Source: https://www.law.cornell.edu/cfr/text/49/part-236/appendix-A
Timestamp: 2015-05-03 10:23:53
Document Index: 792269667

Matched Legal Cases: ['art 236', 'art 236', 'art 236', 'art 236', 'art 236', 'art 236', 'art 209', 'art\n236']

49 CFR Part 236, Appendix A to Part 236 - Civil Penalties 1 | LII / Legal Information Institute
CFR › Title 49 › Subtitle B › Chapter II › Part 236 › Appendix A 49 CFR Part 236, Appendix A to Part 236 - Civil Penalties 1
Pt. 236, App. A
Appendix A to Part 236—Civil Penalties 1
1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $105,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.
Subpart A—Rules and Instructions—All Systems
236.0Applicability, minimum requirements
236.1Plans, where kept
236.2Grounds
236.3Locking of signal apparatus housings:
(a) Power interlocking machine cabinet not secured against unauthorized entry
(b) other violations
236.4Interference with normal functioning of device
236.5Design of control circuits on closed circuit principle
236.6Hand-operated switch equipped with switch circuit controller
236.7Circuit controller operated by switch-and-lock movement
236.8Operating characteristics of electro-magnetic, electronic, or electrical apparatus
236.9Selection of circuits through indicating or annunciating instruments
236.10Electric locks, force drop type; where required
236.11Adjustment, repair, or replacement of component
236.12Spring switch signal protection; where required
236.13Spring switch; selection of signal control circuits through circuit controller
236.14Spring switch signal protection; requirements
236.15Timetable instructions
236.16Electric lock, main track releasing circuit:
(a) Electric lock releasing circuit on main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically
236.17Pipe for operating connections, requirements
236.18Software management control plan:
Failure to develop and adopt a plan
Failure to fully implement plan
Roadway Signals and Cab Signals—
236.21Location of roadway signals
236.22Semaphore signal arm; clearance to other objects
236.23Aspects and indications
236.24Spacing of roadway signals
236.26Buffing device, maintenance
Track Circuits—
236.51Track circuit requirements:
(a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h
(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
236.52Relayed cut-section
236.53Track circuit feed at grade crossing
236.54Minimum length of track circuit
236.55Dead section; maximum length
236.56Shunting sensitivity
236.57Shunt and fouling wires:
(a) Shunt or fouling wires do not consist of at least two discrete conductors
236.58Turnout, fouling section:
(a) Rail joint in shunt fouling section not bonded
236.59Insulated rail joints
236.60Switch shunting circuit; use restricted
Wires and Cables—
236.71Signal wires on pole line and aerial cable
236.73Open-wire transmission line; clearance to other circuits
236.74Protection of insulated wire; splice in underground wire
236.76Tagging of wires and interference of wires or tags with signal apparatus
Inspections and Tests; All Systems—
236.101Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements
236.102Semaphore or search-light signal mechanism
236.103Switch circuit controller or point detector
236.104Shunt fouling circuit
236.105Electric lock
236.106Relays
236.107Ground tests
236.108Insulation resistance tests, wires in trunking and cables:
(a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms
236.109Time releases, timing relays and timing devices
236.110Results of tests
236.201Track circuit control of signals
236.202Signal governing movements over hand-operated switch
236.203Hand-operated crossover between main tracks; protection
236.204Track signaled for movements in both directions, requirements
236.205Signal control circuits; requirements
236.206Battery or power supply with respect to relay; location
236.207Electric lock on hand-operated switch; control:
(a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position
236.301Where signals shall be provided
236.302Track circuits and route locking
236.303Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism
236.304Mechanical locking or same protection effected by circuits
236.305Approach or time locking
236.306Facing point lock or switch-and-lock movement
236.307Indication locking:
236.308Mechanical or electric locking or electric circuits; requisites
236.309Loss of shunt protection; where required:
(a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, movable point frog, or derail
236.310Signal governing approach to home signal
236.311Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking
236.312Movable bridge, interlocking of signal appliances with bridge devices:
(a) Emergency bypass switch or device not locked or sealed
236.314Electric lock for hand-operated switch or derail:
(a) Approach or time locking of electric lock at hand-operated switch or derail can be defeated by unauthorized use of emergency device which is not kept sealed in non-release position
Rules and Instructions—
236.326Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking
236.327Switch, movable-point frog or split-point derail
236.328Plunger of facing-point
236.329Bolt lock
236.330Locking dog of switch and lock movement
236.334Point detector
236.335Dogs, stops and trunnions of mechanical locking
236.336Locking bed
236.337Locking faces of mechanical locking; fit
236.338Mechanical locking required in accordance with locking sheet and dog chart
236.339Mechanical locking; maintenance requirements
236.340Electromechanical interlocking machine; locking between electrical and mechanical levers
236.341Latch shoes, rocker links, and quadrants
236.342Switch circuit controller
Inspection and Tests—
236.376Mechanical locking
236.377Approach locking
236.378Time locking
236.379Route locking
236.380Indication locking
236.381Traffic locking
236.382Switch obstruction test
236.383Valve locks, valves, and valve magnets
236.384Cross protection
236.386Restoring feature on power switches
236.387Movable bridge locking
Subpart D—Traffic Control Systems Standards
236.401Automatic block signal system and interlocking standards applicable to traffic control systems:
236.402Signals controlled by track circuits and control operator
236.403Signals at controlled point
236.404Signals at adjacent control points
236.405Track signaled for movements in both directions, change of direction of traffic
236.407Approach or time locking; where required
236.408Route locking
236.410Locking, hand-operated switch; requirements:
(a) Hand-operated switch on main track not electrically or mechanically locked in normal position where signal not provided to govern movement to main track, movements made at speeds in excess of 20 m.p.h., and train or engine movements may clear main track
(b) Hand-operated switch on signaled siding not electrically or mechanically locked in normal position where signal not provided to govern movements to signaled siding, train movements made at speeds in excess of 30 m.p.h., and train or engine movements may clear signaled siding
(c) Approach or time locking of electric lock at hand-operated switch can be defeated by use of emergency release device of electric lock which is not kept sealed in non-release position
(d) other violations
236.426Interlocking rules and instructions applicable to traffic control systems
236.476Interlocking inspections and tests applicable to traffic control systems
Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards
236.501Forestalling device and speed control
236.502Automatic brake application, initiation by restrictive block conditions stopping distance in advance
236.503Automatic brake application; initiation when predetermined rate of speed exceeded
236.504Operations interconnected with automatic block-signal system
236.505Proper operative relation between parts along roadway and parts on locomotive
236.506Release of brakes after automatic application
236.507Brake application; full service
236.508Interference with application of brakes by means of brake valve
236.509Two or more locomotives coupled
236.511Cab signals controlled in accordance with block conditions stopping distance in advance
236.512Cab signal indication when locomotive enters blocks
236.513Audible indicator
236.514Interconnection of cab signal system with roadway signal system
236.515Visibility of cab signals
236.516Power supply
Rules and Instructions; Roadway—
236.526Roadway element not functioning properly
236.527Roadway element insulation resistance
236.528Restrictive condition resulting from open hand-operated switch; requirement
236.529Roadway element inductor; height and distance from rail
236.531Trip arm; height and distance from rail
236.532Strap iron inductor; use restricted
236.534Rate of pressure reduction; equalizing reservoir or brake pipe
236.551Power supply voltage
236.552Insulation resistance
236.553Seal, where required
236.554Rate of pressure reduction; equalizing reservoir or brake pipe
236.555Repaired or rewound receiver coil
236.556Adjustment of relay
236.557Receiver; location with respect to rail
236.560Contact element, mechanical trip type; location with respect to rail
236.562Minimum rail current required
236.563Delay time
236.564Acknowledging time
236.565Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement
236.566Locomotive of each train operating in train stop, train control or cab signal territory; equipped
236.567Restrictions imposed when device fails and/or is cut out en route:
(a) Report not made to designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route
(b) Train permitted to proceed at speed exceeding 79 m.p.h. where automatic train stop, train control, or cab signal device fails and/or is cut out en route when absolute block established in advance of train on which device is inoperative
236.568Difference between speeds authorized by roadway signal and cab signal; action
Inspection and Tests; Roadway—
236.576Roadway element
236.577Test, acknowledgement, and cut-in circuits
Inspection and Tests; Locomotive—
236.586Daily or after trip test
236.587Departure test:
(a) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made on departure of locomotive from initial terminal if equipment on locomotive not cut out between initial terminal and equipped territory
(b) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made immediately on entering equipped territory, if equipment on locomotive cut out between initial terminal and equipped territory
(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
236.588Periodic test
236.589Relays
236.590Pneumatic apparatus:
(a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once every 736 days
Subpart F—Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards
236.601Signals controlled by devices; location
236.905Railroad Safety Program Plan (RSPP):
Failure to develop and submit RSPP when required
Failure to obtain FRA approval for a modification to RSPP
236.907Product Safety Plan (PSP):
Failure to develop a PSP
Failure to submit a PSP when required
236.909Minimum Performance Standard:
Failure to make analyses or documentation available
Failure to determine that the standard has been met
236.913Notification to FRA of PSPs:
Failure to prepare a PSP or PSP amendment as required
Failure to submit a PSP or PSP amendment as required
Field testing without authorization or approval
236.915Implementation and operation:
(a) Operation of product without authorization or approval
(b) Failure to comply with PSP
(c) Interference with normal functioning safety-critical product
(d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair
236.917Retention of records:
Failure to maintain records as required
Failure to report inconsistency
Failure to take prompt countermeasures
Failure to provide final report
236.919Operations and Maintenance Manual
236.921Training and qualification program, general
236.923Task analysis and basic requirements:
Failure to develop an acceptable training program
Failure to train persons as required
Failure to conduct evaluation of training program as required
236.925Training specific to control office personnel
236.927Training specific to locomotive engineers and other operating personnel
236.929Training specific to roadway workers
236.1005Positive Train Control System Requirements:
Failure to complete PTC system installation on track segment where PTC is required prior to 12/31/2015
Commencement of revenue service prior to obtaining PTC System Certification
Failure of the PTC system to perform a safety-critical function required by this section
Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required
Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after receiving a failed initialization
236.1006Equipping locomotives operating in PTC territory:
Operating in PTC territory a controlling locomotive without a required and operative PTC onboard apparatus
Failure to report as prescribed by this section
Non-compliant operation of unequipped trains in PTC territory
236.1007Additional requirements for high-speed service:
Operation of passenger trains at speed equal to or greater than 60 mph on non-PTC-equipped territory where required
Operation of freight trains at speed equal to or greater than 50 mph on non-PTC-equipped territory where required
Failure to fully implement incursion protection where required
236.1009Procedural requirements:
Failure to file PTCIP when required
Failure to amend PTCIP when required
Failure to obtain Type Approval when required
Failure to update NPI
Operation of PTC system prior to system certification
236.1011PTCIP content requirements:
Failure to install a PTC system in accordance with subpart I when so required
236.1013PTCDP content requirements and Type Approval:
Failure to maintain quality control system
Inappropriate use of Type Approval
236.1015PTCSP content requirements and PTC System Certification:
Failure to implement PTC system in accordance with the associated PTCSP and resultant system certification
Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification
Failure to maintain required supporting documentation
236.1017Independent third party Verification and Validation:
Failure to conduct independent third party Verification and Validation when ordered
236.1019Main line track exceptions:
Revenue operations conducted in non-compliance with the passenger terminal exception
Revenue operations conducted in non-compliance with the limited operations exception
Failure to request modification of the PTCIP or PTCSP when required
Revenue operations conducted in violation of (c)(2)
Revenue operations conducted in violation of (c)(3)
236.1021Discontinuances, material modifications, and amendments:
Failure to update PTCDP when required
Failure to update PTCSP when required
Failure to immediately adopt and comply with approved RFA
Discontinuance or modification of a PTC system without approval when required
236.1023Errors and malfunctions:
Railroad failure to provide proper notification of PTC system error or malfunction
Failure to maintain PTCPVL
Supplier failure to provide proper notification of previously identified PTC system error or malfunction
Failure to provide timely notification
Failure to provide appropriate protective measures in the event of PTC system failure
236.1027Exclusions:
Integration of primary train control system with locomotive electronic system without approval
236.1029PTC system use and en route failures:
Failure to determine cause of PTC system component failure without undue delay
Failure to adjust, repair, or replace faulty PTC system component without undue delay
Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system component
Non-compliant train operation within PTC-equipped territory with inoperative PTC onboard apparatus
Interference with the normal functioning of safety-critical PTC system
Improper arrangement of the PTC system onboard apparatus
236.1033Communications and security requirements:
Failure to provide cryptographic message integrity and authentication
Improper use of revoked cryptographic key
Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution
Failure to establish prioritized service restoration and mitigation plan for communication services
236.1035Field testing requirements:
236.1037Records retention:
Failure to maintain records and databases as required
236.1039Operations and Maintenance Manual:
Failure to implement and maintain Operations and Maintenance Manual as required
236.1043Task analysis and basic requirements:
Failure to develop and maintain an acceptable training program
236.1045Training specific to office control personnel:
Failure to conduct training unique to office control personnel
236.1047Training specific to locomotive engineers and other operating personnel:
Failure to conduct training unique to locomotive engineers and other operating personnel
236.1049Training specific to roadway workers:
Failure to conduct training unique to roadway workers
[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 73 FR 79704, Dec. 30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012]