of chief official responsible for safety to certify the results of the 

internal assessment 5,000 10,000

270.305—External safety audit:

(b)(1) Failure to submit improvement plan 7,500 15,000

Failure to submit improvement plan within 60 days 5,000 10,000

Failure to include all required elements in the improvement plan 5,000 10,000

(b)(2) Failure to amend and submit to FRA the improvement plan 7,500 15,000

Failure to submit amended improvement plan within 30 days 5,000 10,000

(b)(3) Failure to provide a report regarding the status of the implementation of 

the improvements set forth in the improvement plan 7,500 15,000

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the 

right to assess a penalty of up to the statutory maximum for any violation where circumstances warrant. See 49 

CFR part 209, appendix A.

Subpart D—SSP Internal Assessments and External Auditing
[81 FR 53896, Aug. 12, 2016, as amended at 85 FR 12843, Mar. 4, 2020]
Part 271—Schedule of Civil Penalties

Violation Willful violation

Subpart A—General

271.13 Determination of inadequate safety performance:

(c)(1)(i) Failure to notify employees that FRA has identified 

railroad as possibly having inadequate safety performance $7,500 $15,000 

(c)(1)(i)(A) Failure to include all required information in 

employee notification $5,000 $10,000 

(e) Failure to comply for minimum period of five years $7,500 $15,000 

(g) Failure to continue compliance until FRA has granted petition 

to discontinue compliance $7,500 $15,000 

271.15 Voluntary compliance:

(b) Failure to comply for minimum period of five years $7,500 $15,000 

(c) Failure to provide FRA written notice to discontinue 

compliance $5,000 $10,000 

Subpart B—Risk Reduction Program Requirements

271.101 Risk reduction programs:

(a) Failure to establish and fully-implement a risk reduction 

program (RRP) $15,000 $30,000 

(a)(1) Failure to include a risk-based hazard management program 

in RRP $10,000 $20,000 

(a)(2)-(6) Failure to include a required component in RRP $7,500 $15,000 

(b) Failure to comply with RRP plan $7,500 $15,000 

(c) Failure to communicate and coordinate with passenger railroad 

operation as part of RRP $7,500 $15,000 

(d) Failure to ensure that persons performing or utilizing 

significant safety-related services support and participate in 

railroad’s RRP

$7,500 $15,000 

271.103 Risk-based hazard management program:

(b)-(c) Failure to comply with requirements for risk-based hazard 

management program $7,500 $15,000 

271.105 Safety performance evaluation:

PENALTY SCHEDULE1

(current as of July 12, 2021)
(b)-(c) Failure to comply with requirements for safety 

performance evaluation $5,000 $10,000 

271.107 Safety outreach:

(a)-(b) Failure to comply with requirements for safety outreach $5,000 $10,000 

271.109 Technology analysis and technology implementation 

plan:

(a) Failure to comply with deadline for conducting a technology 

analysis and adopting a technology implementation plan $5,000 $10,000 

(b)-(d) Failure to comply with requirements for technology 

analysis and technology implementation plan $5,000 $10,000 

271.111 Implementation and support training:

(a) Failure to comply with requirements for implementation and 

support training $5,000 $10,000 

(b) Failure to keep record of training $5,000 $10,000 

271.113 Involvement of railroad employees:

(a)-(b) Failure to comply with requirements for involvement of 

employees $5,000 $10,000 

Subpart C—Risk Reduction Program Plan Requirements

271.201 General:

(a) Failure to adopt and implement RRP through an RRP plan $15,000 $30,000 

(b) Failure to adopt and implement a required element of an RRP 

plan $7,500 $15,000 

271.207 Consultation requirements:

(a)(1) Failure to consult with directly affected employees in good 

faith and/or use best efforts $10,000 $20,000 

(b) Failure to hold preliminary meeting $7,500 $15,000 

(b)(1) Failure to comply with deadline for holding preliminary 

meeting $5,000 $10,000 

(b)(2) Failure to comply with deadline for notifying directly 

affected employees before holding preliminary meeting $7,500 $15,000 

(d) Failure to submit consultation statement with RRP plan 

submission $7,500 $15,000 

(d)(1)-(3) Failure to include required element in consultation 

statement $5,000 $10,000 
Subpart D—Review, Approval, and Retention of Risk 

Reduction Program Plans.

271.301 Filing and approval:

(a) Failure to file an initial RRP plan $10,000 $20,000 

(b)(1)-(4) Failure to comply with deadline for filing RRP plan $10,000 $20,000 

(c) Failure to include required information in submission $5,000 $10,000 

(d)(3)(i) Failure to amend RRP plan to correct identified 

deficiency $7,500 $15,000 

(d)(3)(ii) Failure to submit corrected RRP plan $7,500 $15,000 

(d)(3)(iii) Failure to submit corrected RRP plan within 90 days $5,000 $10,000 

271.303 Amendments:

(a)(1)(i) Failure to follow process for consulting with directly 

affected employees on substantive amendments $10,000 $20,000 

(a)(1)(ii) Failure to submit consultation statement with submission 

of substantive amendment $5,000 $10,000 

(a)(1)(iii) Failure to include required element in consultation 

statement for substantive amendment $5,000 $10,000 

(b)(1)(i) Failure to file proposed substantive amendment $7,500 $15,000 

(b)(1)(ii) Failure to file proposed substantive amendment no less 

than 60 days before its proposed effective date $5,000 $10,000 

(b)(2)(i) Failure to file non-substantive amendment with FRA 

before implementing it $1,000 $2,000 

(c)(3)(i) Failure to submit corrected amendment or notify FRA of 

retraction $7,500 $15,000 

(c)(3)(ii) Failure to submit corrected amendment or notify FRA of 

retraction within 60 days $5,000 $10,000 

271.307 Retention of RRP plans:

(a) Failure to retain a copy of RRP plan and each subsequent 

amendment(s) to RRP plan at system and division headquarters $10,000 $20,000 

(b) Failure to make copy of RRP plan and each subsequent 

amendment available to representatives of FRA and States 

participating under part 212 of this chapter

$7,500 $15,000 

Subpart E—Internal Assessments

271.401 – Annual internal assessments:

(a) Failure to conduct an annual internal assessment $10,000 $20,000 
(b)(1)-(5) Failure to include required element in the internal 

assessment $7,500 $15,000 

(c) Failure to report internal assessment results to railroad senior 

management $7,500 $15,000 

271.403 – Internal assessment improvement plans:

(a)(1) Failure to develop an improvement plan addressing findings 

of internal assessment $7,500 $15,000 

(a)(2) Failure to develop an improvement plan addressing findings 

of internal assessment within 30 days of completing internal 

assessment

$5,000 $10,000 

(a)(3) Failure to comply with internal assessment improvement 

plan $7,500 $15,000 

(b)(1)-(4) Failure to include required element in internal 

assessment improvement plan $5,000 $10,000 

271.405 – Internal assessment reports:

(a)(1) Failure to submit internal assessment report to FRA $7,500 $15,000 

(a)(2) Failure to submit internal assessment report to FRA within 

60 days of internal assessment $5,000 $10,000 

(b) Failure of chief official responsible for safety to sign internal 

assessment report $5,000 $10,000 

(b)(1)-(4) Failure to include required element in internal 

assessment report $5,000 $10,000 

Subpart F—External Audits

271.503 – External audit improvement plans:

(a)(1) Failure to submit external audit improvement plan $7,500 $15,000 

(a)(2) Failure to submit external audit improvement plan within 

60 days $5,000 $10,000 

(a)(3) Failure to comply with external audit improvement plan $7,500 $15,000 

(b)(1)-(3) Failure to include required element in external audit 

improvement plan $5,000 $10,000 

(c)(1) Failure to amend and submit to FRA the external audit 

improvement plan $7,500 $15,000 

(c)(2) Failure to submit amended external audit improvement plan 

within 30 days $5,000 $10,000 
(d) Failure to provide FRA a status report on the implementation 

of the improvements set forth in the external audit improvement 

plan

$7,500 $15,000 

[85 FR 9262, Feb. 18, 2020]

1

 A penalty may be assessed against an individual only for a willful violation. The Administrator 

reserves the right to assess a penalty of up to the statutory maximum for any violation where 

circumstances warrant. See 49 CFR part 209, appendix A.
49 CFR Part 272—Schedule of Civil Penalties1

SUBPART B—PLAN COMPONENTS AND APPROVAL PROCESS

Section Violation

Willful 

violation1

272.101 Content of a critical incident stress plan:

(a) Failure to inform about relief options 5,000 6,000

(b) Failure to offer timely relief from duty tour 5,000 10,000

(c) Failure to offer timely transportation to home terminal 5,000 10,000

(d) Failure to offer counseling, guidance, support services 5,000 10,000

(e) Failure to permit relief from duty tour(s) subsequent to incident 5,000 10,000

(f) Failure to permit additional leave to receive preventive services or treatment related to the 

incident 5,000 10,000

272.103 Submission of critical incident stress plan for approval by the Federal Railroad 

Administration.

(a) Failure to submit a plan to FRA 9,000 18,000

(b) Failure to simultaneously file a copy 5,000 10,000

(e) Failure to submit a material modification to the plan 7,500 15,000

(f) Failure to make a copy of the plan available to covered employees 3,000 6,000

(g) Failure to make a copy of the plan available to FRA 3,000 6,000

1

 A civil penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to 

assess a penalty of up to the statutory maximum amount for any violation where circumstances warrant. See 49 U.S.C. 21301, 

21304 and 49 CFR part 209, Appendix A.

[79 FR 16233, Mar. 25, 2014, as amended at 81 FR 43113, July 1, 2016; 83 FR 60750, Nov. 27, 2018]

(current as of July 12, 2021)
Section Violation

Willful 

Violation2

299.11 Electronic recordkeeping $1,000 $2,000

299.13 System description:

(a)(2) Transportation of hazardous materials in revenue service $15,000 $25,000

(a)(3) Conducting MOW activities during revenue service; commencing revenue operations prior to daily sweeper 

inspection $15,000 $25,000

(b)(3) ROW barrier plan:

Complete failure to adopt or comply with plan $10,000 $15,000

Partial failure to adopt or comply with plan; failure to correct deficiencies in plan upon FRA's request $7,500 $11,000

 299.201 Technical PTC system requirements

Failure of the PTC system to perform a safety-critical function required by this section $16,000 $25,000

 299.203 PTC system required $16,000 $25,000

 299.205 PTC System Certification

Commencement of revenue service prior to obtaining PTC System Certification $16,000 $25,000

 299.207 PTC Safety Plan content requirements

Failure to implement PTC system in accordance with the associated PTCSP and resultant system certification $16,000 $25,000

Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification $16,000 $25,000

Failure to maintain required supporting documentation $2,500 $5,000

 299.209 PTC system use and failures

Failure to determine cause of PTC system component failure without undue delay $5,000 $7,500

Failure to adjust, repair, or replace faulty PTC system component without undue delay $5,000 $7,500

Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system component $15,000 $25,000

PTC territory operation with an inoperative PTC onboard apparatus $5,000 $7,500

Interference with the normal functioning of safety-critical PTC system $15,000 $25,000

 299.211 Communications and security requirements

Failure to provide cryptographic message integrity and authentication $5,000 $7,500

Improper use of revoked cryptographic key $7,500 $15,000

Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution $7,500 $15,000

Failure to establish prioritized service restoration and mitigation plan for communication services $5,000 $7,500

Part 299—Schedule of Civil Penalties1

SUBPART A—GENERAL REQUIREMENTS

SUBPART B—SIGNAL AND TRAINSET CONTROL SYSTEM

(current as of July 12, 2021)
 299.213 Records retention

Failure to maintain records and databases as required $7,500 $15,000

Failure to report inconsistency $10,000 $20,000

Failure to take prompt countermeasures $10,000 $20,000

Failure to provide final report $2,500 $5,000

 299.215 Operations and Maintenance Manual

Failure to implement and maintain Operations and Maintenance Manual as required $3,000 $6,000

Failure to make Operations and Maintenance Manual available to FRA when required $10,000 $16,000

Failure to make Operations and Maintenance Manual available to persons required to perform the required tasks $15,000 $25,000

Amending Operations and Maintenance Manual without FRA approval $5,000 $10,000

299.301 Restoration or renewal of track under traffic conditions

(a) On track other than in yards and TMFs $10,000 $15,000

(b) and (c) On track in MOW yards and TMFs $5,000 $10,000

299.303 Measuring track not under load $1,000 $2,000

299.305 Drainage $2,500 $5,000

299.307 Vegetation $1,000 $2,000

299.311 Track geometry; general

Track gage $5,000 $7,500

Track alignment $5,000 $7,500

Track surface $5,000 $7,500

299.313 Track geometry; performance based $5,000 $7,500

299.315 Curves; elevations and speed limitations $5,000 $7,500

299.317 Track strength $5,000 $7,500

299.319 Track fixation and support

(a) Material used $2,500 $5,000

(b) Distribution of ties $5,000 $10,000

(c) Sufficient number of nondefective ties, non-concrete $2,500 $5,000

(d) Sufficient number of nondefective concrete ties $2,500 $5,000

(e) Joint ties $5,000 $10,000

(f) Non-defective ties surrounding defective ties $2,500 $5,000

(g) Expansion joints $5,000 $10,000

(h) Replacement of defective ties $5,000 $10,000

(i) Rail fixation $2,500 $5,000

SUBPART C—TRACK SAFETY STANDARDS
(j) Track constructed without crossties $5,000 $10,000

299.321 Defective rails $5,000 $10,000

299.323 Continuous welded rail (CWR) plan

Failure to adopt and comply with CWR plan $10,000 $20,000

299.325 CWR; general $5,000 $10,000

299.327 Rail end mismatch $2,500 $5,000

299.329 Rail joints and torch cut rails

(a), (c), and (e) $2,500 $5,000

(b), (d), and (f)-(h) $5,000 $10,000

299.331 Turnouts and crossings generally $5,000 $10,000

299.333 Frog guard rails and guard faces; gauge $5,000 $10,000

299.335 Derails $2,500 $5,000

299.337 Automated vehicle-based inspection systems $5,000 $10,000

299.339 Daily sweeper inspection $10,000 $20,000

299.341 Inspection of rail in service

(a) Failure to submit procedures $2,500 $5,000

(b) through (g) Failure to follow procedures $5,000 $10,000

299.343 Initial inspection of new rail and welds $5,000 $10,000

299.345 Visual inspections; right-of-way

(b) Failure to perform required inspection $10,000 $15,000

(c) Failure to take remedial action $5,000 $10,000

299.347 Special inspections

(a) Failure to perform inspection $5,000 $10,000

(b) Failure to follow procedures for safe trainset movement $7,500 $15,000

299.349 Inspection records $2,500 $5,000

299.351 Qualifications for track maintenance and inspection personnel

(a) Designation of individuals $2,500 $5,000

(b) Record keeping $2,500 $5,000

299.353 Personnel qualified to supervise track restoration and renewal $5,000 $10,000

299.355 Personnel qualified to inspect track $5,000 $10,000

299.357 Personnel qualified to inspect and restore CWR $5,000 $10,000

SUBPART D—ROLLING STOCK

299.401 Clearance requirements $2,500 $5,000

299.403 Trainset structure $5,000 $10,000
299.405 Trainset interiors $5,000 $10,000

299.407 Glazing $5,000 $10,000

299.409 Brake system

(a)-(m), (o) $2,500 $5,000

(n)(1) Failure to have trainset securement proceedures $15,000 $20,000

(n)(2) Failure to secure equipment in accordance with trainset securement procedures while unattended $5,000 $10,000

(n)(3) Trainset securement procedure inadequate to properly secure equipment $10,000 $15,000

299.411 Bogies and suspension system $2,500 $5,000

299.413 Fire safety

(a) Failure to use proper materials $5,000 $10,000

(b) Improper certification $2,500 $5,000

(c) Failure to perform fire safety analysis $7,500 $15,000

(d) Failure to develop, adopt, or comply with procedures $5,000 $10,000

299.415 Doors

(a), (c)-(e) Door emergency egress and rescue access systems $5,000 $10,000

(b) Inadeqaute door clearance $2,500 $5,000

(f)-(j) Exterior side door safety systems $5,000 $10,000

299.417 Emergency lighting $2,500 $5,000

299.419 Emergency communication $2,500 $5,000

299.421 Emergency roof access $2,500 $5,000

299.423 Markings and instructions for emergency egress and rescue access $2,500 $5,000

299.425 Low-location emergency exit path marking $2,500 $5,000

299.427 Emergency egress windows $2,500 $5,000

299.429 Rescue access windows $2,500 $5,000

299.431 Driver’s controls and cab layout $2,500 $5,000

299.433 Exterior lights $2,500 $5,000

299.435 Electrical system design

(a)-(e), (g)-(j) $2,500 $5,000

(f) Insulation or grounding of metal parts $5,000 $10,000

299.437 Automated monitoring $2,500 $5,000

299.439 Event recorders

(a) Failure to equip trainset $5,000 $10,000

(b)-(c) Equipment requirements $2,500 $5,000

(d) Improper response to out of service event recorder $2,500 $5,000
(e)(1) Failure to test in accord with required procedure $2,500 $5,000

(e)(2) Failure to perform test $5,000 $10,000

(f) Failure to properly preserve accident data or unauthorized extraction $10,000 $25,000

(h) Tampering $15,000 $25,000

299.441 Trainset electronic hardware and software safety

(c) Failure to develop, adopt, and comply with electronic hardware and software safety program $7,500 $15,000

(d) Specific requirements $5,000 $10,000

(e), (f), (h)-(j) $2,500 $5,000

(g) Hazard tracking $7,500 $15,000

299.443 Safety appliances

(a) Couplers $5,000 $10,000

(b) Crew access $2,500 $5,000

299.445 Trainset inspection, testing, and maintenance requirements

(c) Complete failure to adopt and comply with trainset inspection, testing, and maintenance requirements $10,000 $15,000

(d) General condition: To be assessed based on relevant facts $2,500-$7,500 $5,000-$10,000

(e)(1) Complete failure to conduct pre-service inspection $15,000 $20,000

(e)(2) Failure to perform regular inspection $15,000 $20,000

(e)(3) Failure to perform bogie inspection $15,000 $20,000

(e)(4) Failure to perform general overhaul $15,000 $20,000

(g) Unqualified individuals performing inspections, testing, and maintenance of trainsets $20,000 $25,000

(h) Failure to have tracking system $10,000 $15,000

Failure to record required information in tracking system $5,000 $10,000

(i) Failure to retain records $5,000 $10,000

(k) Departing repair points with less than 100% operative brakes $10,000 $15,000

299.447 Movement of defective equipment 3 3

SUBPART E—OPERATING RULES

299.503 Operating rules; filing and recordkeeping $5,000 $10,000

299.505 Programs of operational tests and inspections:

(a) Failure to implement program $10,000 $15,000

(b) Railroad testing officer responsibilities:

(1) Failure to provide instruction, examination, or field training, or failure to conduct tests in accordance with 

program $9,500 $13,500

(2) Records $7,500 $11,000

(c) Record of program; program incomplete $10,000 $15,000
(d) Records of individual tests and inspections $7,500 $15,000

(e) Failure to retain copy of or conduct:

(1)(i) Quarterly review $9,500 $13,500

(1)(ii) and (2) Six month review $9,500 $13,500

(3) Records $7,500 $11,000

(f) Annual summary $7,500 $11,000

(h) Failure to timely or appropriately amend program after disapproval $9,500 $13,500

299.507 Program of instruction on operating rules:

(a) Failure to periodically train employees $7,500 $11,000

(b) Records $5,000 $10,000

SUBPART F—SYSTEM QUALIFICATION TESTS

299.603 Preparation of system-wide qualification test plan

(a) Failure to develop system-wide qualifcation test plan $7,500 $15,000

(c) Failure to adopt and comply with system-wide qualification test plan $15,000 $25,000

(d) Failure to submit required test procedures prior to conducting testing $9,500 $15,000

299.605 Functional and performance qualification tests $15,000 $25,000

299.607 Pre-revenue service systems integration testing $15,000 $25,000

299.609 Vehicle/track system qualification

(a) through (d) Vehicle qualification $15,000 $25,000

(e) through (i) Qualification test plan and testing $7,500 $11,000

299.611 Simulated revenue operations

(a) Failure to conduct simulated revenue operations $7,500 $15,000

(b) Failure to maintain required test log $9,500 $15,000

(c) Failure to correct identified safety defects $15,000 $25,000

299.613 Verification of compliance

(a) Failure to prepare report detailing testing results $9,500 $15,000

(b) Failure to correct indentified safety defects $15,000 $25,000

(c) Failure to submit report prior to commencing simulated revenue operations $9,500 $15,000

(d) Procedures for introducing new or upgrade safety-critical technology $15,000 $25,000

SUBPART G—INSPECTION, TESTING, AND MAINTENANCE PROGRAM

299.703 Compliance

Failure to have approved ITM program $15,000 $25,000

(a) Failure to conduct inspections and test in accordance with the approved ITM program $7,500 $15,000

(b) Failure to conduct maintenance in accordance with the approved ITM program $7,500 $15,000
299.705 Standard procedures for safely performing inspection, testing, and maintenance, or repairs

(a)(1)-(4) $5,000 $10,000

(a)(5)-(7) $10,000 $15,000

299.707 Maintenance intervals

(a) Initial intervals $5,000 $10,000

(b) Adjusting intervals without FRA approval $10,000 $15,000

299.709 Quality control program

Failure to establish a quality control program $10,000 $15,000

Failure to follow quality control program $7,500 $12,500

[85 FR 69731, Nov. 3, 2020]

2

 A penalty may be assessed against an individual only for a willful violation. See 49 CFR part 209, appendix A.

3

 Failure to observe any condition for movement set forth in § 299.447(b) 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. 

1

 The Administrator reserves the right to assess a penalty of up to the statutory maximum amount for any violation where circumstances warrant. See 49 

CFR part 209, appendix A. FRA reserves the right to take appropriate enforcement action for a violation of 49 CFR part 299 even though a specific civil 

penalty may not listed in this penalty schedule.