57598 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

DEPARTMENT OF TRANSPORTATION 

Federal Railroad Administration 

49 CFR Parts 209, 213, 214, 215, 217, 

218, 219, 220, 221, 222, 223, 224, 225, 

227, 228, 229, 230, 231, 232, 233, 234, 

235, 236, 238, 239, 240, and 241 

[Docket No. FRA–2006–25274, Notice No. 

2] 

RIN 2130–ZA00 

Revised Proposal for Revisions to the 

Schedules of Civil Penalties for a 

Violation of a Federal Railroad Safety 

Law or Federal Railroad Administration 

Safety Regulation or Order 

AGENCY: Federal Railroad 

Administration (FRA), Department of 

Transportation (DOT). 

ACTION: Revised proposal for revisions 

to schedules of civil penalties, with 

request for comments. 

SUMMARY: FRA is issuing for comment a 

revised proposal (New Proposal) that, if 

adopted, would amend, line-by-line, 

FRA’s schedules of civil penalties 

(‘‘Schedules’’) issued as appendices to 

FRA’s rail safety regulations, as well as 

other guidance, in order to reflect more 

accurately the degree of safety risk 

associated with a violation of each 

regulatory requirement and to ensure 

that the civil monetary penalty amounts 

are consistent across all FRA safety 

regulations. The New Proposal 

represents a revision of FRA’s December 

2006 proposal to amend the Schedules 

for the same purposes (December 2006 

Proposal or Initial Proposal). 

DATES: Written comments must be 

received by October 21, 2010. 

Comments received after that date will 

be considered to the extent possible 

without incurring additional delay or 

expense. 

ADDRESSES: Comments: Comments 

related to this Docket No. FRA 2006– 

25274, Notice No. 2, may be submitted 

by any of the following methods: 

• Fax: 202–493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue, SE., Washington, DC 20590. 

• Hand Delivery: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue, SE., Washington, DC 20590, 

between 9 a.m. and 5 p.m. Monday 

through Friday, except Federal holidays. 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

online instructions for submitting 

comments. 

Instructions: All submissions must 

include the agency name and docket 

number or Regulatory Identification 

Number (RIN) for this rulemaking. Note 

that all comments received will be 

posted without change to http:// 

www.regulations.gov including any 

personal information provided. 

Docket: For access to the docket to 

read background documents or 

comments received go to http:// 

www.regulations.gov at any time or to 

U.S. Department of Transportation, 

Docket Operations, M–30, West 

Building Ground Floor, Room W12–140, 

1200 New Jersey Avenue, SE., 

Washington, DC, between 9 a.m. and 

5 p.m., Monday through Friday, except 

Federal holidays. 

FOR FURTHER INFORMATION CONTACT: 

Edward Pritchard, Director, Office of 

Safety Assurance and Compliance, 

Office of Railroad Safety, FRA, 1200 

New Jersey Avenue, SE., Washington, 

DC 20590 (telephone 202–493–6247), 

edward.pritchard @dot.gov; or Brian 

Roberts, Trial Attorney, Office of the 

Chief Counsel, FRA, 1200 New Jersey 

Avenue, SE., Mail Stop 10, Washington, 

DC 20590 (telephone 202–493–6052), 

brian.roberts@dot.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents for Supplementary 

Information 

I. General Background 

II. Proceedings to Date, Provision of 

Opportunity for Comment, Comparison 

of Initial and New Proposals 

A. Initial Proposal 

B. Subsequent Changes in the Minimum 

and Ordinary Maximum Civil Penalties 

C. Provision of Opportunity for Comment, 

With Comparison of the Initial and New 

Proposals 

III. FRA’s New Proposed Approach to 

Reevaluating the Schedules of Civil 

Penalties 

IV. Rankings of the Rail Safety Regulatory 

Provisions and the Hours of Service 

Laws in the New Proposal 

A. Motive Power and Equipment 

Regulations (MP&E) (49 CFR Parts 215, 

218 (Partially), 223, 224, 227, 229, 230, 

231, 232, 238, and 239 (Partially)) 

B. Track and Workplace Safety Regulations 

(49 CFR Parts 213 and 214) 

C. Grade Crossing Signal Systems and 

Signal and Train Control Regulations (49 

CFR Parts 233, 234, 235, and 236) 

D. Operating Practices Regulations (49 CFR 

Parts 217, 218 (Partially), 219, 220, 221, 

222, 225, 228, 239 (Partially), 240, and 

241) and the Hours of Service Laws (49 

U.S.C. Chapter 211) 

V. Response to Public Comment on the 

Schedules Proposed in December 2006 

A. Concerns Related to Respondents That 

Are Small Businesses 

B. Concerns About Initially Proposed 

Penalty Amounts for Violations of 49 

CFR Parts 222, 225, and 229 

C. Concerns Related to Respondents Who 

Are Cited as Individuals 

D. Concerns About Effects on FRA’s 

Confidential Close Call Reporting Project 

E. Concerns About Proposed Monetary 

Increases in the Civil Penalty Amounts 

I. General Background 

FRA last published comprehensive, 

line-by-line final revisions to the 

Schedules of its safety regulations on 

December 29, 1988. 53 FR 52918. The 

revisions reflected the higher maximum 

penalty amounts made available by the 

enactment of the Rail Safety 

Improvement Act of 1988 (Pub. L. 100– 

342). With the exception of the penalties 

relating to the hours of service laws (49 

U.S.C. chapter 211), the Rail Safety 

Improvement Act of 1988 raised the 

maximum penalty for any ordinary 

violation from $2,500 to $10,000 (‘‘the 

ordinary maximum’’) and to $20,000 for 

a grossly negligent violation or a pattern 

of repeated violations that has created 

an imminent hazard of death or injury 

or caused death or injury (‘‘the 

aggravated maximum’’). Therefore, FRA 

published amendments to the Schedules 

in order to ‘‘give effect to the full range 

of civil penalties * * * permitted to be 

assessed for violation of specific 

regulations.’’ 53 FR 52918. These 

amendments revised not only the 

maximum civil penalty amount for any 

violation, but also the individual lineitem penalties for specific sections or 

subsections of the regulations. 

The Rail Safety Enforcement and 

Review Act (‘‘RSERA’’) (Pub. L. 102– 

365), which was enacted September 3, 

1992, increased the maximum penalty 

for a violation of the hours of service 

laws, from $1,000 to $10,000 and in 

some cases to $20,000, making these 

penalty amounts uniform with those of 

FRA’s other regulatory provisions. 

RSERA also increased the minimum 

penalty from $250 to $500 for all of 

FRA’s regulatory provisions. 

Since the publication of the 

Schedules in 1988, FRA has 

periodically adjusted its minimum and 

its ordinary or aggravated maximum 

penalty to conform to the mandates of 

the Federal Civil Penalties Inflation 

Adjustment Act of 1990. 28 U.S.C. 2461 

note, as amended (‘‘Inflation Act’’). The 

Inflation Act requires that an agency 

adjust by regulation each maximum 

penalty, or range of minimum and 

maximum penalties, within that 

agency’s jurisdiction periodically to 

reflect inflation. In the Inflation Act, 

Congress found a way to counter the 

effect that inflation has had on the 

penalties by having the agencies 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57599 

1For example, the severity scale in this New 

Proposal has five levels like the severity scale 

proposed in the Initial Proposal. However, the 

severity scale in the New Proposal differs from the 

severity scale in the Initial Proposal in several 

ways. First, FRA has adding the word ‘‘materially’’ 

to the description of what constitutes a Level E 

violation in the New Proposal. Therefore, Level E 

violations in the New Proposal are violations that 

do not materially increase the likelihood that a rail 

equipment accident/incident or other accident/ 

incident will occur. This is a clarification from the 

previous definition for Level E violations in the 

Initial Proposal where Level E violations were 

defined as violations that did not increase the 

likelihood that a rail equipment accident/incident 

or other accident/incident would occur. This 

definition did not make sense because failure to 

follow any FRA safety regulation would have some 

direct or indirect impact on railroad safety and 

thereby increase, even infinitesimally, the 

likelihood of an accident or incident. As a result, 

the word ‘‘materially’’ was added to the criteria for 

a Level E violation in the severity scale in this New 

Proposal. Second, FRA has provided more 

transparency and referenced the regulatory 

language found in 49 CFR 225.19(d) to explain what 

FRA means when it says ‘‘Other accident/incident’’ 

in Levels A–D in the severity scale in the New 

Proposal. Third, FRA has clarified in the New 

Proposal that civil monetary penalties associated 

with violations of FRA Orders or railroad safety 

statutes will be assessed according to severity scale 

criteria. Finally, as stated below, FRA has modified 

its approach for establishing civil penalties in the 

severity scale in this New Proposal. FRA is taking 

a graduated approach to assessing civil penalties for 

ordinary (non-willful) violations while increasing 

the civil penalty amounts in steady increments for 

willful violations. 

charged with enforcement responsibility 

administratively adjust the penalties. 

Currently FRA’s minimum penalty is 

$650, the ordinary maximum is $25,000 

and the aggravated maximum is 

$100,000 (for when a ‘‘grossly negligent 

violation or pattern of repeated 

violations has caused an imminent 

hazard or death or injury to individuals, 

or has caused death or injury’’). 

The Inflation Act requires only that 

the minimum, the ordinary maximum, 

and the aggravated maximum civil 

penalty for a violation be adjusted, not 

that the guideline penalty amounts for 

a specific type of violation (e.g., a 

section of a particular regulation) be 

adjusted. As a result, FRA has not 

adjusted the line-item guideline 

penalties found in the Schedules in 

conjunction with its adjustments of the 

minimum, maximum and aggravated 

maximum civil penalties. FRA’s 

practice has been to issue Schedules 

assigning to each section or subsection 

of the regulations specific dollar 

amounts for initial penalty assessments. 

These Schedules (and all line-item 

penalty amounts found within them) are 

statements of agency policy that specify 

the penalty that FRA will ordinarily 

assess for the violation of a particular 

section or subsection of a safety 

regulation, and are published to inform 

members of the regulated community of 

the amount that they are likely to be 

assessed for a given violation within the 

range of $650 to $25,000. The Schedules 

are ‘‘meant to provide guidance as to 

FRA’s policy in predictable situations, 

not to bind FRA from using the full 

range of penalty authority where 

extraordinary circumstances warrant.’’ 

49 CFR part 209, appendix A. Thus, 

regardless of the amounts shown in the 

Schedules, FRA continues to reserve the 

right to assess, within the range 

established by the rail safety statutes (49 

U.S.C. chapter 213) or by regulation 

pursuant to the Inflation Act, an amount 

other than that listed in the Schedules 

based on the circumstances of the 

alleged violation. 73 FR 79698, Dec. 30, 

2008. 

II. Proceedings to Date, Provision of 

Opportunity for Comment, and 

Comparison of Initial and New 

Proposals 

A. Initial Proposal 

FRA published 25 proposed 

Schedules with a request for comments 

on December 5, 2006, which first 

presented the agency’s intention of once 

again comprehensively revising the civil 

penalty amounts. 71 FR 70590. In this 

Initial Proposal, FRA explained its 

approach to reevaluating the Schedules 

and explained the severity scale that 

was developed for setting line-item 

penalty amounts in the Schedules. The 

severity scale’s penalty amounts were 

assessed within the statutory range for 

civil penalties at that time, which was 

from the minimum of $550 to the 

ordinary maximum of $11,000, as 

follows: 

Severity level (explained in the Initial Proposal and below) Ordinary 

violations Willful violations 

Level A ............................................................................................................................................................. $8,500 $11,000 

Level B ............................................................................................................................................................. 6,500 9,000 

Level C ............................................................................................................................................................. 5,000 7,500 

Level D ............................................................................................................................................................. 3,000 4,500 

Level E ............................................................................................................................................................. 1,500 2,500 

B. Subsequent Changes in the Minimum 

and Ordinary Maximum Civil Penalties 

Subsequently, in 2007, pursuant to 

the requirements of the Inflation Act, 

FRA recalculated the ordinary 

maximum penalty and raised it from 

$11,000 to $16,000. 71 FR 51194, Sept. 

6, 2007. Then, on October 16, 2008, the 

Rail Safety Improvement Act of 2008 

(Pub. L. 110–432, Div. A) (‘‘RSIA’’) was 

enacted; Section 302 of the RSIA 

increased the ordinary and aggravated 

maximum penalty amounts to $25,000 

and $100,000, respectively. In a final 

rule published on December 30, 2008, 

FRA adjusted its minimum penalty from 

$550 to $650 pursuant to Inflation Act 

requirements. 73 FR 79698. In that rule 

FRA also evaluated whether it needed to 

increase the ordinary and aggravated 

maximum penalties pursuant to the 

Inflation Act; however, the enactment of 

the RSIA statutorily changed the 

ordinary and aggravated maximum 

penalties to $25,000 and $100,000, 

respectively, and therefore rendered any 

inflationary adjustments to either figure 

unnecessary. Instead, FRA adopted 

$25,000 as the ordinary maximum and 

$100,000 as the aggravated maximum 

required by the RSIA. (See also 

correcting amendment to the Schedule 

for 49 CFR part 232. 74 FR 15387, April 

6, 2009.) 

C. Provision of Opportunity for 

Comment, With Comparison of the 

Initial and New Proposals 

Given the large statutorily mandated 

increase in the ordinary maximum civil 

penalty from $11,000 to $25,000 after 

publication of the Initial Proposal, FRA 

is offering the public an opportunity to 

review and comment on the new higher 

civil penalty amounts assessed for 

violations on each severity scale level in 

the New Proposal.1 In the New 

Proposal, FRA is issuing another set of 

proposed Schedules and seeking 

comments from the general public. 

Comments on the new proposed 

Schedules will be useful to the agency’s 

decision making process. 

FRA has also slightly modified the 

severity scale in the New Proposal from 

the severity scale in the Initial Proposal. 

In the New Proposal, FRA has used a 

targeted enforcement approach for 

establishing the civil penalties for 

ordinary (non-willful) violations of 

railroad safety regulations. As part of 

the targeted enforcement approach, 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57600 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

2However, as previously stated, FRA recently 

published a final rule on bridge safety standards on 

July 15, 2010. 75 FR 41282. As part of that final 

rule, FRA created new regulations and penalties 

under 49 CFR part 237, which was previously an 

unused part of the CFR. Therefore after the 

September 13, 2010 effective date for the final rule, 

FRA will have 27 parts of regulations that contain 

Schedules. In this New Proposal, FRA is also 

accepting comments on the new penalties 

contained in the final rule. 

ordinary violations occurring at the 

middle and lower levels of the severity 

scale are assessed smaller civil penalties 

in relation to the ordinary maximum 

while the highest penalty amounts are 

assessed for ordinary Level A violations 

where serious injuries, deaths, or other 

railroad accidents or incidents are most 

likely to occur. FRA did not take a 

targeted enforcement approach for 

establishing the civil penalty amounts 

for willful violations in the New 

Proposal. Instead, the civil penalty 

amounts for willful violations increase 

up the severity scale in steady dollar 

amounts, not in graduated percentage 

increases like the civil penalties for 

ordinary violations. 

Higher penalty amounts for violations 

of Federal railroad safety laws and 

regulations are necessary because many 

of FRA’s civil penalties have not been 

changed in real terms for many years. 

As a result, inflation has somewhat 

eroded the deterrent effects of most of 

FRA’s civil penalties because the 

amounts have not been increased to 

account for the effects of inflation. 

While many of the penalty amounts in 

the New Proposal would represent large 

increases in penalty amounts even after 

adjusting for inflation, some penalty 

amounts for violations would remain 

unchanged (e.g., 49 CFR 219.205(b), 

222.49(b), 229.71, and 239.301(c)(1)) if 

adopted by FRA because of the uniform 

rating of FRA’s existing penalties on the 

severity scale. The new penalty amounts 

in this New Proposal will maintain the 

deterrent effects of FRA’s rail safety 

penalties, aiding the success of FRA’s 

mission to make the United States rail 

system safer. 

FRA has also reexamined how it had 

ranked individual rail safety violations 

on the severity scale in the Initial 

Proposal. Upon second review of the 

severity scale rankings, FRA is 

proposing to move certain regulatory 

provisions to higher or lower levels on 

the severity scale in order to refine the 

agency’s application of the severity 

scale to the various violations. For 

example, FRA is proposing to raise the 

severity scale ranking of 49 CFR 219.3 

(‘‘Application: Railroad does not have 

required program’’), in this New 

Proposal from a ‘‘C’’ level penalty to a 

‘‘B’’ level penalty. This change is 

necessary because the failure of a 

railroad covered by 49 CFR part 219 to 

have an alcohol and drug testing 

program is more likely than not to cause 

a rail equipment accident/incident or 

other accident/incident involving death, 

injury, or occupational illness rather 

than just substantially increase the 

likelihood that one of these events could 

occur. Conversely, in this New Proposal, 

FRA would lower the severity scale 

ranking of 49 CFR 225.35 (‘‘Access to 

records and reports’’), from an ‘‘A’’ level 

penalty to a ‘‘D’’ level penalty. This 

proposed change in severity scale level 

reflects FRA’s judgment that denying its 

inspectors access to records and reports 

required by 49 CFR part 225 is not 

extremely likely to lead to a railroad 

accident/incident or other accident/ 

injury including death, injury, or 

occupational illness, but could slightly 

increase the likelihood of one of the 

above mentioned occurrences if FRA is 

not provided access to accident 

reporting records and reports. FRA 

expects that these proposed changes to 

the severity scale rankings of some of its 

violations in the Initial Proposal better 

refine the agency’s application of the 

Severity Scale to the various violations. 

In addition, FRA is proposing minor 

changes to its Schedules in this New 

Proposal to correct errors and omissions 

and to reflect more accurately FRA’s 

current enforcement practices. Such 

errors include obvious spelling or 

typographical errors that were caught 

during the review process. Omissions 

corrected include line-item penalties for 

any existing section or subsection that 

had been inadvertently omitted from an 

existing Schedule, such as 49 CFR 

213.110. Other proposed minor 

revisions to the Schedules include, but 

are not limited to, adding or deleting a 

suggested penalty for a violation (e.g., 

49 CFR 213.109(c), 214.343(a)(2), 

220.38, and 240.201(b)), rewording a 

line-item description for a violation 

(e.g., 49 CFR 219.23(f) and 233.9), 

renumbering violation subsections (e.g., 

49 CFR 214.343(b)(1), 236.587, 

236.905(d), and 236.913(j)), and adding 

or revising footnotes to the Schedules 

(e.g., 49 CFR parts 214, 232, and 239). 

For example, FRA is proposing to add 

a footnote 3 to the Schedule for 49 CFR 

part 214 to clarify that FRA will consult 

the suggested penalty amounts under 49 

CFR 214.343 (‘‘Training and 

qualification, general:’’) when assessing 

penalties for the training violations in 

49 CFR 214.345 through 214.355, as the 

suggested penalty amounts for these 

sections had been left blank in previous 

versions of part 214’s penalty schedule. 

FRA is hopeful these proposed minor 

changes updating its Schedules would 

provide a more accurate picture to the 

regulated community of FRA’s actual 

enforcement practices. 

New suggested penalty amounts have 

also been proposed for violations of 

subparts that had not been mentioned in 

the existing penalty schedules: 49 CFR 

part 218, subpart E (‘‘Protection of 

Occupied Camp Cars’’); 49 CFR part 228, 

subpart D (‘‘Electronic Recordkeeping’’); 

49 CFR part 232, subpart G 

(‘‘Electronically Controlled Pneumatic 

(ECP) Braking Systems’’); and 49 CFR 

part 236, subpart I (‘‘Positive Train 

Control Systems’’) are also included. 

FRA is also suggesting new penalty 

amounts for 49 CFR part 227 

(‘‘Occupational Noise Exposure’’) which 

was not ranked in the severity scale in 

the Initial Proposal because the final 

rule creating part 227 was published on 

October 27, 2006, but not effective until 

February 26, 2007. 71 FR 63066. In 

addition, FRA will also be accepting 

comments on the new penalties in 49 

CFR part 237 that were published in a 

bridge safety standards final rule on July 

15, 2010 and will become effective on 

September 13, 2010. 75 FR 41282. 

Further, FRA is proposing to add 

language to 49 CFR part 228, appendix 

A, to state its proposed guideline 

penalty amounts for both non-willful 

and willful violations of the hours of 

service laws (49 U.S.C. chapter 211). In 

addition, this New Proposal would also 

add or change language in the portion 

of 49 CFR part 209, appendix A, entitled 

‘‘Penalty Schedules: Assessment of 

Maximum Penalties,’’ to reflect the new 

minimum, ordinary maximum, and 

aggravated maximum civil penalties of 

$650, $25,000, and $100,000 

respectively. Finally, FRA is also 

proposing to add the language ‘‘or 

orders’’ in two places within this portion 

of part 209, appendix A to update the 

language to reflect FRA’s already 

existing policy of establishing civil 

penalty schedules and recommended 

civil penalty amounts applicable to 

violations of various orders issued by 

FRA (such as emergency orders under 

49 U.S.C. 20104) when necessary to 

advance the agency’s safety mission. 

III. FRA’s New Proposed Approach to 

Reevaluating the Schedules of Civil 

Penalties 

The Federal Railroad Administrator is 

authorized as the delegate of the 

Secretary of Transportation to enforce 

the Federal railroad safety statutes (49 

U.S.C. chapters 201–213) regulations, 

and orders, including the statutory civil 

penalty provisions at 49 U.S.C. chapter 

213. 49 CFR 1.49. FRA currently has 26 

parts of regulations that contain 

Schedules.2 With this New Proposal, 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57601 

3 ‘‘Accident/incident’’ is defined at 49 CFR 225.5. 

Accidents/incidents are divided into three 

categories: highway-rail grade crossing accidents/ 

incidents, rail equipment accidents/incidents; and 

accidents/incidents resulting in death, injury, or 

occupational illness. 49 CFR 225.19(c). A highwayrail grade crossing accident/incident is ‘‘[a]ny 

impact between railroad on-track equipment and an 

automobile, bus, truck, motorcycle, bicycle, farm 

vehicle, or pedestrian at a highway-rail grade 

crossing.’’ 49 CFR 225.5, read in light of 49 CFR 

225.19(c). Rail equipment accidents/incidents are 

defined in 49 CFR 225.19(c) to include ‘‘collisions, 

derailments, fires, explosions, acts of God, and 

other events involving the operation of on-track 

equipment (standing or moving) * * * that result 

in damage to railroad property that is greater than 

the reporting threshold.’’ Currently the reporting 

threshold is $9,200. 74 FR 65458 (Dec. 10, 2009). 

4FRA has statutory authority to assess civil 

penalties in the range of $650 (minimum) to 

$25,000 (ordinary maximum) for ordinary 

violations of its regulations. FRA may assess a 

penalty at the statutory aggravated maximum of 

$100,000 only ‘‘when a grossly negligent violation 

or a pattern of repeated violations has caused an 

imminent hazard of death or injury to individuals, 

or has caused death or injury.’’ A $100,000, 

statutory aggravated maximum penalty is the 

equivalent of a Level A Plus and is, therefore, off 

the scale. The standard of ‘‘imminent hazard’’ of 

death or injury (the standard for a civil penalty at 

the aggravated maximum penalty) is different from 

the standard of ‘‘extremely likely’’ to result in death 

or injury (the standard for Level A penalties on the 

severity scale). Imminent hazards are hazards that 

are likely to occur without delay or that actually 

may be occurring at the time the violation is taken. 

In contrast, a hazard that is extremely likely to 

result in a railroad accident/incident or another 

accident/incident causing death, injury, or 

occupational disease has a high probability of 

causing one or more of those adverse events sooner 

or later, but is not necessarily likely to occur 

without delay or contemporaneously when the 

violation is taken. 

5See 49 CFR 225.19(d). 

FRA is proposing to amend each of the 

line-item guideline penalty amounts 

contained within the Schedules for each 

of the regulations and to add guideline 

penalty amounts for violations of the 

hours of service laws to 49 CFR part 

228, appendix A (collectively, Penalty 

Guidelines). In reevaluating the penalty 

amounts in the Schedules, FRA has 

developed a new proposed severity 

scale (‘‘New Proposed Severity Scale’’) 

for setting the line-item penalty 

amounts for each violation of the safety 

regulations and for violations of the 

hours of service laws. The severity scale 

FRA is proposing to adopt in this New 

Proposal is described in the following 

section. 

New Proposed Severity Scale for Setting 

Line-Item Penalty Amounts in FRA 

Penalty Guidelines 

FRA’s rail safety regulations and the 

rail safety statutes are intended either to 

prevent a railroad accident/incident or 

to mitigate the consequences if one were 

to occur. For the most severe ratings on 

the scale, FRA concentrated on the 

degrees of likelihood that an accident/ 

incident 3 will occur or that graver 

consequences of an accident/incident 

will occur as a result of failing to 

comply with the section. The following 

New Proposed Severity Scale is 

intended to reflect this focus: 

Level A–Very High Probability—Failure of 

a railroad to comply with this section or 

subsection of the Code of Federal Regulations 

(‘‘CFR’’), this FRA order, or this rail safety 

statute is extremely likely to result in one or 

more of the following events, but does not 

create an imminent hazard of death or injury 

to individuals or cause an actual death or 

injury 4: 

1. Rail equipment accident/incident 

2. Other accident/incident (including death, 

injury, or occupational illness)5

FRA is proposing to issue a penalty guideline 

for Level ‘‘A’’ of $19,500 for an ordinary 

violation and $25,000 for a willful violation 

of the regulation, order, or statute. 

Level B—High Probability—Failure of 

railroad to comply with this section or 

subsection of the CFR, this FRA order, or this 

rail safety statute is more likely than not to 

result in the occurrence of: 

1. Rail equipment accident/incident; or 

2. Other accident/incident (including 

death, injury, or occupational illness). 

FRA is proposing to issue a penalty 

guideline for Level ‘‘B’’ of $13,000 for an 

ordinary violation and $20,500 for a willful 

violation of the regulation, order, or statute. 

For the following levels, FRA is not 

only addressing the likelihood that 

noncompliance will or could contribute 

to an accident or aggravated 

consequences if an accident occurred, 

but also the importance of maintaining 

compliance in order to prevent 

violations of these regulatory or 

statutory sections or subsections from 

becoming leading accident causes in the 

future. 

Level C—Moderate Probability—Failure of 

railroad to comply with this section or 

subsection of the CFR, this FRA order, or this 

rail safety statute substantially increases the 

likelihood that one of the following will 

occur: 

1. Rail equipment accident/incident; or 

2. Other accident/incident (including 

death, injury, or occupational illness). 

FRA is proposing to issue a penalty 

guideline for Level ‘‘C’’ of $9,500 for an 

ordinary violation and $17,000 for a willful 

violation of the regulation, order, or statute. 

Level D—Minor Probability—Failure of the 

railroad to comply with this section or 

subsection of the CFR, this FRA order, or this 

rail safety statute slightly increases the 

likelihood that one of the following will 

occur: 

1. Rail equipment accident/incident; or 

2. Other accident/incident (including 

death, injury, or occupational illness). 

FRA is proposing to issue a penalty 

guideline for Level ‘‘D’’ of $5,500 for an 

ordinary violation and $10,000 for a willful 

violation of the regulation, order, or statute. 

Level E—Minimal Probability—Failure to 

comply with this section or subsection of the 

CFR, this FRA order, or this rail safety statute 

does not materially increase the likelihood 

that a rail equipment accident/incident or 

other accident/incident will occur, except in 

special circumstances, such as if the 

noncompliance is willful or widespread. 

Nevertheless, noncompliance with any one of 

these provisions undercuts the effectiveness 

of the Federal railroad safety program, and 

could compromise the safety of rail 

operations. 

Example: Violation of § 225.13—Late 

Reports—Submitting a late accident/incident 

report to FRA does not increase the 

likelihood that a rail equipment accident/ 

incident or other accident/incident will 

occur. Widespread noncompliance with that 

provision, however, could lead to 

inaccuracies in Federal accident databases, 

which in turn could delay FRA’s response to 

emerging safety problems. 

FRA is proposing to issue a penalty 

guideline for Level ‘‘E’’ of $2,500 for an 

ordinary violation and $5,000 for a willful 

violation of the regulation, order, or statute. 

Like the Initially Proposed Severity 

Scale, the New Proposed Severity Scale 

shows, there are five different levels of 

probabilities, ranging from ‘‘A’’ (the most 

severe) to ‘‘E’’ (the least severe of the 

types of violations). In developing the 

rankings (‘‘A’’ through ‘‘E’’), FRA 

concentrated on the degrees of 

likelihood that an accident/incident will 

occur or that graver consequences will 

occur as a result of the failure to comply 

with the particular section or subsection 

of the safety regulations or with the 

statute. Using the New Proposed 

Severity Scale, FRA then assigned a 

ranking (from ‘‘A’’ to ‘‘E’’) to each of the 

provisions of the particular rail safety 

regulations and to the hours of service 

statute, which the agency has 

responsibility for administering and 

enforcing. The resulting proposed lineitem penalty amounts for violations of 

each of the sections or subsections of 

the safety regulations affected and for 

violations of the hours of service laws 

reflect FRA’s determination, based on 

safety data and industry knowledge, of 

how likely the violation of a particular 

provision is to result in a rail equipment 

accident/incident or another type of 

accident/incident. Due to the increase in 

the ordinary maximum from $11,000 to 

$25,000 since the Initial Proposal, the 

new proposed civil penalty amounts 

have increased in most instances, but in 

some cases the new proposed civil 

penalty amount would remain the same 

(e.g., 49 CFR 219.205(b), 222.49(b), 

229.71, and 239.301(c)(1)) if adopted by 

FRA. Nonetheless, a determination by 

FRA that violation of a provision does 

not increase the likelihood that a rail 

equipment accident/incident or other 

accident will occur, however, does not 

mean that the provision is 

inconsequential to the effectiveness of 


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6 Defect codes were developed by FRA in order 

to facilitate computerization of inspection data 

generated by FRA inspectors by providing a digital 

format for every CFR section. Defect codes are 

analytical tools only and are subject to change 

without notice. 

the Federal railroad safety program or to 

the overall safety of railroad operations. 

Currently, each Schedule is in the 

form of a table consisting of three 

columns with one or more footnotes. 

Like the initially proposed Schedules, 

the new proposed Schedules would 

continue to be structured in this fashion 

and to provide guideline penalty 

amounts for two categories of violations: 

Ordinary (non-willful) and willful. Each 

new proposed Schedule lists the CFR 

section or subsection in the left-hand 

column, sometimes with additional 

designations to distinguish different 

types of violations (penalty codes) of the 

section or subsection in order to 

facilitate the assessment of civil 

penalties. The only exception continues 

to be 49 CFR part 231; the left-hand 

column of the new proposed Schedule 

lists the FRA defect codes 6 for that part, 

and not the corresponding CFR sections. 

The reason for this continues to be the 

fact that the defect codes are organized 

by the type of safety appliance, which 

makes them easier to use, than the 

section numbers of part 231, which are 

organized primarily by car or 

locomotive type. Nevertheless, if 

necessary, every defect code can be 

traced to a specific regulatory provision 

in part 231 or statutory provision in 49 

U.S.C. chapter 203, or both. The 

corresponding penalties for each 

violation are listed in the middle and 

right-hand columns: The guideline 

penalty amount for an ordinary 

violation and then the guideline penalty 

amount for a willful violation. The 

ordinary penalties apply to railroads or 

other respondents, except individuals, 

while the ‘‘willful’’ column applies to 

willful violations committed by 

railroads or individuals. 

The following chart summarizes the 

new proposed guideline amounts for 

ordinary and willful violations by 

severity level: 

Severity level 

under new 

Proposal 

Ordinary 

violations 

Willful 

violations 

Level A .............. $19,500 $25,000 

Level B .............. 13,000 20,500 

Level C ............. 9,500 17,000 

Level D ............. 5,500 10,000 

Level E .............. 2,500 5,000 

IV. Rankings of the Rail Safety 

Regulatory Provisions and the Hours of 

Service Laws in the New Proposal 

Although the railroad industry’s 

overall safety record has improved over 

the last decade, significant train 

accidents/incidents continue to occur. 

As a result, the FRA’s safety program is 

being guided by careful analysis of 

accident/incident, inspection, and other 

safety data. FRA has also directed both 

its regulatory and compliance efforts 

toward the areas that involve the highest 

of safety risks, in order to reduce the 

number and severity of accidents/ 

incidents caused by a failure to comply 

with those safety regulations. Therefore, 

the goal of the new proposed line-item 

penalty amounts for each of the 

Schedules and the new proposed 

penalty amount for violations of the 

hours of service statute is to reflect the 

different degrees of probability that a 

violation of a particular regulatory 

section or subsection, order, or statute 

will result in a rail equipment accident/ 

incident or other accident/incident, in 

order to improve the overall safety of 

railroad operations. 

A. Motive Power and Equipment 

Regulations (MP&E) (49 CFR Parts 215, 

218 (Partially), 223, 224, 227, 229, 230, 

231, 232, 238, and 239 (Partially)) 

In reevaluating the current line-item 

penalty amounts for each of the CFR 

sections or subsections found in 49 CFR 

parts 215, 218 (partially), 223, 224, 227, 

229, 230, 231, 232, 238, and 239 

(partially) of the CFR, FRA took into 

consideration, among other factors, the 

nationwide list of ‘‘Top 10’’ MP&E 

defects. The defects are listed in the 

table below, in descending order, 

according to the number of times that 

each defect was determined to have 

caused a rail equipment accident/ 

incident, excluding highway-rail grade 

crossing accidents/incidents that are 

also classified as rail equipment 

accidents/incidents (‘‘train accidents’’), 

between January 2005 and December 

2009. 

Journal (roller bearing) overheated—(143) Damaged flange or tread (build up)—(60) 

Pantograph defect (locomotive)—(121) Coupler retainer pin/cross key missing—(57) 

Side bearing clearance insufficient—(86) Rigging down or dragging—(49) 

Broken rim—(80) Other coupler/draft system defects; Worn Flange (tie)—(38) 

Truck bolster stiff—(67) Center sill broken or bent—(36) 

The CFR sections or subsections that 

relate to these defects have received 

higher proposed rankings in the 

Schedules compared to other MP&E 

defects and as such now carry higher 

penalty amounts. For example, a 

violation of 49 CFR 215.103(d)(3), 

which involves a defective wheel rim 

with a crack of one inch or more, 

received a proposed ‘‘A’’ severity 

ranking (and a proposed guideline 

penalty amount of $19,500) because of 

the high safety risk that the defect will 

cause a broken rim that, in turn, causes 

a derailment. In addition, FRA applied 

the New Proposed Severity Scale in 

order to determine the degrees of 

likelihood that any type of accident/ 

incident will occur as a result of 

noncompliance with the regulations. 

B. Track and Workplace Safety 

Regulations (49 CFR Parts 213 and 214) 

In recent years, most of the serious 

accidents/incidents (train collisions or 

derailments resulting in a release of 

hazardous materials or harm to rail 

passengers, rail employees, or the 

general public) resulted from human 

factor or track causes. Over the last five 

years, 31.9 percent of train accidents 

were caused by track defects. In an 

effort to reduce track accidents, FRA is 

focusing its track inspections on the 

areas of highest risks and encouraging 

inspectors to recommend enforcement 

action on the kinds of violations that are 

considered leading causes of trackcaused train accidents. Therefore, in 

evaluating the line-item penalty 

amounts for all the sections or 

subsections, FRA took into 

consideration the leading causes of 

track-related train accidents when 

applying the New Proposed Severity 

Scale to the Track Safety Standards. For 

example, violations of 49 CFR 213.53 

‘‘Gage’’ received a new proposed ‘‘A’’ 

ranking (and new proposed penalty 

guideline amounts of $19,500 for an 

ordinary violation and $25,000 for a 

willful violation) because improper gage 

is one of the leading causes of trackrelated train accidents. 

In ranking the sections or subsections 

of 49 CFR part 214 (‘‘Railroad Workplace 

Safety’’), FRA took into consideration 

not only the probability that an 

accident/incident could result if a 

violation occurred, but also the fact that 


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the accident/incident could result in 

serious injury or death. One example of 

the rankings for part 214 is the ranking 

for the second type of violation of 49 

CFR 214.103, coded 214.103(ii), ‘‘Failure 

to use fall protection.’’ This violation 

designated 214.103(ii) received a 

proposed ranking of ‘‘A’’ (and a 

proposed guideline penalty of $19,500 

for an ordinary violation and $25,000 

for a willful violation) because the 

violation could result in serious injury 

or death, as evidenced by the several 

bridge worker fatalities in the past 10 

years due to the failure to use fall 

protection. 

C. Grade Crossing Signal Systems and 

Signal and Train Control Regulations 

(49 CFR Parts 233, 234, 235, and 236) 

FRA applied the New Proposed 

Severity Scale to each of the sections in 

49 CFR parts 233, 234, 235, and 236, in 

order to determine the appropriate 

proposed rankings for each of the 

sections or subsections of the 

regulations. In the area of signal and 

train control (S&TC), FRA followed the 

New Proposed Severity Scale, which 

concentrates on the potential for an 

accident/incident resulting from 

noncompliance. S&TC systems are vital 

to the safe functioning of the general 

railroad system because train crews and 

highway motorists rely on the accuracy 

of the information provided by these 

systems to make safe movements on the 

railway system and through highwayrail grade crossings. While there are 

relatively few train accidents and 

highway-rail grade crossing accidents/ 

incidents associated with S&TC causes 

that have occurred in recent years, the 

consequences of an S&TC-caused 

accident can be catastrophic. Therefore, 

it is imperative that the Schedules put 

into effect by FRA reflect the levels of 

risks associated with the violation of 

these CFR sections or subsections, in 

order to prevent future S&TC-caused 

accidents. 

D. Operating Practices Regulations (49 

CFR Parts 217, 218 (Partially), 219, 220, 

221, 222, 225, 228, 239 (Partially), 240, 

and 241) and Hours of Service Laws (49 

U.S.C. Chapter 211) 

Over the five years from January 2005 

to December 2009, human-factor-related 

causes accounted for 34.2 percent of all 

train accidents. A review of the FRA’s 

Office of Railroad Safety database 

indicated that in 2009 the top four 

human factor causes contributing to 

train accidents were improperly lined 

switches; employees absent on, at, or 

ahead of a shoving movement; failure to 

control during a shoving movement; and 

failure to comply with restricted speed 

or its equivalent when not in connection 

with a block or interlocking signal. 

These top causes are often involved in 

violations of such regulations as 49 CFR 

part 220 (‘‘Railroad Communications’’). 

A review of the top four causes for 

human factor train accidents between 

January 2005 and December 2009 

showed that these causes accounted for 

1,812 reportable train accidents/ 

incidents (including 13 employee 

fatalities, 463 employee injuries, and 

over $96 million in damages). Therefore, 

when applying the New Proposed 

Severity Scale to the regulatory 

provision or statute, FRA considered all 

of this safety information in order to 

ensure that each new proposed lineitem penalty amount reflected the 

likelihood that noncompliance would 

result in a train accident/incident, or 

that graver consequences would occur 

as a result of failing to comply with the 

statute or section or subsection of the 

regulations. 

V. Response to Public Comment on the 

Schedules Proposed in December 2006 

As previously stated, the existing 

Schedules are statements of agency 

policy, which FRA has authority to 

amend or replace without having to 

provide prior notice and opportunity for 

comment under the Administrative 

Procedure Act, 5 U.S.C. 553(b)(3)(A). 

Nevertheless, FRA provided members 

and representatives of the regulated 

community and the general public with 

an opportunity to comment on the 

proposed line-item penalty amounts 

published on December 5, 2006. FRA 

received six comments on the Schedules 

proposed in December 2006. FRA has 

considered the comments received and 

now responds to the questions and 

concerns raised in them. 

A. Concerns Related to Respondents 

That Are Small Businesses 

The Small Railroad Business Owners 

of America (‘‘SRBOA’’) commented that 

FRA’s December 2006 proposed civil 

penalty policy does not adequately take 

into account the interests of small 

businesses. The commenter suggested 

that doubling certain civil penalties for 

smaller railroads is unfair, especially 

because most of the accidents/incidents 

occur on larger railroads. The 

commenter also asked that FRA provide 

additional training and assistance to 

smaller railroads in comprehension and 

application of the rail safety regulations. 

In addition, the American Short Line 

and Regional Railroad Association 

(‘‘ASLRRA’’) commented that the 

proposed statement of agency policy 

ignores the effect that proposed amounts 

would have on small railroads. ASLRRA 

suggested that FRA move instead, 

towards a sliding scale system of civil 

penalties based on the class of track 

under 49 CFR part 213 that is involved 

in the violation. In the alternative, 

ASLRRA suggested that FRA take the 

time to codify a second, lower schedule 

of penalties for small railroads. 

In response to these concerns, FRA 

would like to emphasize appendix C to 

49 CFR part 209, where FRA has 

published its policy statement 

concerning small business entities. FRA 

understands that small entities in the 

rail industry have significantly different 

characteristics from larger carriers and 

shippers. Therefore, FRA has developed 

programs to respond to compliancerelated inquiries of small entities, and to 

ensure proper handling of civil penalty 

and other enforcement actions against 

small businesses. FRA inspectors 

provide training on the requirements of 

all railroad safety statutes for new and 

existing small businesses upon request. 

Also, it is FRA’s policy to maintain 

frequent and open communications 

with the national representatives of the 

primary small entity associations and to 

consult with these organizations before 

embarking on new policies that may 

impact the interests of small businesses. 

Additionally, FRA has posted all of its 

manuals electronically for compliance 

with the rail safety disciplines at http:// 

www.fra.dot.gov. 

FRA employs an enforcement policy 

that addresses the unique nature of 

small entities in the imposition of civil 

penalties and resolution of those 

assessments. Pursuant to appendix A to 

49 CFR part 209, it is FRA’s policy to 

consider a variety of factors in 

determining whether to take 

enforcement action against persons, 

including small entities, who have 

violated the safety laws and regulations. 

In general, the presence of both good 

faith and prompt remedial action on the 

part of the small entity militates against 

taking a civil penalty action, especially 

if the violation is an isolated event. 

Once FRA has assessed a civil penalty, 

FRA may adjust or compromise the 

initial penalty claim based on a wide 

variety of mitigating factors. The 

mitigating criteria that FRA applies are 

found in the railroad safety statutes at 

49 U.S.C. ch. 213 and in the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (Pub. L. 104–121) 

(‘‘SBREFA’’); these factors include the 

severity of the safety or health risk 

presented; the existence of alternative 

methods of eliminating the safety 

hazard; the entity’s culpability; the 

entity’s compliance history; the entity’s 

ability to pay the assessment; the impact 

an assessment might exact on the 


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entity’s continued business; and 

evidence that the entity acted in good 

faith. 49 CFR part 209, appendix C. 

FRA’s enforcement policy with 

respect to small entities is flexible and 

comprehensive, but FRA’s first priority 

in its compliance and enforcement 

activities is public and employee safety. 

FRA notes that an accident on a small 

railroad could have the same 

consequences as an accident on a large 

railroad. Therefore, small railroads are 

responsible for compliance with the 

railroad safety statutes and regulations. 

Finally, the Small Railroad Business 

Owners’ Association of America 

(‘‘SRBOA’’) commented that FRA’s civil 

penalties were higher than those used 

by the Federal Motor Carrier Safety 

Administration (‘‘FMCSA’’) for enforcing 

commercial motor vehicle driver and 

trucking safety, and suggested that FRA 

should impose civil penalties for 

smaller railroads only if discussing the 

situation with them does not work first. 

As explained above, FRA’s rail safety 

inspectors take into account a variety of 

factors in determining whether to take 

enforcement actions. They have the 

option of citing the railroads for defects, 

which in their judgment do not merit 

civil penalties before citing them for 

violations, which do carry civil penalty 

recommendations. Also, FRA does not 

believe it is appropriate to compare 

FRA’s rail safety penalties to FMCSA’s 

penalties for driver and trucking safety. 

The safety considerations in the 

trucking and rail industries are very 

different. An accident involving a train 

is potentially far more catastrophic and 

costly than a similar accident involving 

a truck. For example, one railroad tank 

car could contain many truckloads of 

hazardous material, and one train could 

consist of many such railroad tank cars. 

B. Concerns About Initially Proposed 

Penalty Amounts for Violations of 49 

CFR Parts 222, 225, and 229 

The Association of American 

Railroads (‘‘AAR’’) stated that, in several 

cases, the penalties proposed in 

December 2006 are disproportionate to 

the severity of the violation. 

Specifically, AAR took exception to 

penalties proposed for noncompliance 

with 49 CFR parts 222, 225, and 229. 

With regard to part 222 (the train horn 

rule), AAR contended that a ‘‘D’’ level 

penalty for a violation of § 222.21(b) is 

unsubstantiated, as the sounding of a 

horn for more than 20 seconds will not 

increase the likelihood of an accident or 

incident. 

FRA provides that the train horn rule 

focuses on public and community 

interests. To remain true to the intention 

of the rule, FRA must take the interests 

of the community into account when 

determining the penalty amount that a 

violation merits. FRA believes that it is 

important that sufficient warning be 

provided to the motorist who needs 

time to recognize the audible signal, 

understand its message, initiate a 

reaction, and take appropriate action 

when at a grade crossing. See 71 FR 

47618, Aug. 17, 2006. If the train horn 

is sounded more than 25 seconds before 

the train enters the train crossing, 

motorists might well begin to doubt the 

credibility of the train horn as an 

indicator of the train’s immediacy to the 

grade crossing. As a result, motorists 

will be more likely to take the risk of 

traveling through the crossing even 

when the train horn is sounded. 

The rule text for § 222.21(b) also 

provides a ‘‘good faith’’ exception for the 

required length of time that the horn is 

sounded. The section permits additional 

flexibility by stating that the engineer 

shall not be in violation of § 222.21(b) 

if the engineer sounds the horn not 

more than 25 seconds before the 

crossing, if in good faith the engineer 

cannot precisely estimate the arrival 

time of the train at the crossing. FRA 

has determined that the interests of 

avoiding an accident or incident as well 

as the interests of the community have 

been taken into account in assessing 

violations of § 222.21(b) as a proposed 

‘‘D’’ level penalty with the exception of 

‘‘failure to sound the horn at least 15 

seconds and less than 1⁄4-mile before a 

crossing,’’ which is assessed as a 

proposed ‘‘C’’ level penalty. 

Additionally, AAR stated that routine 

sounding of the horn at a grade crossing 

within a quiet zone, pursuant to 

§ 222.45, will not increase the 

likelihood of an accident or incident. 

With regard to AAR’s comment on 

§ 222.45, although sounding the train 

horn in a quiet zone may not 

substantially increase the likelihood of 

an accident the first time or the first few 

times, trains that routinely sound their 

horns at quiet-zone grade crossings 

might cause motorists to doubt the 

credibility of signs marking a grade 

crossing as a quiet-zone grade crossing 

and whether a particular grade crossing 

is actually a quiet-zone grade crossing. 

Therefore, if routine violations of a quiet 

zone continue, motorists will begin to 

expect the warning of a train horn when 

a train is preparing to enter quiet-zone 

grade crossings where routine violations 

of the quiet zone occur. That could 

predictably lead to fatal accidents. 

In addition, violations of § 222.45 

increase the annoyance level of the 

communities surrounding the grade 

crossing. A fundamental feature of this 

rule was to balance driver and 

pedestrian safety with community noise 

concerns. Decreasing the civil monetary 

penalty would reduce the incentive to 

comply with the part and potentially 

increase noise for the surrounding 

communities. FRA maintains that the 

initial and new proposed ‘‘D’’ level 

penalty for a violation of § 222.45 

sufficiently addresses the concerns that 

brought about the part 222 rulemaking. 

See 71 FR 47614, Aug. 17, 2006. 

AAR also argued that a ‘‘B’’ level 

penalty for a violation of 49 CFR 225.13 

was unmerited, as a railroad’s filing of 

a report one day late would not be more 

likely to cause an accident or incident. 

FRA has taken into consideration 

AAR’s comments involving FRA’s 

regulations on accident/incident 

reporting, 49 CFR part 225. FRA 

acknowledges the merits in AAR’s 

comments with regard to § 225.13, and 

FRA has revised the proposed penalty 

ranking for a violation of § 225.13 from 

a ‘‘B’’ to an ‘‘E.’’ Upon reevaluating how 

part 225 violations were ranked on the 

severity scale in the Initial Proposal, 

FRA has lowered many of the proposed 

severity scale rankings for violations of 

this part. For example, FRA has 

determined to change the ranking of a 

§ 225.11 violation (failure to submit 

monthly report of accidents/incidents) 

from a proposed ‘‘B’’ to a proposed ‘‘D’’ 

level penalty. At the same time, FRA 

has determined that a violation of 

§ 225.9, failure to report certain 

accidents or incidents, immediately via 

telephone to the National Response 

Center, would be more detrimental to 

railroad safety, because the failure could 

prevent FRA from learning about the 

event and deciding whether or not the 

agency should commence an 

investigation. Even delayed notification 

could compromise such an investigation 

and prevent FRA from obtaining 

information that could identify safety 

problems that could cause future 

accidents or incidents. FRA has, 

therefore, changed the penalty amount 

from a proposed ‘‘E’’ to a proposed ‘‘C’’ 

level penalty. 

Finally, AAR stated that a ‘‘C’’ level 

penalty for a violation of a provision of 

the Locomotive Safety Standards, 49 

CFR 229.137(a)(3), was uncalled for, as 

the lack of a toilet in the lead 

locomotive will not ‘‘substantially 

increase the likelihood of an accident or 

incident.’’ 

When FRA promulgated the notice of 

proposed rulemaking for the locomotive 

cab sanitation standards, FRA 

determined that serious health 

consequences may result if railroad 

employees are exposed to unsanitary 

conditions or lack access to facilities. In 

fact, it is widely known that exposure to 


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7For example, BLET stated that the penalty for 49 

CFR 214.103(ii) (‘‘Failure to use fall protection’’) 

would increase 340 percent. Expressing the original 

penalty amounts in 2006 dollars (for consistency 

with the first proposed penalty schedules that were 

published on December 5, 2006), the increase 

would actually have been 204 percent; however, 

with the proposed penalties in this notice, the 

increase in real dollars would be 559 percent. 

Similarly, for 49 CFR 218.22(c)(5) (‘‘Utility 

employees: Assignment conditions: Performing 

functions not listed’’), BLET found an 87.5 percent 

increase. Measured in 2006 dollars, the difference 

between the current penalties and the originallyproposed revised penalties would have been 15 

percent, and with the proposed penalties in this 

notice, the real difference would be about 46 

percent. For 49 CFR 219.11(b)(1) (‘‘General 

conditions for chemical tests: Employee unlawfully 

refuses to participate in testing’’), BLET calculated 

a 120 percent increase, the change in real dollars 

from the original proposal would have been 41 

percent. With the proposed penalties in this New 

Proposal, the increase would be about 22 percent 

(Upon reevaluating the severity scale rankings in 

the Initial Proposal, FRA lowered the severity scale 

ranking for violations of § 219.11(b)(1) from a 

proposed ‘‘A’’ to a proposed ‘‘D’’ level penalty.) In 

each of these examples, the rules concern areas of 

significant risk. Consequentially, FRA has 

determined that higher proposed penalties are 

necessary and justified. 

human fecal matter or untreated sewage 

waste can lead to diarrheal diseases 

such as amebiasis, giardiasis, 

shigellosis, and viral diseases such as 

hepatitis. See 66 FR 137, Jan. 2, 2001. 

FRA notes that any one of these 

mentioned conditions would fulfill the 

reporting requirements under the 

definition of an ‘‘occupational illness’’ 

pursuant to 49 CFR 225.19(d) and 

therefore be considered an accident/ 

incident within the meaning of the 

initially proposed Severity Scale and 

the New Proposed Severity Scale. FRA 

also notes that an engineer who 

contracts one of those diseases on duty 

might well be unable to operate his or 

her train safely. 

C. Concerns Related to Respondents 

Who Are Cited as Individuals 

The Brotherhood of Locomotive 

Engineers and Trainmen (‘‘BLET’’) had a 

number of comments on civil penalties 

against individuals for rail safety 

violations. The BLET raised concern 

that FRA’s conclusions on the data 

indicate a ‘‘lack of discipline by the 

workers.’’ Also, the commenter 

suggested that the December 2006 

proposed statement of agency policy 

suffers from ‘‘the same infirmity as the 

railroad operating rules NPRM (notice of 

proposed rulemaking).’’ Overall, the 

BLET seemed very concerned with the 

effect that a larger penalty would have 

on an individual as opposed to a 

railroad. 

FRA responds that civil penalties 

assessed against individuals pursuant to 

the rail safety statutes, regulations, and 

orders may be assessed administratively 

only if FRA determines that the 

individual’s conduct was willful in 

nature. 49 U.S.C. 21304. ‘‘FRA considers 

a ‘willful’ violation to be one that is an 

intentional, voluntary act committed 

either with knowledge of the relevant 

law or reckless disregard for whether 

the act violated the requirements of the 

law.’’ 49 CFR part 209, appendix A. FRA 

continues to hold that the higher 

penalties for a willful violation serve to 

deter an individual from engaging in 

this type of egregious behavior. Further, 

FRA assesses rail safety civil penalties 

against railroads at a substantially 

higher frequency than against 

individuals. As neither the Initial 

Proposal nor the New Proposal 

addresses the issues covered in 

‘‘Railroad Operating Rules: Program of 

Operational Tests and Inspections; 

Railroad Operating Practices: Handling 

Equipment, Switches and Fixed 

Derails,’’ FRA declines to respond in 

this proposal to comments regarding 

that rulemaking, in which a final rule 

was published on June 16, 2008. 73 FR 

33888. 

D. Concerns About Effects on FRA’s 

Confidential Close Call Reporting 

Project 

The BLET also provided comments 

exhibiting a concern as to how the 

proposed penalty schedule in the Initial 

Proposal would impact FRA’s 

Confidential Close Call Reporting Pilot 

Project (‘‘Close Call Project’’). The Close 

Call Project involves encouraging 

employees from its participating 

railroads to report ‘‘close call’’ incidents 

voluntarily and anonymously. A ‘‘close 

call’’ is an event in which a death, a 

personal injury, or property damage is 

narrowly averted. Thus, a ‘‘close call’’ 

presents an opportunity to improve 

safety practices in a situation or 

incident that has potential for more 

serious consequences by allowing the 

people involved to report the event in 

detail without fear of adverse 

consequences, thereby providing FRA 

with vital data about precursors to 

accidents or incidents that FRA might 

otherwise not receive. The information 

collected from the Close Call Project 

provides an opportunity to identify and 

correct weaknesses in a railroad’s safety 

system before an accident/incident or 

other unsafe event occurs. The system 

can also be used to monitor changes in 

safety over time and to uncover hidden 

unsafe conditions that were previously 

unreported. 

FRA does not agree with BLET’s 

comment that the Initial Proposal would 

nullify the incentive for voluntary 

submission of information in this pilot 

program. The employees participating 

in the Close Call Project are protected 

from carrier discipline, decertification, 

and FRA enforcement action in the 

same manner regardless of whether the 

civil penalties are increased. Before a 

Close Call Project may be initiated, the 

employing railroad and the employees’ 

union representatives sign a 

memorandum of understanding 

(‘‘MOU’’) that specifies each party’s 

rights and responsibilities. Revising the 

Schedules would not impact any MOU 

that has been implemented, and would 

not affect any MOU that is to be 

implemented in the future, as they 

would not expand FRA’s enforcement 

authority. 

E. Concerns About Proposed Monetary 

Increases in the Civil Penalty Amounts 

Commenters measured the change 

between the current penalties and the 

initially proposed penalties in nominal 

terms. That is, commenters calculated 

the price change between the initially 

proposed penalties and the current 

penalties without first adjusting the 

current penalty amounts for inflation. 

Inflation erodes the purchasing power of 

money over time. As previously stated 

in this New Proposal, the enforcement 

and deterrent effects of the current 

penalties have decreased over time as 

they had not been increased line by line 

to account for the effects of inflation. A 

better, ‘‘apples-to-apples’’ comparison 

would be to compare the proposed 

penalties to the inflation-adjusted, or 

real, current penalties. Adjusting for 

inflation allows comparison of the 

penalties using dollars with the same 

purchasing power. 

Given that inflation-adjusted, current 

penalties serve as the proper baseline 

for measuring change, it is significant 

that many of the current penalties have 

not changed in nominal terms for many 

years. 

As previously stated, in undertaking 

this effort to revise the Schedules 

comprehensively after many years, FRA 

is focusing on areas that pose greater 

safety risks, and maintaining 

enforcement in other regulatory areas 

per its authority to set penalty 

guidelines within the minimum, 

ordinary maximum, and aggravated 

maximum statutory penalties. With the 

New Proposal, some of the proposed 

penalty amounts if adopted by FRA will 

indeed show large increases, even after 

adjusting for inflation.7 However, as 

previously stated, some newly proposed 

penalty amounts for violations would 

remain unchanged (e.g., 49 CFR 

219.205(b), 222.49(b), 229.71, and 

239.301(c)(1)). Again, the penalty 

amounts in the New Proposal reflect the 


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reanalyzed risk basis for the penalty 

amounts and the new ordinary 

maximum statutory penalty. FRA 

believes that these new proposed 

Schedules will maintain and increase 

the effect of the civil monetary 

penalties, fostering a higher overall level 

of safety. 

List of Subjects 

49 CFR Part 209 

Administrative practice and 

procedure, Hazardous materials 

transportation, Penalties, Railroad 

safety, Reporting and recordkeeping 

requirements. 

49 CFR Part 213 

Bridges, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 214 

Bridges, Occupational safety and 

health, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 215 

Freight, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 217 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 218 

Occupational safety and health, 

Penalties, Railroad employees, Railroad 

safety, Reporting and recordkeeping 

requirements. 

49 CFR Part 219 

Alcohol abuse, Drug abuse, Drug 

testing, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements, Safety, Transportation. 

49 CFR Part 220 

Penalties, Radio, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 221 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 222 

Administrative practice and 

procedure, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 223 

Glass and glass products, Penalties, 

Railroad safety, Reporting and 

recordkeeping requirements. 

49 CFR Part 224 

Penalties, Railroad locomotive safety, 

Railroad safety, Reporting and 

recordkeeping requirements. 

49 CFR Part 225 

Investigations, Penalties, Railroad 

safety, Reporting and recordkeeping 

requirements. 

49 CFR Part 227 

Locomotives, Noise control, 

Occupational safety and health, 

Penalties, Railroad safety, Reporting and 

recordkeeping requirements. 

49 CFR Part 228 

Administrative practice and 

procedures, Buildings and facilities, 

Hazardous materials transportation, 

Noise control, Penalties, Railroad 

employees, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 229 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 230 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 231 

Penalties, Railroad safety. 

49 CFR Part 232 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 233 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 234 

Highway safety, Penalties, Railroad 

safety, Reporting and recordkeeping 

requirements. 

49 CFR Part 235 

Administrative practice and 

procedure, Penalties, Railroad safety, 

Reporting and recordkeeping 

requirements. 

49 CFR Part 236 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 238 

Fire prevention, Penalties, Railroad 

safety, Reporting and recordkeeping 

requirements. 

49 CFR Part 239 

Penalties, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 240 

Administrative practice and 

procedure, Penalties, Railroad 

employees, Railroad safety, Reporting 

and recordkeeping requirements. 

49 CFR Part 241 

Communications, Penalties, Railroad 

safety, Reporting and recordkeeping 

requirements. 

In consideration of the foregoing, FRA 

proposes to amend parts 209, 213, 214, 

215, 217, 218, 219, 220, 221, 222, 223, 

224, 225, 227, 228, 229, 230, 231, 232, 

233, 234, 235, 236, 238, 239, 240, and 

241 of subtitle B, chapter II of title 49 

of the Code of Federal Regulations to 

read as follows: 

PART 209—[AMENDED] 

1. The authority citation for part 209 

continues to read as follows: 

Authority: 49 U.S.C. 5123, 5124, 20103, 

20107, 20111, 20112, 20114; 28 U.S.C. 2461, 

note; and 49 CFR 1.49. 

2. Appendix A to part 209 is revised 

to read as follows: 

Appendix A to Part 209—Statement of 

Agency Policy Concerning Enforcement 

of the Federal Railroad Safety Laws 

Penalty Schedules: Assessment of Maximum 

Penalties 

As recommended by the Department of 

Transportation in its initial proposal for rail 

safety legislative revisions in 1987, the RSIA 

raised the maximum civil penalties for 

violations of the safety regulations or orders. 

Under the Hours of Service Act, the penalty 

was changed from a flat $500 to a penalty of 

‘‘up to $1,000, as the Secretary of 

Transportation deems reasonable.’’ Under all 

the other statutes, the maximum penalty was 

raised from $2,500 to $10,000 per violation, 

except that ‘‘where a grossly negligent 

violation or pattern of repeated violations has 

created an imminent hazard of death or 

injury,’’ the penalty was raised to a maximum 

of $20,000 per violation. 

The Rail Safety Enforcement and Review 

Act (RSERA), enacted in 1992, increased the 

maximum penalty from $1,000 to $10,000 

and in some cases, $20,000 for a violation of 

the hours of service laws, making these 

penalty amounts uniform with those of FRA’s 

other regulatory provisions and orders. 

RSERA also increased the minimum civil 

monetary penalty from $250 to $500 for all 

of FRA’s regulatory provisions and orders. 

The Federal Civil Penalties Inflation 

Adjustment Act of 1990, Public Law 101– 

410, 104 Stat. 890, note, as amended by 

Section 31001(s)(1) of the Debt Collection 

Improvement Act of 1996 (Pub. L. 104–134, 

110 Stat. 1321–373, April 26, 1996) (Inflation 

Act) required that agencies adjust by 

regulation each minimum and maximum 

civil monetary penalty within the agency’s 

jurisdiction for inflation and make 

subsequent adjustments once every four 

years after the initial adjustment. 

Accordingly, FRA’s minimum and maximum 

civil monetary penalties have been adjusted. 

In 2008, the Rail Safety Improvement Act 

of 2008 (RSIA of 2008) was enacted raising 


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FRA’s civil monetary ordinary and 

aggravated maximum penalties to $25,000 

and $100,000 respectively. FRA amended the 

civil penalty provisions in its regulations so 

as to make $25,000 the ordinary maximum 

penalty per violation and $100,000 the 

aggravated maximum penalty per violation, 

as authorized by the RSIA of 2008, in a final 

rule published on December 30, 2008 in the 

Federal Register. 73 FR 79700. The 

December 30, 2008 final rule also adjusted 

the minimum civil penalty from $550 to $650 

pursuant to Inflation Act requirements. Id. A 

correcting amendment to the civil penalty 

provisions in 49 CFR part 232 was published 

on April 6, 2009. 74 FR 15388. 

FRA’s traditional practice has been to issue 

penalty schedules assigning to each 

particular regulation or order specific dollar 

amounts for initial penalty assessments. The 

schedule (except where issued after notice 

and an opportunity for comment) constitutes 

a statement of agency policy, and is 

ordinarily issued as an appendix to the 

relevant part of the Code of Federal 

Regulations. For each regulation or order, the 

schedule shows two amounts within the 

$650 to $25,000 range in separate columns, 

the first for ordinary violations, the second 

for willful violations (whether committed by 

railroads or individuals). In one instance— 

part 231—the schedule refers to sections of 

the relevant FRA defect code rather than to 

sections of the CFR text. Of course, the defect 

code, which is simply a reorganized version 

of the CFR text used by FRA to facilitate 

computerization of inspection data, is 

substantively identical to the CFR text. 

Accordingly, under each of the schedules 

(ordinarily in a footnote), and regardless of 

the fact that a lesser amount might be shown 

in both columns of the schedule, FRA 

reserves the right to assess the statutory 

maximum penalty of up to $100,000 per 

violation where a grossly negligent violation 

has created an imminent hazard of death or 

injury. This authority to assess a penalty for 

a single violation above $25,000 and up to 

$100,000 is used only in very exceptional 

cases to penalize egregious behavior. FRA 

indicates in the penalty demand letter when 

it uses the higher penalty amount instead of 

the penalty amount listed in the schedule. 

PART 213—[AMENDED] 

3. The authority citation for part 213 

continues to read as follows: 

Authority: 49 U.S.C. 20102–20114 and 

20142; 28 U.S.C. 2461, note; and 49 CFR 

1.49(m). 

4. Appendix B to part 213 is revised 

to read as follows: 

APPENDIX B TO PART 213—SCHEDULE OF CIVIL PENALTIES 1

Section 2 3 Violation Willful 

violation 

Subpart A—General 

213.4(a) Excepted track 2 ............................................................................................................................... $9,500 $17,000 

213.4(b) Excepted track 2 ............................................................................................................................... 13,000 20,500 

213.4(c) Excepted track 2 .......................................................................................................................... 13,000 20,500 

213.4(d) Excepted track 2 ............................................................................................................................... 13,000 20,500 

213.4(e): 

(1) Excepted track ................................................................................................................................... 13,000 20,500 

(2) Excepted track ................................................................................................................................... 13,000 20,500 

(3) Excepted track ................................................................................................................................... 13,000 20,500 

(4) Excepted track ................................................................................................................................... 13,000 20,500 

213.4(f) Excepted track ................................................................................................................................... 5,500 10,000 

213.7 Designation of qualified persons to supervise certain renewals and inspect track ........................... 9,500 17,000 

213.9 Classes of track: Operating speed limits ............................................................................................ 19,500 25,000 

213.11 Restoration or renewal of track under traffic conditions ................................................................... 9,500 17,000 

213.13 Measuring track not under load ........................................................................................................ 13,000 20,500 

Subpart B—Roadbed 

213.33 Drainage ............................................................................................................................................ 13,000 20,500 

213.37 Vegetation ......................................................................................................................................... 9,500 17,000 

Subpart C—Track Geometry 

213.53 Gage .................................................................................................................................................. 19,500 25,000 

213.55 Alignment .......................................................................................................................................... 13,000 20,500 

213.57 Curves; elevation and speed limitations ........................................................................................... 13,000 20,500 

213.59 Elevation of curved track; runoff ....................................................................................................... 13,000 20,500 

213.63 Track surface .................................................................................................................................... 13,000 20,500 

Subpart D—Track Structure 

213.103 Ballast; general ............................................................................................................................... 9,500 17,000 

213.109 Crossties: 

(a) Material used ...................................................................................................................................... 5,500 10,000 

(b) Distribution of ties .............................................................................................................................. 13,000 20,500 

(d) Sufficient number of nondefective ties ............................................................................................... 9,500 17,000 

(f) Joint ties .............................................................................................................................................. 9,500 17,000 

(g) Track constructed without crossties ................................................................................................... 9,500 17,000 

213.110 Gage restraint measurement systems: 

(a) through (b) Notification ....................................................................................................................... 9,500 17,000 

(c) Design requirements .......................................................................................................................... 13,000 20,500 

(g) through (i) Exception reports ............................................................................................................. 9,500 17,000 

(j) Data integrity ....................................................................................................................................... 13,000 20,500 

(k) Training ............................................................................................................................................... 9,500 17,000 

(l) Remedial actions ................................................................................................................................. 19,500 25,000 

(m) PTLF .................................................................................................................................................. 13,000 20,500 

(n) Recordkeeping ................................................................................................................................... 9,500 17,000 

(o) Inspection frequency .......................................................................................................................... 19,500 25,000 

213.113 Defective rails .................................................................................................................................. 19,500 25,000 

213.115 Rail end mismatch .......................................................................................................................... 9,500 17,000 

213.118(a) CWR plan in effect ....................................................................................................................... 13,000 20,500 

213.118(b) CWR plan filed with FRA ............................................................................................................. 13,000 20,500 

213.119 Continuous welded rail: 


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APPENDIX B TO PART 213—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 3 Violation Willful 

violation 

(a) CWR installation/adjustment procedures ........................................................................................... 13,000 20,500 

(b) CWR fastening requirements ............................................................................................................. 13,000 20,500 

(c) CWR joint installation/maintenance procedures ................................................................................ 13,000 20,500 

(d) CWR rail temperature requirements .................................................................................................. 13,000 20,500 

(e) CWR alinement .................................................................................................................................. 13,000 20,500 

(f) Procedures for controlling train speed on CWR track ........................................................................ 13,000 20,500 

(g) CWR track inspections ....................................................................................................................... 13,000 20,500 

(h) CWR joint bar inspections ................................................................................................................. 13,000 20,500 

(i) CWR training ....................................................................................................................................... 13,000 20,500 

(j) CWR records ....................................................................................................................................... 9,500 17,000 

(k) CWR manual at job site ..................................................................................................................... 9,500 17,000 

213.121(a) Rail joints ...................................................................................................................................... 13,000 20,500 

213.121(b) Rail joints ...................................................................................................................................... 13,000 20,500 

213.121(c) Rail joints ...................................................................................................................................... 19,500 25,000 

213.121(d) Rail joints ...................................................................................................................................... 13,000 20,500 

213.121(e) Rail joints ...................................................................................................................................... 13,000 20,500 

213.121(f) Rail joints ....................................................................................................................................... 13,000 20,500 

213.121(g) Rail joints ...................................................................................................................................... 13,000 20,500 

213.121(h) Rail joints ...................................................................................................................................... 13,000 20,500 

213.122 Torch cut rail ................................................................................................................................... 13,000 20,500 

213.123 Tie plates ......................................................................................................................................... 9,500 17,000 

213.127 Rail fastenings ................................................................................................................................. 13,000 20,500 

213.133 Turnouts and track crossings, generally ......................................................................................... 9,500 17,000 

213.135 Switches: .........................................................................................................................................

(a) through (g) .......................................................................................................................................... 13,000 20,500 

(h) chipped or worn points ....................................................................................................................... 13,000 20,500 

213.137 Frogs ............................................................................................................................................... 13,000 20,500 

213.139 Spring rail frogs ............................................................................................................................... 13,000 20,500 

213.141 Self-guarded frogs ........................................................................................................................... 9,500 17,000 

213.143 Frog guard rails and guard faces; gage ......................................................................................... 13,000 20,500 

Subpart E—Track Appliances and Track-Related Devices 

213.205 Derails ............................................................................................................................................. 9,500 17,000 

Subpart F—Inspection 

213.233 Track inspections ............................................................................................................................ 9,500 17,000 

213.235 Switches, crossings, transition devices .......................................................................................... 9,500 17,000 

213.237 Inspection of rail .............................................................................................................................. 13,000 20,500 

213.239 Special inspections ......................................................................................................................... 9,500 17,000 

213.241 Inspection records ........................................................................................................................... 9,500 17,000 

Subpart G—Train Operations at Track Classes 6 and Higher 

213.305 Designation of qualified individuals; general qualifications ............................................................ 19,500 25,000 

213.307 Class of track; operating speed limits ............................................................................................. 19,500 25,000 

213.309 Restoration or renewal of track under traffic conditions ................................................................. 19,500 25,000 

213.311 Measuring track not under load ...................................................................................................... 13,000 20,500 

213.319 Drainage .......................................................................................................................................... 9,500 17,000 

213.321 Vegetation ....................................................................................................................................... 9,500 17,000 

213.323 Track gage ...................................................................................................................................... 19,500 25,000 

213.327 Alignment ........................................................................................................................................ 19,500 25,000 

213.329 Curves, elevation and speed limits ................................................................................................. 19,500 25,000 

213.331 Track surface .................................................................................................................................. 19,500 25,000 

213.333 Automated vehicle inspection systems ........................................................................................... 19,500 25,000 

213.335 Crossties: 

(a) Material used ...................................................................................................................................... 9,500 17,000 

(b) Distribution of ties .............................................................................................................................. 13,000 20,500 

(c) Sufficient number of nondefective ties, non-concrete ........................................................................ 9,500 17,000 

(d) Sufficient number of nondefective, concrete ties ............................................................................... 19,500 25,000 

(e) Joint ties ............................................................................................................................................. 19,500 25,000 

(f) Track constructed without crossties .................................................................................................... 19,500 25,000 

(g) Non-defective ties surrounding defective ties .................................................................................... 19,500 25,000 

(h) Tie plates ............................................................................................................................................ 19,500 25,000 

(i) Tie plates ............................................................................................................................................. 19,500 25,000 

213.337 Defective rails .................................................................................................................................. 19,500 25,000 

213.339 Inspection of rail in service ............................................................................................................. 19,500 25,000 

213.341 Inspection of new rail ...................................................................................................................... 19,500 25,000 

213.343 Continuous welded rail (a) through (h) ........................................................................................... 19,500 25,000 

213.345 Vehicle qualification testing (a) through (b) .................................................................................... 19,500 25,000 

(c) through (e) ........................................................................................................................................... 19,500 25,000 

213.347 Automotive or railroad crossings at grade ...................................................................................... 13,000 20,500 

213.349 Rail end mismatch .......................................................................................................................... 13,000 20,500 

213.351(a) Rail joints ....................................................................................................................................... 19,500 25,000 


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APPENDIX B TO PART 213—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 3 Violation Willful 

violation 

213.351(b) Rail joints ....................................................................................................................................... 19,500 25,000 

213.351(c) Rail joints ....................................................................................................................................... 19,500 25,000 

213.351(d) Rail joints ....................................................................................................................................... 19,500 25,000 

213.351(e) Rail joints ....................................................................................................................................... 13,000 20,500 

213.351(f) Rail joints ........................................................................................................................................ 19,500 25,000 

213.351(g) Rail joints ....................................................................................................................................... 19,500 25,000 

213.352 Torch cut rails ................................................................................................................................. 9,500 17,000 

213.353 Turnouts, crossovers, transition devices ........................................................................................ 19,500 25,000 

213.355 Frog guard rails and guard faces; gage ......................................................................................... 13,000 20,500 

213.357 Derails ............................................................................................................................................. 9,500 17,000 

213.359 Track stiffness ................................................................................................................................. 19,500 25,000 

213.361 Right of way .................................................................................................................................... 9,500 17,000 

213.365 Visual inspections ........................................................................................................................... 19,500 25,000 

213.367 Special inspections ......................................................................................................................... 19,500 25,000 

213.369 Inspections records ......................................................................................................................... 9,500 17,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 In addition to assessment of penalties for each instance of noncompliance with the requirements identified by this footnote, track segments 

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

this footnote applies are subject to all other requirements of part 213 until such noncompliance is remedied. 3The penalty schedule uses section numbers from 49 CFR part 213. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 214—[AMENDED] 

5. The authority citation for part 214 

continues to read as follows: 

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

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

6. Appendix A to part 214 is revised 

to read as follows: 

APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Bridge Worker Safety Standards 

214.103 Fall protection: 

(i) Failure to provide fall protection .......................................................................................................... $13,000 $20,500 

(ii) Failure to use fall protection ................................................................................................................ 19,500 25,000 

214.105 Standards and practices: 

(a) General: 

(1) Fall protection used for other purposes ...................................................................................... 9,500 17,000 

(2) Failure to remove from service .................................................................................................... 9,500 17,000 

(3) Failure to protect from deterioration ............................................................................................ 9,500 17,000 

(4) Failure to inspect and remove ..................................................................................................... 13,000 20,500 

(5) Failure to train .............................................................................................................................. 13,000 20,500 

(6) Failure to provide for prompt rescue ........................................................................................... 13,000 20,500 

(7) Failure to prevent damage .......................................................................................................... 9,500 17,000 

(8) Failure to use proper connectors ................................................................................................ 9,500 17,000 

(9) Failure to use proper anchorages ............................................................................................... 9,500 17,000 

(b) Fall arrest system: 

(1)–(17) Failure to provide conforming equipment ........................................................................... 9,500 17,000 

(c) Safety net systems: 

(1) Failure to install close to workplace ............................................................................................ 9,500 17,000 

(2) Failure to provide fall arrest if over 30 feet ................................................................................. 13,000 20,500 

(3) Failure to provide for unobstructed fall ........................................................................................ 13,000 20,500 

(4) Failure to test ............................................................................................................................... 9,500 17,000 

(5) Failure to use proper equipment ................................................................................................. 9,500 17,000 

(6) Failure to prevent contact with surface below ............................................................................. 13,000 20,500 

(7) Failure to properly install ............................................................................................................. 13,000 20,500 

(8) Failure to remove defective nets ................................................................................................. 13,000 20,500 

(9) Failure to inspect ......................................................................................................................... 13,000 20,500 

(10) Failure to remove objects .......................................................................................................... 5,500 10,000 

(11)–(13) Failure to use conforming equipment ............................................................................... 9,500 17,000 

214.107 Working over water: 

(a)(i) Failure to provide life vest ............................................................................................................... 13,000 20,500 

(ii) Failure to use life vest .................................................................................................................. 13,000 20,500 

(c) Failure to inspect ................................................................................................................................. 9,500 17,000 

(e)(i) Failure to provide ring buoys ........................................................................................................... 13,000 20,500 


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APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(ii) Failure to use ring buoys ............................................................................................................. ............................ 17,000 

(f)(i) Failure to provide skiff ...................................................................................................................... 9,500 17,000 

(ii) Failure to use skiff ........................................................................................................................ ............................ 17,000 

214.109 Scaffolding: 

(a)–(f) Failure to provide conforming equipment ...................................................................................... 13,000 20,500 

214.113 Head protection: 

(a)(i) Failure to provide ............................................................................................................................. 13,000 20,500 

(ii) Failure to use ............................................................................................................................... 13,000 20,500 

(b) or (c) Failure to provide conforming equipment ................................................................................. 9,500 17,000 

214.115 Foot protection: 

(a)(i) Failure to require use of .................................................................................................................. 9,500 17,000 

(ii) Failure to use ............................................................................................................................... 9,500 17,000 

214.117 Eye and face protection: 

(a)(i) Failure to provide ............................................................................................................................. 9,500 17,000 

(ii) Failure to use ............................................................................................................................... 5,500 10,000 

(b) Failure to use conforming equipment ................................................................................................. 9,500 17,000 

(c) Use of defective equipment ................................................................................................................ 9,500 17,000 

(d) Failure to provide for corrective lenses .............................................................................................. 9,500 17,000 

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 ........................................................ 19,500 25,000 

(b) On-track Safety Program of a railroad includes no internal monitoring procedure ........................... 9,500 17,000 

214.305 Compliance Dates: 

Failure of a railroad to comply by the specified dates ............................................................................. 9,500 17,000 

214.307 Review and approval of individual on-track safety programs by FRA: 

(a)(i) Failure to notify FRA of adoption of On-track Safety Program ....................................................... 2,500 5,000 

(ii) Failure to designate primary person to contact for program review ........................................... 2,500 5,000 

214.309 On-track safety program documents: 

(1) On-track Safety Manual not provided to prescribed employees ........................................................ 9,500 17,000 

(2) On-track Safety Program documents issued in fragments ................................................................ 5,500 10,000 

214.311 Responsibility of employers: 

(b) Roadway worker required by employer to foul a track during an unresolved challenge ................... 19,500 25,000 

(c) Roadway workers not provided with written procedure to resolve challenges of on-track safety 

procedures ............................................................................................................................................ 9,500 17,000 

214.313 Responsibility of individual roadway workers: 

(a) Failure to follow railroad’s on-track safety rules ................................................................................. ............................ 25,000 

(b) Roadway worker fouling a track when not necessary in the performance of duty ............................ ............................ 25,000 

(c) Roadway worker fouling a track without ascertaining that provision is made for on-track safety ..... ............................ 25,000 

(d) Roadway worker failing to notify employer of determination of improper on-track safety provisions ............................ 25,000 

214.315 Supervision and communication: 

(a) Failure of employer to provide job briefing ......................................................................................... 19,500 25,000 

(b) Incomplete job briefing ........................................................................................................................ 13,000 20,500 

(c)(i) Failure to designate roadway worker in charge of roadway work group ........................................ 13,000 20,500

(ii) Designation of more than one roadway worker in charge of one roadway work group ............. 9,500 17,000 

(iii) Designation of non-qualified roadway worker in charge of roadway work group ...................... 13,000 20,500 

(d)(i) Failure to notify roadway workers of on-track safety procedures in effect ..................................... 13,000 20,500 

(ii) Incorrect information provided to roadway workers regarding on-track safety procedures in effect ................................................................................................................................................. 13,000 20,500 

(iii) Failure to notify roadway workers of change in on-track safety procedures .............................. 13,000 20,500 

(e)(i) Failure of lone worker to communicate with designated employee for daily job briefing ............... 9,500 17,000 

(ii) Failure of employer to provide means for lone worker to receive daily job briefing ................... 13,000 20,500 

214.317 On-track safety procedures, generally: 

On-track safety rules conflict with this part .............................................................................................. 19,500 25,000 

214.319 Working limits, generally: 

(a) Nonqualified roadway worker in charge of working limits .................................................................. 13,000 20,500 

(b) More than one roadway worker in charge of working limits on the same track segment ................. 13,000 20,500 

(c)(1) Working limits released without notifying all affected roadway workers ........................................ 19,500 25,000 

(2) Working limits released before all affected roadway workers are otherwise protected ............. 19,500 25,000 

214.321 Exclusive track occupancy: 

(b) Improper transmission of authority for exclusive track occupancy .................................................... 9,500 17,000 

(b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee ............................ 9,500 17,000 

(2) Failure to retain possession of written authority for exclusive track occupancy ......................... 5,500 10,000 

(3) Failure to record authority for exclusive track occupancy when issued ..................................... 13,000 20,500 

(c) Limits of exclusive track occupancy not identified by proper physical features ................................. 19,500 25,000 

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

worker in charge ................................................................................................................................... 19,500 25,000 

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

worker in charge ............................................................................................................................ 19,500 25,000 

(3) Movement within limits of exclusive track occupancy exceeding restricted speed without authority of roadway worker in charge .............................................................................................. 19,500 25,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57611 

APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

214.323 Foul time: 

(a) Foul time authority overlapping movement authority of train or equipment ....................................... 19,500 25,000 

(b) Failure to repeat foul time authority to issuing employee .................................................................. 9,500 17,000 

214.325 Train coordination: 

(a) Train coordination limits established where more than one train is authorized to operate ............... 13,000 20,500 

(b)(1) Train coordination established with train not visible to roadway worker at the time ..................... 9,500 17,000 

(2) Train coordination established with moving train ........................................................................ 9,500 17,000 

(3) Coordinated train moving without authority of roadway worker in charge .................................. 13,000 20,500 

(4) Coordinated train releasing movement authority while working limits are in effect .................... 13,000 20,500 

214.327 Inaccessible track: 

(a) Improper control of entry to inaccessible track .................................................................................. 13,000 20,500 

(5) Remotely controlled switch not properly secured by control operator ........................................ 13,000 20,500 

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

in charge ............................................................................................................................................... 13,000 20,500 

(c) Unauthorized train or equipment located within inaccessible track limits .......................................... 13,000 20,500 

214.329 Train approach warning provided by watchmen/lookouts: 

(a) Failure to give timely warning of approaching train ........................................................................... 19,500 25,000 

(b)(1) Failure of watchman/lookout to give full attention to detecting approach of train ......................... 13,000 20,500 

(2) Assignment of other duties to watchman/lookout ....................................................................... 19,500 25,000 

(c) Failure to provide proper warning signal devices ............................................................................... 9,500 17,000 

(d) Failure to maintain position to receive train approach warning signal ............................................... 13,000 20,500 

(e) Failure to communicate proper warning signal .................................................................................. 13,000 20,500 

(f)(1) Assignment of nonqualified person as watchman/lookout .............................................................. 13,000 20,500 

(2) Nonqualified person accepting assignment as watchman/lookout ............................................. 9,500 17,000 

(g) Failure to properly equip a watchman/lookout ................................................................................... 9,500 17,000 

214.331 Definite train location: 

(a) Definite train location established where prohibited ........................................................................... 13,000 20,500 

(b) Failure to phase out definite train location by required date .............................................................. 9,500 17,000 

(d)(1) Train location information issued by unauthorized person ............................................................ 13,000 20,500 

(2) Failure to include all trains operated on train location list .......................................................... 19,500 25,000 

(5) Failure to clear track 10 minutes before earliest departure time of train at last station prior to 

work location, or failure to remain clear until such train passed .................................................. 13,000 20,500 

(6) Train passing station before time shown in train location list ..................................................... 19,500 25,000 

(7) Nonqualified person using definite train location to establish on-track safety ............................ 13,000 20,500 

214.333 Informational line-ups of trains: 

(a) Informational line-ups of trains used for on-track safety where prohibited ........................................ 19,500 25,000 

(b) Informational line-up procedures inadequate to protect roadway workers ........................................ 19,500 25,000

(c) Failure to discontinue informational line-ups by required date ........................................................... 9,500 17,000 

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 ....................................... 19,500 25,000

(b) Member of roadway work group fouling a track without authority of employee in charge ................ 13,000 20,500 

(c) Failure to provide train approach warning or working limits on adjacent track where required ........ 19,500 25,000 

214.337 On-track safety procedures for lone workers: 

(b) Failure by employer to permit individual discretion in use of individual train detection ..................... 19,500 25,000 

(c)(1) Individual train detection used by nonqualified employee ............................................................. 13,000 20,500 

(2) Use of individual train detection while engaged in heavy or distracting work ............................ 19,500 25,000 

(3) Use of individual train detection in controlled point or manual interlocking ................................ 19,500 25,000 

(4) Use of individual train detection with insufficient visibility ........................................................... 19,500 25,000 

(5) Use of individual train detection with interfering noise ................................................................ 19,500 25,000 

(6) Use of individual train detection while a train is passing ............................................................ 19,500 25,000 

(d) Failure to maintain access to place of safety clear of live tracks ...................................................... 19,500 25,000 

(e) Lone worker unable to maintain vigilant lookout ................................................................................ 19,500 25,000 

(f)(1) Failure to prepare written statement of on-track safety .................................................................. 5,500 10,000 

(2) Incomplete written statement of on-track safety ......................................................................... 2,500 5,000 

(3) Failure to produce written statement of on-track safety to FRA ................................................. 2,500 5,000 

214.339 Audible warning from trains: 

(a) Failure to require audible warning from trains .................................................................................... 9,500 17,000 

(b) Failure of train to give audible warning where required ..................................................................... 9,500 17,000 

214.341 Roadway maintenance machines: 

(a) Failure of on-track safety program to include provisions for safety near roadway maintenance machines .................................................................................................................................................... 19,500 25,000 

(b) Failure to provide operating instructions ............................................................................................ 9,500 17,000 

(1) Assignment of nonqualified employee to operate machine ........................................................ 13,000 20,500

(2) Operator unfamiliar with safety instructions for machine ............................................................ 13,000 20,500 

(3) Roadway worker working with unfamiliar machine ..................................................................... 13,000 20,500 

(c) Roadway maintenance machine not clear of passing trains or operation of machine component 

closer than four feet to adjacent track without procedural instructions ................................................ 19,500 25,000 

214.343 Training and qualification, general: 

(a)(1) Assignment of roadway worker duties to employee that is not trained or qualified ...................... 13,000 20,500 

(a)(2) Acceptance of roadway worker assignment by employee that is not trained or qualified ............ 13,000 20,500 

(b)(1) Failure to provide initial training ..................................................................................................... 13,000 20,500 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57612 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(b)(2) Failure to provide annual training ................................................................................................... 9,500 17,000 

(c) Failure to provide training to employee other than a roadway worker on functions related to ontrack safety ............................................................................................................................................ 13,000 20,500 

(d)(1) Failure to maintain records of qualifications .................................................................................. 9,500 17,000 

(2) Incomplete records of qualifications ............................................................................................ 5,500 10,000 

(3) Failure to provide records of qualifications to FRA ..................................................................... 2,500 5,000 

214.345 Training for all roadway workers ....................................................................................................... 3 3

214.347 Training and qualification for lone workers ....................................................................................... 3 3

214.349 Training and qualification of watchmen/lookouts .............................................................................. 3 3

214.351 Training and qualification of flagmen ................................................................................................ 3 3

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

groups .......................................................................................................................................................... 3 3

214.355 Training and qualification in on-track safety for operators of roadway maintenance machines ...... 3 3

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 .................................................................................. ............................ 20,500 

(b) Roadway worker required to operate machine or vehicle when good-faith challenge not resolved 19,500 25,000 

(c) Failure of employer to have or follow written procedures to resolve good-faith challenges .............. 19,500 25,000 

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 ...................................................................... 19,500 25,000 

(b) Failure of new or existing machines to protect employees from exposure to air contaminants ....... 19,500 25,000 

(c) Failure of employer to maintain required list of machines or make list available .............................. 9,500 17,000 

(d) Removal of ‘‘designated machine’’ from list before retired or sold .................................................... 9,500 17,000 

(e) Personal respiratory protective equipment not provided when ventilation system fails .................... 19,500 25,000 

(f) Personal respiratory protective equipment fails to meet required standards ...................................... 19,500 25,000 

(g) Other new machines with enclosed cabs not equipped with operable heating and ventilation systems ...................................................................................................................................................... 19,500 25,000 

(h) Nonenclosed station not equipped with covering, where feasible ..................................................... 19,500 25,000 

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 ......... 19,500 25,000 

(a)(6)–(7) Failure to equip new machine with first-aid kit or operative and charged fire extinguisher .... 13,000 20,500 

(b) Position for operator to stand not properly equipped to provide safe and secure position ............... 19,500 25,000 

(c) New machine not equipped with accurate speed indicator, as required ........................................... 13,000 20,500

(d) As-built light weight not conspicuously displayed on new machine ................................................... 13,000 20,500 

214.509 Required visual illumination and reflective devices for new on-track roadway maintenance machines ........................................................................................................................................................... 13,000 20,500 

214.511 Required audible warning devices for new on-track roadway maintenance machines ................. 19,500 25,000 

214.513 Retrofitting of existing on-track roadway maintenance machines; general: 

(a) Failure to provide safe and secure position and protection from moving parts inside cab for each 

roadway worker transported on machine ............................................................................................. 19,500 25,000 

(b) Horn or other audible warning device is missing, inoperable, or has noncompliant triggering 

mechanism ............................................................................................................................................ 13,000 20,500 

(c) Illumination device or portable light missing, inoperable, improperly secured, or incapable of illuminating track as required .................................................................................................................... 13,000 20,500 

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

(a) Failure to repair, reinstall, or maintain overhead cover as required .................................................. 19,500 25,000 

(b) Failure to provide written response to operator’s request within 60 days ......................................... 9,500 17,000 

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 ...................... 19,500 25,000 

(b) Failure to equip machine with operative heater ................................................................................. 19,500 25,000 

(c) Failure to display light weight of machine as required ....................................................................... 13,000 20,500 

(d) Failure to equip machine with reflective material, reflective device, or operable brake lights .......... 19,500 25,000 

(e) Failure to install or replace safety glass as required ......................................................................... 19,500 25,000 

(f) Failure to equip machine with turntable restraint device or warning light as required ....................... 19,500 25,000 

214.518 Safe and secure position for riders ................................................................................................. 19,500 25,000 

214.519 Floors, decks, stairs, and ladders for on-track roadway maintenance machines .......................... 19,500 25,000 

214.521 Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles ................ 13,000 20,500 

214.523 Hi-rail vehicles: 

(a) Failure to inspect hi-rail gear annually ............................................................................................... 19,500 25,000 

(b) Failure to maintain inspection record or make record available to FRA ............................................ 9,500 17,000 

(c) Failure to equip new hi-rail vehicle with alarm and light or beacon as required ............................... 13,000 20,500

(d)(2) Failure of operator to tag, date, or report noncomplying condition ............................................... 9,500 17,000 

(d)(3) Failure to repair or replace noncomplying alarms, lights, or beacons as required ....................... 13,000 20,500 

214.525 Towing with on-track roadway maintenance machines or hi-rail vehicles ..................................... 19,500 25,000 

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 ..................... 9,500 17,000 

(b) Failure of operator to tag, date, or report noncomplying condition .................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57613 

APPENDIX A TO PART 214—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(c)(1)–(4) Failure to meet requirements for operating on-track roadway maintenance machine with 

noncomplying headlights, work lights, horn, fire extinguisher, alarm, warning light, or beacon .......... 13,000 20,500 

(c)(5) Failure to repair or replace defective or missing operator’s seat within required time period ...... 19,500 25,000 

214.529 In-service failure of primary braking system ................................................................................... 19,500 25,000 

214.531 Schedule of repairs; general ........................................................................................................... 13,000 20,500 

214.533 Schedule of repairs subject to availability of parts: 

(a)–(c) Failure to order necessary part(s), make repair(s), or remove on-track roadway maintenance 

machine or hi-rail vehicle from service as required ............................................................................. 13,000 20,500 

(d) Failure to maintain record or make record available to FRA ............................................................. 9,500 17,000 

1A penalty may be assessed against an individual only for a willful violation. In addition, there are certain sections of the penalty schedule for 

which no penalty is listed in the ordinary violation column. These sections may only be cited as willful violations. The Administrator reserves the 

right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The 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. 3See § 214.343 (Training and qualification, general). 

PART 215—[AMENDED] 

7. The authority citation for part 215 

continues to read as follows: 

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

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

8. Appendix B to part 215 is revised 

to read as follows: 

APPENDIX B TO PART 215—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

Violation 

Subpart A—General 

215.9 Movement for repair: 

(a), (c) ....................................................................................................................................................... 1 1

(b) ............................................................................................................................................................. $5,500 $10,000 

215.11 Designation of qualified persons ....................................................................................................... 9,500 17,000 

215.13 Pre-departure inspection ................................................................................................................... 9,500 17,000 

Subpart B—Freight Car Components 

Suspension System 

215.103 Defective wheel: 

(a) Flange thickness of: 

(1) 7⁄8′′ or less but more than 13⁄16′′ ................................................................................................... 9,500 17,000 

(2) 13⁄16′′ or less ................................................................................................................................. 13,000 20,500 

(b) Flange height of: 

(1) 11⁄2′′ or greater but less than 15⁄8′′ ............................................................................................... 9,500 17,000 

(2) 15⁄8′′ or more ................................................................................................................................ 13,000 20,500 

(c) Rim thickness of: 

(1) 11⁄16′′ or less but more than 5⁄8′′ ................................................................................................... 9,500 17,000 

(2) 5⁄8′′ or less .................................................................................................................................... 13,000 20,500 

(d) Wheel rim, flange plate hub width: 

(1) Crack of less than 1′′ ................................................................................................................... 9,500 17,000

(2) Crack of 1′′ or more ..................................................................................................................... 13,000 20,500 

(3) Break ............................................................................................................................................ 19,500 25,000 

(e) Chip or gouge in flange of: 

(1) 11⁄2′′ or more but less than 15⁄8′′ in length; and 1⁄2′′ or more but less than 5⁄8′′ in width ............ 5,500 10,000 

(2) 15⁄8′′ or more in length; or 5⁄8′′ or more in width .......................................................................... 9,500 17,000 

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

(1)(i) One spot more than 21⁄2′′, but less than 3′′, in length ............................................................. 5,500 10,000 

(ii) One spot 3′′ or more in length .............................................................................................. 9,500 17,000 

(2)(i) Two adjoining spots each of which is more than 2′′ but less than 21⁄2′′ in length ................... 5,500 10,000 

(ii) Two adjoining spots both of which are at least 2′′ in length, if either spot is 21⁄2′′ or more 

in length .................................................................................................................................. 9,500 17,000 

(g) Loose on axle ..................................................................................................................................... 19,500 25,000 

(h) Overheated; discoloration extending: 

(1) More than 4′′ but less than 41⁄2′′ .................................................................................................. 9,500 17,000( 

(2) 41⁄2′′ or more ................................................................................................................................ 13,000 20,500 

(i) Welded ................................................................................................................................................. 13,000 20,500 

215.105 Defective axle: 

(a)(1) Crack of 1′′ or less .......................................................................................................................... 9,500 17,000 

(2) Crack of more than 1′′ ................................................................................................................. 13,000 20,500 

(3) Break ............................................................................................................................................ 19,500 25,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57614 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX B TO PART 215—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

Violation 

(b) Gouge in surface that is between the wheel seats and is more than 1⁄8′′ in depth ........................... 5,500 10,000 

(c) End collar with crack or break ............................................................................................................ 9,500 17,000 

(d) Journal overheated ............................................................................................................................. 19,500 25,000 

(e) Journal surface has: A ridge; a depression; a circumferential score; corrugation; a scratch; a continuous streak; pitting; rust; or etching ................................................................................................. 9,500 17,000 

215.107 Defective plain bearing box: general: 

(a)(1) No visible free oil 5,500 10,000 

(2) Lubricating pad dry (no expression of oil observed when pad is compressed) ......................... 13,000 20,500 

(b) Box lid is missing, broken, or open except to receive servicing ........................................................ 5,500 10,000 

(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 9,500 17,000 

215.109 Defective plain bearing box: journal lubrication system: 

(a) Lubricating pad has a tear .................................................................................................................. 5,500 10,000 

(b) Lubricating pad scorched, burned, or glazed ..................................................................................... 9,500 17,000 

(c) Lubricating pad contains decaying or deteriorating fabric .................................................................. 9,500 17,000 

(d) Lubricating pad has an exposed center core or metal parts contacting the journal .......................... 9,500 17,000 

(e) Lubricating pad is missing or not in contact with the journal ............................................................. 13,000 20,500 

215.111 Defective plain bearing: 

(a) Missing ................................................................................................................................................ 19,500 25,000 

(b) Bearing liner is loose or has piece broken out ................................................................................... 9,500 17,000 

(c) Overheated .......................................................................................................................................... 19,500 25,000 

215.113 Defective plain bearing wedge: 

(a) Missing ................................................................................................................................................ 19,500 25,000 

(b) Cracked ............................................................................................................................................... 9,500 17,000 

(c) Broken ................................................................................................................................................. 13,000 20,500 

(d) Not located in its design position ........................................................................................................ 9,500 17,000 

215.115 Defective roller bearing: 

(a)(1) Overheated ..................................................................................................................................... 19,500 25,000 

(2)(i) Cap screw(s) loose ................................................................................................................... 13,000 20,500 

(ii) Cap screw lock broken, missing or improperly applied ........................................................ 5,500 10,000 

(3) Seal is loose or damaged, or permits leakage of lubricant ........................................................ 5,500 10,000 

(b)(1) Not inspected and tested after derailment 13,000 20,500 

(2) Not disassembled after derailment .............................................................................................. 9,500 17,000 

(3) Not repaired or replaced after derailment ................................................................................... 13,000 20,500 

215.117 Defective roller bearing adapter: 

(a) Cracked or broken .............................................................................................................................. 9,500 17,000 

(b) Not in its design position .................................................................................................................... 13,000 20,500 

(c) Worn on the crown .............................................................................................................................. 9,500 17,000 

215.119 Defective freight car truck: 

(a)(1) A side frame or bolster that is broken ............................................................................................ 19,500 25,000 

(2)(i) Side frame or bolster with crack of: 1⁄4′′ or more, but less than 1′′ ......................................... 9,500 17,000 

(ii) 1′′ or more ............................................................................................................................. 13,000 20,500 

(b) A snubbing device that is ineffective or missing ................................................................................ 9,500 17,000 

(c) Side bearing(s): 

(1) Assembly missing or broken ....................................................................................................... 19,500 25,000 

(2) In contact except by design ......................................................................................................... 13,000 20,500 

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

(i) More than 3⁄4′′ but not more than 1′′ ...................................................................................... 9,500 17,000 

(ii) More than 1′′ ......................................................................................................................... 13,000 20,500 

(d) Truck spring(s): 

(1) Do not maintain travel or load ..................................................................................................... 9,500 17,000 

(2) Compressed solid ........................................................................................................................ 9,500 17,000 

(3) Outer truck springs broken or missing: 

(i) Two outer springs .................................................................................................................. 9,500 17,000 

(ii) Three or more outer springs ................................................................................................. 13,000 20,500 

(e) Truck bolster-center plate interference ............................................................................................... 13,000 20,500 

(f) Brake beam shelf support worn ........................................................................................................... 9,500 17,000 

Car Bodies 

215.121 Defective car body: 

(a) Has less than 21⁄2′′ clearance from the top of rail .............................................................................. 9,500 17,000 

(b) Car center sill is: 

(1) Broken .......................................................................................................................................... 19,500 25,000 

(2) Cracked more than 6′′ ................................................................................................................. 9,500 17,000 

(3) Bent or buckled more than 21⁄2′′ in any 6′ length ........................................................................ 9,500 17,000 

(c) Coupler carrier that is broken or missing ........................................................................................... 9,500 17,000 

(d) Car door not equipped with operative safety hangers ....................................................................... 19,500 25,000 

(e)(1) Center plate not properly secured .................................................................................................. 19,500 25,000 

(2) Portion missing ............................................................................................................................ 9,500 17,000 

(3) Broken .......................................................................................................................................... 19,500 25,000 

(4) Two or more cracks ..................................................................................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57615 

APPENDIX B TO PART 215—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

Violation 

(f) Broken sidesill, crossbearer, or body bolster ...................................................................................... 9,500 17,000 

Draft System 

215.123 Defective couplers: 

(a) Shank bent out of alignment ............................................................................................................... 5,500 10,000 

(b) Crack in highly stressed junction area ............................................................................................... 9,500 17,000 

(c) Coupler knuckle broken or cracked .................................................................................................... 9,500 17,000 

(d) Coupler knuckle pin or thrower that is missing or inoperative ........................................................... 9,500 17,000 

(e) Coupler retainer pin lock that is missing or broken ............................................................................ 5,500 10,000 

(f) Coupler with following conditions: Locklift inoperative; no anticreep protection; or coupler lock is 

missing, inoperative, bent, cracked, or broken ..................................................................................... 9,500 17,000 

215.125 Defective uncoupling device ........................................................................................................... 9,500 17,000 

215.127 Defective draft arrangement: 

(a) Draft gear that is inoperative .............................................................................................................. 9,500 17,000 

(b) Yoke that is broken ............................................................................................................................. 9,500 17,000 

(c) End of car cushioning unit is leaking or inoperative ........................................................................... 9,500 17,000 

(d) Vertical coupler pin retainer plate missing or has missing fastener .................................................. 19,500 25,000 

(e) Draft key or draft key retainer that is inoperative or missing ............................................................. 19,500 25,000 

(f) Follower plate that is missing or broken .............................................................................................. 9,500 17,000 

215.129 Defective cushioning device ........................................................................................................... 9,500 17,000 

Subpart C—Restricted Equipment 

215.203 Restricted cars ................................................................................................................................ 9,500 17,000 

Subpart D—Stenciling 

215.301 General ............................................................................................................................................ 5,500 10,000 

215.303 Stenciling of restricted cars ............................................................................................................. 5,500 10,000 

215.305 Stenciling of maintenance-of-way ................................................................................................... 5,500 10,000 

1A 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 $25,000 per day. A failure to perform, with respect to a particular freight car, the predeparture inspection required by § 215.13 of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions 

found on the car. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 

49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in paragraphs (a) and (c) of § 215.9 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the freight car at the time of movement. Maintenance-of-way equipment not stenciled in accordance with § 215.305 is subject to all requirements of this part. See § 215.3(c)(3). 2The penalty schedule uses section numbers from 49 CFR part 215. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 217—[AMENDED] 

9. The authority citation for part 217 

continues to read as follows: 

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

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

10. Appendix A to part 217 is revised 

to read as follows: 

Appendix A to Part 217—Schedule Of 

Civil Penalties 1

Section 2 Violation Willful 

Violation 

Subpart A—General 

217.7 Operating Rules: 

(a) ............................................................................................................................................................. $5,500 $10,000 

(b) ............................................................................................................................................................. 5,500 10,000 

(c) .............................................................................................................................................................. 5,500 10,000 

217.9 Operational tests and inspections: 

(a) Failure to implement a program ......................................................................................................... 9,500– 

19,500 

17,000– 

25,000 

(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 .................................................................................................................. 13,000 20,500 

(2) Records ........................................................................................................................................ 9,500 17,000 

(c) Record of program; program incomplete ............................................................................................ 9,500– 

19,500 

17,000– 

25,000 

(d) Records of individual tests and inspections ....................................................................................... 9,500 17,000 

(e) Failure to retain copy of or conduct:.

(1)(i) Quarterly review ....................................................................................................................... 13,000 20,500 

(1)(ii) and (2) Six month review ........................................................................................................ 13,000 20,500 

(3) Records ........................................................................................................................................ 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57616 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

Section 2 Violation Willful 

Violation 

(f) Annual summary .................................................................................................................................. 9,500 17,000 

(h) Failure to timely or appropriately amend program after disapproval ................................................. 13,000– 

19,500 

20,500– 

25,000 

217.11 Program of instruction on operating rules: 

(a) ............................................................................................................................................................. 5,500– 

13,000 

10,000– 

20,500 

(b) ............................................................................................................................................................. 5,500– 

13,000 

10,000– 

20,500 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 217. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 218—[AMENDED] 

11. The authority citation for part 218 

continues to read as follows: 

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

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

12. Appendix A to part 218 is revised 

to read as follows: 

APPENDIX A TO PART 218—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Blue Signal Protection of Workmen 

218.22 Utility employees: 

(a) Employee qualifications ...................................................................................................................... $5,500 $10,000 

(b) Concurrent service .............................................................................................................................. 9,500 17,000 

(c) Assignment conditions: 

(1) No controlling locomotive ............................................................................................................ 9,500 17,000 

(2) Empty cab .................................................................................................................................... 9,500 17,000 

(3)(4) Improper communication ......................................................................................................... 9,500 17,000 

(5) Performing functions not listed .................................................................................................... 5,500 10,000 

(d) Improper release ................................................................................................................................. 5,500 10,000 

(f) More than three utility employees with one crew ................................................................................ 5,500 10,000 

218.23 Blue signal display ............................................................................................................................ 9,500 17,000 

218.24 One-person crew: 

(a)(1) Equipment not coupled or insufficiently separated ........................................................................ 5,500 10,000 

(a)(2) Unoccupied locomotive cab not secured ....................................................................................... 9,500 17,000 

(b) Helper service ..................................................................................................................................... 5,500 10,000 

218.25 Workmen on a main track ................................................................................................................. 9,500 17,000 

218.27 Workmen on track other than main track: 

(a) Protection provided except that signal not displayed at switch ......................................................... 5,500 10,000 

(b) through (e) .......................................................................................................................................... 9,500 17,000 

218.29 Alternate methods of protection: 

(a)(1) Protection provided except that signal not displayed at switch ..................................................... 5,500 10,000 

(a)(2) through (a)(8) .................................................................................................................................. 9,500 17,000 

(b)(1) Protection provided except that signal not displayed at switch ..................................................... 5,500 10,000 

(b)(2) through (b)(4) .................................................................................................................................. 9,500 17,000 

(c) Use of derails ...................................................................................................................................... 9,500 17,000 

(d) Emergency repairs .............................................................................................................................. 9,500 17,000 

218.30 Remotely controlled switches: 

(a) and (b) ................................................................................................................................................. 9,500 17,000 

(c) .............................................................................................................................................................. 2,500 5,000 

Subpart C—Protection of Trains and Locomotives 

218.35 Yard limits: 

(a) and (b) ................................................................................................................................................. 9,500 17,000 

(c) .............................................................................................................................................................. 2,500 5,000 

218.37 Flag protection: 

(a) ............................................................................................................................................................. 9,500 17,000 

(b) and (c) ................................................................................................................................................. 9,500 17,000 

218.39 Hump operations ............................................................................................................................... 9,500 17,000 

218.41 Noncompliance with hump operations rule ....................................................................................... 9,500 17,000 

Subpart D—Prohibition against Tampering with Safety Devices 

218.55 Tampering ......................................................................................................................................... ............................ 17,000 

218.57

(i) Knowingly operating or permitting operation of disabled equipment .................................................. 5,500 ............................

(ii) Willfully operating or permitting operation of disabled equipment ...................................................... ............................ 10,000 

218.59 Operation of disabled equipment ...................................................................................................... 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57617 

APPENDIX A TO PART 218—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

Subpart E—Protection of Occupied Camp Cars 

218.71 Warning Signal Display: 

(a) Warning signals .................................................................................................................................. 5,500 10,000 

(1) Cars may not be moved .............................................................................................................. 9,500 17,000 

(2) Rolling equipment may not be on same track reducing view of warning signal ........................ 5,500 10,000 

(3) Rolling equipment may not pass a warning signal ..................................................................... 9,500 17,000 

(4) Signal will be displayed immediately and only removed prior to departure ............................... 5,500 10,000 

218.75 Methods of protection for camp cars on main track: 

(a) Warning signals near each switch with access .................................................................................. 5,500 10,000 

(b) Immediate notification of occupation .................................................................................................. 9,500 17,000 

(c) Alerting affected personnel of cars ..................................................................................................... 5,500 10,000 

(d) Manual switched lined and locked ...................................................................................................... 9,500 17,000 

(e) Remote switches protected ................................................................................................................ 9,500 17,000 

218.77 Remotely controlled switches: 

(a) Remote switch lined and locked ......................................................................................................... 9,500 17,000 

(b) Operator may not remove locking device without permission ........................................................... 9,500 17,000 

(c) Recordkeeping .................................................................................................................................... 2,500 5,000 

(d) Derail and signal when located on main track ................................................................................... 9,500 17,000 

218.79 Alternative methods for protection: 

(a) Other than main track: 

(1) Warning signal at each switch providing access ........................................................................ 9,500 17,000 

(2) Switches lined and locked ........................................................................................................... 9,500 17,000 

(3) Derails 50 feet away when speed is 5MPH ................................................................................ 9,500 17,000 

(b) Except as provided in (a) on other than main track: 

(1) Derails 150 feet away from equipment ....................................................................................... 9,500 17,000 

(2) Derails must be locked in derailing position with signal ............................................................. 9,500 17,000 

Subpart F—Handling Equipment, Switches and Derails 

218.95 Instruction, Training and Examination: 

(a) Program .............................................................................................................................................. 9,500–13,000 17,000–20,500 

(b) Records ............................................................................................................................................... 9,500 17,000 

(c) Failure to timely or appropriately amend program after disapproval ................................................. 9,500–13,000 17,000–20,500 

218.97 Good Faith Challenge Procedures: 

(a) Employee Responsibility Failure ......................................................................................................... ............................ 5,000 

(b) through (d) Failure to adopt or implement procedures ...................................................................... 9,500 17,000 

218.99 Shoving or Pushing Movements: 

(a) Failure to implement required operating rule ..................................................................................... 13,000 20,500 

(b) Failure to conduct job briefing, use a qualified employee, or establish proper protection ................ 9,500–13,000 17,000–20,500 

(c) Failure to observe equipment direction .............................................................................................. 9,500 17,000 

(d) Failure to properly establish point protection within a remote control zone ...................................... 9,500 17,000 

(e) Failure to abide by operational exception requirements .................................................................... 9,500 17,000 

218.101 Leaving Equipment in the Clear: 

(a) Failure to implement required operating rule ..................................................................................... 9,500 17,000 

(b) Equipment left improperly fouling ....................................................................................................... 9,500 17,000 

(c) Failure to implement procedures for identifying clearance points ...................................................... 9,500 17,000 

218.103 Hand-operated switches, including crossover switches: 

(a) Failure to implement required operating rule ..................................................................................... 9,500 17,000 

(b) through (d) Railroad employee failures .............................................................................................. 9,500 17,000 

218.105 Additional operational requirements for hand-operated main track switches: 

(a) Failure to implement required operating rule ..................................................................................... 13,000 20,500 

(b) and (c) Railroad and employee failures ............................................................................................. 9,500 17,000 

(d) Failure to properly release authority limits ......................................................................................... 13,000 20,500 

218.107 Additional operational requirements for hand-operated crossover switches: 

(a) Failure to implement required operating rule ..................................................................................... 9,500 17,000 

(b) and (c) Railroad and employee failures ............................................................................................. 9,500 17,000 

218.109 Hand-operated fixed derails: 

(a) Failure to implement required operating rule ..................................................................................... 9,500 17,000 

(b) and (c) Railroad and employee failures ............................................................................................. 9,500 17,000 

1Except as provided for in § 218.57, a penalty may be assessed against an individual only for a willful violation. In addition, there are certain 

sections of the penalty schedule for which no penalty is listed in the ordinary violation column. These sections may only be cited as willful violations. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where the circumstances warrant. See 49 CFR 

part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 218. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57618 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

PART 219—[AMENDED] 

13. The authority citation for part 219 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20140, 

21301, 21304, 21311; 28 U.S.C. 2461, note; 

and 49 CFR 1.49(m). 

14. Appendix A to part 219 is revised 

to read as follows: 

APPENDIX A TO PART 219—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart A—General 

219.3 Application: Railroad does not have required program $13,000 $20,500 

219.11 General conditions for chemical tests: 

(b)(1) Employee unlawfully refuses to participate in testing .................................................................... 5,500 10,000 

(b)(2) Employer fails to give priority to medical treatment ....................................................................... 13,000 20,500 

(b)(3) Employee fails to remain available ................................................................................................ 5,500 10,000 

(b)(4) Employee tampers with specimen ................................................................................................. 5,500 10,000 

(d) Employee unlawfully required to execute a waiver of rights .............................................................. 5,500 10,000 

(e) Railroad used or authorized the use of coercion to obtain specimens .............................................. ............................ 10,000 

(g) Failure to meet supervisory training requirements or program of instruction not available or program not complete ................................................................................................................................ 9,500 17,000 

(h) Urine or blood specimens provided for Federal testing were used for nonauthorized testing .......... 5,500 10,000 

219.23 Railroad policies: 

(a) Failure to provide written notice of FRA test ...................................................................................... 5,500 10,000 

(b) Failure to provide written notice of basis for FRA test ....................................................................... 2,500 5,000 

(c) Use of Subpart C form for other test .................................................................................................. 2,500 5,000 

(d) Failure to provide educational materials ............................................................................................. 2,500 5,000 

(e) Educational materials fail to explain requirements of this part and/or include required content ....... 2,500 5,000 

(f) Non-Federal provisions are not clearly described as independent authority ...................................... 5,500 10,000

Subpart B—Prohibitions 

219.101 Alcohol and drug use prohibited: 

Employee violates prohibition(s) .............................................................................................................. 19,500 25,000 

219.103 Prescribed and over-the-counter drugs: 

(a) Failure to train employee properly on requirements .......................................................................... 5,500 10,000 

219.104 Responsive action: 

(a) Failure to remove employee from covered service immediately ........................................................ 19,500 25,000 

(b) Failure to provide notice for removal .................................................................................................. 5,500 10,000 

(c) Failure to provide prompt hearing ....................................................................................................... 5,500 10,000 

(d) Employee improperly returned to service ........................................................................................... 13,000 20,500 

219.105 Railroad’s duty to prevent violations: 

(a) Employee improperly permitted to remain in covered service ........................................................... 19,500 25,000 

(b) Failure to exercise due diligence to assure compliance with prohibition ........................................... 9,500 17,000 

219.107 Consequences of unlawful refusal: 

(a) Failure to disqualify an employee for nine months following a refusal .............................................. 13,000 20,500 

(e) Employee unlawfully returned to service ............................................................................................ 13,000 20,500 

Subpart C—Post-Accident Toxicological Testing 

219.201 Events for which testing is required: 

(a) Failure to test after qualifying event (each employee not tested is a violation) ................................ 13,000 20,500 

(c)(1)(i) Failure to make good faith determination ................................................................................... 5,500 10,000 

(c)(1)(ii) Failure to provide requested decision report to FRA ................................................................. 2,500 5,000 

(c)(2) Testing performed after nonqualifying event .................................................................................. 9,500 17,000 

219.203 Responsibilities of railroads and employees: 

(a)(1)(i) and (a)(2)(i) Failure to properly test/exclude from testing .......................................................... 5,500 10,000 

(a)(1)(ii) and (a)(2)(ii) Noncovered service employee tested ................................................................... 5,500 10,000 

(b)(1) Delay in obtaining specimens due to failure to make every reasonable effort ............................. 5,500 10,000 

(c) Independent medical facility not utilized ............................................................................................. 5,500 10,000 

(d) Failure to report event or contact FRA when intervention required ................................................... 2,500 5,000 

219.205 Specimen collection and handling: 

(a) Failure to observe requirements with respect to specimen collection, marking and handling .......... 5,500 10,000 

(b) Failure to provide properly prepared forms with specimens .............................................................. 2,500 5,000 

(d) Failure to promptly or properly forward specimens ............................................................................ 5,500 10,000 

219.207 Fatality: 

(a) Failure to test ...................................................................................................................................... 13,000 20,500 

(a)(1) Failure to ensure timely collection and shipment of required specimens ...................................... 2,500 5,000 

(b) Failure to request assistance when necessary .................................................................................. 5,500 10,000 

219.209 Reports of tests and refusals: 

(a)(1) Failure to provide telephonic report ............................................................................................... 2,500 5,000 

(b) Failure to provide written report of refusal to test .............................................................................. 2,500 5,000 

(c) Failure to maintain report explaining why test not conducted within four hours ................................ 2,500 5,000 

219.211 Analysis and follow-up: 

(c) Failure of MRO to report review of positive results to FRA ............................................................... 5,500 10,000 

Subpart D—Testing for Cause 

219.300 Mandatory reasonable suspicion testing: 

(a)(1) Failure to test when reasonable suspicion criteria met ................................................................. 19,500 25,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57619 

APPENDIX A TO PART 219—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(a)(2) Tested when reasonable suspicion criteria not met ...................................................................... 9,500 17,000 

219.301 Testing for reasonable cause: 

(a) Event did not occur during daily tour .................................................................................................. 5,500 10,000 

(b)(2) Tested when accident/incident criteria not met .............................................................................. 9,500 17,000 

(b)(3) Tested when operating rules violation criteria not met .................................................................. 9,500 17,000 

219.302 Prompt specimen collection: 

(a) Specimen collection not conducted promptly ..................................................................................... 5,500 10,000 

Subpart E—Identification of Troubled Employees 

219.401 Requirement for policies: 

(b) Failure to publish and/or implement required policy .......................................................................... 5,500 10,000 

219.407 Alternate policies: 

(c) Failure to file agreement or other document or provide timely notice or revocation ......................... 5,500 10,000 

Subpart F—Pre-Employment Tests 

219.501 Pre-employment tests: 

(a) Failure to perform pre-employment drug test before first time employee performs covered service 13,000 20,500 

Subpart G—Random Testing Programs 

219.601 Railroad random drug programs: 

(a)(1) Failure to file a random program .................................................................................................... 13,000 20,500 

(a)(2) Failure to file amendment to program ............................................................................................ 5,500 10,000 

(b) Failure to meet random testing criteria ............................................................................................... 9,500 17,000 

(b)(1)(i) Failure to use a neutral selection process .................................................................................. 9,500 17,000 

(b)(2)(i)(B) Testing not spread throughout the year ................................................................................. 5,500 10,000 

(b)(3) Testing not distributed throughout the day .................................................................................... 5,500 10,000 

(b)(4) Advance notice provided to employee ........................................................................................... 9,500 17,000 

(b)(6) Testing when employee not on duty .............................................................................................. 5,500 10,000 

219.601 A Failure to include covered service employee in pool .................................................................. 9,500 17,000 

219.602 Administrator’s determination of drug testing rate: 

(f) Total number of tests below minimum random drug testing rate ....................................................... 13,000 20,500 

219.603 Participation in drug testing: 

Failure to document reason for not testing selected employee ............................................................... 5,500 10,000 

219.607 Railroad random alcohol programs: 

(a)(1) Failure to file a random alcohol program ....................................................................................... 13,000 20,500 

(a)(2) Failure to file amendment to program ............................................................................................ 5,500 10,000 

(b) Failure to meet random testing criteria ............................................................................................... 9,500 17,000 

(b)(1) Failure to use a neutral selection process ..................................................................................... 9,500 17,000 

(b)(5) Testing when employee not on duty .............................................................................................. 5,500 10,000 

(b)(8) Advance notice provided to employee ........................................................................................... 9,500 17,000 

219.607 A Failure to include covered service employee in pool .................................................................. 9,500 17,000 

219.608 Administrator’s determination of random alcohol testing rate: 

(e) Total number of tests below minimum random alcohol testing rate .................................................. 13,000 20,500 

219.609 Participation in alcohol testing: Failure to document reason for not testing selected employee 5,500 10,000 

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, F, or G testing ..................................... 5,500 10,000

(b) Testing not performed in a timely manner ......................................................................................... 5,500 10,000 

Subpart I—Annual Report 

219.800 Reporting alcohol and drug misuse prevention program results in a management information 

system: 

(a) Failure to submit MIS report on time .................................................................................................. 5,500 10,000 

(c) Failure to submit accurate MIS report ................................................................................................ 5,500 10,000 

(d) Failure to include required data .......................................................................................................... 5,500 10,000 

Subpart J—Recordkeeping Requirements 

219.901 Retention of Alcohol Testing Records: 

(a) Failure to maintain records required to be kept by part 40 ................................................................ 5,500 10,000 

(b) Failure to maintain records required to be kept for five years ........................................................... 5,500 10,000 

(c) Failure to maintain records required to be kept for two years ........................................................... 5,500 10,000 

219.903 Retention of Drug Testing Records: 

(a) Failure to maintain records required to be kept by part 40 ................................................................ 5,500 10,000 

(b) Failure to maintain records required to be kept for five years ........................................................... 5,500 10,000 

(c) Failure to maintain records required to be kept for two years ........................................................... 5,500 10,000 

219.905 Access to facilities and records: 

(a) Failure to release records in this subpart in accordance with part 40 ............................................... 9,500 17,000 

(b) Failure to permit access to facilities ................................................................................................... 9,500 17,000 

(c) Failure to provide access to results of railroad alcohol and drug testing programs .......................... 9,500 17,000 

1A 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 $100,000 for any violation, including ones not listed in this penalty schedule, where circumstances warrant. See 49 CFR part 209, appendix 

A. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57620 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

2The penalty schedule uses section numbers from 49 CFR part 219. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 220—[AMENDED] 

15. The authority citation for part 220 

continues to read as follows: 

Authority: 49 U.S.C. 20102–20103, 20107, 

21301–21302, 21304, 21311; 28 U.S.C. 2461, 

note; and 49 CFR 1.49. 

16. Appendix C to part 220 is revised 

to read as follows: 

APPENDIX C TO PART 220—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart A—General 

220.9 Requirements for trains ....................................................................................................................... $13,000 $20,500 

220.11 Requirements for roadway workers .................................................................................................. 13,000 20,500 

Subpart B—Radio and Wireless Communication Procedures 

220.21 Railroad operating rules; radio communications: 

(a) ............................................................................................................................................................. 9,500 17,000 

(b) ............................................................................................................................................................. 9,500 17,000 

220.23 Publication of radio information ........................................................................................................ 9,500 17,000 

220.25 Instruction of employees ................................................................................................................... 9,500 17,000 

220.27 Identification ...................................................................................................................................... 9,500 17,000 

220.29 Statement of letters and numbers .................................................................................................... 9,500 17,000 

220.31 Initiating a transmission .................................................................................................................... 5,500 10,000 

220.33 Receiving a transmission .................................................................................................................. 9,500 17,000 

220.35 Ending a transmission ....................................................................................................................... 9,500 17,000 

220.37 Voice test .......................................................................................................................................... 13,000 20,500 

220.38 Failed equipment ............................................................................................................................... 2,500 5,000 

220.39 Continuous monitoring ...................................................................................................................... 9,500 17,000 

220.41 [Reserved].

220.43 Communication consistent with the rules ......................................................................................... 13,000 20,500 

220.45 Complete communications ................................................................................................................ 13,000 20,500 

220.47 Emergencies ..................................................................................................................................... 19,500 25,000 

220.49 Switching, backing or pushing .......................................................................................................... 19,500 25,000 

220.51 Signal indications .............................................................................................................................. 13,000 20,500 

220.61 Radio transmission of mandatory directives ..................................................................................... 19,500 25,000 

1A penalty may be assessed against and only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 

for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The 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. 

PART 221—[AMENDED] 

17. The authority citation for part 221 

continues to read as follows: 

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

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

18. Appendix C to part 221 is revised 

to read as follows: 

APPENDIX C TO PART 221—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Marking Devices 

221.13 Marking device display: 

(a) Device not present, not displayed, or not properly illuminated ......................................................... $9,500 $17,000 

(d) Device too close to rail ...................................................................................................................... 2,500 5,000 

221.14 Marking devices: Use of unapproved or noncomplying device ........................................................ 5,500 10,000 

221.15 Marking device inspection: 

(a) Failure to inspect at crew change ...................................................................................................... 5,500 10,000 

(b), (c) Improper inspection ...................................................................................................................... 5,500 10,000 

221.16 Inspection procedure: 

(a) Failure to obtain protection ................................................................................................................. 9,500 17,000 

(b) Improper protection ............................................................................................................................. 5,500 10,000 

221.17 Movement of defective equipment .................................................................................................... (1) (1) 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Where the conditions for movement of defective 

equipment set forth in § 221.17 of this part are not met, the movement constitutes a violation of § 221.13 of this part. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57621 

2The penalty schedule uses section numbers from 49 CFR part 221. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 222—[AMENDED] 

19. The authority citation for part 222 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20153, 

21301, 21304; 28 U.S.C. 2461, note; and 49 

CFR 1.49. 

20. Appendix H to part 222 is revised 

to read as follows: 

APPENDIX H TO PART 222—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Use of Locomotive Horns 

222.21 Use of locomotive horn: 

(a) Failure to sound horn at grade crossing ............................................................................................ $9,500 $17,000 

Failure to sound horn in proper pattern ................................................................................................... 5,500 10,000 

(b) Failure to sound horn at least 15 seconds and less than 1⁄4 mile before crossing ........................... 9,500 17,000 

Sounding the horn more than 25 seconds before the crossing ....................................................... 5,500 10,000 

Sounding the horn more than 1⁄4 mile in advance of crossing ......................................................... 5,500 10,000 

Subpart C—Exceptions to the Use of the Locomotive Horn 

Silenced Horns at Individual Crossings 

222.33 Failure to sound horn when conditions of § 222.33 are not met ...................................................... 9,500 17,000 

Silenced Horns at Groups of Crossings—Quiet Zones 

222.45 Routine sounding of the locomotive horn at a quiet zone crossing ................................................. 5,500 10,000 

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 ...... 2,500 5,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 222. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 223—[AMENDED] 

21. The authority citation for part 223 

continues to read as follows: 

Authority: 49 U.S.C. 20102–03, 20133, 

20701–20702, 21301–02, 21304; 28 U.S.C. 

2461, note; and 49 CFR 1.49. 

22. Appendix B to part 223 is revised 

to read as follows: 

APPENDIX B TO PART 223—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Specific Requirements 

223.9 New or rebuilt equipment: 

(a) Locomotives ....................................................................................................................................... $5,500 $10,000 

(b) Cabooses ........................................................................................................................................... 5,500 10,000 

(c) Passenger cars .................................................................................................................................. 5,500 10,000 

223.11(c) Existing locomotives ..................................................................................................................... 5,500 10,000 

(d) Repair of window .............................................................................................................................. 2,500 5,000 

223.13(c) Existing cabooses ......................................................................................................................... 5,500 10,000 

(d) Repair of window .............................................................................................................................. 2,500 5,000 

223.15(c) Existing passenger cars ................................................................................................................ 5,500 10,000 

(d) Repair of window ............................................................................................................................... 2,500 5,000 

223.17 Identification of units ......................................................................................................................... 2,500 5,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 223. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57622 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

PART 224—[AMENDED] 

23. The authority citation for part 224 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20148 

and 21301; 28 U.S.C. 2461; and 49 CFR 1.49. 

24. Appendix A to part 224 is revised 

to read as follows: 

APPENDIX A TO PART 224—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Application, Inspection, and Maintenance of Retroreflective Material 

224.103 Characteristics of retroreflective sheeting: 

(a)–(d) Retroreflective sheeting applied does not meet the requirements of § 224.103 ........................ $5,500 $10,000 

224.105 Sheeting dimensions and quantity: 

(a) Failure to apply minimum amount of retroreflective sheeting in accordance with Table 2 ............... 5,500 10,000 

(b) Applying retroreflective sheeting of wrong dimensions ..................................................................... 5,500 10,000 

224.106 Location of retroreflective sheeting: 

(a), (b) Applying retroreflective sheeting in nonconforming pattern ........................................................ 5,500 10,000 

224.107 Implementation schedule: 

(a)(1), (b)(1) Failure to apply retroreflective sheeting to new freight car or locomotive before equipment placed in service .......................................................................................................................... 5,500 10,000 

(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) ............................................ 5,500 10,000 

224.109 Inspection, repair, and replacement: 

(1) Failure to perform inspection ............................................................................................................. 5,500 10,000 

(2) Failure to properly notify car owner of defect .................................................................................... 5,500 10,000 

(3) Failure to retain written notification of defect for two years .............................................................. 2,500 5,000 

(4) Failure to repair defect after notification ............................................................................................ 5,500 10,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 224. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 225—[AMENDED] 

25. The authority citation for part 225 

continues to read as follows: 

Authority: 49 U.S.C. 103, 322(a), 20103, 

20107, 20901–02, 21301, 21302, 21311; 28 

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

26. Appendix A to part 225 is revised 

to read as follows: 

APPENDIX A TO PART 225—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

225.9 Telephonic reports of certain accidents/incidents ............................................................................... $9,500 $17,000 

225.11 Reports of accidents/incidents .......................................................................................................... 5,500 10,000 

225.12(a): Failure to file Railroad Employee Human Factor Attachment properly: 

(1) Employee identified ............................................................................................................................ 2,500 5,000 

(2) No employee identified ...................................................................................................................... 2,500 5,000 

225.12(b): 

(1) Failure to notify employee properly ................................................................................................... 5,500 10,000 

(2) Notification of employee not involved in accident ............................................................................. 2,500 5,000 

225.12(c): Failure of employing railroad to provide requested information properly ...................................... 2,500 5,000 

225.12(d): 

(1) Failure to revise report when identity becomes known ..................................................................... 2,500 5,000 

(2) Failure to notify after late identification .............................................................................................. 5,500 10,000 

225.12(f)(1): Submission of notice if employee dies as result of the reported accident ................................ 2,500 5,000 

225.12(g): Willfully false accident statement by employee ............................................................................. ............................ 20,500 

225.13 Late reports ....................................................................................................................................... 2,500 5,000 

225.17(d) Alcohol or drug involvement ......................................................................................................... 9,500 17,000 

225.23 Joint operations ................................................................................................................................. (1) (1) 

225.25 Recordkeeping .................................................................................................................................. 5,500 10,000 

225.27 Retention of records .......................................................................................................................... 2,500 5,000 

225.33: 

(1) Failure to adopt the Internal Control Plan ......................................................................................... 9,500 17,000 

(2) Inaccurate reporting due to failure to comply with the Internal Control Plan .................................... 9,500 17,000

(3) Failure to comply with the intimidation/harassment policy in the Internal Control Plan .................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57623 

APPENDIX A TO PART 225—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

225.35 Access to records and reports .......................................................................................................... 5,500 10,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. A failure to comply with § 225.23 constitutes a violation of § 225.11. For purposes of §§ 225.25 and 225.27 of this part, each of the following constitutes a single act of noncompliance: (1) A missing 

or incomplete log entry for a particular employee’s injury or illness; or (2) a missing or incomplete log record for a particular rail equipment accident or incident. Each day a violation continues is a separate offense. 2The penalty schedule uses section numbers from 49 CFR part 225. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 227—[AMENDED] 

27. The authority citation for part 227 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20103 (note), 

20701–20702; and 49 CFR 1.49. 

28. Appendix G to part 227 is revised 

to read as follows: 

APPENDIX G TO PART 227—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart A—General 

227.3 Application: 

(b)(4) Failure to meet the required conditions for foreign railroad operations ......................................... $5,500 $10,000 

Subpart B—Occupational Noise Exposure for Railroad Operating Employees 

227.103 Noise monitoring program: 

(a) Failure to develop and/or implement a noise monitoring program .................................................... 19,500 25,000 

(b) Failure to use sampling as required ................................................................................................... 5,500 10,000 

(c) Failure to integrate sound levels and/or make noise measurements as required ............................. 5,500 10,000 

(d) Failure to repeat noise monitoring where required ............................................................................ 5,500 10,000 

(e) Failure to consider work environments where hearing protectors may be omitted ........................... 5,500 10,000 

(f) Failure to provide opportunity to observe monitoring .......................................................................... 2,500 5,000 

(g) Reporting of monitoring results: 

(1) Failure to notify monitored employee .......................................................................................... 5,500 10,000 

(2) Failure to post results as required ............................................................................................... 5,500 10,000 

227.105 Protection of employees: 

(a) Failure to provide appropriate protection to exposed employee ........................................................ 19,500 25,000 

(b) Failure to observe and document sources of noise exposure ........................................................... 5,500 10,000 

(c)–(d) Failure to protect employee from impermissible continuous noise .............................................. 13,000 20,500 

227.107 Hearing conservation program: 

(a) Failure to administer an HCP ............................................................................................................. 19,500 25,000 

(b) Failure to compute noise exposure as required ................................................................................. 9,500 17,000 

227.109 Audiometric testing program: 

(a) Failure to establish and/or maintain an audiometric testing program ................................................ 19,500 25,000 

(b) Failure to provide audiometric test at no cost to employee ............................................................... 5,500 10,000 

(c) Failure to have qualified person perform audiometric test ................................................................. 5,500 10,000 

(d) [Reserved] ........................................................................................................................................... ............................ ............................

(e) Failure to establish baseline audiogram as required ......................................................................... 9,500 17,000 

(f) Failure to offer and/or require periodic audiogram as required .......................................................... 5,500 10,000 

(g) Failure to evaluate audiogram as required ......................................................................................... 5,500 10,000 

(h) Failure to comply with follow-up procedures as required ................................................................... 5,500 10,000 

(i) Failure to use required method for revising baseline audiograms ...................................................... 5,500 10,000 

227.111 Audiometric test requirements: 

(a) Failure to conduct test as required ..................................................................................................... 5,500 10,000 

(b) Failure to use required equipment ...................................................................................................... 5,500 10,000 

(c) Failure to administer test in room that meets requirements ............................................................... 5,500 10,000 

(d) Complete failure to calibrate ............................................................................................................... 13,000 20,500 

(1) Failure to perform daily calibration as required ........................................................................... 2,500 5,000 

(2) Failure to perform annual calibration as required ....................................................................... 2,500 5,000 

(3) Failure to perform exhaustive calibration as required ................................................................. 2,500 5,000 

227.115 Hearing protectors (HP): 

(a) Failure to comply with general requirements ..................................................................................... 9,500 17,000 

(b) Failure to make HP available as required .......................................................................................... 5,500 10,000 

(c) Failure to require use of HP at action level ........................................................................................ 13,000 20,500 

(d) Failure to require use of HP at TWA of 90 dB(A) .............................................................................. 13,000 20,500 

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 reevaluate attenuation ........................................................................................................ 2,500 5,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57624 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX G TO PART 227—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

227.119 Training program: 

(a) Failure to institute a training program as required ............................................................................. 9,500 17,000 

(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 ......................................................................... 2,500 5,000 

(b)–(f) Records: 

(1) Failure to maintain record or failure to maintain record with required information ..................... 2,500 5,000 

(2) Failure to retain records for required time period ....................................................................... 2,500 5,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 227. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 228—[AMENDED] 

29. The authority citation for part 228 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 21101– 

21109; Sec. 108, Div. A, Pub. L. 110–432, 122 

Stat. 4860–4866; 49 U.S.C. 21301, 21303, 

21304, 21311; 28 U.S.C. 2461, note; and 49 

CFR 1.49; and 49 U.S.C. 103. 

30. In appendix A to part 228, the 

ninth paragraph below the heading 

‘‘General Provisions’’, entitled ‘‘Penalty’’ 

is revised to read as follows: 

Appendix A to Part 228—Requirements 

of the Hours of Service Act: Statement 

of Agency Policy and Interpretation 

* * * * * 

General Provisions 

* * * * * 

Penalty. * * * Effective October 9, 2007, 

the ordinary maximum penalty of $11,000 

was raised to $16,000 as required under law. 

Effective March 2, 2009, the minimum 

penalty, ordinary maximum penalty and 

aggravated maximum penalty were raised 

again. The minimum penalty was increased 

from $550 to $650 pursuant to the law’s 

requirement. Meanwhile, the ordinary 

maximum penalty was increased from 

$16,000 to $25,000 and the aggravated 

maximum was increased from $27,000 to 

$100,000 in accordance with the authority 

provided under the Rail Safety Improvement 

Act of 2008. FRA’s guideline civil penalty 

amounts for violations of the substantive 

hours of service statute are $9,500 for an 

ordinary violation of the hours of service 

statute and $17,000 for a willful violation of 

the hours of service statute. The 

Administrator reserves the right to assess a 

penalty of up to $100,000 for a violation 

where circumstances warrant. See 49 CFR 

part 209, appendix A. 

* * * * * 

31. Appendix B to part 228 is revised 

to read as follows: 

APPENDIX B TO PART 228—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Records and Reporting 

228.9 Railroad records .................................................................................................................................. $5,500 $10,000 

228.11 Hours of duty records ....................................................................................................................... 2,500 5,000 

Error on record reflect pattern of inaccurate recordkeeping .................................................................... 13,000 20,500 

228.17 Dispatcher’s record ........................................................................................................................... 2,500 5,000 

228.19 Monthly reports of excess service .................................................................................................... 9,500 17,000 

Subpart D—Electronic Recordkeeping 

228.203 Program components ...................................................................................................................... 9,500 17,000 

228.205 Access to electronic records ........................................................................................................... 9,500 17.000 

228.207 Training ........................................................................................................................................... 5,500 10,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 228. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 229—[AMENDED] 

32. The authority citation for part 229 

continues to read as follows: 

Authority: 49 U.S.C. 20102–20103, 20107, 

20133, 20137–20138, 20143, 20701–20703, 

21301–21302, 21304; 28 U.S.C. 2461, note; 

and 49 CFR 1.49(c), (m). 

33. Appendix B to part 229 is revised 

to read as follows: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57625 

APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful violation 

Subpart A—General 

229.7 Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant facts .................................................................................................................................................... $2,500–13,000 $5,000–20,500 

229.9 Movement of noncomplying locomotives ............................................................................................ (1) (1) 

229.11 Locomotive identification ................................................................................................................... 2,500 5,000 

229.13 Control of locomotives ...................................................................................................................... 9,500 17,000 

229.17 Accident reports ................................................................................................................................ 15,500 10,000 

219.19 Prior waivers ..................................................................................................................................... (1) (1) 

Subpart B—Inspection and Tests 

229.21 Daily inspection: 

(a)(b): 

(1) Inspection overdue ...................................................................................................................... 5,500 10,000 

(2) Inspection report not made, improperly executed, or not retained ............................................. 2,500 5,000 

(c) Inspection not performed by a qualified person ................................................................................. 2,500 5,000 

229.23 Periodic inspection General 

(a)(b): 

(1) Inspection overdue ...................................................................................................................... 5,500 10,000 

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

safely inspected ............................................................................................................................. 5,500 10,000 

(c)(d): 

(1) Form missing ............................................................................................................................... 2,500 5,000 

(2) Form not properly displayed ........................................................................................................ 2,500 5,000 

(3) Form improperly executed ........................................................................................................... 2,500 5,000 

(e) Replace Form FRA F 6180–49A by April 2 ....................................................................................... 2,500 5,000 

(f) Secondary record of the information reported on Form FRA F 6180.49A ......................................... 2,500 5,000 

229.25: 

(a) through (e)(4) Tests: Every periodic inspection ................................................................................. 5,500 10,000 

(e)(5) Ineffective maintenance .................................................................................................................. 13,000 20,500 

229.27 Annual tests ...................................................................................................................................... 5,500 10,000 

229.29 Biennial tests ..................................................................................................................................... 5,500 10,000 

229.31: 

(a) Biennial hydrostatic tests of main reservoirs ...................................................................................... 5,500 10,000 

(b) Biennial hammer tests of main reservoirs .......................................................................................... 5,500 10,000 

(c) Drilled telltale holes in welded main reservoirs .................................................................................. 5,500 10,000 

(d) Biennial tests of aluminum main reservoirs ........................................................................................ 5,500 10,000 

229.33 Out-of-use credit ............................................................................................................................... 2,500 5,000 

Subpart C—Safety Requirements 

General Requirements 

229.41 Protection against personal injury ..................................................................................................... 9,500 17,000 

229.43 Exhaust and battery gases ............................................................................................................... 9,500 17,000 

229.45 General condition: To be assessed based on relevant facts ........................................................... 2,500–13,000 5,000–20,500 

Brake System 

229.46 Brakes: General ................................................................................................................................ 9,500 17,000 

229.47 Emergency brake valve .................................................................................................................... 9,500 17,000 

229.49 Main reservoir system: 

(a)(1) Main reservoir safety valve ............................................................................................................ 9,500 17,000 

(2) Pneumatically actuated control reservoir .................................................................................... 9,500 17,000 

(b)(c) Main reservoir governors ................................................................................................................ 9,500 17,000 

229.51 Aluminum main reservoirs ................................................................................................................ 9,500 17,000 

229.53 Brake gauges .................................................................................................................................... 9,500 17,000 

229.55 Piston travel ...................................................................................................................................... 9,500 17,000 

229.57 Foundation brake gear ...................................................................................................................... 9,500 17,000 

229.59 Leakage ............................................................................................................................................. 9,500 17,000 

Draft System 

229.61 Draft system ...................................................................................................................................... 5,500 10,000 

Suspension System 

229.63 Lateral motion ................................................................................................................................... 5,500 10,000 

229.64 Plain bearing ..................................................................................................................................... 5,500 10,000 

229.65 Spring rigging .................................................................................................................................... 5,500 10,000 

229.67 Trucks ................................................................................................................................................ 9,500 17,000 

229.69 Side bearings .................................................................................................................................... 9,500 17,000 

229.71 Clearance above top of rail ............................................................................................................... 2,500 5,000 

229.73 Wheel sets ........................................................................................................................................ 9,500 17,000 

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 ....................................................................... 9,500 17,000 

(2) One spot 3′′ or more in length ..................................................................................................... 13,000 20,500 

(3) Two adjoining spots each of which is 2′′ or more in length but less than 21⁄2′′ in length ........... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57626 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

(4) Two adjoining spots each of which are at least 2′′ in length, if either spot is 21⁄2′′ or more in 

length ............................................................................................................................................. 13,000 20,500 

(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 ...... 9,500 17,000 

(2) 15⁄8′′ or more in length and 5⁄8′′ or more in width ......................................................................... 13,000 20,500 

(c) Broken rim ........................................................................................................................................... 19,500 25,000 

(e) Seam in tread ..................................................................................................................................... 9,500 17,000 

(f) Flange thickness of:.

(1) 7⁄8′′ or less but more than 13⁄16′′ ................................................................................................... 9,500 17,000 

(2) 13⁄16′′ or less ................................................................................................................................. 13,000 20,500 

(g) Tread worn hollow .............................................................................................................................. 9,500 17,000 

(h) Flange height of: 

(1) 11⁄2′′ or greater but less than 15⁄8′′ ............................................................................................... 9,500 17,000 

(2) 15⁄8′′ or more ................................................................................................................................ 13,000 20,500 

(i) Tire thickness ....................................................................................................................................... 9,500 17,000 

(j) Rim thickness: 

(1) Less than 1′′ in road service and 3⁄4′′ in yard service ................................................................. 9,500 17,000 

(2) 15⁄16′′ or less in road service and 11⁄16′′ in yard service .............................................................. 13,000 20,500 

(k): 

(1) Crack of less than 1′′ ................................................................................................................... 9,500 17,000

(2) Crack of 1′′ or more ..................................................................................................................... 13,000 20,500 

(3) Break ............................................................................................................................................ 19,500 25,000 

(l) Loose wheel or tire ....................................................................................................................... 19,500 25,000 

(m) Welded wheel or tire .......................................................................................................................... 9,500 17,000 

Electrical System 

229.77 Current collectors .............................................................................................................................. 5,500 10,000 

229.79 Third rail shoes and beams .............................................................................................................. 5,500 10,000 

229.81 Emergency pole; shoe insulation ...................................................................................................... 9,500 17,000 

229.83 Insulation or grounding ..................................................................................................................... 13,000 20,500 

229.85 Door and cover plates marked ‘‘Danger’’ ......................................................................................... 5,500 10,000 

229.87 Hand operated switches ................................................................................................................... 5,500 10,000 

229.89 Jumpers; cable connections: 

(a) Jumpers and cable connections; locked and guarded ....................................................................... 9,500 17,000 

(b) Condition of jumpers and cable connections ..................................................................................... 9,500 17,000 

229.91 Motors and generators ...................................................................................................................... 9,500 17,000 

Internal Combustion Equipment 

229.93 Safety cut-off device ......................................................................................................................... 9,500 17,000 

229.95 Venting .............................................................................................................................................. 9,500 17,000 

229.97 Grounding fuel tanks ......................................................................................................................... 9,500 17,000 

229.99 Safety hangers .................................................................................................................................. 9,500 17,000 

229.101 Engines: 

(a) Temperature and pressure alarms, controls, and switches ............................................................... 5,500 10,000 

(b) Warning notice .................................................................................................................................... 9,500 17,000 

(c) Wheel slip/slide protection .................................................................................................................. 5,500 10,000 

Steam Generators 

229.103 Safe working pressure; factor of safety 9,500 17,000 

229.105 Steam generator number ................................................................................................................ 2,500 5,000 

229.107 Pressure gauge ............................................................................................................................... 9,500 17,000 

229.109 Safety valves ................................................................................................................................... 9,500 17,000 

229.111 Water-flow indicator ........................................................................................................................ 9,500 17,000 

229.113 Warning notice ................................................................................................................................ 9,500 17,000 

Cabs and Cab Equipment 

229.115 Slip/slide alarms .............................................................................................................................. 9,500 17,000 

229.117 Speed indicators ............................................................................................................................. 9,500 17,000 

229.119 Cabs, floors, and passageways: 

(a)(1) Cab set not securely mounted or braced ....................................................................................... 5,500 10,000 

(2) Insecure or improper latching device .......................................................................................... 5,500 10,000 

(b) Cab windows of lead locomotive ........................................................................................................ 5,500 10,000 

(c) Floors, passageways, and compartments .......................................................................................... 5,500 10,000 

(d) Ventilation and heating arrangement .................................................................................................. 9,500 17,000 

(e) Continuous barrier .............................................................................................................................. 9,500 17,000 

(f) Containers for fuses and torpedoes .................................................................................................... 9,500 17,000 

229.121 Locomotive cab noise: 

(a) Performance Standards 

(1) Failure to meet sound level ......................................................................................................... 13,000 20,500 

(2) Improper maintenance alterations ............................................................................................... 5,500 10,000 

(3) Failure to comply with static test protocols ................................................................................. 5,500 10,000 

(b) Maintenance of Locomotives: 

(1) Failure to maintain excessive noise report record or respond to report as required ................. 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57627 

APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

(3) Failure to make good faith effort as required .............................................................................. 5,500 10,000 

(4) Failure to maintain record as required ........................................................................................ 2,500 5,000 

229.123 Pilots, snowplows, end plates ......................................................................................................... 5,500 10,000 

229.125: 

(a) Headlights ........................................................................................................................................... 9,500 17,000 

(d) Auxiliary lights ..................................................................................................................................... 9,500 17,000 

229.127 Cab lights ........................................................................................................................................ 5,500 10,000 

229.129 Locomotive horn: 

(a) Prescribed sound levels ...................................................................................................................... 9,500 17,000 

Arrangement of horn ................................................................................................................................ 9,500 17,000 

(b) Failure to perform sound level test ..................................................................................................... 9,500 17,000 

(c) Sound level test improperly performed ............................................................................................... 9,500 17,000 

Record of sound level test improperly executed, or not retained ................................................................... 5,500 10,000 

229.131 Sanders ........................................................................................................................................... 2,500 5,000 

229.135 Event Recorders: 

(a) Lead locomotive without in-service event recorder ............................................................................ 9,500 17,000 

(b) Failure to meet equipment requirements ............................................................................................ 9,500 17,000 

(c) Unauthorized removal or failure to remove from service ................................................................... 9,500 17,000 

(d) Improper response to out of service event recorder .......................................................................... 9,500 17,000 

(e) Failure to preserve data or unauthorized extraction of data .............................................................. 9,500 17,000 

(g) Tampering with device or data ........................................................................................................... 9,500 17,000 

229.137 Sanitation, general: 

(a) Sanitation compartment in lead unit, complete failure to provide required items .............................. 9,500 17,000 

(1) Ventilation .................................................................................................................................... 5,500 10,000 

(2) Door missing ................................................................................................................................ 5,500 10,000 

(2)(i) Door doesn’t close .................................................................................................................... 5,500 10,000 

(2)(ii) No modesty lock ...................................................................................................................... 2,500 5,000 

(3) Not equipped with toilet in lead ................................................................................................... 9,500 17,000 

(4) Not equipped with washing system ............................................................................................. 5,500 10,000 

(5) Lack of paper ............................................................................................................................... 5,500 10,000 

(6) Lack of trash receptacle .............................................................................................................. 5,500 10,000 

(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 ...................................................................................................................... 5,500 10,000 

(c) Defective/unsanitary toilet in lead unit ................................................................................................ 5,500 10,000 

(1)–(5) Failure to meet conditions of exception ................................................................................ 5,500 10,000 

(d) Defective/unsanitary unit; failure to meet conditions for trailing position ........................................... 5,500 10,000 

(e) Defective/sanitary unit; failure to meet conditions for switching/transfer service ............................... 5,500 10,000 

(f) Paper, washing, trash holder; failure to equip prior to departure ....................................................... 5,500 10,000 

(g) Inadequate ventilation; failure to repair or move prior to departure ................................................... 5,500 10,000 

(h) Door closure/modesty lock; failure to repair or move ........................................................................ 2,500 5,000 

(i) Failure to retain/maintain of equipped units ........................................................................................ 5,500 10,000 

(j) Failure to equip new units/in-cab facility .............................................................................................. 5,500 10,000 

(k) Failure to provide potable water ......................................................................................................... 5,500 10,000 

229.139 Servicing requirements: 

(a) Lead occupied unit not sanitary .......................................................................................................... 5,500 10,000 

(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 ten days ............................................................................................. 5,500 10,000 

(e) Failure to repair defective modesty lock ............................................................................................. 2,500 5,000 

Subpart D—Locomotive Crashworthiness Design Requirements 

229.141 Body structure, MU locomotives ..................................................................................................... 9,500 17,000 

229.205 General requirements: 

(a)(1) Wide-nose locomotive not designed in compliance with AAR S–580–2005 ................................. 19,500 25,000 

(2) Wide-nose locomotive not designed in compliance with new approved design standard ......... 19,500 25,000 

(3) Wide-nose locomotive not designed in compliance with alternate approved design standard .. 19,500 25,000 

(b) Monocoque or semi-monocoque locomotive not in compliance with design requirements ............... 19,500 25,000 

(c) Narrow-nose not in compliance with design requirements ................................................................. 19,500 25,000 

229.206 Design requirements: 

Locomotive fails to meet— 

(1) Emergency egress requirements ................................................................................................. 19,500 25,000 

(2) Emergency interior lighting requirements .................................................................................... 19,500 25,000 

(3) Interior configuration requirements .............................................................................................. 19,500 25,000 

229.213 Locomotive manufacturing information: 

(a) Failure to retain required information ................................................................................................. 9,500 17,000 

(b) Failure to produce required information ............................................................................................. 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57628 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX B TO PART 229—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

229.215 Retention and inspection of designs: 

(a) Failure to retain required design records ........................................................................................... 9,500 17,000 

(b) Failure to retain required repair or modification records .................................................................... 9,500 17,000 

(c) Failure to make records available when requested ............................................................................ 9,500 17,000 

229.217 Fuel tank: 

(a) External fuel tank ................................................................................................................................ 19,500 25,000 

(b) Internal fuel tank ................................................................................................................................. 19,500 25,000 

1A 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 $25,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required under 

subpart B of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on 

that locomotive. Moreover, the Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set forth in § 229.9 will deprive the railroad of the benefit 

of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of movement. Failure to comply with § 229.19 will result in the 

lapse of any affected waiver. 2The penalty schedule uses section numbers from 49 CFR part 229. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 230—[AMENDED] 

34. The authority citation for part 230 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20702; 

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

35. Appendix D to part 230 is revised 

to read as follows: 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES

Section 2 Violation Willful 

violation 

Subpart A—General 

General Inspection Requirements 

230.11 Repair of non-complying conditions: 

(a) Failure to repair noncomplying steam locomotive prior to use in service .......................................... $5,500 $10,000 

(b) Failure of owner and/or operator to approve repairs made prior to use of steam locomotive .......... 5,500 10,000 

230.12 Movement of noncomplying steam locomotive ................................................................................. (1) (1) 

230.13 Daily inspection: 

(a)(b): 

(1) Inspection overdue ...................................................................................................................... 9,500 17,000 

(2) Inspection not performed by qualified person ............................................................................. 5,500 10,000 

(c) Inspection report not made, improperly executed or not retained ..................................................... 5,500 10,000 

230.14 Thirty-one service day inspection: 

(a): 

(1) Inspection overdue ...................................................................................................................... 9,500 17,000 

(2) Inspection not performed by qualified person ............................................................................. 5,500 10,000 

(b) Failure to notify FRA ........................................................................................................................... 5,500 10,000 

(c) Inspection report not made, improperly executed, not properly filed ................................................. 5,500 10,000 

230.15 Ninety-two service day inspection: 

(a): 

(1) Inspection overdue ...................................................................................................................... 9,500 17,000 

(2) Inspection not performed by qualified person ............................................................................. 5,500 10,000 

(b) Inspection report not made, improperly executed, not properly filed ................................................. 5,500 10,000 

230.16 Annual inspection: 

(a): 

(1) Inspection overdue ...................................................................................................................... 9,500 17,000 

(2) Inspection not performed by qualified person ............................................................................. 5,500 10,000 

(b) Failure to notify FRA ........................................................................................................................... 5,500 10,000 

(c) Inspection report not made, improperly executed, not properly filed ................................................. 5,500 10,000 

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

(a): 

(1) Inspection overdue ...................................................................................................................... 9,500 17,000 

(2) Inspection not performed by qualified person ............................................................................. 5,500 10,000 

(b) Inspection report not made, improperly executed, not properly maintained, not properly filed ......... 5,500 10,000 

Recordkeeping Requirements 

230.18 Service days: 

(a) Service day record not available for inspection ................................................................................. 5,500 10,000 

(b) Failure to file service day report with FRA Regional Administrator ................................................... 5,500 10,000 

(c) Failure to complete all 1,472 service day inspection items prior to returning retired steam locomotive to service ................................................................................................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57629 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

230.19 Posting of forms: 

(a) FRA Form No. 1: 

(1) FRA Form No. 1 not properly filled out ....................................................................................... 5,500 10,000 

(2) FRA Form No. 1 not properly displayed ..................................................................................... 5,500 10,000 

(b) FRA Form No. 3: 

(1) FRA Form No. 3 not properly filled out ....................................................................................... 5,500 10,000 

(2) FRA Form No. 3 not properly displayed ..................................................................................... 5,500 10,000 

230.20 Alteration and repair reports: 

(a) Alterations: 

(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator .............................. 5,500 10,000 

(2) FRA Form No. 19 not properly filled out ..................................................................................... 5,500 10,000 

(3) FRA Form No. 19 not properly maintained ................................................................................. 5,500 10,000 

(b) Repairs to unstayed portions of the boiler: 

(1) FRA Form No. 19 not properly filled out ..................................................................................... 5,500 10,000 

(2) FRA Form No. 19 not properly maintained ................................................................................. 5,500 10,000 

(c) Repairs to stayed portions of the boiler: 

(1) FRA Form No. 19 not properly filled out ..................................................................................... 5,500 10,000 

(2) FRA Form No. 19 not properly maintained ................................................................................. 5,500 10,000 

230.21 Failure to properly document steam locomotive number change .................................................... 5,500 10,000 

230.22 Failure to properly report accident resulting from failure of steam locomotive boiler or part or appurtenance thereof ....................................................................................................................................... 9,500 17,000 

Subpart B—Boilers and Appurtenances 

230.23 Responsibility for general construction and safe working pressure: 

(a) Failure to properly establish safe working pressure for steam locomotive boiler .............................. 19,500 25,000 

(b) Placing steam locomotive in service before safe working pressure for boiler has been established 19,500 25,000 

Allowable Stress 

230.24 Maximum allowable stress values on boiler components: 

(a) Use of materials not of sufficient tensile strength .............................................................................. 5,500 10,000 

(b) Use of a safety factor value of less than four when using the code of original construction in boiler calculations ....................................................................................................................................... 13,000 20,500 

230.25 Maximum allowable stresses on stays and braces: 

(a) Exceeding allowable stress values on fire box and/or combustion chamber .................................... 5,500 10,000 

(b) Exceeding allowable stress values on round, rectangular or gusset braces ..................................... 5,500 10,000 

Inspection and Repair 

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 .................................................................................................. 9,500 17,000 

(2) Failure to remove steam locomotive from service when considered necessary to do so .......... 13,000 20,500 

(b): 

(1) Failure of perform repairs in accordance with accepted industry standards .............................. 13,000 20,500 

(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 ............................................ 13,000 20,500 

230.30 Lap-joint seam boilers, failure to properly inspect ............................................................................ 13,000 20,500 

230.31 Flues to be removed: 

(a): 

(1) Failure to remove all flues when inspecting boiler ...................................................................... 9,500 17,000 

(2) Failure to enter boiler and clean and inspect .............................................................................. 9,500 17,000 

(b) Failure to remove superheater flues when deemed necessary to do so ........................................... 5,500 10,000 

230.32 Time and method of inspection: 

(a) Failure to perform 1,472 service day inspection when required to do so .......................................... 9,500 17,000 

(b) Failure to properly inspect boiler during 1,472 service day inspection .............................................. 9,500 17,000 

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 ....................................................................... 9,500 17,000 

(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 .................. 9,500 17,000 

(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 ............................................................................. 9,500 17,000 

(2) Repairing wasted sheets ............................................................................................................. 9,500 17,000 

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 ............................................................................................................................ 9,500 17,000 

(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs ......................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57630 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad 

practices or accepted national standards for boiler repairs ................................................................. 5,500 10,000 

Pressure Testing of Boilers 

230.35 Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying hydrostatic pressure to the boiler ......................................................................................................................... 5,500 10,000 

230.36 Hydrostatic testing of boilers: 

(a) Failure to perform hydrostatic test of boiler as required .................................................................... 9,500 17,000 

(b) Failure to properly perform hydrostatic test ........................................................................................ 9,500 17,000 

(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP ............................ 9,500 17,000 

230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or alteration to boiler ............................................................................................................................................... 5,500 10,000 

Staybolts 

230.38 Telltale holes: 

(a) Failure to have telltale holes as required in staybolts ........................................................................ 5,500 10,000 

(b) Failure to have proper telltale holes in reduced body staybolts ........................................................ 5,500 10,000 

(c) Failure to keep telltale holes when so required .................................................................................. 5,500 10,000 

230.39 Broken staybolts: 

(a) Boiler in service with excess number of broken staybolts ................................................................. 9,500 17,000 

(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 ............................................... 9,500 17,000 

(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts ............................... 9,500 17,000

(d) Closing telltale holes by prohibited means ......................................................................................... 9,500 17,000 

230.40 Time and method of staybolt testing: 

(a) Failure to hammer test staybolts when so required ........................................................................... 5,500 10,000 

(b) Failure to properly hammer test staybolts .......................................................................................... 5,500 10,000 

230.41 Flexible staybolts with caps: 

(a) Failure to inspect flexible staybolts as required ................................................................................. 5,500 10,000 

(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required 5,500 10,000 

(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3 when so 

required ................................................................................................................................................. 5,500 10,000 

(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 .................................................................................... 5,500 10,000 

Steam Gauges 

230.42 Failure to have accurate boiler steam gauge where engine crew can conveniently read ............... 13,000 20,500 

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 ............................................................................................. 5,500 10,000 

230.44 Failure to test steam gauge when so required ................................................................................. 5,500 10,000 

230.45 Failure to properly test and/or set steam gauge .............................................................................. 5,500 10,000 

230.46 Failure to attach to boiler backhead metal badge plate showing allowable steam pressure .......... 5,500 10,000 

230.47 Boiler Number: 

(a) (b) (c) Failure to stamp builder’s number on boiler when number is known ..................................... 5,500 10,000 

Safety Relief Valves 

230.48 Number and capacity of safety relief valves: 

(a) Failure to equip steam locomotive boiler with proper safety relief valves ......................................... 13,000 20,500 

(b) Failure to provide additional safety relief valve capacity when so required ...................................... 13,000 20,500 

230.49 Setting of safety relief valves: 

(a) Safety relief valve(s) set and/or adjusted by person not competent to do so ................................... 13,000 20,500

(b) Safety relief valve(s) not set to open at prescribed pressure(s) ........................................................ 13,000 20,500 

(c) Safety relief valve(s) not properly set ................................................................................................. 13,000 20,500 

(d) Set pressure of lowest safety relief valve not properly indicated ....................................................... 5,500 10,000 

230.50 Failure to test and adjust safety relief valves when required to do so ............................................ 9,500 17,000 

Water Glasses and Gauge Cocks 

230.51 Failure to equip steam locomotive boiler with at least two properly installed water glasses .......... 5,500 10,000 

230.52 Failure to properly equip water glasses ............................................................................................ 13,000 20,500 

230.53 Failure to properly clean water glass valves and/or gauge cocks when required to do so ............. 5,500 10,000 

230.54 Testing and maintenance: 

(a) Failure to properly test water glasses and/or gauge cocks ............................................................... 5,500 10,000 

(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves ... 9,500 17,000 

230.55 Tubular type water and lubricator glasses and shields: 

(a) Failure to renew tubular type water glasses as required ................................................................... 5,500 10,000 

(b) Failure to properly shield tubular water glasses and/or lubricator glasses ........................................ 5,500 10,000 

(c) Failure to properly locate and/or maintain water glasses and/or water glass shields ....................... 5,500 10,000 

230.56 Failure to equip water glass with suitable lamp ............................................................................... 5,500 10,000 

Injectors, Feedwater Pumps, and Flue Plugs 

230.57 Injectors and feedwater pumps: 

(a) Failure to equip steam locomotive with proper means for delivering water to the boiler .................. 13,000 20,500 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57631 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, 

feed water pipes, tank hose, tank valves ............................................................................................. 13,000 20,500 

(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping ............................... 5,500 10,000 

230.58 Flue plugs: 

(a) Plugging flue plugs when not otherwise permitted ............................................................................. 5,500 10,000 

(b) Improperly plugging flue plugs, when otherwise permitted ................................................................ 5,500 10,000 

Fusible Plugs 

230.59 Failure to remove and properly clean fusible boiler plugs when required to do so; failure to properly note removal ......................................................................................................................................... 9,500 17,000 

Washing Boilers 

230.60 Time of washing: 

(a) Failure to thoroughly wash boiler when required to do so ................................................................. 5,500 10,000 

(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water 

bar plugs when washing locomotive boiler ........................................................................................... 9,500 17,000 

(c) Failure to examine and/or properly maintain washout plugs washout plug sleeves, threaded openings ........................................................................................................................................................ 9,500 17,000 

(d) Failure to clean fusible plugs when required to do so ....................................................................... 9,500 17,000 

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 .................................................................................................................................................... 5,500 10,000 

(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators, thermic siphons when required ............................................................................................................................ 9,500 17,000 

(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes, circulators ... 9,500 17,000 

Steam Pipes 

230.62 Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure ... 13,000 20,500 

230.63 Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so ........ 9,500 17,000 

Steam Leaks 

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 ............................................ 9,500 17,000 

230.65 Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does not obscure vision .................................................................................................................................................. 5,500 10,000 

Subpart C—Steam Locomotives and Tenders 

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

and tender(s) ................................................................................................................................................ 5,500 10,000 

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 .................................................................................. 13,000 20,500 

Speed Indicators 

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 .................................................... 5,500 10,000 

Ash Pans 

230.69 Failure to equip steam locomotive with properly supported ash pan with operating mechanism 

that may be safely operated and securely closed ....................................................................................... 5,500 10,000 

Brake and Signal Equipment 

230.70 Safe condition: 

(a) Failure to perform proper pre-departure inspection when so required .............................................. 5,500 10,000 

(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as ‘‘Emergency 

Brake Valve’’ ......................................................................................................................................... 5,500 10,000 

230.71 Orifice testing of air compressors: 

(a)(b): 

Failure to properly test and/or maintain air compressor(s) capacity ................................................ 5,500 10,000

230.72 Testing main reservoirs: 

(a) Failure to properly test main reservoir(s) when required ................................................................... 5,500 10,000 

(b) Impermissibly or improperly drilling main reservoir ............................................................................ 5,500 10,000 

(c) Impermissibly using NDE method to measure wall thickness of main reservoir ............................... 5,500 10,000 

(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 ......................................................................................................... 9,500 17,000 

230.73 Air gauges: 

(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more than three 

psi in error ............................................................................................................................................. 5,500 10,000 

(b) Failure to test air gauge(s) when so required .................................................................................... 5,500 10,000 

(c) Failure to properly test air gauge(s) ................................................................................................... 5,500 10,000 

230.74 Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when required to do so ............................................................................................................................................. 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57632 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

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

performing work ........................................................................................................................................... 5,500 10,000 

230.76 Piston travel: 

(a) Insufficient minimum piston travel ...................................................................................................... 5,500 10,000 

(b) Excessive piston travel when steam locomotive is stationary ........................................................... 5,500 10,000 

230.77 Foundation brake gear: 

(a) Failure to properly maintain foundation brake gear ........................................................................... 5,500 10,000 

(b) Foundation brake gear less than 2.5 inches above rail ..................................................................... 5,500 10,000 

230.78 Leakage: 

(a): 

(1) Failure to test for leakage from main reservoir or related piping as required .......................... 5,500 10,000 

(2) Failure to repair excessive leakage from main reservoir or related piping leakage ................... 5,500 10,000 

(b) Failure to test for brake cylinder as required ..................................................................................... 5,500 10,000 

(c): 

(1) Failure to test for leakage from steam locomotive brake pipe as required ................................ 5,500 10,000 

(2) Failure to repair excessive brake pipe leakage .......................................................................... 5,500 10,000 

230.79 Train signal system: 

(1) Failure to test the train signal system or other form of on-board communication as required .......... 5,500 10,000 

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

for service ............................................................................................................................................. 5,500 10,000 

Cabs, Warning Signals, Sanders and Lights 

230.80 Cabs: 

(a) Steam locomotive cab not safe and suitable for service ................................................................... 5,500 10,000 

(b) Steam pipes: Construction, attachment .............................................................................................. 5,500 10,000 

(c) Oil-burning steam locomotive, cab-enclosed ...................................................................................... 5,500 10,000 

230.81 Cab aprons: 

(a) Cab apron, general provisions ............................................................................................................ 5,500 10,000 

(b) Cab apron, insufficient width .............................................................................................................. 5,500 10,000 

230.82 Fire doors: 

(a) Safe and suitable for service, general provisions .............................................................................. 5,500 10,000 

(b) Construction and maintenance of mechanically operated fire doors ................................................. 5,500 10,000 

(c) Construction and maintenance of hand-operated fire doors .............................................................. 5,500 10,000 

230.83 Cylinder cocks: 

(1) Failure to properly equip with cylinder cocks ..................................................................................... 5,500 10,000 

(2) Failure to properly maintain cylinder cocks ........................................................................................ 5,500 10,000 

230.84 Sanders: 

(1) Inoperable sanders ............................................................................................................................. 5,500 10,000 

(2) Failure to test sanders ........................................................................................................................ 5,500 10,000 

230.85 Audible warning devices: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Sound level measurements, Failure to properly take ......................................................................... 5,500 10,000 

230.86 Required illumination: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Dimming device, failure to properly equip with .................................................................................. 5,500 10,000 

(c) Multiple locomotives, failure of lead locomotive to display headlight ................................................. 5,500 10,000 

230.87 Cab lights: Failure to properly equip with ......................................................................................... 5,500 10,000 

Throttles and Reversing Gear 

230.88 Throttles: Failure to properly maintain, equip ................................................................................... 5,500 10,000 

230.89 Reverse gear: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Air-operated power reverse gear ........................................................................................................ 5,500 10,000 

(c) Power reverse gear reservoirs ............................................................................................................ 5,500 10,000 

Draw Gear and Draft Systems 

230.90 Draw gear and draft systems: 

(a) Maintenance and testing ..................................................................................................................... 5,500 10,000 

(b) Safety bars and chains, general ......................................................................................................... 5,500 10,000 

(c) Safety bars and chains, minimum length ........................................................................................... 5,500 10,000 

(d) Lost motion between steam locomotive and tender ........................................................................... 5,500 10,000 

(e) Spring buffers: Improper application, compression ............................................................................ 5,500 10,000 

230.91 Chafing irons: Improper application, maintenance ........................................................................... 5,500 10,000 

230.92 Draw gear, draft systems: Improperly maintained, fastened ............................................................ 5,500 10,000 

Driving Gear 

230.93 Pistons and piston rods: 

(a) Failure to properly inspect, maintain, renew ...................................................................................... 5,500 10,000 

(b) Fasteners: Failure to keep tight, properly equip ................................................................................. 5,500 10,000 

230.94 Crossheads: Improperly maintained, excess clearance ................................................................... 5,500 10,000 

230.95 Guides: Failure to securely fasten, properly maintain ...................................................................... 5,500 10,000 

230.96 Main, side, valve motion rods: 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57633 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

(a) General ............................................................................................................................................... 5,500 10,000 

(b) Repairs ................................................................................................................................................ 5,500 10,000 

(1) Failure to make in accordance with accepted national standard ................................................ 5,500 10,000 

(2) Failure to submit written request for approval prior to welding ................................................... 5,500 10,000 

(c) Bearings and bushings ....................................................................................................................... 5,500 10,000 

(d) Rod side motion: Excessive motion ................................................................................................... 5,500 10,000 

(e) Oil, grease cups: Failure to securely fasten, properly equip .............................................................. 5,500 10,000 

(f) Main rod bearings: 

(1) Excessive bore ............................................................................................................................ 5,500 10,000 

(2) Excessive lost motion .................................................................................................................. 5,500 10,000 

(g) Side rod bearings, excessive bore ..................................................................................................... 5,500 10,000 

230.97 Crank pins: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Maintenance: Failure to maintain in safe, suitable condition ............................................................. 5,500 10,000 

Running Gear 

230.98 Driving, trailing, engine truck axles: 

(a) Condemning defects ........................................................................................................................... 5,500 10,000 

(b) Journal diameter: Failure to stamp on end of axle ............................................................................ 2,500 5,000 

230.99 Tender truck axle: Insufficient diameter ............................................................................................ 5,500 10,000 

230.100 Defects in tender truck axles and journals: 

(a) Tender truck axle condemning defects .............................................................................................. 5,500 10,000 

(b) Tender truck journal condemning defects .......................................................................................... 5,500 10,000 

230.101 Steam locomotive driving journal boxes: 

(a) Driving journal boxes: Failure to properly maintain ............................................................................ 5,500 10,000 

(b) Broken bearings: Failure to renew ..................................................................................................... 5,500 10,000 

(c) Loose bearings: Failure to repair or renew ........................................................................................ 5,500 10,000 

230.102 Tender plain bearing journal boxes: Failure to repair .................................................................... 5,500 10,000 

230.103 Tender roller bearing journal boxes: Failure to properly maintain ................................................. 5,500 10,000 

230.104 Driving box shoes and wedges: Failure to properly maintain ........................................................ 5,500 10,000 

230.105 Lateral motion: 

(a) Condemning limits: Total lateral motion in excess of ......................................................................... 5,500 10,000 

(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion ....................... 5,500 10,000 

(c) Interferes with other parts of steam locomotive ................................................................................. 5,500 10,000 

Trucks, Frames and Equalizing System 

230.106 Steam locomotive frame: 

(a) Failure to properly inspect and/or maintain ........................................................................................ 5,500 10,000 

(b) Broken frames, not properly patched or secured ............................................................................... 13,000 20,500 

230.107 Tender frame and body: 

(a) Failure to properly maintain ................................................................................................................ 5,500 10,000 

(b) Height difference between tender deck and steam locomotive cab floor or deck excessive ............ 5,500 10,000 

(c) Gangway minimum width excessive ................................................................................................... 5,500 10,000 

(d) Tender frame condemning defects ..................................................................................................... 9,500 17,000 

230.108 Steam locomotive leading and trailing trucks: 

(a) Failure to properly maintain ................................................................................................................ 5,500 10,000 

(b) Safety chain, suitable safety chain not provided ................................................................................ 5,500 10,000 

(c) Insufficient truck clearance ................................................................................................................. 5,500 10,000 

230.109 Tender trucks: 

(a): 

(1) Tender truck frames .................................................................................................................... 5,500 10,000 

(2) Tender truck center plate ............................................................................................................ 5,500 10,000 

(b) Tender truck bolsters: Failure to properly maintain ............................................................................ 9,500 17,000 

(c) Condemning defects, springs and/or spring rigging ........................................................................... 5,500 10,000 

(d) Truck securing arrangement: Not properly maintained ...................................................................... 5,500 10,000 

(e) Side bearings, truck centering devices ............................................................................................... 5,500 10,000 

(f) Friction side bearings: Run in contact ................................................................................................. 5,500 10,000 

(g): 

(1) Side bearings, failure to equip rear trucks with ........................................................................... 5,500 10,000 

(2) Insufficient clearance of ............................................................................................................... 5,500 10,000 

230.110 Pilots: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Clearance, insufficient or excessive ................................................................................................... 5,500 10,000 

230.111 Spring rigging: 

(a) Arrangement of springs and equalizers .............................................................................................. 5,500 10,000 

(b) Spring or spring rigging condemning defects ..................................................................................... 5,500 10,000 

Wheels and Tires 

230.112 Wheels and tires: 

(a) Improperly mounted, excess variance in axle diameter ..................................................................... 9,500 17,000 

(b) Out of gage ......................................................................................................................................... 5,500 10,000 

(c) Flange distance variance, excessive .................................................................................................. 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57634 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX D TO PART 230—SCHEDULE OF CIVIL PENALTIES—Continued 

Section 2 Violation Willful 

violation 

(d) Tire thickness, insufficient ................................................................................................................... 5,500 10,000 

(e) Tire width, insufficient ......................................................................................................................... 5,500 10,000 

230.113 Wheels and tire defects: 

(1) Failure to repair ................................................................................................................................... 5,500 10,000 

(2) Welding on, except as otherwise provided for ................................................................................... 9,500 17,000 

(a) Cracks or breaks in ..................................................................................................................... 5,500 10,000 

(b) Flat spots ..................................................................................................................................... 5,500 10,000 

(c) Chipped flange ............................................................................................................................. 5,500 10,000 

(d) Broken rim ................................................................................................................................... 5,500 10,000 

(e) Shelled-out spots ......................................................................................................................... 5,500 10,000 

(f) Seams ........................................................................................................................................... 5,500 10,000 

(g) Worn flanges, excessive wear ..................................................................................................... 5,500 10,000 

(h) Worn treads, excessive wear ...................................................................................................... 5,500 10,000 

(i) Flange height, insufficient or excessive ........................................................................................ 5,500 10,000 

(j) Rim thickness, insufficient ............................................................................................................ 5,500 10,000 

(k) Wheel diameter, excessive variance ........................................................................................... 5,500 10,000 

230.114 Wheel centers: 

(a) Filling blocks and shims ...................................................................................................................... 5,500 10,000 

(b) Wheel center condemning limits, failure to repair .............................................................................. 5,500 10,000 

(c) Wheel center repairs ........................................................................................................................... 5,500 10,000 

(d) Counterbalance maintenance ............................................................................................................. 5,500 10,000 

Steam Locomotive Tanks 

230.115 Feed water tanks: 

(a) General provisions .............................................................................................................................. 5,500 10,000 

(b) Inspection frequency, failure to inspect as required ........................................................................... 5,500 10,000 

(c) Top of tender: Improperly maintained and/or equipped ..................................................................... 5,500 10,000 

230.116 Oil tanks: 

(1) Failure to properly maintain ................................................................................................................ 13,000 20,500 

(2) Failure to equip with complying safety cut-off device ........................................................................ 19,500 25,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any condition for movement set 

forth in § 230.12 will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the locomotive at the time of 

movement. Failure to comply with § 230.12 will result in the lapse of any affected waiver. Generally, when two or more violations of these regulations are discovered with respect to a single locomotive that is used by a railroad, the appropriate penalties set forth are aggregated up to a 

maximum of $25,000 per day. However, a failure to perform, with respect to a particular locomotive, any of the inspections and tests required 

under this part, will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that locomotive. 2The penalty schedule uses section numbers from 49 CFR part 230. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 231—[AMENDED] 

36. The authority citation for part 231 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20702; 

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

37. Appendix A to part 231 is revised 

to read as follows: 

APPENDIX A TO PART 231—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

110.A1 Hand brake or hand brake part missing ........................................................................................... $13,000 $20,500 

110.A2 Hand brake or hand brake part broken ............................................................................................ 13,000 20,500 

110.A3 Hand brake or hand brake part loose or worn ................................................................................. 9,500 17,000 

110.B1 Hand brake inoperative .................................................................................................................... 13,000 20,500 

110.B2 Hand brake inefficient ....................................................................................................................... 9,500 17,000 

110.B3 Hand brake improperly applied ........................................................................................................ 9,500 17,000 

110.B4 Hand brake incorrectly located ......................................................................................................... 5,500 10,000 

110.B5 Hand brake shaft welded or wrong dimension ................................................................................. 5,500 10,000 

110.B6 Hand brake shaft not retained in operating position ........................................................................ 5,500 10,000 

110.B8 Hand brake or hand brake parts wrong design ............................................................................... 5,500 10,000 

114.B2 Hand brake wheel or lever has insufficient clearance around rim or handle .................................. 5,500 10,000 

114.B3 Hand brake wheel/lever clearance insufficient to vertical plane through inside face of knuckle .... 5,500 10,000 

120.A1 Brake step missing except by design ............................................................................................... 13,000 20,500 

120.A2 Brake step or brace broken or decayed ........................................................................................... 13,000 20,500 

120.A3 Brake step or brace loose ................................................................................................................ 9,500 17,000 

120.B1 Brake step or brace bent .................................................................................................................. 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57635 

APPENDIX A TO PART 231—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

120.B2 Brake step or brace wrong dimensions ............................................................................................ 5,500 10,000 

120.C1 Brake step improperly applied .......................................................................................................... 5,500 10,000 

120.C2 Brake step improperly located .......................................................................................................... 5,500 10,000 

120.C3 Brake step with less than 4′′ clearance to vertical plane through inside face of knuckle ............... 5,500 10,000 

120.C4 Brake step obstructed or otherwise unsafe ..................................................................................... 9,500 17,000 

124.A1 Running board missing or part missing except by design ............................................................... 13,000 20,500 

124.A2 Running board broken or decayed ................................................................................................... 13,000 20,500 

124.A3 Running board loose presents a tripping hazard or other unsafe condition .................................... 9,500 17,000 

124.A4 Running board wrong material ......................................................................................................... 5,500 10,000 

124.B1 Running board bent to the extent that it is unsafe ........................................................................... 9,500 17,000 

124.B2 Running board wrong dimensions .................................................................................................... 5,500 10,000 

124.B3 Running board wrong location .......................................................................................................... 5,500 10,000 

124.C1 Running board improperly applied ................................................................................................... 5,500 10,000 

124.C2 Running board obstructed ................................................................................................................ 9,500 17,000 

126.A1 End platform missing or part except by design ................................................................................ 13,000 20,500 

126.A2 End platform broken or decayed ...................................................................................................... 13,000 20,500 

126.A3 End platform loose ............................................................................................................................ 9,500 17,000 

126.B1 End platform or brace bent ............................................................................................................... 5,500 10,000 

126.B2 End platform wrong dimensions ....................................................................................................... 5,500 10,000 

126.C1 End platform improperly applied ...................................................................................................... 5,500 10,000 

126.C2 End platform with less than required clearance to vertical plane through inside knuckle .............. 5,500 10,000 

126.C3 End platform improperly located ...................................................................................................... 5,500 10,000 

126.C4 End platform obstructed ................................................................................................................... 9,500 17,000 

128.A1 Platform or switching step missing ................................................................................................... 13,000 20,500 

128.A2 Platform or switching step broken or decayed ................................................................................. 13,000 20,500 

128.A3 Platform or switching step loose ...................................................................................................... 9,500 17,000 

128.B1 Platform or switching step bent ........................................................................................................ 9,500 17,000 

128.B2 Platform or switching step does not meet the required location or dimensions .............................. 5,500 10,000 

128.C1 Platform or switching step improperly applied or repaired .............................................................. 9,500 17,000 

128.C2 Platform or switching step obstructed .............................................................................................. 9,500 17,000 

128.D1 Switching step back stop or kick plate missing ............................................................................... 5,500 10,000 

128.D2 Switching step not illuminated when required .................................................................................. 5,500 10,000 

128.D3 Non-illuminated step not painted contrasting color .......................................................................... 5,500 10,000 

130.A1 Sill step or additional tread, missing ................................................................................................ 13,000 20,500 

130.A2 Sill step or additional tread, broken .................................................................................................. 13,000 20,500 

130.A3 Sill step or additional tread, loose .................................................................................................... 9,500 17,000 

130.B1 Sill step or additional tread, bent ...................................................................................................... 9,500 17,000 

130.B2 Sill step or additional tread, having wrong dimensions or improperly located ................................ 5,500 10,000 

130.B3 Sill step improperly applied .............................................................................................................. 5,500 10,000 

132.A1 Side door step missing step ............................................................................................................. 13,000 20,500 

132.A2 Side door step broken ...................................................................................................................... 13,000 20,500 

132.A3 Side door step loose ......................................................................................................................... 9,500 17,000 

132.B1 Side door step bent .......................................................................................................................... 9,500 17,000 

132.B2 Side door step having wrong dimensions ........................................................................................ 5,500 10,000 

134.A1 Ladder missing ................................................................................................................................. 13,000 20,500 

134.A2 Ladder broken ................................................................................................................................... 13,000 20,500 

134.A3 Ladder loose ..................................................................................................................................... 9,500 17,000 

134.B1 Ladder bent ....................................................................................................................................... 9,500 17,000 

134.B2 Ladder having wrong dimensions ..................................................................................................... 5,500 10,000 

134.C1 Ladder improperly applied ................................................................................................................ 5,500 10,000 

134.C2 Ladder having insufficient clearance or improperly located ............................................................. 5,500 10,000 

134.C3 Ladder wrong design ........................................................................................................................ 5,500 10,000 

134.C4 Ladder wrong material ...................................................................................................................... 5,500 10,000 

134.D1 End clearance insufficient ................................................................................................................ 5,500 10,000 

136.A1 Ladder tread or handholds missing .................................................................................................. 13,000 20,500 

136.A2 Ladder tread or handhold broken ..................................................................................................... 13,000 20,500 

136.A3 Ladder tread or handhold loose except by design ........................................................................... 9,500 17,000 

136.B1 Ladder tread or handhold bent to the extent that it may be unsafe ................................................ 9,500 17,000 

136.B2 Ladder tread or handhold wrong dimensions ................................................................................... 5,500 10,000 

136.C1 Ladder tread or handhold improperly applied .................................................................................. 5,500 10,000 

136.C2 Ladder tread or handhold having wrong clearance ......................................................................... 5,500 10,000 

136.C3 Ladder or handhold improperly located ........................................................................................... 5,500 10,000 

136.C4 Ladder tread or handhold obstructed ............................................................................................... 9,500 17,000 

136.C5 Ladder tread without footguards ...................................................................................................... 9,500 17,000 

138.A1 Hand or safety railing missing .......................................................................................................... 13,000 20,500 

138.A2 Hand or safety railing broken ........................................................................................................... 13,000 20,500 

138.A3 Hand or safety railing loose except by design ................................................................................. 9,500 17,000 

138.B1 Hand or safety railing bent ............................................................................................................... 9,500 17,000 

138.B2 Hand or safety railing wrong dimensions ......................................................................................... 5,500 10,000 

138.C1 Hand or safety railing improperly applied ........................................................................................ 5,500 10,000 

138.C2 Hand or safety railing having less than the required clearance ...................................................... 5,500 10,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57636 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 231—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

138.C3 Hand or safety railing improperly located ........................................................................................ 5,500 10,000 

140.A1 Uncoupling lever missing .................................................................................................................. 9,500 17,000 

140.A2 Uncoupling lever broken or disconnected ........................................................................................ 9,500 17,000 

140.B1 Uncoupling lever bent will not safely and reasonably function as intended .................................... 9,500 17,000

140.C1 Uncoupling lever bracket bent lever will not function properly ........................................................ 9,500 17,000 

140.C2 Uncoupling lever bracket broken or missing .................................................................................... 9,500 17,000 

140.D1 Uncoupling lever wrong dimension .................................................................................................. 5,500 10,000 

140.D2 Uncoupling lever with improper handle clearance ........................................................................... 5,500 10,000 

144.A1 Coupler missing ................................................................................................................................ 13,000 20,500 

144.B1 Coupler height incorrect ................................................................................................................... 5,500 10,000 

144.C1 Coupler inoperative .......................................................................................................................... 9,500 17,000 

145.A1 Kick plates missing ........................................................................................................................... 5,500 10,000 

145.A2 Kick plates broken ............................................................................................................................ 5,500 10,000 

145.B1 Kick plates wrong dimensions .......................................................................................................... 5,500 10,000 

145.B2 Kick plates improper clearance ........................................................................................................ 5,500 10,000 

145.B3 Kick plates insecure or improperly applied ...................................................................................... 5,500 10,000 

146.A Notice or stencil not posted on cabooses with running boards removed .......................................... 2,500 5,000 

146.B Safe means not provided to clean or maintain windows of caboose ................................................ 2,500 5,000

231.31 Drawbars, standard height ................................................................................................................ 9,500 17,000 

1A 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 used by a railroad, the appropriate penalties set forth above are aggregated up to a 

maximum of $25,000 per day. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances 

warrant. See 49 CFR part 209, appendix A. 2This schedule uses section numbers from FRA’s Safety Appliance Defect Code, a restatement of the CFR text in a reorganized format. For 

convenience, and as an exception to FRA’s general policy, penalty citations will cite the defect code rather than the CFR. FRA reserves the right, 

should litigation become necessary, to substitute in its complaint the CFR and/or statutory citation in place of the defect code section cited in the 

penalty demand letter. 

PART 232—[AMENDED] 

38. The authority citation for part 232 

continues to read as follows: 

Authority: 49 U.S.C. 20102–20103, 20107, 

20133, 20141, 20301–20303, 20306, 21301– 

21302, 21304; 28 U.S.C. 2461, note; and 49 

CFR 1.49. 

39. Appendix A to part 232 is revised 

to read as follows: 

APPENDIX A TO PART 232—SCHEDULE OF CIVIL PENALTIES 1

Section 2 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 ............................. $9,500 $17,000 

(b) Complete failure to tag ....................................................................................................................... 9,500 17,000 

(1) Insufficient tag or record .............................................................................................................. 2,500 5,000 

(2), (4) Improper removal of tag ........................................................................................................ 9,500 17,000 

(3) Failure to retain record of tag ...................................................................................................... 9,500 17,000 

(c) Improper loading or purging ................................................................................................................ 9,500 17,000 

(e) Improper placement of defective equipment ...................................................................................... 9,500 17,000 

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 ................................................................... 9,500 17,000 

(d) Failure to have proper percentage of operative brakes from Class I brake test ............................... 13,000 20,500 

(e) Operating with less than 85 percent operative brakes ....................................................................... 13,000 20,500 

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

brakes ....................................................................................................................................................... 9,500 17,000 

(g) Improper display of piston travel ........................................................................................................ 9,500 17,000 

(m) Failure to stop train with excess air flow or gradient ........................................................................ 9,500 17,000 

(n) Securement of unattended equipment: 

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

to verify number applied ................................................................................................................ 13,000 20,500 

(2) Failure to reduce to zero or vent brake pipe ............................................................................... 9,500 17,000 

(3) Failure to apply hand brakes on locomotives ............................................................................. 9,500 17,000 

(4) Failure to adopt or comply with procedures for securing unattended locomotive ...................... 13,000 20,500 

(o) Improper adjustment of air regulating devices ................................................................................... 9,500 17,000 

(p) Failure to hold supervisors jointly responsible ................................................................................... 9,500 17,000 

232.105 Locomotives: 

(a) Air brakes not in safe and suitable condition ..................................................................................... 13,000 20,500 

(b) Not equipped with proper hand or parking brake ............................................................................... 13,000 20,500 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57637 

APPENDIX A TO PART 232—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(c)(1) Failure to inspect/repair hand or parking brake ............................................................................. 9,500 17,000 

(2) Failure to properly stencil, tag, or record .................................................................................... 5,500 10,000 

(d) Excess leakage from equalizing reservoir .......................................................................................... 9,500 17,000 

(e) Improper use of feed or regulating valve braking .............................................................................. 9,500 17,000 

(f) Improper use of passenger position .................................................................................................... 9,500 17,000 

(g) Brakes in operative condition ............................................................................................................. 13,000 20,500 

232.107 Air sources/cold weather operations: 

(a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources .............................. 13,000 20,500 

(3) Failure to maintain records .......................................................................................................... 9,500 17,000 

(b) Failure to blow condensation .............................................................................................................. 13,000 20,500 

(c) Use of improper chemicals ................................................................................................................. 13,000 20,500 

(d) Failure to equip or drain yard air reservoirs ....................................................................................... 13,000 20,500 

(e) Failure to adopt or comply cold weather operating procedures ......................................................... 13,000 20,500 

232.109 Dynamic brakes: 

(a) Failure to provide information ............................................................................................................. 9,500 17,000 

(b) Failure to make repairs ....................................................................................................................... 9,500 17,000 

(c) Failure to properly tag ......................................................................................................................... 5,500 10,000 

(d) Failure to maintain record of repair .................................................................................................... 2,500 5,000 

(e) Improper deactivation ......................................................................................................................... 9,500 17,000 

(f) Improper use of locomotive as controlling unit .................................................................................... 9,500 17,000 

(g) Locomotive not properly equipped with indicator ............................................................................... 9,500 17,000 

(h) Rebuilt locomotive not properly equipped .......................................................................................... 9,500 17,000 

(j) Failure to adopt or comply with dynamic brake operating rules ......................................................... 13,000 20,500 

(k) Failure to adopt or comply with training on operating procedures ..................................................... 13,000 20,500 

232.111 Train handling information: 

(a) Failure to adopt and comply with procedures .................................................................................... 13,000 20,500 

(b) Failure to provide specific information ................................................................................................ 9,500 17,000 

Subpart C—Inspection and Testing Requirements 

232.203 Training requirements: 

(a) Failure to develop or adopt program .................................................................................................. 19,500 25,000 

(b)(1)–(9) Failure to address or comply with specific required item or provision of program ................. 9,500 17,000 

(c) Failure to adopt or comply with two-way EOT program ..................................................................... 13,000 20,500 

(d) Failure to adopt or comply with retaining valve program ................................................................... 13,000 20,500 

(e) Failure to maintain adequate records ................................................................................................. 13,000 20,500 

(f) Failure to adopt and comply with periodic assessment plan .............................................................. 19,500 25,000 

232.205 Class I brake test—initial terminal inspection: 

(a) Complete failure to perform inspection ............................................................................................... (1) 19,500 25,000 

(c)(1)–(4), (6)–(8) Partial failure to perform inspection ............................................................................ 13,000 20,500 

(c)(5) Failure to properly adjust piston travel (per car) ............................................................................ 9,500 17,000 

(d) Failure to use carman when required ................................................................................................. 5,500 10,000 

(e) Failure to provide proper notification .................................................................................................. 9,500 17,000 

(f) Failure to void compressed air ............................................................................................................ 9,500 17,000 

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

(a) Complete failure to perform inspection ............................................................................................... (1) 13,000 20,500 

(b)(1)–(6) Partial failure to perform inspection ......................................................................................... 9,500 17,000 

(c) Failure to properly designate location ................................................................................................. 9,500 17,000 

(c)(1) Failure to perform at designated location ....................................................................................... 9,500 17,000 

(c)(2) Failure to provide notification ......................................................................................................... 9,500 17,000 

232.209 Class II brake tests—intermediate inspection: 

(a) Complete failure to perform inspection ............................................................................................... (1) 13,000 20,500 

(b)(1)–(5), (c) Partial failure to perform inspection ................................................................................... 9,500 17,000 

(c) 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 ............................................................................................... 13,000 20,500 

(b)(1)–(4), (c) Partial failure to perform inspection ................................................................................... 9,500 17,000 

(d) Failure to restore air pressure at rear ................................................................................................ 9,500 17,000 

232.213 Extended haul trains: 

(a)(1) Failure to properly designate an extended haul train .................................................................... 13,000 20,500 

(a)(2)–(3), (5)(i), (8) Failure to perform inspections ................................................................................. (1) (1) 

(a)(4) Failure to remove defective car (per car) ....................................................................................... 5,500 10,000 

(a)(5)(ii), (6) Failure to conduct inbound inspection ................................................................................. 13,000 20,500 

(a)(7) Failure to maintain record of defects (per car) .............................................................................. 5,500 10,000 

(b) Improper movement or use of extended haul train ............................................................................ 13,000 20,500 

232.215 Transfer train brake tests: 

(a) Failure to perform inspection .............................................................................................................. 13,000 20,500 

(b) Failure to perform on cars added ....................................................................................................... 9,500 17,000 

232.217 Train brake system tests conducted using yard air: 

(a) Failure to use suitable device ............................................................................................................. 9,500 17,000 

(b) Improper connection of air test device ............................................................................................... 13,000 20,500 

(c) Failure to properly perform inspection ................................................................................................ (1) (1) 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57638 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 232—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(d) Failure to calibrate test device ............................................................................................................ 9,500 17,000 

(e) Failure to use accurate device ........................................................................................................... 9,500 17,000 

232.219 Double heading and helper service: 

(a) Failure to perform inspection or inability to control brakes ................................................................ 9,500 17,000 

(b) Failure to make visual inspection ....................................................................................................... 9,500 17,000 

(c) Use of improper helper link device ..................................................................................................... 9,500 17,000 

Subpart D—Periodic Maintenance and Testing Requirements 

232.303 General requirements: 

(b)–(d) Failure to conduct inspection or test when car on repair track ................................................... 9,500 17,000 

(e) Improper movement of equipment for testing .................................................................................... 9,500 17,000 

(e)(1) Failure to properly tag equipment for movement ........................................................................... 5,500 10,000 

(e)(2)–(4) Failure to retain record or improper removal of tag or card .................................................... 5,500 10,000 

(f) Failure to stencil or track test information ........................................................................................... 9,500 17,000 

232.305 Single car tests: 

(a) Failure to test in accord with required procedure ............................................................................... 9,500 17,000 

(b)–(c) Failure to perform test .................................................................................................................. 9,500 17,000 

232.309 Single car air brake test equipment and devices: 

(a)–(f) Failure to properly test or calibrate ............................................................................................... 9,500 17,000 

Subpart E—End-of-Train Devices 

232.403 Design standards for one-way devices: 

(a)–(g) Failure to meet standards ............................................................................................................ 9,500 17,000 

232.405 Design standards for two-way devices: 

(a)–(i) Failure to meet standards .............................................................................................................. 9,500 17,000 

232.407 Operating requirements for two-way devices: 

(b) Failure to equip a train ........................................................................................................................ 13,000 20,500 

(c) Improper purchase .............................................................................................................................. 9,500 17,000 

(f)(1) Failure of device to be armed and operable ................................................................................... 13,000 20,500 

(f)(2) Insufficient battery charge ............................................................................................................... 9,500 17,000 

(f)(3) Failure to activate the device .......................................................................................................... 9,500 17,000 

(g) Improper handling of en route failure, freight or other non-passenger .............................................. 13,000 20,500 

(h) Improper handling of en route failure, passenger .............................................................................. 13,000 20,500 

232.409 Inspection and testing of devices: 

(a) Failure to have unique code ............................................................................................................... 9,500 17,000 

(b) Failure to compare quantitative values ............................................................................................... 9,500 17,000 

(c) Failure to test emergency capability ................................................................................................... 13,000 20,500 

(d) Failure to properly calibrate ................................................................................................................ 9,500 17,000 

Subpart F—Introduction of New Brake System Technology 

232.503 Process to introduce new technology: 

(b) Failure to obtain FRA approval ........................................................................................................... 19,500 25,000 

232.505 Pre-revenue service acceptance testing plan: 

(a) Failure to obtain FRA approval ........................................................................................................... 13,000 20,500 

(b) Failure to comply with plan ................................................................................................................. 9,500 17,000 

(f) Failure to test previously used technology .......................................................................................... 13,000 20,500 

Subpart G—Electronically Controlled Pneumatic (ECP) Braking Systems 

232.603 Design, interoperability, and configuration management requirements: 

(a) Failure to meet minimum standards ................................................................................................... 5,500 10,000 

(b) Using ECP brake equipment without approval ................................................................................... 9,500 17,000 

(c) Failure to adopt and comply with a proper configuration management plan ..................................... 13,000 20,500 

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 ........................................................................................................ 13,000 20,500 

(c) Failure to adopt and comply with proper training criteria for locomotive engineers .......................... 13,000 20,500 

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 .................................................... 9,500 17,000 

(c)(1)(iv), (c)(2) Failure to perform visual inspection on a car added en route ....................................... 9,500 17,000 

(d) Failure to perform inspection .............................................................................................................. (1) (1) 

(e)(1), (2) Failure to properly initialize the train ....................................................................................... 9,500 17,000 

(e)(3) Failure to ensure identical consist and system information ........................................................... 9,500 17,000 

(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 .................................................................................... 13,000 20,500 

(g)(5) Condition of cable and connections ............................................................................................... 9,500 17,000 

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 ............................................................................................................................ 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57639 

APPENDIX A TO PART 232—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(c) Improper movement of a car equipped with conventional pneumatic brakes .................................... 9,500 17,000 

(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 ............................................................ 9,500 17,000 

(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 .............. 5,500 10,000 

(j)(2) Failure to submit list of ECP brake system repair locations ........................................................... 9,500 17,000 

232.611 Periodic maintenance: 

(a) Failure to ensure the proper and safe condition of car ...................................................................... 9,500 17,000 

(b)–(d) Failure to perform test .................................................................................................................. 9,500 17,000 

232.613 End-of-train devices: 

(a) Failure to meet design standards for ECP–EOT devices .................................................................. 9,500 17,000 

(b) Moving with an improper or improperly connected ECP-EOT device ............................................... 9,500 17,000 

1 A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are 

discovered with respect to a single unit of equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above 

are aggregated up to a maximum of $25,000 per day. Although the penalties listed for failure to perform the brake inspections and tests under 

§ 232.205 through § 232.209 may be assessed for each train that is not properly inspected, failure to perform any of the inspections and tests required under those sections will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found 

on the equipment contained in the train consist. Moreover, the Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 

Failure to observe any condition for movement of defective equipment set forth in § 232.15(a) will deprive the railroad of the benefit of the 

movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) 

concerning the substantive defect(s) present on the equipment at the time of movement. 

Failure to provide any of the records or plans required by this part pursuant to § 232.19 will be considered a failure to maintain or develop the 

record or plan and will make the railroad liable for penalty under the particular regulatory section(s) concerning the retention or creation of the 

document involved. 

Failure to properly perform any of the inspections specifically referenced in §§ 232.209, 232.213, and 232.217 may be assessed under each 

section of this part or this chapter, or both, that contains the requirements for performing the referenced inspection. 2 The penalty schedule uses section numbers from 49 CFR part 232. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 233—[AMENDED] 

40. The authority citation for part 233 

continues to read as follows: 

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

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

41. Appendix A to part 233 is revised 

to read as follows: 

APPENDIX A TO PART 233—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

233.5 Accidents resulting from signal failure ................................................................................................ $9,500 $17,000 

233.7 Signal failure reports ........................................................................................................................... 5,500 10,000 

233.9 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 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 The penalty schedule uses section numbers from 49 CFR part 233. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 234—[AMENDED] 

42. The authority citation for part 234 

continues to read as follows: 

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

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

43. Appendix A to part 234 is revised 

to read as follows: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57640 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 234—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Reports 

234.7 Accidents involving grade crossing signal failure ............................................................................... $9,500 $17,000 

234.9 Grade crossing signal system failure reports ..................................................................................... 5,500 10,000 

Subpart C—Response to Reports of Warning System Malfunction 

234.101 Employee notification rules ............................................................................................................. 5,500 10,000 

234.103 Timely response to report of malfunction ....................................................................................... 13,000 20,500 

234.105 Activation failure: 

(a) Failure to notify—train crews .............................................................................................................. 19,500 25,000 

Other railroads .......................................................................................................................................... 19,500 25,000 

(b) Failure to notify law enforcement agency ........................................................................................... 5,500 10,000 

(c) Failure to comply with—flagging requirements ................................................................................... 13,000 20,500 

Speed restrictions ..................................................................................................................................... 13,000 20,500 

(d) Failure to activate horn or whistle ...................................................................................................... 5,500 10,000 

234.106 Partial activation: 

(a) Failure to notify—train crews .............................................................................................................. 9,500 17,000 

Other railroads .......................................................................................................................................... 9,500 17,000 

(b) Failure to notify law enforcement agency ........................................................................................... 5,500 10,000 

(c) Failure to comply with—flagging requirements speed restrictions ..................................................... 9,500 17,000 

(d) Failure to activate horn or whistle ...................................................................................................... 5,500 10,000 

234.107 False activation: 

(a) Failure to notify—train crews .............................................................................................................. 13,000 20,500 

Other railroads .......................................................................................................................................... 13,000 20,500 

(b) Failure to notify law enforcement agency ........................................................................................... 5,500 10,000 

(c) Failure to comply with—flagging requirements ................................................................................... 9,500 17,000 

Speed restrictions ..................................................................................................................................... 9,500 17,000 

(d) Failure to activate horn or whistle ...................................................................................................... 5,500 10,000 

234.109 Recordkeeping ................................................................................................................................... 2,500 5,000 

Subpart D—Maintenance, Inspection, and Testing 

Maintenance Standards 

234.201 Location of plans ............................................................................................................................. 5,500 10,000 

234.203 Control circuits ................................................................................................................................ 9,500 17,000 

234.205 Operating characteristics of warning system apparatus ................................................................. 13,000 20,500 

234.207 Adjustment, repair, or replacement of component ......................................................................... 13,000 20,500 

234.209 Interference with normal functioning of system .............................................................................. 19,500 25,000 

234.211 Locking of warning system apparatus ............................................................................................ 5,500 10,000 

234.213 Grounds ........................................................................................................................................... 9,500 17,000 

234.215 Standby power system .................................................................................................................... 19,500 25,000 

234.217 Flashing light units .......................................................................................................................... 5,500 10,000 

234.219 Gate arm lights and light cable ....................................................................................................... 5,500 10,000 

234.221 Lamp voltage ................................................................................................................................... 9,500 17,000 

234.223 Gate arm ......................................................................................................................................... 5,500 10,000 

234.225 Activation of warning system .......................................................................................................... 19,500 25,000 

234.227 Train detection apparatus ............................................................................................................... 19,500 25,000 

234.229 Shunting sensitivity ......................................................................................................................... 19,500 25,000 

234.231 Fouling wires ................................................................................................................................... 13,000 20,500 

234.233 Rail joints ......................................................................................................................................... 13,000 20,500 

234.235 Insulated rail joints .......................................................................................................................... 19,500 25,000 

234.237 Switch equipped with circuit controller ............................................................................................ 5,500 10,000 

234.239 Tagging of wires and interference of wires or tags with signal apparatus ..................................... 5,500 10,000 

234.241 Protection of insulated wire; splice in underground wire ................................................................ 9,500 17,000 

234.243 Wire on pole line and aerial cable .................................................................................................. 9,500 17,000 

234.245 Signs ............................................................................................................................................... 5,500 10,000 

Inspections and Tests 

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

requirements ................................................................................................................................................ 13,000 20,500 

234.249 Ground tests .................................................................................................................................... 13,000 20,500 

234.251 Standby power ................................................................................................................................ 9,500 17,000 

234.253 Flashing light units and lamp voltage ............................................................................................. 5,500 10,000 

234.255 Gate arm and gate mechanism ...................................................................................................... 5,500 10,000 

234.257 Warning system operation .............................................................................................................. 13,000 20,500 

234.259 Warning time ................................................................................................................................... 9,500 17,000 

234.261 Highway traffic signal pre-emption .................................................................................................. 9,500 17,000 

234.263 Relays ............................................................................................................................................. 9,500 17,000 

234.265 Timing relays and timing devices ................................................................................................... 9,500 17,000 

234.267 Insulation resistance tests, wires in trunking and cables ............................................................... 9,500 17,000 

234.269 Cut-out circuits ................................................................................................................................ 19,500 25,000 

234.271 Insulated rail joints, bond wires, and track connections ................................................................. 9,500 17,000 

234.273 Results of tests ............................................................................................................................... 2,500 5,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57641 

APPENDIX A TO PART 234—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

Requirements for Processor-Based Systems 

234.275 Processor-Based Systems .............................................................................................................. 13,000 20,500 

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 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 The penalty schedule uses section numbers from 49 CFR part 234. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 235—[AMENDED] 

44. The authority citation for part 235 

continues to read as follows: 

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

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

45. Appendix A to part 235 is revised 

to read as follows: 

APPENDIX A TO PART 235—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

235.5 Changes requiring filing of application $5,500 $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 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 The penalty schedule uses section numbers from 49 CFR part 235. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 236—[AMENDED] 

46. The authority citation for part 236 

continues to read as follows: 

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

U.S.C. 2461, note and 49 CFR 1.49. 

47. Appendix A to part 236 is revised 

to read as follows: 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful violation 

236.0 Applicability, minimum requirements .................................................................................................. $9,500 $17,000 

Subpart A—Rules and Instructions—All Systems 

General 

236.1 Plans, where kept ............................................................................................................................... 13,000 20,500 

236.2 Grounds ............................................................................................................................................... 13,000 20,500 

236.3 Locking of signal apparatus housings: 

Power interlocking machine cabinet not secured against unauthorized entry ........................................ 5,500 10,000 

Other violations ......................................................................................................................................... 5,500 10,000 

236.4 Interference with normal functioning of device ................................................................................... 19,500 25,000 

236.5 Design of control circuits on closed circuit principle ........................................................................... 19,500 25,000 

236.6 Hand-operated switch equipped with switch circuit controller ............................................................ 13,000 20,500 

236.7 Circuit controller operated by switch-and-lock movement .................................................................. 13,000 20,500 

236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus ............................. 9,500 17,000 

236.9 Selection of circuits through indicating or annunciating instruments .................................................... 5,500 10,000 

236.10 Electric locks, force drop type; where required ................................................................................ 5,500 10,000 

236.11 Adjustment, repair, or replacement of component ........................................................................... 13,000 20,500 

236.12 Spring switch signal protection; where required ............................................................................... 9,500 17,000 

236.13 Spring switch; selection of signal control circuits through circuit controller ..................................... 9,500 17,000 

236.14 Spring switch signal protection; requirements .................................................................................. 9,500 17,000 

236.15 Timetable instructions ....................................................................................................................... 5,500 10,000 

236.16 Electric lock, main track releasing circuit: 

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 .. 13,000 20,500 

Other violations ......................................................................................................................................... 13,000 20,500 

236.17 Pipe for operating connections, requirements .................................................................................. 5,500 10,000 

236.18 Software management control plan: 

(a) Failure to develop and adopt a plan ................................................................................................... 9,500 17,000 

(b) Failure to fully implement plan ............................................................................................................ 9,500 17,000 

(c) Inadequate plan .................................................................................................................................. 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57642 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

Roadway Signals and Cab Signals 

236.21 Location of roadway signals ............................................................................................................. 13,000 20,500 

236.22 Semaphore signal arm; clearance to other objects .......................................................................... 5,500 10,000 

236.23 Aspects and indications .................................................................................................................... 9,500 17,000 

236.24 Spacing of roadway signals .............................................................................................................. 13,000 20,500 

236.26 Buffing device, maintenance ............................................................................................................. 13,000 20,500 

Track Circuits 

236.51 Track circuit requirements: 

(a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h ............ 13,000 20,500 

(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 ........................................................................ 19,500 25,000 

Other violations ......................................................................................................................................... 13,000 20,500 

236.52 Relayed cut-section ........................................................................................................................... 13,000 20,500 

236.53 Track circuit feed at grade crossing ................................................................................................. 13,000 20,500 

236.54 Minimum length of track circuit ......................................................................................................... 13,000 20,500 

236.55 Dead section; maximum length ........................................................................................................ 13,000 20,500 

236.56 Shunting sensitivity ........................................................................................................................... 13,000 20,500 

236.57 Shunt and fouling wires: 

(a) Shunt or fouling wires do not consist of at least two discrete conductors ......................................... 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

236.58 Turnout, fouling section: 

Rail joint in shunt fouling section not bonded .......................................................................................... 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

236.59 Insulated rail joints ............................................................................................................................ 13,000 20,500 

236.60 Switch shunting circuit; use restricted .............................................................................................. 13,000 20,500 

Wires and Cables 

236.71 Signal wires on pole line and aerial cable ........................................................................................ 13,000 20,500 

236.73 Open-wire transmission line; clearance to other circuits .................................................................. 9,500 17,000 

236.74 Protection of insulated wire; splice in underground wire .................................................................. 9,500 17,000 

236.76 Tagging of wires and interference of wires or tags with signal apparatus ....................................... 5,500 10,000 

Inspections and Tests; All Systems 

236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements .................................................................................................................................................... 9,500 17,000 

236.102 Semaphore or search-light signal mechanism ............................................................................... 13,000 20,500 

236.103 Switch circuit controller or point detector ........................................................................................ 13,000 20,500 

236.104 Shunt fouling circuit ......................................................................................................................... 9,500 17,000 

236.105 Electric lock ..................................................................................................................................... 9,500 17,000 

236.106 Relays ............................................................................................................................................. 9,500 17,000 

236.107 Ground tests .................................................................................................................................... 9,500 17,000 

236.108 Insulation resistance tests, wires in trunking and cables: 

(c) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 

ohms ..................................................................................................................................................... 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

236.109 Time releases, timing relays and timing devices ............................................................................ 9,500 17,000 

236.110 Results of tests ............................................................................................................................... 2,500 5,000 

Subpart B—Automatic Block Signal Systems 

Standards 

236.201 Track circuit control of signals ........................................................................................................ 13,000 20,500 

236.202 Signal governing movements over hand-operated switch .............................................................. 13,000 20,500 

236.203 Hand-operated crossover between main tracks; protection ........................................................... 13,000 20,500 

236.204 Track signaled for movements in both directions, requirements .................................................... 13,000 20,500 

236.205 Signal control circuits; requirements ............................................................................................... 19,500 25,000 

236.206 Battery or power supply with respect to relay; location .................................................................. 9,500 17,000 

236.207 Electric lock on hand-operated switch; control: 

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 ................................. 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

Subpart C—Interlocking 

Standards 

236.301 Where signals shall be provided ..................................................................................................... 9,500 17,000 

236.302 Track circuits and route locking ...................................................................................................... 13,000 17,000 

236.303 Control circuits for signals, selection through circuit controller operated by switch points or by 

switch locking mechanism ........................................................................................................................... 13,000 20,500 

236.304 Mechanical locking or same protection effected by circuits ........................................................... 13,000 20,500 

236.305 Approach or time locking ................................................................................................................ 13,000 20,500 

236.306 Facing point lock or switch-and-lock movement ............................................................................. 9,500 17,000 

236.307 Indication locking: ............................................................................................................................ 13,000 20,500 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57643 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

236.308 Mechanical or electric locking or electric circuits; requisites .......................................................... 13,000 20,500 

236.309 Loss of shunt protection; where required: 

Loss of shunt of five seconds or less permits release of route locking of power-operated switch, 

movable point frog, or derail ................................................................................................................. 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

236.310 Signal governing approach to home signal .................................................................................... 9,500 17,000 

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 ...................................... 13,000 20,500 

236.312 Movable bridge, interlocking of signal appliances with bridge devices: 

Emergency bypass switch or device not locked or sealed ...................................................................... 13,000 20,500 

Other violations ......................................................................................................................................... 13,000 20,500 

236.314 Electric lock for hand-operated switch or derail: 

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 .......................... 13,000 20,500 

Other violations ......................................................................................................................................... 13,000 20,500 

Rules and Instructions 

236.326 Mechanical locking removed or disarranged; requirement for permitting train movements 

through interlocking ...................................................................................................................................... 9,500 17,000 

236.327 Switch, movable-point frog or split-point derail ............................................................................... 13,000 20,500 

236.328 Plunger of facing-point .................................................................................................................... 9,500 17,000 

236.329 Bolt lock ........................................................................................................................................... 13,000 20,500 

236.330 Locking dog of switch and lock movement ..................................................................................... 9,500 17,000 

236.334 Point detector .................................................................................................................................. 13,000 20,500 

236.335 Dogs, stops and trunnions of mechanical locking .......................................................................... 5,500 10,000 

236.336 Locking bed ..................................................................................................................................... 5,500 10,000 

236.337 Locking faces of mechanical locking; fit ......................................................................................... 5,500 10,000 

236.338 Mechanical locking required in accordance with locking sheet and dog chart .............................. 5,500 10,000 

236.339 Mechanical locking; maintenance requirements ............................................................................. 5,500 10,000 

236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers ........ 5,500 10,000 

236.341 Latch shoes, rocker links, and quadrants ....................................................................................... 5,500 10,000 

236.342 Switch circuit controller ................................................................................................................... 13,000 20,500 

Inspection and Tests 

236.376 Mechanical locking .......................................................................................................................... 9,500 17,000 

236.377 Approach locking ............................................................................................................................. 9,500 17,000 

236.378 Time locking .................................................................................................................................... 9,500 17,000 

236.379 Route locking .................................................................................................................................. 9,500 17,000 

236.380 Indication locking ............................................................................................................................. 9,500 17,000 

236.381 Traffic locking .................................................................................................................................. 9,500 17,000 

236.382 Switch obstruction test .................................................................................................................... 13,000 20,500 

236.383 Valve locks, valves, and valve magnets ......................................................................................... 9,500 17,000 

236.384 Cross protection .............................................................................................................................. 9,500 17,000 

236.386 Restoring feature on power switches ............................................................................................. 9,500 17,000 

236.387 Movable bridge locking ................................................................................................................... 13,000 20,500 

Subpart D—Traffic Control Systems Standards 

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 ................................................................ 19,500 25,000 

236.403 Signals at controlled point ............................................................................................................... 19,500 25,000 

236.404 Signals at adjacent control points ................................................................................................... 19,500 25,000 

236.405 Track signaled for movements in both directions, change of direction of traffic ............................ 19,500 25,000

236.407 Approach or time locking; where required ...................................................................................... 19,500 25,000 

236.408 Route locking .................................................................................................................................. 19,500 25,000 

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., or train and engine movements may clear main track ........................................... 13,000 20,500 

Hand-operated switch on signaled siding not electrically or mechanically locked in normal position 

where maximum authorized speed on the siding exceeds 30 m.p.h ................................................... 13,000 20,500 

(b) 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 ............. 13,000 20,500 

Other violations ......................................................................................................................................... 9,500 17,000 

Rules and Instructions 

236.426 Interlocking rules and instructions applicable to traffic control systems ........................................ 2,500 5,000 

Inspection and Tests 

236.476 Interlocking inspections and tests applicable to traffic control systems ......................................... 2,500 5,000 

Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards 

Standards 

236.501 Forestalling device and speed control ............................................................................................ 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57644 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance ............................................................................................................................................................ 13,000 20,500 

236.503 Automatic brake application; initiation when predetermined rate of speed exceeded ................... 13,000 20,500 

236.504 Operations interconnected with automatic block-signal system ..................................................... 9,500 17,000 

236.505 Proper operative relation between parts along roadway and parts on locomotive ........................ 5,500 10,000 

236.506 Release of brakes after automatic application ............................................................................... 13,000 20,500 

236.507 Brake application; full service ......................................................................................................... 9,500 17,000 

236.508 Interference with application of brakes by means of brake valve .................................................. 9,500 17,000 

236.509 Two or more locomotives coupled .................................................................................................. 5,500 10,000 

236.511 Cab signals controlled in accordance with block conditions stopping distance in advance .......... 9,500 17,000 

236.512 Cab signal indication when locomotive enters blocks .................................................................... 13,000 20,500 

236.513 Audible indicator .............................................................................................................................. 9,500 17,000 

236.514 Interconnection of cab signal system with roadway signal system ................................................ 5,500 10,000 

236.515 Visibility of cab signals .................................................................................................................... 9,500 17,000 

236.516 Power supply ................................................................................................................................... 5,500 10,000 

Rules and Instructions; Roadway 

236.526 Roadway element not functioning properly .................................................................................... 5,500 10,000 

236.527 Roadway element insulation resistance ......................................................................................... 5,500 10,000 

236.528 Restrictive condition resulting from open hand-operated switch; requirement .............................. 9,500 17,000 

236.529 Roadway element inductor; height and distance from rail ............................................................. 5,500 10,000 

236.531 Trip arm; height and distance from rail ........................................................................................... 5,500 10,000 

236.532 Strap iron inductor; use restricted ................................................................................................... 5,500 10,000 

236.534 Entrance to equipped territory; requirements ................................................................................. 9,500 17,000 

Rules and Instructions; Locomotives 

236.551 Power supply voltage ...................................................................................................................... 5,500 10,000 

236.552 Insulation resistance ....................................................................................................................... 5,500 10,000 

236.553 Seal, where required ....................................................................................................................... 5,500 10,000 

236.554 Rate of pressure reduction; equalizing reservoir or brake pipe ..................................................... 9,500 17,000 

236.555 Repaired or rewound receiver coil .................................................................................................. 2,500 5,000 

236.556 Adjustment of relay ......................................................................................................................... 5,500 10,000 

236.557 Receiver; location with respect to rail ............................................................................................. 5,500 10,000 

236.560 Contact element, mechanical trip type; location with respect to rail .............................................. 5,500 10,000 

236.562 Minimum rail current required ......................................................................................................... 5,500 10,000 

236.563 Delay time ....................................................................................................................................... 9,500 17,000 

236.564 Acknowledging time ........................................................................................................................ 5,500 10,000 

236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by doubleheading clock; requirement .......................................................................................................................... 5,500 10,000 

236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped ... 5,500 10,000 

236.567 Restrictions imposed when device fails and/or is cut out en route: 

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 .................................................... 9,500 17,000 

Trains 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 ..................................................................................................... 9,500 17,000 

Other violations ......................................................................................................................................... 5,500 10,000 

236.568 Difference between speeds authorized by roadway signal and cab signal; action ....................... 5,500 10,000 

Inspection and Tests; Roadway 

236.576 Roadway element ........................................................................................................................... 5,500 10,000 

236.577 Test, acknowledgement, and cut-in circuits .................................................................................... 5,500 10,000 

Inspection and Tests; Locomotive 

236.586 Daily or after trip test ...................................................................................................................... 9,500 17,000 

236.587 Departure test: 

(b) 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 ................................................................................................................. 13,000 20,500 

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 ........................................................................................................................... 13,000 20,500 

(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 ................... 13,000 20,500 

(d) Failure to certify, post, or retain test results as required ................................................................... 2,500 5,000 

Other violations ......................................................................................................................................... 2,500 5,000 

236.588 Periodic test .................................................................................................................................... 13,000 20,500 

236.589 Relays ............................................................................................................................................. 9,500 17,000 

236.590 Pneumatic apparatus: 

Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once 

every 736 days ..................................................................................................................................... 9,500 17,000 

Other violations ......................................................................................................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57645 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

Subpart F—Dragging Equipment and Slide Detectors and Other Similar Protective Devices; 

Standards 

Standards 

236.601 Signals controlled by devices; location ........................................................................................... 13,000 20,500 

Subpart H—Standards for Processor-Based Signal and Train Control Systems 

236.905 Railroad Safety Program Plan (RSPP).

(a) Failure to develop and submit RSPP when required ......................................................................... 9,500 17,000 

(d) Failure to obtain FRA approval for a modification to RSPP .............................................................. 9,500 17,000 

236.907 Product Safety Plan (PSP): 

(a) Failure to address required PSP elements ........................................................................................ 9,500 17,000 

(b) Failure to identify or implement product configuration/revision control measures ............................. 9,500 17,000 

(d) Failure to communicate identified safety critical hazard .................................................................... 19,500 25,000 

236.909 Minimum Performance Standard: 

(a) Failure to make analyses or documentation available ....................................................................... 9,500 17,000 

(b) Failure to determine or demonstrate that the minimum performance standard has been met ......... 13,000 20,500 

236.913 Notification to FRA of PSPs: 

(a) Failure to prepare a PSP or PSP amendment as required ............................................................... 9,500 17,000 

(b) Failure to submit a PSP or PSP amendment as required ................................................................. 9,500 17,000 

(c) Failure to submit an informational filing .............................................................................................. 9,500 17,000 

(j) Field testing without authorization or approval .................................................................................... 19,500 25,000 

236.915 Implementation and operation: 

(a) Operation of product without authorization or approval ..................................................................... 19,500 25,000 

(b) Failure to comply with PSP ................................................................................................................ 9,500 17,000 

(c) Interference with normal functioning safety-critical product ............................................................... 19,500 25,000 

(d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate 

action pending repair ............................................................................................................................ 9,500 17,000 

236.917 Retention of records: 

(a) Failure to maintain records as required .............................................................................................. 9,500 17,000 

(b)(1) Failure to report inconsistency ....................................................................................................... 13,000 20,500 

(b)(2) Failure to take prompt countermeasures ....................................................................................... 5,500 10,000 

(b)(3) Failure to provide final report ......................................................................................................... 5,500 10,000 

236.919 Operations and Maintenance Manual ............................................................................................. 5,500 10,000 

236.921 Training and qualification program, general ................................................................................... 9,500 17,000 

236.923 Task analysis and basic requirements: 

(a) Failure to develop an acceptable training program ............................................................................ 9,500 17,000 

(a)(6) Failure to train persons as required ............................................................................................... 9,500 17,000 

(a)(8) Failure to conduct evaluation of training program as required ...................................................... 5,500 10,000 

(b) Failure to maintain records as required .............................................................................................. 2,500 5,000 

236.925 Training specific to control office personnel ................................................................................... 9,500 17,000 

236.927 Training specific to locomotive engineers and other operating personnel ..................................... 9,500 17,000

236.929 Training specific to roadway workers ............................................................................................. 9,500 17,000 

Subpart I—Positive Train Control Systems 

236.1005 Positive Train Control System Requirements: 

Failure to complete PTC system installation on track segment where PTC is required prior to 12/31/ 

2015 ...................................................................................................................................................... 5,500 10,000 

Commencement of revenue service prior to obtaining PTC System Certification .................................. 13,000 20,500 

Failure of the PTC system to perform a safety-critical function required by this section ........................ 19,500 25,000 

Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required 13,000 20,500 

Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after 

receiving a failed initialization ............................................................................................................... 2,500 5,000 

236.1006 Equipping locomotives operating in PTC territory: 

Operating in PTC territory a controlling locomotive without a required and operative PTC onboard apparatus .................................................................................................................................................. 19,500 25,000 

Failure to report as prescribed by this section ......................................................................................... 2,500 5,000 

Non-compliant operation of unequipped trains in PTC territory .............................................................. 13,000 20,500 

236.1007 Additional requirements for high-speed service: 

Operation of passenger trains at a speed equal to or greater than 60 m.p.h. on non-PTC-equipped 

territory where required ......................................................................................................................... 9,500 17,000 

Operation of freight trains at a speed equal to or greater than 50 m.p.h. on non-PTC-equipped territory where required ............................................................................................................................... 9,500 17,000 

Failure to fully implement incursion protection where required ............................................................... 9,500 17,000 

236.1009 Procedural requirements: 

Failure to file PTCIP when required ......................................................................................................... 2,500 5,000 

Failure to amend PTCIP when required .................................................................................................. 2,500 5,000 

Failure to obtain Type Approval when required ....................................................................................... 2,500 5,000 

Failure to update NPI ............................................................................................................................... 2,500 5,000 

Operation of PTC system prior to system certification ............................................................................ 13,000 20,500 

236.1011 PTCIP content requirements: 

Failure to install a PTC system in accordance with subpart I when so required .................................... 2,500 5,000 

236.1013 PTCDP content requirements and Type Approval: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57646 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 236—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

Failure to maintain quality control system ................................................................................................ 2,500 5,000 

Inappropriate use of Type Approval ......................................................................................................... 2,500 5,000 

236.1015 PTCSP content requirements and PTC System Certification: 

Failure to implement PTC system in accordance with the associated PTCSP and resultant system 

certification ............................................................................................................................................ 9,500 17,000 

Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification ................................................................................................................................................. 9,500 17,000 

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 ............................ 13,000 20,500 

236.1019 Main line track exceptions: 

Revenue operations conducted in non-compliance with the passenger terminal exception ................... 5,500 10,000 

Revenue operations conducted in non-compliance with the limited operations exception ..................... 5,500 10,000 

Failure to request modification of the PTCIP or PTCSP when required ................................................. 5,500 10,000 

Revenue operations conducted in violation of (c)(2) ............................................................................... 9,500 17,000 

Revenue operations conducted in violation of (c)(3) ............................................................................... 9,500 17,000 

236.1021 Discontinuances, material modifications, and amendments: 

Failure to update PTCDP when required ................................................................................................. 2,500 5,000 

Failure to update PTCSP when required ................................................................................................. 2,500 5,000 

Failure to immediately adopt and comply with approved RFA ................................................................ 2,500 5,000 

Discontinuance or modification of a PTC system without approval when required ................................ 2,500 5,000 

236.1023 Errors and malfunctions: 

Railroad failure to provide proper notification of PTC system error or malfunction ................................ 2,500 5,000 

Failure to maintain PTCPVL ..................................................................................................................... 2,500 5,000 

Supplier failure to provide proper notification of previously identified PTC system error or malfunction 2,500 5,000 

Failure to provide timely notification ......................................................................................................... 2,500 5,000 

Failure to provide appropriate protective measures in the event of PTC system failure ........................ 5,500 10,000 

236.1027 Exclusions: 

Integration of primary train control system with locomotive electronic system without approval ............ 9,500 17,000 

236.1029 PTC system use and en route failures: 

Failure to determine cause of PTC system component failure without undue delay .............................. 5,500 10,000 

Failure to adjust, repair, or replace faulty PTC system component without undue delay ....................... 5,500 10,000 

Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system 

component ............................................................................................................................................ 5,500 10,000 

Non-compliant train operation within PTC-equipped territory with inoperative PTC onboard apparatus 9,500 17,000 

Interference with the normal functioning of safety-critical PTC system ................................................... 9,500 17,000 

Improper arrangement of the PTC system onboard apparatus ............................................................... 5,500 10,000 

236.1033 Communications and security requirements: 

Failure to provide cryptographic message integrity and authentication .................................................. 2,500 5,000 

Improper use of revoked cryptographic key ............................................................................................. 2,500 5,000 

Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution ......... 2,500 5,000 

Failure to establish prioritized service restoration and mitigation plan for communication services ....... 2,500 5,000 

236.1035 Field testing requirements: 

Field testing without authorization or approval ........................................................................................ 5,500 10,000 

236.1037 Records retention: 

Failure to maintain records and databases as required .......................................................................... 2,500 5,000 

Failure to report inconsistency ................................................................................................................. 5,500 10,000 

Failure to take prompt countermeasures ................................................................................................. 5,500 10,000 

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 ........................... 2,500 5,000 

236.1043 Task analysis and basic requirements: 

Failure to develop and maintain an acceptable training program ........................................................... 5,500 10,000 

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 ................................................................................................... 2,500 5,000 

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 operations 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 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 236. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57647 

PART 238—[AMENDED] 

48. The authority citation for part 238 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20133, 

20141, 20302–20303, 20306, 20701–20702, 

21301–21302, 21304; 28 U.S.C. 2461, note; 49 

CFR 1.49. 

49. Appendix A to part 238 is revised 

to read as follows: 

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful violation 

Subpart A—General 

238.15 Movement of power brake defects: 

(b) Improper movement from Class I or IA brake test ............................................................................. $13,000 $20,500 

(c) Improper movement of en route defect .............................................................................................. 9,500 17,000 

(2), (3) Insufficient tag or record ....................................................................................................... 2,500 5,000 

(4) Failure to determine percent operative brakes ........................................................................... 9,500 17,000 

(d) Failure to follow operating restrictions ................................................................................................ 13,000 20,500 

(e) Failure to follow restrictions for inoperative front or rear unit ............................................................ 9,500 17,000 

238.17 Movement of other than power brake defects: 1

(c)(4), (5) Insufficient tag or record .......................................................................................................... 2,500 5,000 

(d) Failure to inspect or improper use of roller bearings ......................................................................... 9,500 17,000 

(e) Improper movement of defective safety appliances ........................................................................... 9,500 17,000 

238.19 Reporting and tracking defective equipment: 

(a) Failure to have reporting or tracking system ...................................................................................... 19,500 25,000 

(b) Failure to retain records ...................................................................................................................... 5,500 10,000 

(c) Failure to make records available ....................................................................................................... 2,500 5,000 

(d) Failure to list power brake repair points ............................................................................................. 5,500 10,000 

Subpart B—Safety Planning and General Requirements 

238.103 Fire protection plan/fire safety: 

(a) Failure to use proper materials ........................................................................................................... 13,000 20,500 

(b) Improper certification .......................................................................................................................... 5,500 10,000 

(c) Failure to consider fire safety on new equipment .............................................................................. 13,000 20,500 

(d) Failure to perform fire safety analysis ................................................................................................ 13,000 20,500 

(e) Failure to develop, adopt or comply with procedures ........................................................................ 13,000 20,500 

238.105 Train electronic hardware and software safety: 

(a), (b), (c) Failure to develop and maintain hardware and software safety ........................................... 13,000 20,500 

(d) Failure to include required design features ........................................................................................ 13,000 20,500 

(e) Failure to comply with hardware and software safety program ......................................................... 9,500 17,000 

238.107 Inspection, testing, and maintenance plan: 

(b) Failure to develop plan ....................................................................................................................... 13,000 20,500 

(b)(1)–(5) Failure of plan to address specific item ................................................................................... 9,500 17,000 

(d) Failure to conduct annual review ........................................................................................................ 9,500 17,000 

238.109 Training, qualification, and designation program: 

(a) Failure to develop or adopt program .................................................................................................. 13,000 20,500 

(b)(1)–(4) Failure of plan to address specific item ................................................................................... 9,500 17,000 

(b)(5)–(12) Failure to comply with specific required provisions of the program ...................................... 9,500 17,000 

(b)(13) Failure to maintain adequate records .......................................................................................... 5,500 10,000 

238.111 Pre-revenue service acceptance testing plan: 

(a) Failure to properly test previously used equipment ........................................................................... 13,000 20,500 

(b)(1) Failure to develop plan ................................................................................................................... 13,000 20,500 

(b)(2) Failure to submit plan to FRA ........................................................................................................ 9,500 17,000 

(b)(3) Failure to comply with plan ............................................................................................................ 9,500 17,000 

(b)(4) Failure to document results of testing ............................................................................................ 5,500 10,000 

(b)(5) Failure to correct safety deficiencies or impose operating limits ................................................... 9,500 17,000 

(b)(6) Failure to maintain records ............................................................................................................. 5,500 10,000 

(b)(7) Failure to obtain FRA approval ...................................................................................................... 9,500 17,000 

238.113 Emergency window exits ................................................................................................................ 9,500 17,000 

238.114 Rescue access windows ................................................................................................................. 9,500 17,000 

238.115 Emergency lighting .......................................................................................................................... 9,500 17,000 

238.117 Protection against personal injury ................................................................................................... 9,500 17,000 

238.119 Rim-stamped straight-plate wheels ................................................................................................. 9,500 17,000 

238.121 Emergency communication ............................................................................................................. 9,500 17,000 

238.123 Emergency roof access .................................................................................................................. 9,500 17,000 

Subpart C—Specific Requirements for Tier I Passenger Equipment 

238.203 Static end strength .......................................................................................................................... 9,500 17,000 

238.205 Anti-climbing mechanism ................................................................................................................ 9,500 17,000 

238.207 Link between coupling mechanism and car body .......................................................................... 9,500 17,000 

238.209 Forward end structure of locomotives ............................................................................................ 9,500 17,000 

238.211 Collision posts ................................................................................................................................. 9,500 17,000 

238.213 Corner posts .................................................................................................................................... 9,500 17,000 

238.215 Rollover strength ............................................................................................................................. 9,500 17,000 

238.217 Side structure .................................................................................................................................. 9,500 17,000 

238.219 Truck-to-car-body attachment ......................................................................................................... 9,500 17,000 

238.221 Glazing ............................................................................................................................................ 9,500 17,000 

238.223 Fuel tanks ........................................................................................................................................ 9,500 17,000 

238.225 Electrical system ............................................................................................................................. 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57648 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

238.227 Suspension system ......................................................................................................................... 9,500 17,000 

238.229 Safety appliances—general: 

(e) Failure to properly identify equipment (per car) ................................................................................. 9,500 17,000 

(g) Failure to adopt or comply with inspection plan ................................................................................. 9,500 17,000 

(h) Failure to use qualified person (per car) ............................................................................................ 9,500 17,000 

(i) Failure to properly conduct initial or periodic inspection (per car) ...................................................... 9,500 17,000 

(j) Failure to take proper remedial action (per car) .................................................................................. 9,500 17,000 

(k) Failure to maintain records (per car) .................................................................................................. 5,500 10,000 

238.230 Safety appliances—new equipment: 

(b)(2) Failure to identify welded appliance (per car) ................................................................................ 9,500 17,000 

(b)(3) Failure to receive approval for use (per car) ................................................................................. 9,500 17,000 

(c)(2) Failure to make proper repair (per car) .......................................................................................... 9,500 17,000 

238.231 Brake System (a)–(g), (i)–(n) 9,500 17,000 

(h)(1), (2) Hand or parking brake missing or inoperative ........................................................................ 13,000 20,500 

(h)(3) Hand or parking brake inspection or record (per car) ................................................................... 5,500 10,000 

(h)(4) Hand or parking brake not applied to hold equipment unattended on grade or prematurely released .................................................................................................................................................... 13,000 20,500 

238.233 Interior fittings and surfaces ............................................................................................................ 9,500 17,000 

238.235 Doors ............................................................................................................................................... 9,500 17,000 

238.237 Automated monitoring ..................................................................................................................... 9,500 17,000 

Subpart D—Inspection, Testing, and Maintenance Requirements for Tier I Passenger Equipment 

238.303 Exterior mechanical inspection of passenger equipment: 

(a)(1) Failure to perform mechanical inspection ...................................................................................... 1 9,500 17,000 

(a)(2) Failure to inspect secondary brake system ................................................................................... 9,500 17,000 

(b) Failure to perform inspection on car added to train ........................................................................... 1 9,500 17,000 

(c) Failure to utilize properly qualified personnel ..................................................................................... 9,500 17,000 

(e)(1) Products of combustion not released outside cab ......................................................................... 9,500 17,000 

(e)(2) Battery not vented or gassing excessively ..................................................................................... 9,500 17,000 

(e)(3) Coupler not in proper condition ...................................................................................................... 9,500 17,000 

(e)(4) No device under drawbar pins or connection pins ........................................................................ 9,500 17,000 

(e)(5) Suspension system and spring rigging not in proper condition ..................................................... 9,500 17,000 

(e)(6) Truck not in proper condition ......................................................................................................... 9,500 17,000 

(e)(7) Side bearing not in proper condition .............................................................................................. 9,500 17,000 

(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 ............................................................... 9,500 17,000 

(B) One spot 3′′ or more in length ............................................................................................. 13,000 20,500 

(C) Two adjoining spots each of which is 2′′ or more in length but less than 21⁄2′′ in length ... 9,500 17,000 

(D) Two adjoining spots each of which are at least 2′′ in length, if either spot is 21⁄2′′ or more 

in length .................................................................................................................................. 13,000 20,500 

(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 ....................................................................................................................................... 9,500 17,000 

(B) 15⁄8′′ or more in length and 5⁄8′′ or more in width ................................................................ 13,000 20,500 

(iii) Broken rim ................................................................................................................................... 13,000 20,500 

(v) Seam in tread .............................................................................................................................. 9,500 17,000 

(vi) Flange thickness of: 

(A) 7⁄8′′ or less but more than .................................................................................................... 9,500 17,000 

(B) 13⁄16′′ or less ......................................................................................................................... 13,000 20,500 

(vii) Tread worn hollow ...................................................................................................................... 9,500 17,000 

(viii) Flange height of: 

(A) 11⁄2′′ or greater but less than 15⁄8′′ ....................................................................................... 9,500 17,000 

(B) 15⁄8′′ or more ........................................................................................................................ 13,000 20,500 

(ix) Rim thickness: 

(A) Less than 1′′ ......................................................................................................................... 9,500 17,000 

(B) 15⁄16′′ or less ......................................................................................................................... 13,000 20,500 

(x) Crack or break in flange, tread, rim, plate, or hub: 

(A) Crack of less than 1′′ ........................................................................................................... 9,500 17,000 

(B) Crack of 1′′ or more ............................................................................................................. 13,000 20,500 

(C) Break .................................................................................................................................... 13,000 20,500 

(xi) Loose wheel ................................................................................................................................ 13,000 20,500 

(xii) Welded wheel ............................................................................................................................. 13,000 20,500 

(e)(10) Improper grounding or insulation ................................................................................................. 13,000 20,500 

(e)(11) Jumpers or cable connections not in proper condition ................................................................ 9,500 17,000 

(e)(12) Door or cover plate not properly marked ..................................................................................... 9,500 17,000 

(e)(13) Buffer plate not properly placed ................................................................................................... 9,500 17,000 

(e)(14) Diaphragm not properly placed or aligned ................................................................................... 9,500 17,000 

(e)(15) Secondary braking system not in operating mode or contains known defect ............................. 9,500 17,000 

(e)(16) Roller bearings: 

(i) Overheated ................................................................................................................................... 13,000 20,500 

(ii) Cap screw loose or missing ......................................................................................................... 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57649 

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

(iii) Cap screw lock broken or missing .............................................................................................. 5,500 10,000 

(iv) Seal loose, damaged, or leaks lubricant .................................................................................... 9,500 17,000 

(e)(17) Air compressor inoperative ........................................................................................................... 9,500 17,000 

(g) Record of inspection: 

(1), (4) Failure to maintain record of inspection ............................................................................... 5,500 10,000 

(2) Record contains insufficient information ...................................................................................... 2,500 5,000 

238.305 Interior mechanical inspection of passenger cars: 

(a) Failure to perform inspection .............................................................................................................. 1 5,500 10,000 

(b) Failure to utilize properly qualified personnel ..................................................................................... 5,500 10,000 

(c)(1) Failure to protect against personal injury ....................................................................................... 9,500 17,000 

(c)(2) Floors not free of condition that creates hazard ............................................................................ 9,500 17,000 

(c)(3) Access to manual door release not in place .................................................................................. 5,500 10,000 

(c)(4) Emergency equipment not in place ................................................................................................ 5,500 10,000 

(c)(5) Emergency brake valve not stenciled or marked ........................................................................... 5,500 10,000 

(c)(6) Door or cover plates not properly marked ..................................................................................... 5,500 10,000 

(c)(7) Safety signage not in place or legible ............................................................................................ 5,500 10,000 

(c)(8) Trap door unsafe or improperly secured ........................................................................................ 9,500 17,000 

(c)(9) Vestibule steps not illuminated ....................................................................................................... 5,500 10,000 

(c)(10) Door does not safely operate as intended ................................................................................... 9,500 17,000 

(c)(11) Seat broken, loose, or not properly attached ............................................................................... 9,500 17,000 

(e) Record of inspection: 

(1), (4) Failure to maintain record of inspection ............................................................................... 5,500 10,000 

(2) Record contains insufficient information ...................................................................................... 2,500 5,000 

(f) Record of inspection: 

(1), (4) Failure to maintain record of inspection ............................................................................... 5,500 10,000 

(2) Record contains insufficient information ...................................................................................... 2,500 5,000 

238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles: 

(a) Failure to perform periodic mechanical inspection ............................................................................. 1 9,500 17,000 

(b) Failure to utilize properly qualified personnel ..................................................................................... 9,500 17,000 

(c)(1) Seat or seat attachment broken or loose ....................................................................................... 9,500 17,000 

(c)(2) Luggage rack broken or loose ........................................................................................................ 9,500 17,000 

(c)(3) Bed, bunks, or restraints broken or loose ...................................................................................... 9,500 17,000 

(c)(4) Emergency window exit does not properly operate ....................................................................... 9,500 17,000 

(c)(5) Emergency lighting not operational ................................................................................................ 9,500 17,000 

(c)(6) Switches not in proper condition .................................................................................................... 9,500 17,000 

(c)(7) Coupler not in proper condition ...................................................................................................... 9,500 17,000 

(c)(8) Truck not equipped with securing arrangement ............................................................................. 9,500 17,000 

(c)(9) Truck center casting cracked or broken ......................................................................................... 13,000 20,500 

(c)(10) General conditions endangering crew, passengers ..................................................................... 9,500 17,000 

(c)(13) Hand or parking brake test not performed ................................................................................... 9,500 17,000 

(d)(1) Manual door release does not operate as intended ...................................................................... 9,500 17,000 

(d)(2) Hand or parking brake inspection not performed .......................................................................... 9,500 17,000 

(e)(1) Failure to maintain record of inspection ......................................................................................... 5,500 10,000 

(i)–(iv) Record contains insufficient information ................................................................................ 2,500 5,000 

(f)(1) Record of inspection: 

(i) Failure to maintain record of inspection ....................................................................................... 5,500 10,000 

(ii) Record contains insufficient information ...................................................................................... 2,500 5,000 

238.309 Periodic brake equipment maintenance: 

(b) Failure to perform on MU locomotive ................................................................................................. 9,500 17,000 

(c) Failure to perform on conventional locomotive ................................................................................... 9,500 17,000 

(d) Failure to perform on passenger coaches or other unpowered vehicle ............................................ 9,500 17,000 

(e) Failure to perform on cab car ............................................................................................................. 9,500 17,000 

(f) Record of periodic maintenance: 

(1), (2) Failure to maintain record or stencil ..................................................................................... 5,500 10,000 

238.311 Single car tests: 

(a) Failure to test in accord with required procedure ............................................................................... 9,500 17,000 

(b) Failure to utilize properly qualified personnel ..................................................................................... 9,500 17,000 

(c), (e) Failure to perform single car test ................................................................................................. 9,500 17,000 

(f) Improper movement of car for testing ................................................................................................. 5,500 10,000 

(g) Failure to test after repair or replacement of component ................................................................... 5,500 10,000 

238.313 Class I brake test: 

(a) Failure to perform on commuter or short-distance intercity passenger train ..................................... 1 19,500 25,000 

(b) Failure to perform on long-distance intercity passenger train ............................................................ 1 19,500 25,000 

(c) Failure to perform on cars added to passenger train ......................................................................... 1 13,000 20,500 

(d) Failure to utilized properly qualified personnel ................................................................................... 13,000 20,500 

(f) Passenger train used from Class I brake test with less than 100% operative brakes ....................... 13,000 20,500 

(g) Partial failure to perform inspection on a passenger train ................................................................. 13,000 20,500 

(3) Failure to adjust piston travel (per car) ....................................................................................... 9,500 17,000 

(h) Failure to maintain record ................................................................................................................... 5,500 10,000 

(j) Failure to perform additional Class I brake test .................................................................................. 13,000 20,500 

(j)(3) Failure to maintain record ................................................................................................................ 5,500 10,000 

238.315 Class IA brake test: 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57650 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

(a) Failure to perform inspection .............................................................................................................. 1 13,000 20,500 

(d) Failure to utilize properly qualified personnel ..................................................................................... 9,500 17,000 

(e) Passenger train used from Class IA brake test with improper percentage of operative brakes ....... 13,000 20,500 

(f) Partial failure to perform inspection on passenger train ..................................................................... 9,500 17,000 

238.317 Class II brake test: 

(a) Failure to perform inspection .............................................................................................................. 1 9,500 17,000 

(b) Failure to utilize properly qualified personnel ..................................................................................... 9,500 17,000 

(c) Improper use of defective equipment from Class II brake test .......................................................... 9,500 17,000 

238.319 Running brake test: 

(a), (b) Failure to perform test .................................................................................................................. 5,500 10,000 

238.321 Out-of-service credit 5,500 10,000 

Subpart E—Specific Requirements for Tier II Passenger Equipment 

238.403 Crash energy management ............................................................................................................ 9,500 17,000 

238.405 Longitudinal static compressive strength ........................................................................................ 9,500 17,000 

238.407 Anti-climbing mechanism ................................................................................................................ 9,500 17,000 

238.409 Forward end structures of power car cabs: 

(a) Center collision post ........................................................................................................................... 9,500 17,000 

(b) Side collision posts ............................................................................................................................. 9,500 17,000 

(c) Corner posts ........................................................................................................................................ 9,500 17,000 

(d) Skin ..................................................................................................................................................... 9,500 17,000 

238.411 Rear end structures of power car cabs: 

(a) Corner posts ....................................................................................................................................... 9,500 17,000 

(b) Collision posts ..................................................................................................................................... 9,500 17,000 

238.413 End structures of trailer cars ........................................................................................................... 9,500 17,000 

238.415 Rollover strength ............................................................................................................................. 9,500 17,000 

238.417 Side loads ....................................................................................................................................... 9,500 17,000 

238.419 Truck-to-car-body and truck component attachment ...................................................................... 9,500 17,000 

238.421 Glazing: 

(b) End-facing exterior glazing ................................................................................................................. 9,500 17,000 

(c) Alternate glazing requirements ........................................................................................................... 9,500 17,000 

(d) Glazing securement ............................................................................................................................ 9,500 17,000 

(e) Stenciling ............................................................................................................................................. 5,500 10,000 

238.423 Fuel tanks: 

(a) External fuel tanks .............................................................................................................................. 9,500 17,000 

(b) Internal fuel tanks ............................................................................................................................... 9,500 17,000 

238.425 Electrical system: 

(a) Circuit protection ................................................................................................................................. 9,500 17,000 

(b) Main battery system ............................................................................................................................ 9,500 17,000 

(c) Power dissipation resistors ................................................................................................................. 9,500 17,000 

(d) Electromagnetic interference and compatibility .................................................................................. 9,500 17,000 

238.427 Suspension system 9,500 17,000 

238.429 Safety Appliances: 

(a) Couplers .............................................................................................................................................. 13,000 20,500 

(b) Hand/parking brakes ........................................................................................................................... 13,000 20,500 

(d) Handrail or handhold missing ............................................................................................................. 9,500 17,000 

(d)(1)–(8) Handrail or handhold improper design ............................................................................. 9,500 17,000 

(e) Sill step missing .................................................................................................................................. 13,000 20,500 

(e)(1)–(11) Sill step improper design ................................................................................................ 9,500 17,000 

(g) Optional safety appliances .................................................................................................................. 9,500 17,000 

238.431 Brake system .................................................................................................................................. 9,500 17,000 

238.433 Draft System ................................................................................................................................... 9,500 17,000 

238.435 Interior fittings and surfaces ............................................................................................................ 9,500 17,000 

238.437 [Reserved].

238.439 Doors: 

(a) Exterior side doors .............................................................................................................................. 9,500 17,000 

(b) Manual override feature ...................................................................................................................... 9,500 17,000 

(c) Notification to crew of door status ...................................................................................................... 9,500 17,000 

(d) Emergency back-up power ................................................................................................................. 9,500 17,000 

(f) End door kick-out panel or pop-out window ........................................................................................ 9,500 17,000 

238.441 Emergency roof access .................................................................................................................. 9,500 17,000 

238.443 Headlights ....................................................................................................................................... 9,500 17,000 

238.445 Automated monitoring ..................................................................................................................... 9,500 17,000 

238.447 Train operator’s controls and power car cab layout ....................................................................... 9,500 17,000 

Subpart F—Inspection, Testing, and Maintenance Requirements for Tier II Passenger Equipment 

238.503 Inspection, testing, and maintenance requirements: 

(a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval .............. 19,500 25,000 

(b) Failure to comply with provisions of the program .............................................................................. 13,000 20,500 

(c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or 

equipment ............................................................................................................................................. 9,500 17,000 

(d) Specific safety inspections: 

(1)(i) Failure to perform Class I brake test or equivalent ................................................................. 19,500 25,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57651 

APPENDIX A TO PART 238—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful violation 

(1)(ii) Partial failure to perform Class I brake test or equivalent ...................................................... 13,000 20,500 

(2)(i) Failure to perform exterior mechanical inspection ................................................................... 1 9,500 17,000 

(2)(ii) Failure to perform interior mechanical inspection ................................................................... 1 5,500 10,000 

(g) Failure to perform scheduled maintenance as required in program .................................................. 9,500 17,000 

(h) Failure to comply with training, qualification and designation program ............................................. 13,000 20,500 

(i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance ................................................................................................................................................. 9,500 17,000 

(j) Failure to conduct annual review ......................................................................................................... 13,000 20,500 

(k) Failure to establish or utilize quality control program ......................................................................... 13,000 20,500 

Subpart G—Specific Safety Planning Requirements for Tier II Passenger Equipment 

238.603 Safety plan: 

(a) Failure to develop safety operating plan ............................................................................................ 13,000 20,500 

(b) Failure to develop procurement plan .................................................................................................. 13,000 20,500 

(1)–(7) Failure to develop portion of plan ......................................................................................... 9,500 17,000 

(c) Failure to maintain documentation ...................................................................................................... 5,500 10,000 

1A 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 $25,000 per day. However, failure to perform, with respect to a particular unit of passenger 

equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, 

and in addition to, any substantive violative conditions found on that unit of passenger equipment. Moreover, the Administrator reserves the right 

to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. Failure to observe any 

condition for movement of defective equipment set forth in § 238.17 will deprive the railroad of the benefit of the movement-for-repair provision 

and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the unit of passenger equipment at the time of movement. Failure to observe any condition for the movement of passenger 

equipment containing defective safety appliances, other than power brakes, set forth in § 238.17(e) will deprive the railroad of the movement-forrepair 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. 2The penalty schedule uses section numbers from 49 CFR part 238. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 239—[AMENDED] 

50. The authority citation for part 239 

continues to read as follows: 

Authority: 49 U.S.C. 20102–20103, 20105– 

20114, 20133, 21301, 21304, and 21311; 28 

U.S.C. 2461, note; and 49 CFR 1.49(c), (g), 

(m). 

51 Appendix A to Part 239 is advised 

to read as follows: 

APPENDIX A TO PART 239—SCHEDULE OF CIVIL PENALITIES 1

Section 2 Violation Willful violation 

Subpart B—Specific Requirements 

239.101: 

(a) Failure of a railroad to adopt3 a written emergency preparedness plan ........................................... $19,500 $25,000 

(a)(1) Failure of the plan to provide for: 

(i) Initial or on-board notifications by an on-board crewmember ...................................................... 9,500 17,000 

(ii) Notification of outside emergency responders by control center ................................................ 9,500 17,000

(a)(2) Failure of the plan to provide for: 

(i) Initial or periodic training of on-board personnel .......................................................................... 9,500 17,000 

(ii) Initial or periodic training of control center personnel ................................................................. 9,500 17,000 

(iii) Completion of initial training of all on-board and control center personnel by the specified 

date ................................................................................................................................................ 9,500 17,000 

(iv) Completion of initial training of all newly hired on-board and control center personnel by the 

specified date ................................................................................................................................. 9,500 17,000 

(v) Adequate procedures to evaluate and test on-board and control center personnel for qualification under the emergency preparedness plan ......................................................................... 9,500 17,000 

(vi) Adequate on-board staffing ......................................................................................................... 9,500 17,000 

(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 .......................................................................................................................... 9,500 17,000 

(a)(4) Failure of the plan to address: 

(i) Readiness procedures for emergencies in tunnels ...................................................................... 9,500 17,000 

(ii) Readiness procedures for emergencies on an elevated structure or in electrified territory ....... 9,500 17,000 

(iii) Coordination efforts involving adjacent rail modes of transportation .......................................... 9,500 17,000 

(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 ................................................................ 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57652 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 239—SCHEDULE OF CIVIL PENALITIES 1—Continued 

Section 2 Violation Willful violation 

(ii) Invitations to emergency responders to participate in emergency simulations ........................... 9,500 17,000 

(iii) Distribution of applicable portions of the current emergency preparedness plan ...................... 9,500 17,000 

(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 .................................................................................................................. 9,500 17,000 

(ii) First-aid kits .................................................................................................................................. 9,500 17,000 

(iii) Emergency lighting ...................................................................................................................... 9,500 17,000 

(a)(7) Failure of the plan to provide for emergency instructions inside each passenger car or to include additional safety awareness information ..................................................................................... 9,500 17,000 

239.103 Failure to conduct a required full-scale simulation in accordance with the frequency schedule ... 9,500 17,000 

239.105 Debriefing and critique: 

(a) Failure to conduct a debriefing and critique session after an emergency or full-scale simulation .... 9,500 17,000 

(d)(1) Failure to maintain a record ........................................................................................................... 5,500 10,000 

(i) Failure to include date or location of the emergency or simulation .................................................... 2,500 5,000 

(ii) Failure to include date or location of the debriefing and critique session ................................... 2,500 5,000 

(iii) Failure to include names of participants in the debriefing and critique session ........................ 2,500 5,000 

(d)(2) Failure to make record available .................................................................................................... 2,500 5,000 

239.107 Emergency exits: 

(a)(1), (a)(2): 

(i) Door not marked or instructions not posted ................................................................................. 9,500 17,000 

(ii) Door improperly marked or instructions improperly posted ......................................................... 9,500 17,000 

(b)(1) Failure to provide for scheduled inspection, maintenance, and repair of emergency windows 

and doors .............................................................................................................................................. 9,500 17,000 

(b)(2): 

(i) Failure to test a representative sample of emergency windows .................................................. 9,500 17,000 

(ii) Emergency windows tested too infrequently ............................................................................... 5,500 10,000 

(b)(3) Failure to repair an inoperative emergency window or door exit .................................................. 9,500 17,000 

(c): 

(i) Failure to maintain a record .......................................................................................................... 5,500 10,000 

(ii) Failure to make record available ................................................................................................. 2,500 5,000 

(d)(1) Insufficient limits or controls on accessibility to records ................................................................ 5,500 10,000 

(d)(2) Missing terminal .............................................................................................................................. 2,500 5,000 

(d)(3) Inability of railroad to produce information in a usable format for immediate review .................... 2,500 5,000 

(d)(4) Failure by railroad to designate an authorized representative ...................................................... 2,500 5,000 

(d)(5) Failure to make record available .................................................................................................... 2,500 5,000 

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 ........................................... 13,000 20,500

(ii) Failure to designate a primary person to contact for plan review ............................................... 2,500 5,000

(iii) Failure of a railroad to file an amendment to its plan ................................................................. 2,500 5,000 

(b)(1), (b)(2): 

(i) Failure of a railroad to correct a plan deficiency .......................................................................... 9,500 17,000 

(ii) Failure to provide FRA with a corrected copy of the plan ........................................................... 2,500 5,000 

(b)(3): 

(i) Failure of a railroad to correct an amendment deficiency ............................................................ 9,500 17,000 

(ii) Failure to file a corrected plan amendment with FRA ................................................................. 2,500 5,000 

239.203 Retention of emergency preparedness plan: 

(1) Failure to retain a copy of the plan or an amendment to the plan ............................................. 9,500 17,000 

(2) Failure to make record available ................................................................................................. 2,500 5,000 

Subpart D—Operational (Efficiency) Tests; Inspection of Records and Recordkeeping 

239.301 Operational (efficiency) tests: 

(a) Failure to periodically conduct operational (efficiency) tests of its on-board and control center employees .................................................................................................................................................. 9,500 17,000 

(b)(1) Failure to maintain a record ........................................................................................................... 5,500 10,000 

(b)(2) Record improperly completed ........................................................................................................ 2,500 5,000 

(c)(1) Failure to retain a copy of the record ............................................................................................. 2,500 5,000 

(c)(2) Failure to make record available .................................................................................................... 2,500 5,000 

239.303 Electronic recordkeeping: 

(a) Insufficient limits or controls on accessibility to records .................................................................... 5,500 10,000 

(b) Missing terminal .................................................................................................................................. 2,500 5,000 

(c) Inability of railroad to produce information in a usable format for immediate review ........................ 2,500 5,000 

(d) Failure by railroad to designate an authorized representative ........................................................... 2,500 5,000 

(e) Failure to make record available ........................................................................................................ 2,500 5,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. 2The 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. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57653 

3 This section also requires each railroad (subject to part 239) to comply with the adopted emergency preparedness plan. As the severity of a 

violation for a railroad’s failure to comply with an emergency preparedness plan varies depending upon the provision with which the railroad 

failed to comply, please see the guideline penalty for the particular section of the regulation requiring that provision. 

PART 240—[AMENDED] 

52. The authority citation for part 240 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 20135, 

21301, 21304, 21311; 28 U.S.C. 2461, note; 

and 49 CFR 1.49. 

53. Appendix A to part 240 is revised 

to read as follows: 

APPENDIX A TO PART 240—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

Subpart B—Component Elements of the Certification Process 

240.101 Program failures: 

(a) Failure to have program ..................................................................................................................... $19,500 $25,000 

(b) Program that fails to address a subject .............................................................................................. 9,500 17,000 

240.103 Failure to: 

(a) Follow Appendix B .............................................................................................................................. 2,500 5,000 

(d) Resubmit, when directed by FRA ....................................................................................................... 2,500 5,000 

240.104 Allowing uncertified person to operate nontraditional locomotives ................................................ 13,000 20,500 

240.105 Failure to have or execute adequate procedure for selection of supervisors ................................ 9,500 17,000 

240.107 Classes of service: 

(a) Failure to designate classes of service .............................................................................................. 9,500 17,000 

240.109 Limitations on considering prior conduct records: 

(a) Failure to have procedure for determining eligibility .......................................................................... 9,500 17,000 

(e) Considering excluded data ................................................................................................................. 9,500 17,000 

(f), (g) Failure to provide timely review opportunity ................................................................................. 9,500 17,000 

240.111 Furnishing motor vehicle records: 

(a) Failure to action required to make information available ................................................................... 2,500 5,000 

(b) Failure to request:.

(1) Local record ................................................................................................................................. 2,500 5,000 

(2) NDR record .................................................................................................................................. 2,500 5,000 

(f) Failure to request additional record ..................................................................................................... 2,500 5,000 

(g) Failure to notify of absence of license ................................................................................................ 2,500 5,000 

(h) Failure to submit request in timely manner ........................................................................................ 2,500 5,000 

(i) Failure to report within 48 hours or railroad taking certification action for not reporting earlier than 

48 hours ................................................................................................................................................ 2,500 5,000 

240.113 Furnishing prior employment information: 

(a) Failure to take action required to make information available ........................................................... 2,500 5,000 

(b) Failure to request record .................................................................................................................... 2,500 5,000 

240.115 Criteria for considering prior motor vehicle conduct: 

(b) Considering excluded data ................................................................................................................. 9,500 17,000 

(c) Failure to: 

(1) Consider data .............................................................................................................................. 19,500 25,000 

(3)–(4) Properly act in response to data ........................................................................................... 5,500 10,000 

240.117 Consideration of operational rules compliance records: 

(a) Failure to have program and procedures ........................................................................................... 19,500 25,000 

(b)–(j) Failure to have adequate program or procedure .......................................................................... 9,500 17,000 

240.119 Consideration of substance abuse/rules compliance records: 

(a) Failure to have program and procedures ........................................................................................... 19,500 25,000 

(b)–(e) Failure to have adequate program or procedure ......................................................................... 9,500 17,000 

240.121 Failure to have adequate procedure for determining acuity ........................................................... 9,500 17,000 

(f) Failure of engineer to notify ................................................................................................................. 9,500 17,000 

240.123 Failure to have: 

(b) Adequate procedures for continuing education .................................................................................. 9,500 17,000 

(c) Adequate procedures for training new engineers ............................................................................... 9,500 17,000 

240.125 Failure to have: 

(a) Adequate procedures for testing knowledge ...................................................................................... 9,500 17,000 

(d) Adequate procedures for documenting testing ................................................................................... 9,500 17,000 

240.127 Failure to have: 

(a) Adequate procedures for evaluating skill performance ...................................................................... 9,500 17,000 

(c) Adequate procedures for documenting skills testing .......................................................................... 9,500 17,000 

240.129 Failure to have: 

(a)–(b) Adequate procedures for monitoring performance ...................................................................... 9,500 17,000 

Subpart C—Implementation of the Certification Process 

240.201 Schedule for implementation: 

(a) Failure to select supervisors by specified date .................................................................................. 2,500 5,000 

(c) Failure to issue certificate to engineer ................................................................................................ 2,500 5,000 

(d) Allowing uncertified person to operate ............................................................................................... 19,500 25,000 

(e)–(g) Certifying without complying with subpart C ................................................................................ 9,500 17,000 

(h)–(i) Failure to issue certificate to engineer .......................................................................................... 2,500 5,000 

240.203 


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57654 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX A TO PART 240—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(a) Designating a person as a supervisor without determining that 

(1) Person knows and understands this part .................................................................................... 9,500 17,000 

(2) Person can test and evaluate engineers ..................................................................................... 19,500 25,000 

(3) Person has experience to prescribe remedies ............................................................................ 9,500 17,000 

(b) Certifying a person without determining that: 

(1) Person meets the eligibility criteria .............................................................................................. 19,500 25,000 

(2) Person meets the medical criteria ............................................................................................... 9,500 17,000 

(3) Person has demonstrated knowledge ......................................................................................... 9,500 17,000 

(4) Person has demonstrated skills .................................................................................................. 9,500 17,000 

(c) Certifying a person without determining that: 

(1) Person has completed training program ..................................................................................... 9,500 17,000 

(2) Person meets the eligibility criteria .............................................................................................. 9,500 17,000 

(3) Time has elapsed ........................................................................................................................ 9,500 17,000 

240.205 Procedures for determining eligibility based on prior safety conduct: 

(a) Selecting person lacking eligibility ...................................................................................................... 19,500 25,000 

(d) Failure to have basis for taking action ............................................................................................... 9,500 17,000 

240.207 Ineligibility based on medical condition: 

(a) Selecting person lacking proper acuity ............................................................................................... 13,000 20,500 

(b) Failure to have basis for finding of proper acuity ............................................................................... 2,500 5,000 

(c) Acuity examinations performed by unauthorized person ................................................................... 2,500 5,000 

(d) Failure to note need for device to achieve acuity .............................................................................. 2,500 5,000 

(e) Failure to use device needed for proper acuity .................................................................................. 2,500 5,000 

240.209 Demonstrating knowledge: 

(b) Failure to properly determine knowledge ........................................................................................... 13,000 20,500 

(c) Improper test procedure ...................................................................................................................... 9,500 17,000 

(d) Failure to document test results ......................................................................................................... 2,500 5,000 

(e) Allowing person to operate despite test failure .................................................................................. 9,500 17,000 

240.211 Demonstrating skills: 

(b) Failure to properly determine knowledge ........................................................................................... 9,500 17,000 

(c) Improper test procedure ...................................................................................................................... 5,500 10,000 

(d) Failure to document test results ......................................................................................................... 2,500 5,000 

(e) Allowing person to operate despite test failure .................................................................................. 9,500 17,000 

240.213 Completion of approved training program: 

(a) Failure to properly determine .............................................................................................................. 9,500 17,000 

(b) Failure to document successful program completion ......................................................................... 5,500 10,000 

240.215 Supporting information: 

(a), (f)–(h) Failure to have a record ......................................................................................................... 2,500 5,000 

(b) Failure to have complete record ......................................................................................................... 2,500 5,000 

(i) Falsification of record .................................................................................................................... ............................ 25,000 

240.217 Time limits for making determinations: 

(a), (c) Exceeding time limit ..................................................................................................................... 5,500 10,000 

240.219 Denial of certification: 

(a) Failure to notify or provide opportunity for comment ......................................................................... 5,500 10,000 

(c) Failure to notify, provide data, or untimely notification ....................................................................... 5,500 10,000 

240.221 Identification of persons: 

(a)–(c) Failure to have a record ............................................................................................................... 5,500 10,000 

(d) Failure to update a record .................................................................................................................. 5,500 10,000 

(e)–(f) Failure to make a record available ................................................................................................ 2,500 5,000 

240.223 Certificate criteria: 

(a) Improper certificate ............................................................................................................................. 2,500 5,000 

(b) Failure to designate those with signatory authority ............................................................................ 2,500 5,000 

(d) Falsification of certificate .................................................................................................................... ............................ 25,000 

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 ...................................................................................................................................................... 19,500 25,000 

(2) Reliance on wrong class of service ............................................................................................. 5,500 10,000 

(3) Failure to familiarize person with new operational territory ........................................................ 5,500 10,000 

(4) Failure to determine knowledge .................................................................................................. 5,500 10,000 

(5) Failure to determine performance skills ...................................................................................... 5,500 10,000 

240.227 Railroad relying on requirements of a different country: 

(a) Joint operator reliance: 

(1) On person not employed ............................................................................................................. 2,500 5,000 

(2) On person who fails to meet Canadian requirements ................................................................ 2,500 5,000 

(b) Canadian railroad reliance: 

(1) On person not employed ............................................................................................................. 2,500 5,000 

(2) On person who fails to meet Canadian requirements ................................................................ 2,500 5,000 

240.229 Requirements for joint operations territory: 

(a) Allowing uncertified person to operate ............................................................................................... 5,500 10,000 

(b) Certifying without making determinations or relying on another railroad ........................................... 13,000 20,500 

(c) Failure of 

(1) Controlling railroad certifying without determining certification status, knowledge, skills, or familiarity with physical characteristics ............................................................................................. 19,500 25,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 57655 

APPENDIX A TO PART 240—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(2) Employing railroad to determine person’s certified and qualified status for controlling railroad 19,500 25,000 

(3) Person to notify employing railroad of lack of qualifications ....................................................... 19,500 25,000 

(d) Failure to provide qualified person ..................................................................................................... 5,500 10,000 

240.231 Persons qualified on physical characteristics in other than joint operations: 

(a) Person unqualified, no exception applies or railroad does not adequately address in program ....... 19,500 25,000 

(b) Failure to have a pilot: 

(1) For engineer who has never been qualified ................................................................................ 19,500 25,000 

(2) For engineer previously qualified ................................................................................................ 9,500 17,000 

Subpart D—Administration of the Certification Programs 

240.301 Failure to have system for certificate replacement ......................................................................... 5,500 10,000 

240.303 Monitoring operations: 

(a) Failure to have program ..................................................................................................................... 19,500 25,000 

(b) Failure to observe each person annually ........................................................................................... 2,500 5,000 

(c) Failure to test each person annually .................................................................................................. 2,500 5,000 

(d) Failure to test properly ........................................................................................................................ 2,500 5,000 

240.305 Prohibited conduct: 

(a) Unlawful: 

(1) Passing of stop signal ................................................................................................................. 19,500 25,000 

(2) Control of speed .......................................................................................................................... 19,500 25,000 

(3) Brake tests ................................................................................................................................... 19,500 25,000 

(4) Occupancy of main track ............................................................................................................. 19,500 25,000 

(5) Tampering or operation with disabled safety device ................................................................... 19,500 25,000 

(6) Supervisor, pilot, or instructor fails to take appropriate action .................................................... 19,500 25,000 

(b) Failure of engineer to: 

(1) Carry certificate ............................................................................................................................ 2,500 5,000 

(2) Display certificate when requested .............................................................................................. 2,500 5,000 

(c) Failure of engineer to notify railroad of limitations or railroad requiring engineer to exceed limitations ....................................................................................................................................................... 19,500 25,000 

(d) Failure of engineer to notify railroad of denial or revocation ............................................................. 19,500 25,000 

240.307 Revocation of certification: 

(a) Failure to withdraw person from service ............................................................................................ 13,000 20,500 

(b) Failure to notify, provide hearing opportunity, or untimely procedures .............................................. 5,500 10,000 

(c)–(h) Failure of railroad to comply with hearing or waiver procedures ................................................. 5,500 10,000 

(j) Failure of railroad to make record ....................................................................................................... 5,500 10,000 

(k) Failure of railroad to conduct reasonable inquiry or make good faith determination ......................... 13,000 20,500 

240.309 Oversight Responsibility Report: 

(a) Failure to report or to report on time .................................................................................................. 2,500 5,000 

(b)–(h) Incomplete or inaccurate report ................................................................................................... 5,500 10,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 240. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

PART 241—[AMENDED] 

54. The authority citation for part 241 

continues to read as follows: 

Authority: 49 U.S.C. 20103, 20107, 21301, 

21304, 21311; 28 U.S.C. 2461, note; 49 CFR 

1.49. 

55. Appendix B to part 241 is revised 

to read as follows: 

APPENDIX B TO PART 241—SCHEDULE OF CIVIL PENALTIES 1

Section 2 Violation Willful 

violation 

241.9: 

(a) Requiring or permitting extraterritorial dispatching of a railroad operation ........................................ $9,500 $17,000 

(c) Failing to notify FRA about extraterritorial dispatching of a railroad operation in an emergency situation .................................................................................................................................................... 5,500 10,000 

241.11 Conducting a railroad operation that is extraterritorially dispatched: 

(a)(1) Generally ........................................................................................................................................ 9,500 17,000 

(c) 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 ........................................................................................................................................ 9,500 17,000 


emcdonald on DSK2BSOYB1PROD with PROPOSALS3
57656 Federal Register / Vol. 75, No. 182 / Tuesday, September 21, 2010 / Proposed Rules 

APPENDIX B TO PART 241—SCHEDULE OF CIVIL PENALTIES 1—Continued 

Section 2 Violation Willful 

violation 

(c) In an emergency situation—where dispatching railroad fails to notify FRA of the extraterritorial 

dispatching ............................................................................................................................................ 2,500 5,000 

1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to 

$100,000 for any violation where circumstances warrant. See 49 U.S.C. 21301, 21304 and 49 CFR part 209, appendix A. 2The penalty schedule uses section numbers from 49 CFR part 241. If more than one item is listed as a type of violation of a given section, 

each item is also designated by a ‘‘penalty code,’’ which is used to facilitate assessment of civil penalties, and which may or may not correspond 

to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the 

right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, 

should they differ. 

Issued in Washington, DC, on August 23, 

2010. 

Karen J. Rae, 

Deputy Administrator. 

[FR Doc. 2010–22141 Filed 9–20–10; 8:45 am] 

BILLING CODE 4910–06–P 


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