Document ID: FRA-2016-0090-0001
Agency: fra
Document Type: Rule
Title: Moving Civil Penalties Schedules and Guidelines from the Code of Federal Regulations to the Federal Railroad Administration Website
Posted Date: 2019-05-23T04:00Z

[Federal Register Volume 84, Number 100 (Thursday, May 23, 2019)]
[Rules and Regulations]
[Pages 23730-23737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-09979]

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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, 237, 
238, 239, 240, 241, 242, 243, 270, and 272

[Docket No. FRA-2016-0090; Notice No. 1]
RIN 2130-AC63

Moving the Federal Railroad Administration (FRA) Civil Penalties 
Schedules and Guidelines From the Code of Federal Regulations (CFR) to 
the FRA Website

AGENCY: FRA, U.S. Department of Transportation (DOT).

ACTION: Final rule.

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SUMMARY: To eliminate unnecessary costs and improve public access, FRA 
is removing its civil penalties schedules and guidelines from the CFR 
and publishing them on the FRA website.

DATES: This final rule is effective May 23, 2019.

FOR FURTHER INFORMATION CONTACT: Veronica Chittim, Attorney, Safety Law 
Division, Office of Chief Counsel, FRA, 1200 New Jersey Avenue SE, 
Washington, DC 20590 (telephone 202-493-0273), 
veronica.chittim@dot.gov.

SUPPLEMENTARY INFORMATION: FRA is authorized as the delegate of the 
Secretary of Transportation (Secretary) to enforce the Federal railroad 
safety statutes, regulations, and orders, including the civil penalty 
provisions codified primarily at 49 U.S.C. ch. 213. See 49 U.S.C. 103 
and 49 CFR 1.89; 49 U.S.C. chs. 201-213. The Secretary also authorized 
FRA to enforce certain hazardous materials transportation statutes, 
regulations, and orders, including the civil penalty provisions, 
relating to railroad transportation. See 49 CFR 1.89; 49 U.S.C. ch. 
51.\1\ FRA currently has safety regulations in 34 parts of the CFR that 
contain provisions establishing the agency's authority to impose civil 
penalties if a person violates any requirement in the pertinent portion 
of a statute or the CFR, and 32 CFR parts containing FRA regulations 
include an appendix with a civil penalty schedule or guidelines.
---------------------------------------------------------------------------

    \1\ Civil penalties related to hazardous materials 
transportation statutes, regulations, or orders administered by 
other agencies, such as the Pipeline and Hazardous Materials Safety 
Administration, are not affected by this rule.
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    Since 1988, FRA has included the civil penalties schedules or 
guidelines as an appendix in the corresponding CFR part. Civil 
penalties schedules and guidelines are not regulations nor are they 
subject to notice-and-comment requirements. They are merely policy 
statements that do not bind FRA. Instead, FRA retains full discretion 
to assess civil penalties for violations that are between the minimum 
and maximum amounts authorized by statute and adjusted for 
inflation.\2\ Yet, their place in the CFR has necessitated that any 
changes to them, including adjustments for inflation required by 
federal law, be published in the Federal Register.
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    \2\ For railroad safety violations, the current statutory 
minimum civil penalty is $870, the ordinary maximum civil penalty is 
$28,474, and the aggravated maximum civil penalty is $113,894. See 
83 FR 60732 (Nov. 27, 2018). For hazardous materials violations, the 
current statutory minimum civil penalty (for violations relating to 
training) is $481, the ordinary maximum civil penalty is $79,976, 
and the aggravated maximum civil penalty is $186,610. Id.
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    Like other federal agencies, FRA is charged by the page for each 
page in its segment of the CFR, namely title 49, parts 200-299. 
Currently, the annual rate is $85 per page.\3\ FRA, like other 
agencies, is also charged for each column it prints in the Federal 
Register, currently at a rate of $151 per column.\4\
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    \3\ See GPO Circular Letter No. 1007 (June 4, 2018), available 
at https://www.gpo.gov/how-to-work-with-us/agency/circular-letters/open-requisitions-sf1-for-federal-register-and-code-of-federal-regulations.
    \4\ Id.
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    In this final rule, FRA is removing the civil penalties schedules 
and guidelines from 49 CFR parts 200-299 and updating references to the 
schedules and guidelines to reflect their new location on the FRA 
website, without substantive change.\5\ This move will end the 
unnecessary costs of amending the schedules and guidelines through the 
Federal Register and printing them in the CFR. At the same time, 
locating the schedules and guidelines on the FRA website will improve 
public access to those statements of agency policy and simplify 
enforcement by grouping all schedules and guidelines into one location. 
Changes for inflation to the minimum, maximum, and aggravated maximum 
penalty amounts will still be published in the Federal Register, as 
required by federal law.
---------------------------------------------------------------------------

    \5\ This final rule redirects any references to an appendix in 
the CFR that formerly contained civil penalties schedules and 
guidelines to FRA's website at www.fra.dot.gov. FRA's main website 
(www.fra.dot.gov) will contain a link to FRA's civil penalties 
guidance website (www.fra.dot.gov/Page/P1155) linking to a tabbed 
workbook containing each respective CFR part's civil penalties 
table. Language referring to either a ``statement of agency civil 
penalty policy'' or ``schedule of civil penalty amounts'' is 
maintained from the existing CFR. See, e.g., 49 CFR 214.5; 49 CFR 
222.11.
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Public Participation

    FRA is proceeding to a final rule without a notice of proposed 
rulemaking or an opportunity for public comment. The civil penalties 
schedules and guidelines, and therefore this rule to move those 
schedules and guidelines to FRA's website without substantive change, 
are general statements of policy. As such, the notice and comment 
procedures under the Administrative Procedure Act (APA), 5 U.S.C. 
553(b)(3)(A), do not apply.

Regulatory Impact

A. Executive Orders 12866, 13771, and DOT Regulatory Policies and 
Procedures

    FRA evaluated this final rule consistent with Executive Order 12866 
(Regulatory Planning and Review), Executive Order 13771 (Reducing 
Regulation and Controlling Regulatory Costs), and DOT policies and 
procedures. See 44 FR 11034, Feb. 26, 1979; 76 FR 3821, Jan. 21, 2011; 
and 82 FR 9339, Jan. 30, 2017. In this final rule, FRA solely replaces 
statements of agency policy with references to the statements' new 
location on the FRA website, and is not a significant regulatory action 
under section 3(f) of Executive Order 12866.
    FRA will realize cost savings from not printing the civil penalties 
schedules and guidelines in the yearly CFR revision, and therefore this 
rulemaking is a deregulatory action under Executive Order 13771. 
Counting the number of pages in the current CFR (as revised Oct. 1, 
2018) used by the civil penalties schedules and guidelines, FRA 
estimates 80.5 fewer pages would be printed in each CFR revision. The 
migration of the civil penalties schedules and guidelines is a one-time 
occurrence; however, the cost savings accrue annually, and therefore 
FRA

[[Page 23731]]

accounts for them as a yearly cost savings. Also, FRA will realize cost 
savings from not publishing civil penalty schedules in the Federal 
Register associated with new regulations and amendments to existing 
regulations. As mentioned, the annual updates for inflation only affect 
the minimum, maximum, and aggravated maximum penalties, which will 
continue to be published, resulting in no cost savings. To account for 
publishing fewer civil penalty schedules associated with new 
regulations, FRA estimates it published 5 new regulations in the 
Federal Register in the last 10 years, or one-half regulation per year. 
Each regulation had a corresponding civil penalty schedule occupying 
approximately 3 columns in the Federal Register, or 1.5 columns per 
one-half regulation per year. In addition, FRA estimates allocating 3 
columns per year will sufficiently cover changes to civil penalty 
schedules published for amendments to existing regulations, for a total 
Federal Register savings of 4.5 columns per year. The cost savings are 
monetized using the publication costs noted earlier, and illustrated in 
the table below. FRA uses a 10-year period of analysis in estimating 
future cost savings to reflect a reasonable regulatory cycle for new 
regulations and review of existing regulations.

Table A-1--Cost Savings From Not Publishing Civil Monetary Penalty Schedules in the CFR and the Federal Register
----------------------------------------------------------------------------------------------------------------
                                                                              Federal Register
                                                             CFR (80.5 pages    (4.5 columns       Total cost
                           Year                              @$85 per page)       @$151 per          savings
                                                                                   column)
----------------------------------------------------------------------------------------------------------------
2019......................................................         $6,842.50           $679.50         $7,522.00
2020......................................................          6,842.50            679.50          7,522.00
2021......................................................          6,842.50            679.50          7,522.00
2022......................................................          6,842.50            679.50          7,522.00
2023......................................................          6,842.50            679.50          7,522.00
2024......................................................          6,842.50            679.50          7,522.00
2025......................................................          6,842.50            679.50          7,522.00
2026......................................................          6,842.50            679.50          7,522.00
2027......................................................          6,842.50            679.50          7,522.00
2028......................................................          6,842.50            679.50          7,522.00
----------------------------------------------------------------------------------------------------------------
Total Undiscounted Cost Savings, Nominal......................................................            75,220
Present Value (PV) of Total Cost Savings Discounted at 7%.....................................            52,831
Present Value (PV) of Total Cost Savings Discounted at 3%.....................................            64,164
Total Annualized Cost Savings Using 7% Discount Rate..........................................             7,522
Total Annualized Cost Savings Using 3% Discount Rate..........................................             7,522
----------------------------------------------------------------------------------------------------------------

B. Regulatory Flexibility Act and Executive Order 13272

    The Regulatory Flexibility Act of 1980 (RFA), Public Law 96-354, as 
amended, and codified as amended at 5 U.S.C. 601-612, and Executive 
Order 13272 (Proper Consideration of Small Entities in Agency 
Rulemaking), require agency review of proposed and final rules to 
assess their impact on ``small entities'' for purposes of the RFA. An 
agency must prepare a regulatory flexibility analysis unless it 
determines and certifies that a rule is not expected to have a 
significant economic impact on a substantial number of small entities. 
FRA does not expect this final rule will have a significant economic 
impact on a substantial number of small entities. Although this final 
rule will apply to railroads, hazardous materials shippers, and others 
that are considered small entities, there is no economic impact on any 
person who complies or is required to comply with the Federal railroad 
safety laws and the regulations and orders issued under those laws, and 
the Federal hazardous materials laws and the regulations, special 
permits, approvals, and orders issued under those laws, because the 
rule does not change any penalty to which an entity could be subject.
    In addition, FRA has determined the RFA does not apply to this 
rulemaking. FRA is not required to publish its civil penalty schedules 
and guidelines in the CFR, and the civil penalties schedules and 
guidelines are general statements of policy, thus the APA notice and 
comment procedures do not apply to the either penalty schedules 
themselves or the policy decision to change their location. The Small 
Business Administration's A Guide for Government Agencies: How to 
Comply with the Regulatory Flexibility Act (2003), provides that:

    If, under the APA or any rule of general applicability governing 
federal grants to state and local governments, the agency is 
required to publish a general notice of proposed rulemaking (NPRM), 
the RFA must be considered [citing 5 U.S.C. 604(a)]. . . .If an NPRM 
is not required, the RFA does not apply.

Therefore, because FRA is not required to publish the schedules and 
guidelines in the CFR, the RFA does not apply.

C. Federalism

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 10, 1999), 
requires FRA to develop an accountable process to ensure ``meaningful 
and timely input by State and local officials in the development of 
regulatory policies that have federalism implications.'' ``Policies 
that have federalism implications'' are defined in the Executive Order 
to include regulations that have ``substantial direct effects on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government.'' This final rule will not have a 
substantial effect on the States, on the relationship between the 
national government and the States, or the distribution of power and 
responsibilities among the various levels of government. Thus, 
consistent with Executive Order 13132, FRA is not required to prepare a 
Federalism assessment.

D. Paperwork Reduction Act

    There are no new information collection requirements in this final 
rule

[[Page 23732]]

to submit for OMB review under the Paperwork Reduction Act of 1995 (44 
U.S.C. 3501 et seq.).

E. Unfunded Mandates Reform Act of 1995

    This final rule will not result in the expenditure, in the 
aggregate, of $100,000,000 or more, adjusted for inflation, in any one 
year by State, local, or Indian Tribal governments, or the private 
sector. Thus, consistent with Section 202 of the Unfunded Mandates 
Reform Act of 1995 (Pub. L. 104-4, 2 U.S.C. 1532), FRA is not required 
to prepare a written statement detailing the effect of such an 
expenditure.

F. Environmental Impact

    FRA has evaluated this final rule under the National Environmental 
Policy Act (NEPA; 42 U.S.C. 4321 et seq.), other environmental 
statutes, related regulatory requirements, and its ``Procedures for 
Considering Environmental Impacts'' (FRA's NEPA Procedures) (64 FR 
28545, May 26, 1999). FRA has determined that this final rule is 
categorically excluded from detailed environmental review pursuant to 
section 4(c)(20) of FRA's NEPA Procedures, ``Promulgation of railroad 
safety rules and policy statements that do not result in significantly 
increased emissions of air or water pollutants or noise or increased 
traffic congestion in any mode of transportation.'' See 64 FR 28547, 
May 26, 1999. Categorical exclusions (CEs) are actions identified in an 
agency's NEPA implementing procedures that do not normally have a 
significant impact on the environment and therefore do not require 
either an environmental assessment (EA) or environmental impact 
statement (EIS). See 40 CFR 1508.4.
    In analyzing the applicability of a CE, the agency must also 
consider whether extraordinary circumstances warrant a more detailed 
environmental review through the preparation of an EA or EIS. See id. 
The purpose of this rulemaking is to make FRA-maintained civil penalty 
schedules and guidelines more easily available. Specifically, FRA is 
removing civil penalty schedules and guidelines under its authority 
from the CFR and replacing references to them with references to their 
new location on FRA's website. Under section 4(c) and (e) of FRA's NEPA 
Procedures, FRA has concluded no extraordinary circumstances exist with 
respect to this regulation that might trigger the need for a more 
detailed environmental review.
    FRA does not anticipate any environmental impacts from this final 
rule and finds there are no extraordinary circumstances present in 
connection with this final rule.

G. Executive Order 12898 (Environmental Justice)

    Executive Order 12898, Federal Actions to Address Environmental 
Justice in Minority Populations and Low-Income Populations, and DOT 
Order 5610.2(a) (91 FR 27534, May 10, 2012) require DOT agencies to 
achieve environmental justice as part of their mission by identifying 
and addressing, as appropriate, disproportionately high and adverse 
human health or environmental effects, including interrelated social 
and economic effects, of their programs, policies, and activities on 
minority populations and low-income populations. The DOT Order 
instructs DOT agencies to address compliance with Executive Order 12898 
and requirements within the DOT Order in rulemaking activities, as 
appropriate. FRA has evaluated this final rule under Executive Order 
12898 and the DOT Order and has determined that it would not cause 
disproportionately high and adverse human health and environmental 
effects on minority populations or low-income populations.

H. Executive Order 13175 (Tribal Consultation)

    FRA has evaluated this final rule under the principles and criteria 
contained in Executive Order 13175, Consultation and Coordination with 
Indian Tribal Governments, dated November 6, 2000. The final rule would 
not have a substantial direct effect on one or more Indian tribes, 
would not impose substantial direct compliance costs on Indian tribal 
governments, and would not preempt tribal laws. Therefore, the funding 
and consultation requirements of Executive Order 13175 do not apply, 
and FRA is not required to prepare a tribal summary impact statement.

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 Parts 217, 221, 224, 229, 230, 232, 233, and 239

    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 222

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

49 CFR Part 223

    Glazing standards, Penalties, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 225

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

49 CFR Part 227

    Noise control, Occupational safety and health, Penalties, Railroad 
safety, Reporting and recordkeeping requirements.

49 CFR Part 228

    Penalties, Railroad employees, Reporting and recordkeeping 
requirements.

49 CFR Part 231

    Penalties, Railroad safety.

49 CFR Part 234

    Highway safety, Penalties, Railroad safety, Reporting and 
recordkeeping requirements, State and local governments.

49 CFR Part 235

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

[[Page 23733]]

49 CFR Part 236

    Penalties, Positive Train Control, Railroad safety, Reporting and 
recordkeeping requirements.

49 CFR Part 237

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

49 CFR Part 238

    Fire prevention, 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.

49 CFR Part 242

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

49 CFR Part 243

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

49 CFR Part 270

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

49 CFR Part 272

    Penalties, Railroad employees, Railroad safety, Railroads, Safety, 
Transportation.

The Final Rule

    In consideration of the foregoing, parts 209, 213, 214, 215, 217, 
218, 219, 220, 221, 222, 223, 224, 225, 227, 228, 229, 230, 231, 232, 
233, 234, 235, 236, 237, 238, 239, 240, 241, 242, 243, 270, and 272 of 
subtitle B, chapter II of title 49 of the Code of Federal Regulations 
are amended as follows:

PART 209--[AMENDED]

0
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 1.89.

0
2. Revise the last sentence of Sec.  209.105(a) to read as follows:

Sec.  209.105   Notice of probable violation.

    (a) * * * FRA's website at www.fra.dot.gov contains guidelines used 
by the chief counsel in making initial penalty assessments.
* * * * *

0
3. In appendix A to part 209, revise the section entitled ``Penalty 
Schedules; Assessment of Maximum Penalties'' 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 
Federal rail safety laws, regulations, or orders. Id., secs. 3, 13-
15, 17. Pursuant to sec. 16 of RSIA, the penalty for a violation of 
the Hours of Service Act 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, and regulations and orders 
under those statutes, the maximum penalty was raised from $2,500 to 
$10,000 per violation, except that where a grossly negligent 
violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death 
or injury, the penalty was raised to a maximum of $20,000 per 
violation (``the aggravated maximum penalty'').
    The Rail Safety Enforcement and Review Act (RSERA), Pub. L. 102-
365, 106 Stat. 972, enacted in 1992, increased the maximum penalty 
from $1,000 to $10,000, and provided for an aggravated maximum 
penalty of $20,000 for a violation of the Hours of Service Act, 
making these penalty amounts uniform with those of FRA's other 
safety laws, regulations, and orders. RSERA also increased the 
minimum civil monetary penalty from $250 to $500 for all of FRA's 
safety regulatory provisions and orders. Id., sec. 4(a).
    The Federal Civil Penalties Inflation Adjustment Act of 1990, 
Pub. L. 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 periodically adjusted, pursuant 
to the Inflation Act, through rulemaking.
    The Rail Safety Improvement Act of 2008 (``RSIA of 2008''), 
enacted October 16, 2008, raised 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. The December 30, 2008 final rule also adjusted the 
minimum civil penalty from $550 to $650 pursuant to Inflation Act 
requirements. A correcting amendment to the civil penalty provisions 
in 49 CFR part 232 was published on April 6, 2009.
    Effective June 25, 2012, the aggravated maximum penalty was 
raised from $100,000 to $105,000 pursuant to the Inflation Act.
    On November 2, 2015, President Barack Obama signed the Federal 
Civil Penalties Inflation Adjustment Act Improvements Act of 2015 
(the 2015 Inflation Act). Pub. L. 114-74, Sec. 701. Under the 2015 
Inflation Act, agencies must make a catch-up adjustment for civil 
monetary penalties with the new penalty levels published by July 1, 
2016, to take effect no later than August 1, 2016. Moving forward, 
agencies must make annual inflationary adjustments, starting January 
15, 2017, based on Office of Management and Budget guidance. Under 
the 2015 Inflation Act, effective April 3, 2017, the minimum civil 
monetary penalty was raised from $839 to $853, the ordinary maximum 
civil monetary penalty was raised from $27,455 to $27,904, and the 
aggravated maximum civil monetary penalty was raised from $109,819 
to $111,616. Effective November 27, 2018, the minimum civil monetary 
penalty was raised from $853 to $870, the ordinary maximum civil 
monetary penalty was raised from $27,904 to $28,474, and the 
aggravated maximum civil monetary penalty was raised from $111,616 
to $113,894.
    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 was historically issued as an 
appendix to the relevant part of the Code of Federal Regulations. 
Schedules are now published on FRA's website at www.fra.dot.gov. For 
each regulation or order, the schedule shows two amounts within the 
$870 to $28,474 range in separate columns, the first for ordinary 
violations, the second for willful violations (whether committed by 
railroads or individuals). In one instance--49 CFR 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.
    The schedule amounts 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. The Senate report on the bill that became the RSIA stated:
    It is expected that the Secretary would act expeditiously to set 
penalty levels commensurate with the severity of the violations, 
with imposition of the maximum

[[Page 23734]]

penalty reserved for violation of any regulation where warranted by 
exceptional circumstances. S. Rep. No. 100-153, 10th Cong., 2d Sess. 
8 (1987).
    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 $113,894 per violation 
where a pattern of repeated violations or a grossly negligent 
violation has created an imminent hazard of death or injury or has 
caused death or injury. FRA indicates in the penalty demand letter 
when it uses the higher penalty amount instead of the penalty amount 
listed in the schedule.
* * * * *

Appendix B to Part 209--[Amended]

0
4. Amend appendix B to part 209 by:
0
a. Removing ``49 CFR 172.200-.203'' and adding in its place ``49 CFR 
172.200 through 172.203''; and
0
b. Removing the heading ``Civil Penalty Assessment Guidelines'' and the 
two tables following the heading.

PART 213--[AMENDED]

0
5. The authority citation for part 213 continues to read as follows:

    Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A, 
Pub. L. 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

0
6. Revise the last sentence of Sec.  213.15(a) to read as follows:

Sec.  213.15   Penalties.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix B to Part 213--[Removed and Reserved]

0
7. Remove and reserve appendix B to part 213.

PART 214--[AMENDED]

0
8. The authority citation for part 214 continues to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20107, 21301-21302, 31304, 28 
U.S.C. 2461, note; and 49 CFR 1.89.

0
9. Revise the last sentence of Sec.  214.5 to read as follows:

Sec.  214.5   Responsibility for compliance.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 214--[Removed]

0
10. Remove appendix A to part 214.

PART 215--[AMENDED]

0
11. 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 1.89.

0
12. Revise the last sentence of Sec.  215.7 to read as follows:

Sec.  215.7   Prohibited acts.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix B to Part 215--[Removed and Reserved]

0
13. Remove and reserve appendix B to part 215.

PART 217--[AMENDED]

0
14. 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 1.89.

0
15. Revise the last sentence of Sec.  217.5 to read as follows:

Sec.  217.5   Penalty.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 217--[Removed]

0
16. Remove appendix A to part 217.

PART 218--[AMENDED]

0
17. 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 1.89.

0
18. Revise the last sentence of Sec.  218.9 to read as follows:

Sec.  218.9   Civil penalty.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

0
19. Revise Sec.  218.41 to read as follows:

Sec.  218.41   Noncompliance with hump operations rule.

    A person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who fails to comply 
with a railroad's operating rule issued pursuant to Sec.  218.39 is 
subject to a penalty. See FRA's website at www.fra.dot.gov for a 
statement of agency civil penalty policy.

0
20. Revise Sec.  218.55 to read as follows:

Sec.  218.55   Tampering prohibited.

    Any individual who willfully disables a safety device is subject to 
a civil penalty and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under 
the procedures provided for in 49 CFR part 209. See FRA's website at 
www.fra.dot.gov for a statement of agency civil penalty policy.

0
21. Revise Sec.  218.57 to read as follows:

Sec.  218.57   Responsibilities of individuals.

    Any individual who knowingly operates a train, or permits it to be 
operated, when the controlling locomotive of that train is equipped 
with a disabled safety device, is subject to a civil penalty and to 
disqualification from performing safety-sensitive functions on a 
railroad if found to be unfit for such duties. See appendix B to this 
part for a statement of agency enforcement policy concerning violations 
of this section. See FRA's website at www.fra.dot.gov for a statement 
of agency civil penalty policy.

0
22. Revise Sec.  218.59 to read as follows:

Sec.  218.59   Responsibilities of railroads.

    Any railroad that operates a train when the controlling locomotive 
of a train is equipped with a disabled safety device is subject to a 
civil penalty. See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 218--[Removed and Reserved]

0
23. Remove and reserve appendix A to part 218.

PART 219--[AMENDED]

0
24. 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; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat. 
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.

0
25. Revise the last sentence of Sec.  219.10 to read as follows:

Sec.  219.10   Penalties.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 219--[Removed and Reserved]

0
26. Remove and reserve appendix A to part 219.

PART 220--[AMENDED]

0
27. The authority citation for part 220 continues to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 
1.89.

0
28. Revise the last sentence of Sec.  220.7 to read as follows:

[[Page 23735]]

Sec.  220.7   Penalty.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix C to Part 220--[Removed]

0
29. Remove appendix C to part 220.

PART 221--[AMENDED]

0
30. 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 1.89.

0
31. Revise the last sentence of Sec.  221.7 to read as follows:

Sec.  221.7   Civil penalty.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix C to Part 221--[Removed]

0
32. Remove appendix C to part 221.

PART 222--[AMENDED]

0
33. 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 1.89.

0
34. Revise the section heading and last sentence of Sec.  222.11 to 
read as follows:

Sec.  222.11   What are the penalties for failure to comply with this 
part?

    * * * FRA's website at www.fra.dot.gov contains a schedule of civil 
penalty amounts used in connection with this part.

Appendix H to Part 222--[Removed]

0
35. Remove appendix H to part 222.

PART 223--[AMENDED]

0
36. The authority citation for part 223 continues to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
37. Revise the last sentence of Sec.  223.7 to read as follows:

Sec.  223.7   Responsibility.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix B to Part 223--[Removed]

0
 38. Remove appendix B to part 223.

PART 224--[AMENDED]

0
39. 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, note; and 49 CFR 1.89.

0
40. Revise the last sentence of Sec.  224.11(a) to read as follows:

Sec.  224.11   Penalties.

    (a) * * * FRA's website at www.fra.dot.gov contains a schedule of 
civil penalty amounts used in connection with this part.
* * * * *

Appendix A to Part 224--[Removed and Reserved]

0
41. Remove and reserve appendix A to part 224.

PART 225--[AMENDED]

0
42. The authority citation for part 225 is revised to read as follows:

    Authority:  49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902, 
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
43. Revise the last sentence of Sec.  225.12(h)(1) to read as follows:

Sec.  225.12   Rail Equipment Accident/Incident Reports alleging 
employee human factor as cause; Employee Human Factor Attachment; 
notice to employee; employee supplement.

* * * * *
    (h) * * *
    (1) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

0
44. Revise the third sentence of Sec.  225.29 to read as follows:

Sec.  225.29   Penalties.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix A to Part 225--[Removed and Reserved]

0
45. Remove and reserve appendix A to part 225.

PART 227--[AMENDED]

0
46. The authority citation for part 227 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C. 
2461, note; and 49 CFR 1.89.

0
47. Revise the last sentence of Sec.  227.9(a) to read as follows:

Sec.  227.9   Penalties.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix G to Part 227--[Removed]

0
48. Remove appendix G to part 227.

PART 228--[AMENDED]

0
49. The authority citation for part 228 is revised to read as follows:

    Authority:  49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108, 
Div. A, Pub. L. 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C. 
21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
50. Revise the third sentence of Sec.  228.6(a) to read as follows:

Sec.  228.6   Penalties.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy. * * *
* * * * *

Appendix B to Part 228--[Removed and Reserved]

0
51. Remove and reserve appendix B to part 228.

PART 229--[AMENDED]

0
52. The authority citation for part 229 continues to read as follows:

    Authority:  49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 
21301, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
53. Revise the last sentence of Sec.  229.7(b) to read as follows:

Sec.  229.7  Prohibited acts and penalties.

* * * * *
    (b) * * * FRA's website at www.fra.dot.gov contains a statement of 
agency civil penalty policy.
* * * * *

Appendix B to Part 229--[Removed and Reserved]

0
54. Remove and reserve appendix B to part 229.

PART 230--[AMENDED]

0
55. 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 1.89.

Appendix D to Part 230--[Removed]

0
56. Remove appendix D to part 230.

PART 231--[AMENDED]

0
 57. The authority citation for part 231 continues to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20107, 20131, 20301-20303, 
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
58. Revise the last sentence of Sec.  231.0(f) to read as follows:

Sec.  231.0  Applicability and penalties.

* * * * *

[[Page 23736]]

    (f) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

0
59. Revise the last sentence of Sec.  231.33(g) to read as follows:

Sec.  231.33  Procedure for special approval of existing industry 
safety appliance standards.

* * * * *
    (g) * * * Civil penalties will be assessed under this part by using 
the applicable defect code in the statement of agency civil penalty 
policy on FRA's website at www.fra.dot.gov.

0
60. Revise the last sentence of Sec.  231.35(g) to read as follows:

Sec.  231.35  Procedure for modification of an approved industry safety 
appliance standard for new railcar construction.

* * * * *
    (g) * * * Civil penalties will be assessed under this part by using 
the applicable defect code in the statement of agency civil penalty 
policy on FRA's website at www.fra.dot.gov.

Appendix A to Part 231--[Removed]

0
61. Remove appendix A to part 231.

PART 232--[AMENDED]

0
62. 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 
1.89.

0
63. Revise the last sentence of Sec.  232.11(a) to read as follows:

Sec.  232.11  Penalties.

    (a) * * * FRA's website at www.fra.dot.gov contains a schedule of 
civil penalty amounts used in connection with this part.
* * * * *

0
 64. Revise the first sentence of Sec.  232.213(b) to read as follows:

Sec.  232.213  Extended haul trains.

* * * * *
    (b) Failure to comply with any of the requirements contained in 
paragraph (a) of this section will be considered an improper movement 
of a designated priority train for which appropriate civil penalties 
may be assessed as outlined in the statement of civil penalty policy on 
FRA's website at www.fra.dot.gov.
* * * * *

Appendix A to Part 232--[Removed and Reserved]

0
65. Remove and reserve appendix A to part 232.

PART 233--[AMENDED]

0
66. The authority citation for part 233 continues to read as follows:

    Authority:  49 U.S.C. 504, 522, 20103, 20107, 20501-20505, 
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
67. Revise the last sentence of Sec.  233.11 to read as follows:

Sec.  233.11  Civil penalties.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 233--[Removed]

0
68. Remove appendix A to part 233.

PART 234--[AMENDED]

0
69. The authority citation for part 234 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304, 
21311, 22501 note; Pub. L. 110-432, Div. A., Sec. 202, 28 U.S.C. 
2461, note; and 49 CFR 1.89.

0
70. Amend Sec.  234.6 by removing ``Sec.  234.11 of this part'' 
everywhere it appears and adding ``Sec.  234.11'' in its place and 
revising the third sentence of paragraph (a) to read as follows:

Sec.  234.6  Penalties.

    (a) * * * FRA's website at www.fra.dot.gov contains a schedule of 
civil penalty amounts used in connection with this part. * * *
* * * * *

Appendix A to Part 234--[Removed and Reserved]

0
71. Remove and reserve appendix A to part 234.

PART 235--[AMENDED]

0
72. 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 1.89.

0
73. Revise the last sentence of Sec.  235.9 to read as follows:

 Sec.  235.9  Civil penalty.

    * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.

Appendix A to Part 235--[Removed]

0
74. Remove appendix A to part 235.

PART 236--[AMENDED]

0
75. The authority citation for part 236 is revised to read as follows:

    Authority:  49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157, 
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28 
U.S.C. 2461, note; and 49 CFR 1.89.

0
76. Revise the last sentence of Sec.  236.0(f) to read as follows:

Sec.  236.0  Applicability, minimum requirements, and penalties.

* * * * *
    (f) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix A to Part 236--[Removed and Reserved]

0
77. Remove and reserve appendix A to part 236.

PART 237--[AMENDED]

0
 78. The authority citation for part 237 continues to read as follows:

    Authority:  49 U.S.C. 20102-20114; Pub. L. 110-432, Div. A, Sec. 
417; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
79. Revise the last sentence of Sec.  237.7(a) to read as follows:

Sec.  237.7  Penalties.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix B to Part 237--[Removed]

0
80. Remove appendix B to part 237.

PART 238--[AMENDED]

0
81. 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; and 49 
CFR 1.89.

0
82. Revise the last sentence of Sec.  238.11(a) to read as follows:

Sec.  238.11  Penalties.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

0
83. Revise the last sentence of Sec.  238.229(d) to read as follows:

Sec.  238.229  Safety appliances--general.

* * * * *
    (d) * * * When appropriate, civil penalties for improperly using or 
hauling a piece of equipment with a defective welded safety appliance 
or safety appliance bracket or support addressed in this section will 
be assessed as an improperly applied safety appliance pursuant to the 
penalty schedule on FRA's website at www.fra.dot.gov under the 
appropriate defect code contained therein.
* * * * *

0
84. In Sec.  238.230, revise the last sentence of paragraph (c) 
introductory

[[Page 23737]]

text, add a heading for paragraph (e), and revise the last sentence of 
paragraph (e) to read as follows:

Sec.  238.230  Safety appliances--new equipment.

* * * * *
    (c) * * * When appropriate, civil penalties for improperly using or 
hauling a piece of equipment with a defective welded safety appliance 
or safety appliance bracket or support addressed in this section will 
be assessed pursuant to the penalty schedule on FRA's website at 
www.fra.dot.gov under the appropriate defect code contained therein.
* * * * *
    (e) Civil penalties. * * * Civil penalties will be assessed under 
part 231 of this chapter by using the applicable defect code contained 
on FRA's website at www.fra.dot.gov.

Appendix A to Part 238--[Removed and Reserved]

0
85. Remove and reserve appendix A to part 238.

PART 239--[AMENDED]

0
86. 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 1.89.

0
87. Revise the last sentence of Sec.  239.11 to read as follows:

Sec.  239.11  Penalties.

    * * * FRA's website at www.fra.dot.gov contains a schedule of civil 
penalty amounts used in connection with this part.

Appendix A to Part 239--[Removed]

0
88. Remove appendix A to part 239.

PART 240--[AMENDED]

0
89. 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 1.89.

0
90. Revise the last sentence of Sec.  240.11(a) to read as follows:

Sec.  240.11  Penalties and consequences for noncompliance.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix A to Part 240--[Removed and Reserved]

0
91. Remove and reserve appendix A to part 240.

PART 241--[AMENDED]

0
92. 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 1.89.

Appendix B to Part 241--[Removed and Reserved]

0
93. Remove and reserve appendix B to part 241.

PART 242--[AMENDED]

0
94. The authority citation for part 242 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163, 
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
95. Revise the last sentence of Sec.  242.11(a) to read as follows:

Sec.  242.11   Penalties and consequences for noncompliance.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix A to Part 242--[Removed and Reserved]

0
96. Remove and reserve appendix A to part 242.

PART 243--[AMENDED]

0
 97. The authority citation for part 243 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49 
CFR 1.89.

0
98. Revise the last sentence of Sec.  243.7(a) to read as follows:

Sec.  243.7   Penalties and consequences for noncompliance.

    (a) * * * See FRA's website at www.fra.dot.gov for a statement of 
agency civil penalty policy.
* * * * *

Appendix to Part 243--[Removed]

0
99. Remove the appendix to part 243.

PART 270--[AMENDED]

0
100. The authority citation for part 270 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20106-20107, 20118-20119, 20156, 
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.

0
101. The stay of 49 CFR part 270 is lifted.

0
102. Revise the last sentence of Sec.  270.7(a) to read as follows:

Sec.  270.7   Penalties and responsibility for compliance.

    (a) * * * FRA's website at www.fra.dot.gov contains a schedule of 
civil penalty amounts used in connection with this part.
* * * * *

Appendix A to Part 270--[Removed and Reserved]

0
103. Remove and reserve appendix A to part 270.

0
104. Title 49 CFR part 270 is stayed until September 4, 2019.

PART 272--[AMENDED]

0
105. The authority citation for part 272 continues to read as follows:

    Authority:  49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461, 
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat. 
4888.

Appendix A to Part 272--[Removed]

0
 106. Remove appendix A to part 272.

    Issued in Washington, DC.
Ronald L. Batory,
Administrator.
[FR Doc. 2019-09979 Filed 5-22-19; 8:45 am]
 BILLING CODE 4910-06-P