Source: https://www.law.cornell.edu/cfr/text/49/appendix-A_to_part_236
Timestamp: 2017-01-22 06:36:33
Document Index: 387753972

Matched Legal Cases: ['art 236', 'art 236', 'art_236', 'art 236', 'art 236', 'art\n236', 'art 209']

49 CFR Appendix A to Part 236, Civil Penalties 1, 2 | US Law | LII / Legal Information Institute
CFR › Title 49 › Subtitle B › Chapter II › Part 236 › Subpart I › Appendix A_to_part_236 49 CFR Appendix A to Part 236, Civil Penalties 1, 2
Appendix A to Part 236 - Civil Penalties 1, 2
Willful violation Subpart A - Rules and Instructions - All Systems
236.0 Applicability, minimum requirements
236.1 Plans, where kept
236.2 Grounds
236.3 Locking of signal apparatus housings:
236.4 Interference with normal functioning of device
236.5 Design of control circuits on closed circuit principle
236.6 Hand-operated switch equipped with switch circuit controller
236.7 Circuit controller operated by switch-and-lock movement
236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus
236.9 Selection of circuits through indicating or annunciating instruments
236.10 Electric locks, force drop type; where required
236.11 Adjustment, repair, or replacement of component
236.12 Spring switch signal protection; where required
236.13 Spring switch; selection of signal control circuits through circuit controller
236.14 Spring switch signal protection; requirements
236.15 Timetable instructions
236.16 Electric lock, main track releasing circuit:
236.17 Pipe for operating connections, requirements
236.18 Software management control plan:
$10,000 Failure to fully implement plan
10,000 Inadequate plan
10,000 Roadway Signals and Cab Signals - 236.21 Location of roadway signals
236.22 Semaphore signal arm; clearance to other objects
236.23 Aspects and indications
236.24 Spacing of roadway signals
236.26 Buffing device, maintenance
Track Circuits - 236.51 Track circuit requirements:
236.52 Relayed cut-section
236.53 Track circuit feed at grade crossing
236.54 Minimum length of track circuit
236.55 Dead section; maximum length
236.56 Shunting sensitivity
236.57 Shunt and fouling wires:
236.58 Turnout, fouling section:
236.59 Insulated rail joints
236.60 Switch shunting circuit; use restricted
Wires and Cables - 236.71 Signal wires on pole line and aerial cable
236.73 Open-wire transmission line; clearance to other circuits
236.74 Protection of insulated wire; splice in underground wire
236.76 Tagging of wires and interference of wires or tags with signal apparatus
Inspections and Tests; All Systems - 236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements
236.102 Semaphore or search-light signal mechanism
236.103 Switch circuit controller or point detector
236.104 Shunt fouling circuit
236.105 Electric lock
236.106 Relays
236.107 Ground tests
236.108 Insulation resistance tests, wires in trunking and cables:
236.109 Time releases, timing relays and timing devices
236.110 Results of tests
Subpart B - Automatic Block Signal Systems
236.201 Track circuit control of signals
236.202 Signal governing movements over hand-operated switch
236.203 Hand-operated crossover between main tracks; protection
236.204 Track signaled for movements in both directions, requirements
236.205 Signal control circuits; requirements
236.206 Battery or power supply with respect to relay; location
Subpart C - Interlocking
236.207 Electric lock on hand-operated switch; control:
236.301 Where signals shall be provided
236.302 Track circuits and route locking
236.303 Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism
236.304 Mechanical locking or same protection effected by circuits
236.305 Approach or time locking
236.306 Facing point lock or switch-and-lock movement
236.307 Indication locking:
236.308 Mechanical or electric locking or electric circuits; requisites
236.309 Loss of shunt protection; where required:
236.310 Signal governing approach to home signal
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
236.312 Movable bridge, interlocking of signal appliances with bridge devices:
236.314 Electric lock for hand-operated switch or derail:
Rules and Instructions - 236.326 Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking
236.327 Switch, movable-point frog or split-point derail
236.328 Plunger of facing-point
236.329 Bolt lock
236.330 Locking dog of switch and lock movement
236.334 Point detector
236.335 Dogs, stops and trunnions of mechanical locking
236.336 Locking bed
236.337 Locking faces of mechanical locking; fit
236.338 Mechanical locking required in accordance with locking sheet and dog chart
236.339 Mechanical locking; maintenance requirements
236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers
236.341 Latch shoes, rocker links, and quadrants
236.342 Switch circuit controller
Inspection and Tests - 236.376 Mechanical locking
236.377 Approach locking
236.378 Time locking
236.379 Route locking
236.380 Indication locking
236.381 Traffic locking
236.382 Switch obstruction test
236.383 Valve locks, valves, and valve magnets
236.384 Cross protection
236.386 Restoring feature on power switches
236.387 Movable bridge locking
Subpart D - Traffic Control Systems Standards
236.401 Automatic block signal system and interlocking standards applicable to traffic control systems:
236.402 Signals controlled by track circuits and control operator
236.403 Signals at controlled point
236.404 Signals at adjacent control points
236.405 Track signaled for movements in both directions, change of direction of traffic
236.407 Approach or time locking; where required
236.408 Route locking
236.410 Locking, hand-operated switch; requirements:
Rules and Instructions - 236.426 Interlocking rules and instructions applicable to traffic control systems
236.476 Interlocking inspections and tests applicable to traffic control systems
Subpart E - Automatic Train Stop, Train Control and Cab Signal Systems Standards
236.501 Forestalling device and speed control
236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance
236.503 Automatic brake application; initiation when predetermined rate of speed exceeded
236.504 Operations interconnected with automatic block-signal system
236.505 Proper operative relation between parts along roadway and parts on locomotive
236.506 Release of brakes after automatic application
236.507 Brake application; full service
236.508 Interference with application of brakes by means of brake valve
236.509 Two or more locomotives coupled
236.511 Cab signals controlled in accordance with block conditions stopping distance in advance
236.512 Cab signal indication when locomotive enters blocks
236.513 Audible indicator
236.514 Interconnection of cab signal system with roadway signal system
236.515 Visibility of cab signals
236.516 Power supply
Rules and Instructions; Roadway - 236.526 Roadway element not functioning properly
236.527 Roadway element insulation resistance
236.528 Restrictive condition resulting from open hand-operated switch; requirement
236.529 Roadway element inductor; height and distance from rail
236.531 Trip arm; height and distance from rail
236.532 Strap iron inductor; use restricted
236.534 Rate of pressure reduction; equalizing reservoir or brake pipe
236.551 Power supply voltage
236.552 Insulation resistance
236.553 Seal, where required
236.554 Rate of pressure reduction; equalizing reservoir or brake pipe
236.555 Repaired or rewound receiver coil
236.556 Adjustment of relay
236.557 Receiver; location with respect to rail
236.560 Contact element, mechanical trip type; location with respect to rail
236.562 Minimum rail current required
236.563 Delay time
236.564 Acknowledging time
236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement
236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped
236.567 Restrictions imposed when device fails and/or is cut out en route:
236.568 Difference between speeds authorized by roadway signal and cab signal; action
Inspection and Tests; Roadway - 236.576 Roadway element
236.577 Test, acknowledgement, and cut-in circuits
Inspection and Tests; Locomotive - 236.586 Daily or after trip test
236.587 Departure test:
236.588 Periodic test
236.589 Relays
236.590 Pneumatic apparatus:
Subpart F - Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards
236.601 Signals controlled by devices; location
Subpart H - Standards for Processor-Based Signal and Train Control Systems
236.905 Railroad Safety Program Plan (RSPP):
7,500 Failure to obtain FRA approval for a modification to RSPP
7,500 236.907 Product Safety Plan (PSP):
7,500 Failure to submit a PSP when required
7,500 236.909 Minimum Performance Standard:
5,000 Failure to determine that the standard has been met
7,500 236.913 Notification to FRA of PSPs:
5,000 Failure to prepare a PSP or PSP amendment as required
7,500 Failure to submit a PSP or PSP amendment as required
7,500 Field testing without authorization or approval
20,000 236.915 Implementation and operation:
20,000 (b) Failure to comply with PSP
5,000 (c) Interference with normal functioning safety-critical product
15,000 (d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair
7,500 236.917 Retention of records:
15,000 Failure to report inconsistency
20,000 Failure to take prompt countermeasures
20,000 Failure to provide final report
5,000 236.919 Operations and Maintenance Manual
6,000 236.921 Training and qualification program, general
6,000 236.923 Task analysis and basic requirements:
5,000 Failure to train persons as required
5,000 Failure to conduct evaluation of training program as required
5,000 Failure to maintain records as required
3,000 236.925 Training specific to control office personnel
5,000 236.927 Training specific to locomotive engineers and other operating personnel
5,000 236.929 Training specific to roadway workers
5,000 Subpart I - Positive Train Control Systems
236.1005 Positive Train Control System Requirements:
Failure to timely complete PTC system installation on track segment where PTC is required
Operating outside the limits of an approved de minimis exception
Failure to integrate a hazard detector
Non-compliant event recorder
Failure of event recorder
236.1006 Equipping locomotives operating in PTC territory:
Failure to adhere to a PTCIP.
Operating with a PTC onboard apparatus that is not functioning in accordance with the applicable PTCSP..
Failure to equip locomotives in accordance with the applicable PTCIP
Failure to comply with conditions of a yard movement exception
Engineer performing prohibited duties
236.1007 Additional requirements for high-speed service:
Installing or operating a PTC system without the required safety-critical functional attributes of a block signal system
236.1009 Procedural requirements:
Operation of PTC system without system certification
Failure to comply with FRA condition or modification
Failure to report as required
Failure to provide FRA access
236.1011 PTCIP content requirements:
Failure to install a PTC system as required
Failure to maintain a PTCIP as required
236.1013 PTCDP content requirements and Type Approval:
236.1015 PTCSP content requirements and PTC System Certification:
236.1017 Independent third party Verification and Validation:
236.1019 Main line track exceptions:
Operations conducted in non-compliance with the passenger terminal exception
Operations conducted in non-compliance with the limited operations exception
Operations conducted in violation of (c)(2)
Operations conducted in violation of (c)(3)
236.1021 Discontinuances, material modifications, and amendments:
236.1023 Errors and malfunctions:
236.1027 Exclusions:
236.1029 PTC system use and en route failures:
PTC territory operation with an inoperative PTC onboard apparatus
236.1033 Communications and security requirements:
236.1035 Field testing requirements:
Failure to comply with FRA condition
236.1037 Records retention:
236.1039 Operations and Maintenance Manual:
Failure to make Operations and Maintenance Manual available to FRA when required
Failure to make Operations and Maintenance Manual available to persons required to performed the required tasks
Amends Operations and Maintenance Manual without FRA approval
236.1043 Task analysis and basic requirements:
236.1045 Training specific to office control personnel:
236.1047 Training specific to locomotive engineers and other operating personnel:
236.1049 Training specific to roadway workers:
1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a civil penalty of up to $109,819 per day for any violation where circumstances warrant. See 49 CFR part 209, Appendix A.
2 Each plan has numerous conditions and requirements with varying degrees of importance or impact. Thus, a single recommended civil penalty amount for a violation for failure to adhere to each plan or condition is not advisable or warranted. When a violation of a plan or condition is found, FRA may consider a variety of factors to determine the appropriate civil penalty to assess, including any underlying or related violation.
[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 73 FR 79704, Dec. 30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012; 81 FR 10129, Feb. 29, 2016; 81 FR 43112, July 1, 2016]