[Federal Register Volume 71, Number 233 (Tuesday, December 5, 2006)]
[Proposed Rules]
[Pages 70590-70637]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-20031]



[[Page 70589]]

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Part II





Department of Transportation





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Federal Railroad Administration



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49 CFR Parts 213, 214 et al.



Proposed Revisions to the Schedules of Civil Penalties for a Violation 
of a Federal Railroad Safety Law or Federal Railroad Administration 
Safety Regulation; Proposed Rule

  Federal Register / Vol. 71, No. 233 / Tuesday, December 5, 2006 / 
Proposed Rules  

[[Page 70590]]


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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 
225, 228, 229, 230, 231, 232, 233, 234, 235, 236, 238, 239, 240, 
and 241

[Docket No. FRA-2006-25274]
RIN 2130-AB81


Proposed Revisions to the Schedules of Civil Penalties for a 
Violation of a Federal Railroad Safety Law or Federal Railroad 
Administration Safety Regulation

AGENCY: Federal Railroad Administration (FRA), Department of 
Transportation (DOT).

ACTION: Proposed schedules of civil penalties with request for 
comments.

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SUMMARY: FRA is issuing for comment proposed statements of agency 
policy that would amend the 25 schedules of civil penalties (Schedules) 
issued as appendixes to FRA's safety regulations to reflect more 
accurately the safety risks associated with a violation of each section 
or subsection of the regulations, as well as to make sure that the 
civil monetary penalty amounts (CMP) are consistent across all the 
safety regulations. These proposed revisions to the Schedules are being 
published to inform members and representatives of the regulated 
community and the general public of the amount of the civil penalty 
that a respondent would likely be assessed for a given violation and to 
invite their comments on those proposed amounts. In addition, FRA is 
proposing to correct any obvious errors or omissions in the Schedules.

DATES: Written comments must be received by January 4, 2007. 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. 1, may be submitted by any of the following methods:
     Web Site: http://dms.dot.gov. Follow the instructions for 
submitting comments on the DOT electronic docket site.
     Fax: 202-493-2251.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, 
Washington, DC 20590.
     Hand Delivery: Room PL-401 on the plaza level of the 
Nassif Building, 400 Seventh Street, SW., Washington, DC 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://dms.dot.gov including any personal information.
    Docket: For access to the docket to read background documents or 
comments received go to http://dms.dot.gov at any time or to PL-401 on 
the plaza level of the Nassif Building, 400 Seventh Street, SW., 
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, FRA, 1120 Vermont Avenue, NW., 
Washington, DC 20590 (telephone 202-493-6247), 
[email protected]; or Carolina Mirabal, Trial Attorney, Office 
of Chief Counsel, FRA, 1120 Vermont Avenue, NW., Mail Stop 10, 
Washington, DC 20590 (telephone 202-493-6043), 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents for Supplementary Information

I. Background
II. FRA's Approach to Reevaluating the Schedules of Civil Penalties
III. Rankings of the Sections or Subsections of Each of the Rail 
Safety Regulations
    A. Motive Power and Equipment Regulations (CFR Parts 215, 218 
(Partially), 223, 224, 229, 230, 231, 232, 238, and 239 (Partially))
    B. Track and Workplace Safety Regulations (CFR Parts 213 and 
214)
    C. Grade Crossing Signal Systems and Signal and Train Control 
Regulations (CFR Parts 233, 234, 235, and 236)
    D. Operating Practices Regulations (CFR Parts 214, 217, 218 
(Partially), 219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 
241)
List of Subjects in 49 CFR Parts 213, 214, 215, 217, 218, 219, 220, 
221, 222, 223, 224, 225, 228, 229, 230, 231, 232, 233, 234, 235, 
236, 238, 239, 240, and 241

I. Background

    FRA last published comprehensive 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 (RSIA) (Pub. L. 
100-342). 53 FR 52918. With the exception of the penalties relating to 
the hours of service laws (49 U.S.C. Ch. 211), RSIA raised the maximum 
CMP for any ordinary violation from $2,500 to $10,000 (the ordinary 
maximum) and to $20,000 (the aggravated maximum) 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. 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 line-item penalties for specific 
sections or subsections of the regulations.
    The Rail Safety Enforcement and Review Act (RSERA) of 1992 (Pub. L. 
102-365) increased the maximum CMP from $1,000 to $10,000 and in some 
cases to $20,000, for a violation of the hours of service laws, making 
these penalty amounts uniform with those of FRA's other regulatory 
provisions. RSERA also increased the minimum CMP from $250 to $500 for 
all of FRA's regulatory provisions.
    Since the publication of the Schedules in 1988, FRA has only 
adjusted its minimum and ordinary or aggravated maximum CMPs to conform 
to the mandates of the Federal Civil Penalties Inflation Adjustment Act 
of 1990 (Inflation Act). The Inflation Act required that an agency 
adjust by regulation each maximum CMP, or range of minimum and maximum 
CMPs within that agency's jurisdiction by October 23, 1996, and adjust 
those penalty amounts once every four years thereafter to reflect 
inflation. Public Law 101-410, 104 Stat. 890, 28 U.S.C. 2461, note, as 
amended by Section 31001(s)(1) of the Debt Collection Improvement Act 
of 1996, Public Law 104-134, 110 Stat. 1321-373, April 26, 1996. In the 
Inflation Act, Congress found a way to counter the effect that 
inflation has had on the CMPs by having the agencies charged with 
enforcement responsibility administratively adjust the CMPs. Currently 
FRA's minimum CMP is $550, the ordinary maximum is $11,000, and the 
aggravated maximum is $27,000 (for when a ``grossly negligent violation 
or pattern of repeated violations has caused an imminent hazard of 
death or injury to individuals, or has caused death or injury'').
    The Inflation Act requires only that the minimum, maximum and 
aggravated maximum civil penalty for a violation be adjusted, not that 
the guideline penalty amounts for a specific type of violation be 
adjusted; therefore, FRA

[[Page 70591]]

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 CMP 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 $550 to $11,000. 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, App. A. Thus, regardless of the amounts shown in the 
Schedules, FRA continues to reserve the right to assess an amount other 
than that listed in the Schedules based on the circumstances of the 
alleged violation, as well as the statutory maximum CMP of up to 
$27,000 per violation in situations ``where 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.''

II. FRA's 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. Ch. 201-213) and regulations, including the 
statutory civil penalty provisions at 49 U.S.C. Ch. 213. 49 CFR 1.49. 
FRA currently has 25 regulations that contain Schedules.\1\ FRA is 
proposing to amend each of the line-item penalty amounts contained 
within the Schedules for each of the regulations. In addition, FRA 
would correct any obvious errors or omissions in the Schedules. For 
example, FRA would add a line-item penalty for any existing section or 
subsection that has been inadvertently omitted from an existing 
Schedule, such as 49 CFR 213.110. FRA would also correct obvious 
spelling or typographical errors that are caught during the review 
process. Because the Schedules are statements of agency policy, FRA has 
authority to issue these amendments without having to follow the notice 
and comment procedures under the Administrative Procedure Act, 5 U.S.C. 
553(b)(3)(A). Nevertheless, FRA is providing members and 
representatives of the regulated community and the general public with 
an opportunity to comment on the proposed line-item penalty amounts 
before amending the Schedules.
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    \1\ FRA is not amending the Schedule found in 49 CFR part 210 
because that part is enforcing the Railroad Noise Emission Standards 
established by the Environmental Protection Agency in 40 CFR part 
201.
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    In reevaluating the penalty amounts in the Schedules, FRA has 
developed the following Severity Scale (Severity Scale) for setting the 
line-item penalty amounts for each of the provisions in the safety 
regulations:

Severity Scale for Setting Line-Item Penalty Amounts in FRA Penalty 
Schedules

    FRA's regulations 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 \2\ will occur or that 
graver consequences will occur as a result of failing to comply with 
the section. The following severity scale is intended to reflect this 
focus:
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    \2\ ``Accidents/incidents'' is defined at 49 CFR 225.5 and 
225.19(c). The term includes highway-rail grade crossing accidents/
incidents, rail equipment accidents/incidents, and accidents/
incidents resulting in death, injury, or occupational illness. A 
highway-rail 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 $7,700. 70 FR 754141, 75417 (Dec. 20, 
2005).
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    Level A--Very High Probability--Failure of railroad to comply with 
this section or subsection of the Code of Federal Regulations (CFR) 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 
causes an actual death or injury \3\:
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    \3\ FRA has statutory authority to assess civil penalties in the 
range of $550 (minimum) to $11,000 (maximum) for ordinary violations 
of its regulations. FRA may only assess a penalty at the statutory 
maximum of $27,000 ``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 $27,000 
statutory maximum penalty is the equivalent of a Level A Plus and is 
therefore off the scale.
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    1. Rail equipment accident/incident; or
    2. Other accident/incident (not a rail equipment accident/
incident).
    FRA is proposing to issue a CMP guideline for Level ``A'' of $8,500 
for ordinary violations and $11,000 for willful violations of the 
regulations.
    Level B--High Probability--Failure of railroad to comply with this 
section or subsection of the CFR is more likely than not to result in 
the occurrence of:
    1. Rail equipment accident/incident; or
    2. Other accident/incident (not a rail equipment accident/
incident).
    FRA is proposing to issue a CMP guideline for Level ``B'' of $6,500 
for ordinary violations and $9,000 for willful violations of the 
regulations.
    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 CFR 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 substantially increases the 
likelihood that one of the following will occur:
    1. Rail equipment accident/incident; or
    2. Other accident/incident (not a rail equipment accident/
incident).
    FRA is proposing to issue a CMP guideline for Level ``C'' of $5,000 
for ordinary violations and $7,500 for willful violations of the 
regulations.
    Level D--Minor Probability--Failure of the railroad to comply with 
this section or subsection of the CFR slightly increases the likelihood 
that one of the following will occur:
    1. Rail equipment accident/incident; or
    2. Other accident/incident (not a rail equipment accident/
incident).
    FRA is proposing to issue a CMP guideline for Level ``D'' of $3,000 
for ordinary violations and $4,500 for willful violations of the 
regulations.
    Level E--Minimal Probability--Failure to comply with this CFR 
section or subsection does not 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 Sec.  225.13--Late Reports--Submitting a late 
accident/

[[Page 70592]]

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 CMP guideline for Level ``E'' of $1,500 
for ordinary violations and $2,500 for willful violations of the 
regulations.
    As the Severity Scale shows, there are five different degrees 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. The Severity Scale was then used by FRA to assign a 
ranking (from A to E) to each of the provisions of the particular 
safety regulations that it has responsibility for administering and 
enforcing. The resulting line-item penalty amounts for each of the 
sections or subsections of the safety regulations affected reflect 
FRA's determination, based on safety data and industry knowledge, of 
how likely the violation of a particular section or subsection is to 
result in a rail equipment accident/incident or other type of accident/
incident. FRA not only increased the penalty amounts in some instances, 
but also reduced the penalty amounts for some sections or subsections 
where it determined that a violation of the particular regulation 
constituted less of a safety risk. A determination by FRA that a CFR 
section or subsection does not increase the likelihood than a rail 
equipment accident/incident or other accident will occur, however, does 
not mean that this section or subsection is inconsequential to the 
effectiveness of the Federal railroad safety program or to the overall 
safety of railroad operations.
    The new Schedules will continue to have two categories of 
violations: Ordinary and willful. See 49 CFR part 209, App. A for a 
discussion of ``willful'' violations. The ordinary penalties apply to 
railroads or other respondents, except individuals, while the 
``willful'' column applies to willful violations committed by railroads 
or other respondents, including individuals. Each Schedule lists the 
CFR section or subsection in the left hand column, with the 
corresponding penalties listed in the columns next to it. The only 
exception continues to be 49 CFR part 231; what are listed in the left 
hand column of the Schedule are the FRA ``defect codes'' \4\ 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 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.
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    \4\ 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.
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    The following chart summarizes the proposed guideline amounts for 
ordinary and willful violations by severity level:

------------------------------------------------------------------------
                                                  Ordinary     Willful
                Severity level                   violations   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
------------------------------------------------------------------------

III. Rankings of the Sections or Subsections of Each of the Rail Safety 
Regulations

    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 
line-item penalty amounts for each of the Schedules is to reflect the 
different degrees of probability that a violation of a particular CFR 
section or subsection 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, 229, 230, 231, 232, 238, and 239 (Partially))

    In reevaluating the line-item penalty amounts for each of the CFR 
sections or subsections found in Parts 215, 218 (partially), 223, 224, 
229, 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 (hereinafter) ``train accidents,'' 
between 2002 and 2005.

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Journal (roller bearing) overheated-- Coupler/draft system defects
 (158)                                 (car)--(55)
Truck bolster stiff--(78)             Electrically caused fire
                                       (locomotive)--(50)
Side bearing clearance insufficient-- Coupler retainer pin/cross key--
 (67)                                  (48)
Broken rim--(62)                      Damaged flange or tread (built
                                       up)--(45)
Pantograph defect (locomotive)--(59)  Rigging down or dragging--(43)
------------------------------------------------------------------------

    The CFR sections or subsections that relate to the defects 
associated with greater safety risks have received more severe rankings 
in the Schedules, and as such now carry higher CMP amounts. For 
example, a violation of 49 CFR 215.103(d)(3), which is a defective 
wheel rim with a crack of one inch or more, received an ``A'' severity 
ranking (and a proposed guideline penalty amount of $8,500) because of 
the high safety risk that the defect will cause a broken-rim 
derailment. In addition, the FRA applied the 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 34 
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 track-caused train accidents. Therefore, in 
evaluating the line-item penalty amounts for all the sections or 
subsections, FRA took into consideration the leading causes of

[[Page 70593]]

track-related train accidents when applying the Severity Scale to the 
Track Safety Standards. For example, 49 CFR 213.53(b)--Gage--received 
an ``A'' (and a proposed penalty guideline amount of $8,500) ranking 
because it is one of the leading causes of track-related train 
accidents.
    In ranking the sections or subsections of 49 CFR part 214 (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 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 section 214.103, which 
requires bridge workers to use fall protection. This subsection 
received a ranking of ``A'' (and a proposed guideline penalty of 
$8,500) because a violation of the subsection 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 (CFR Parts 233, 234, 235, and 236)

    FRA applied the Severity Scale to each of the sections in Parts 
233, 234, 235, and 236, in order to determine the appropriate rankings 
for each of the sections or subsections of the regulations. In the area 
of signal and train control (S&TC), FRA followed the Severity Scale, 
which concentrates on the potential for an accident/incident resulting 
from noncompliance. While there are relatively few train accidents 
associated with S&TC causes and few highway-rail grade crossing 
accidents/incidents associated with S&TC causes that have occurred in 
recent years, it is imperative that the Schedules still 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 (CFR Parts 217, 218 (Partially), 
219, 220, 221, 222, 225, 228, 239 (Partially), 240, and 241)

    Over the last five years, human-factor-related causes have 
accounted for 38 percent of all train accidents. A review of the FRA's 
Office of Safety database indicated that the top four human factor 
causes contributing to train accidents are as follows: (1) Switch 
improperly lined; (2) shoving movement, absence of employee on, at or 
ahead of movement; (3) shoving movement, failure to control; and (4) 
buff/slack action excess, train handling. 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 factors train 
accidents between 2001 and 2005 showed that these causes accounted for 
2,175 reportable train accidents/incidents (including 12 employee 
fatalities, 389 employee injuries, and $60,550,000 in rail and 
equipment damages). Therefore, when applying the Severity Scale to the 
CFR sections or subsections, FRA considered all of this safety 
information in order to ensure that each line-item 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 section or subsection of the regulations 
\5\.
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    \5\ FRA has separately proposed that additional Railroad 
Operating Rules be incorporated in the Federal regulations and made 
directly enforceable. The notice of proposed rulemaking was issued 
on October 12, 2006, and included additional amendments to the 
Schedules of Parts 217 and 218. See 71 FR 60372.
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List of Subjects

 49 CFR Part 213

    Bridges, Occupational safety and health, 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.

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

    Incorporation by reference, 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 228

    Penalties, Railroad employees, 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.

[[Page 70594]]

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 213, 
214, 215, 217, 218, 219, 220, 221, 222, 223, 224, 225, 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 as follows:

PART 213--[AMENDED]

    1. 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).

    2. Appendix B to part 213 is revised to read as follows:

        Appendix B to Part 213.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
213.4(a) Excepted track \2\.............          $5,000          $7,500
213.4(b) Excepted track \2\.............           6,500           9,000
213.4(c) Excepted track \2\.............           6,500           9,000
213.4(d) Excepted track \2\.............           6,500           9,000
213.4(e):
    (1) Excepted track..................           6,500           9,000
    (2) Excepted track..................           6,500           9,000
    (3) Excepted track..................           6,500           9,000
    (4) Excepted track..................           6,500           9,000
213.4(f) Excepted track.................           3,000           4,500
213.7 Designation of qualified persons             5,000           7,500
 to supervise certain renewals and
 inspect track..........................
213.9 Classes of track: Operating speed            8,500          11,000
 limits.................................
213.11 Restoration or renewal of track             5,000           7,500
 under traffic conditions...............
213.13 Measuring track not under load...           6,500           9,000
------------------------------------------------------------------------
                           Subpart B--Roadbed
------------------------------------------------------------------------
213.33 Drainage.........................           6,500           9,000
213.37 Vegetation.......................           5,000           7,500
------------------------------------------------------------------------
                        Subpart C--Track Geometry
------------------------------------------------------------------------
213.53 Gage.............................           8,500          11,000
213.55 Alignment........................           6,500           9,000
213.57 Curves; elevation and speed                 6,500           9,000
 limitations............................
213.59 Elevation of curved track; runoff           6,500           9,000
213.63 Track surface....................           6,500           9,000
------------------------------------------------------------------------
                       Subpart D--Track Structure
------------------------------------------------------------------------
213.103 Ballast; general................           5,000           7,500
213.109 Crossties
    (a) Material used...................           3,000           4,500
    (b) Distribution of ties............           6,500           9,000
    (c) Sufficient number of                       5,000           7,500
     nondefective ties..................
    (d) Sufficient number of                       5,000           7,500
     nondefective ties (effective 9/21/
     2000)..............................
    (f) Joint ties......................           5,000           7,500
    (g) Track constructed without                  5,000           7,500
     crossties..........................
213.110 Gage restraint measurement
 systems
    (a) through (b) Notification........           5,000           7,500
    (c) Design requirements.............           6,500           9,000
    (g) through (i) Exception reports...           5,000           7,500
    (j) Data integrity..................           6,500           9,000
    (k) Training........................           5,000           7,500
    (l) Remedial actions................           8,500          11,000
    (m) PTLF............................           6,500           9,000
    (n) Recordkeeping...................           5,000           7,500
    (o) Inspection frequency............           8,500          11,000
213.113 Defective rails.................           8,500          11,000
213.115 Rail end mismatch...............           5,000           7,500
213.119 Continuous welded rail
    (a) CWR plan filed with FRA.........           6,500           9,000
    (b) CWR fastening requirements......           6,500           9,000
    (c) CWR rail temperature                       6,500           9,000
     requirements.......................
    (d) CWR alignment monitoring                   6,500           9,000
     requirements.......................
    (e) Procedures for controlling train           6,500           9,000
     speed on CWR track.................
    (f) CWR track inspections...........           6,500           9,000
    (g) CWR joint bar inspections.......           6,500           9,000

[[Page 70595]]

 
    (h) CWR training....................           6,500           9,000
    (i) CWR recordkeeping requirements..           6,500           9,000
213.121(a) Rail joints..................           6,500           9,000
213.121(b) Rail joints..................           6,500           9,000
213.121(c) Rail joints..................           8,500          11,000
213.121(d) Rail joints..................           6,500           9,000
213.121(e) Rail joints..................           6,500           9,000
213.121(f) Rail joints..................           6,500           9,000
213.121(g) Rail joints..................           6,500           9,000
213.121(h) Rail joints..................           6,500           9,000
213.122 Torch cut rail..................           6,500           9,000
213.123 Tie plates......................           5,000           7,500
213.127 Rail fastenings.................           6,500           9,000
213.133 Turnouts and track crossings,              5,000           7,500
 generally..............................
213.135 Switches:
    (a) through (g).....................           6,500           9.000
    (h) chipped or worn points..........           6,500           9,000
213.137 Frogs...........................           6,500           9,000
213.139 Spring rail frogs...............           6,500           9,000
213.141 Self-guarded frogs..............           5,000           7,500
213.143 Frog guard rails and guard                 6,500           9,000
 faces; gage............................
------------------------------------------------------------------------
          Subpart E--Track Appliances and Track-Related Devices
------------------------------------------------------------------------
213.205 Derails.........................           5,000           7,500
------------------------------------------------------------------------
                          Subpart F--Inspection
------------------------------------------------------------------------
213.233 Track inspections...............           5,000           7,500
213.235 Switches, crossings, transition            5,000           7,500
 devices................................
213.237 Inspection of rail..............           6,500           9,000
213.239 Special inspections.............           5,000           7,500
213.241 Inspection records..............           5,000           7,500
------------------------------------------------------------------------
                          Subpart G--High Speed
------------------------------------------------------------------------
213.305 Designation of qualified                   8,500          11,000
 individuals; general qualifications....
213.307 Class of track; operating speed            8,500          11,000
 limits.................................
213.309 Restoration or renewal of track            8,500          11,000
 under traffic conditions...............
213.311 Measuring track not under load..           6,500           9,000
213.319 Drainage........................           5,000           7,500
213.321 Vegetation......................           5,000           7,500
213.323 Track gage......................           8,500          11,000
213.327 Alignment.......................           8,500          11,000
213.329 Curves, elevation and speed                8,500          11,000
 limits.................................
213.331 Track surface...................           8,500          11,000
213.333 Automated vehicle inspection               8,500          11,000
 systems................................
213.335 Crossties
    (a) Material used...................           5,000           7,500
    (b) Distribution of ties............           6,500           9,000
    (c) Sufficient number of                       5,000           7,500
     nondefective ties, non-concrete....
    (d) Sufficient number of                       8,500          11,000
     nondefective, concrete ties........
    (e) Joint ties......................           8,500          11,000
    (f) Track constructed without                  8,500          11,000
     crossties..........................
    (g) Non-defective ties surrounding             8,500          11,000
     defective ties.....................
    (h) Tie plates......................           8,500          11,000
    (i) Tie plates......................           8,500          11,000
213.337 Defective rails.................           8,500          11,000
213.339 Inspection of rail in service...           8,500          11,000
213.341 Inspection of new rail..........           8,500          11,000
213.343 Continuous welded rail (a)                 8,500          11,000
 through (h)............................
213.345 Vehicle qualification testing              8,500          11,000
 (a) through (b)........................
    (c) through (e).....................           8,500          11,000
213.347 Automotive or railroad crossings           6,500           9,000
 at grade...............................
213.349 Rail end mismatch...............           6,500           9,000
213.351(a) Rail joints..................           8,500          11,000
213.351(b) Rail joints..................           8,500          11,000
213.351(c) Rail joints..................           8,500          11,000
213.351(d) Rail joints..................           8,500          11,000
213.351(e) Rail joints..................           6,500           9,000
213.351(f) Rail joints..................           8,500          11,000

[[Page 70596]]

 
213.351(g) Rail joints..................           8,500          11,000
213.352 Torch cut rails.................           5,000           7,500
213.353 Turnouts, crossovers, transition           8,500          11,000
 devices................................
213.355 Frog guard rails and guard                 6,500           9,000
 faces; gage............................
213.357 Derails.........................           5,000           7,500
213.359 Track stiffness.................           8,500          11,000
213.361 Right of way....................           5,000           7,500
213.365 Visual inspections..............           8,500          11,000
213.367 Special inspections.............           8,500          11,000
213.369 Inspections records.............           5,000          7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $27,000 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.

PART 214--[AMENDED]

    3. 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.

    4. Appendix A to part 214 is revised to read as follows:

        Appendix A to Part 214.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                Subpart B--Bridge Worker Safety Standards
------------------------------------------------------------------------
214.103 Fall protection:
    (i) Failure to provide fall                   $6,500          $9,000
     protection.........................
    (ii) Failure to use fall protection.           8,500          11,000
214.105 Standards and practices:
    (a) General:
        (1) Fall protection used for               5,000           7,500
         other purposes.................
        (2) Failure to remove from                 5,000           7,500
         service........................
        (3) Failure to protect from                5,000           7,500
         deterioration..................
        (4) Failure to inspect and                 6,500           9,000
         remove.........................
        (5) Failure to train............           6,500           9,000
        (6) Failure to provide for                 6,500           9,000
         prompt rescue..................
        (7) Failure to prevent damage...           5,000           7,500
        (8) Failure to use proper                  5,000           7,500
         connectors.....................
        (9) Failure to use proper                  5,000           7,500
         anchorages.....................
    (b) Fall arrest system:
        (1)-(17) Failure to provide                5,000           7,500
         conforming equipment...........
    (c) Safety net systems:
        (1) Failure to install close to            5,000           7,500
         workplace......................
        (2) Failure to provide fall                6,500           9,000
         arrest if over 30 feet.........
        (3) Failure to provide for                 6,500           9,000
         unobstructed fall..............
        (4) Failure to test.............           5,000           7,500
        (5) Failure to use proper                  5,000           7,500
         equipment......................
        (6) Failure to prevent contact             6,500           9,000
         with surface below.............
        (7) Failure to properly install.           6,500           9,000
        (8) Failure to remove defective            6,500           9,000
         nets...........................
        (9) Failure to inspect..........           6,500           9,000
        (10) Failure to remove objects..           3,000           4,500
        (11)-(13) Failure to use                   5,000           7,500
         conforming equipment...........
214.107 Working over water:
    (a)(i) Failure to provide life vest.           6,500           9,000
    (ii) Failure to use life vest.......  ..............           9,000
    (c) Failure to inspect..............           5,000           7,500
    (e)(i) Failure to provide ring buoys           6,500           9,000
    (ii) Failure to use ring buoys......           5,000           7,500
    (f)(i) Failure to provide skiff.....           5,000           7,500
    (ii) Failure to use skiff...........  ..............           7,500
214.109 Scaffolding:
    (a)-(f) Failure to provide                     6,500           9,000
     conforming equipment...............
214.113 Head protection:
    (a)(i) Failure to provide...........           6,500           9,000
    (ii) Failure to use.................  ..............           9,000
    (b) or (c) Failure to provide                  5,000           7,500
     conforming equipment...............

[[Page 70597]]

 
214.115 Foot protection:
    (a)(i) Failure to require use of....           5,000           7,500
    (ii) Failure to use.................  ..............           7,500
214.117 Eye and face protection:
    (a)(i) Failure to provide...........           5,000           7,500
    (ii) Failure to use.................  ..............           4,500
    (b) Failure to use conforming                  5,000           7,500
     equipment..........................
    (c) Use of defective equipment......           5,000           7,500
    (d) Failure to provide for                     5,000           7,500
     corrective lenses..................
------------------------------------------------------------------------
                Subpart C--Roadway Worker Protection Rule
------------------------------------------------------------------------
214.303 Railroad on-track safety
 programs, generally:
    (a) Failure of a railroad to                   8,500          11,000
     implement an On-track Safety
     Program............................
    (b) On-track Safety Program of a               8,500          11,000
     railroad includes no internal
     monitoring procedure...............
214.305 Compliance Dates:
    Failure of a railroad to comply by             5,000           7,500
     the specified dates................
214.307 Review and approval of
 individual on-track safety programs by
 FRA:
    (a)(i) Failure to notify FRA of                5,000           7,500
     adoption of On-track Safety Program
    (ii) Failure to designate primary              5,000           7,500
     person to contact for program
     review.............................
214.309 On-track safety program
 documents:
    (1) On-track Safety Manual not                 6,500           9,000
     provided to prescribed employees...
    (2) On-track Safety Program                    5,000           7,500
     documents issued in fragments......
214.311 Responsibility of employers:
    (b) Roadway worker required by                 8,500          11,000
     employer to foul a track during an
     unresolved challenge...............
    (c) Roadway workers not provided               6,500           9,000
     with written procedure to resolve
     challenges of on-track safety
     procedures.........................
214.313 Responsibility of individual
 roadway workers:
    (a) Failure to follow railroad's on-  ..............          11,000
     track safety rules.................
    (b) Roadway worker fouling a track    ..............          11,000
     when not necessary in the
     performance of duty................
    (c) Roadway worker fouling a track    ..............          11,000
     without ascertaining that provision
     is made for on-track safety........
    (d) Roadway worker failing to notify  ..............          11,000
     employer of determination of
     improper on-track safety provisions
214.315 Supervision and communication:
    (a) Failure of employer to provide             8,500          11,000
     job briefing.......................
    (b) Incomplete job briefing.........           6,500           9,000
    (c)(i) Failure to designate roadway            6,500           9,000
     worker in charge of roadway work
     group..............................
    (ii) Designation of more than one              5,000           7,500
     roadway worker in charge of one
     roadway work group.................
    (iii) Designation of non-qualified             6,500           9,000
     roadway worker in charge of roadway
     work group.........................
    (d)(i) Failure to notify roadway               6,500           9,000
     workers of on-track safety
     procedures in effect...............
    (ii) Incorrect information provided            6,500           9,000
     to roadway workers regarding on-
     track safety procedures in effect..
    (iii) Failure to notify roadway                6,500           9,000
     workers of change in on-track
     safety procedures..................
    (e)(i) Failure of lone worker to      ..............           7,500
     communicate with designated
     employee for daily job briefing....
    (ii) Failure of employer to provide            6,500           9,000
     means for lone worker to receive
     daily job briefing.................
214.317 On-track safety procedures,
 generally:
    On-track safety rules conflict with            8,500          11,000
     this part..........................
214.319 Working limits, generally:
    (a) Non-qualified roadway worker in            8,500          11,000
     charge of working limits...........
    (b) More than one roadway worker in            6,500           9,000
     charge of working limits on the
     same track segment.................
    (c)(1) Working limits released                 8,500          11,000
     without notifying all affected
     roadway workers....................
    (2) Working limits released before             8,500          11,000
     all affected roadway workers are
     otherwise protected................
214.321 Exclusive track occupancy:
    (a) Improper transmission of                   5,000           7,500
     authority for exclusive track
     occupancy..........................
    (b)(1) Failure to repeat authority    ..............           7,500
     for exclusive track occupancy to
     issuing employee...................
    (2) Failure to retain possession of   ..............           9,000
     written authority for exclusive
     track occupancy....................
    (3) Failure to record authority for   ..............           9,000
     exclusive track occupancy when
     issued.............................
    (c) Limits of exclusive track                  8,500          11,000
     occupancy not identified by proper
     physical features..................
    (d)(1) Movement authorized into                8,500          11,000
     limits of exclusive track occupancy
     without authority of roadway worker
     in charge..........................
    (2) Movement authorized within                 8,500          11,000
     limits of exclusive track occupancy
     without authority of roadway worker
     in charge..........................
    (3) Movement within limits of                  8,500          11,000
     exclusive track occupancy exceeding
     restricted speed without authority
     of roadway worker in charge........
214.323 Foul time:
    (a) Foul time authority overlapping            8,500          11,000
     movement authority of train or
     equipment..........................
    (b) Failure to repeat foul time                6,500           9,000
     authority to issuing employee......
214.325 Train coordination:
    (a) Train coordination limits                  6,500           9,000
     established where more than one
     train is authorized to operate.....
    (b)(1) Train coordination                      5,000           7,500
     established with train not visible
     to roadway worker at the time......
    (2) Train coordination established    ..............           7,500
     with moving train..................
    (3) Coordinated train moving without           6,500           9,000
     authority of roadway worker in
     charge.............................
    (4) Coordinated train releasing                6,500           9,000
     movement authority while working
     limits are in effect...............

[[Page 70598]]

 
214.327 Inaccessible track:
    (a) Improper control of entry to               6,500           9,000
     inaccessible track.................
    (5) Remotely controlled switch not             6,500           9,000
     properly secured by control
     operator...........................
    (b) Train or equipment moving within           6,500           9,000
     inaccessible track limits without
     permission of roadway worker in
     charge.............................
    (c) Unauthorized train or equipment            6,500           9,000
     located within inaccessible track
     limits.............................
214.329 Train approach warning provided
 by watchmen/lookouts:
    (a) Failure to give timely warning    ..............          11,000
     of approaching train...............
    (b)(1) Failure of watchman/lookout    ..............           9,000
     to give full attention to detecting
     approach of train..................
    (2) Assignment of other duties to              6,500           9,000
     watchman/lookout...................
    (c) Failure to provide proper                  5,000           7,500
     warning signal devices.............
    (d) Failure to maintain position to            6,500           9,000
     receive train approach warning
     signal.............................
    (e) Failure to communicate proper              6,500           9,000
     warning signal.....................
    (f)(1) Assignment of non-qualified             6,500           9,000
     person as watchman/lookout.........
    (2) Non-qualified person accepting             5,000           7,500
     assignment as watchman/lookout.....
    (g) Failure to properly equip a                5,000           7,500
     watchman/lookout...................
214.331 Definite train location:
    (a) Definite train location                    6,500           9,000
     established where prohibited.......
    (b) Failure to phase out definite              5,000           7,500
     train location by required date....
    (d)(1) Train location information              6,500           9,000
     issued by unauthorized person......
    (2) Failure to include all trains              8,500          11,000
     operated on train location list....
    (5) Failure to clear track 10         ..............           9,000
     minutes before earliest departure
     time of train at last station prior
     to work location, or failure to
     remain clear until such train
     passed.............................
    (6) Train passing station before               8,500          11,000
     time shown in train location list..
    (7) Non-qualified person using                 6,500           9,000
     definite train location to
     establish on-track safety..........
214.333 Informational line-ups of
 trains:
    (a) Informational line-ups of trains           8,500          11,000
     used for on-track safety where
     prohibited.........................
    (b) Informational line-up procedures           8,500          11,000
     inadequate to protect roadway
     workers............................
    (c) Failure to discontinue                     5,000           7,500
     informational line-ups by required
     date...............................
214.335 On-track safety procedures for
 roadway work groups:
    (a) Failure to provide on-track                8,500          11,000
     safety for a member of a roadway
     work group.........................
    (b) Member of roadway work group               6,500           9,000
     fouling a track without authority
     of employee in charge..............
    (c) Failure to provide train                   8,500          11,000
     approach warning or working limits
     on adjacent track where required...
214.337 On-track safety procedures for
 lone workers:
    (b) Failure by employer to permit              8,500          11,000
     individual discretion in use of
     individual train detection.........
    (c)(1) Individual train detection              6,500           9,000
     used by non-qualified employee.....
    (2) Use of individual train                    5,000           7,500
     detection while engaged in heavy or
     distracting work...................
    (3) Use of individual train                    5,000           7,500
     detection in controlled point or
     manual interlocking................
    (4) Use of individual train                    8,500          11,000
     detection with insufficient
     visibility.........................
    (5) Use of individual train           ..............           7,500
     detection with interfering noise...
    (6) Use of individual train           ..............           9,000
     detection while a train is passing.
    (d) Failure to maintain access to     ..............          11,000
     place of safety clear of live
     tracks.............................
    (e) Lone worker unable to maintain    ..............           9,000
     vigilant lookout...................
    (f)(1) Failure to prepare written     ..............           4,500
     statement of on-track safety.......
    (2) Incomplete written statement of   ..............           4,500
     on-track safety....................
    (3) Failure to produce written        ..............           4,500
     statement of on-track safety to FRA
214.339 Audible warning from trains:
    (a) Failure to require audible                 5,000           7,500
     warning from trains................
    (b) Failure of train to give audible           5,000           7,500
     warning where required.............
214.341 Roadway maintenance machines:
    (a) Failure of on-track safety                 8,500          11,000
     program to include provisions for
     safety near roadway maintenance
     machines...........................
    (b) Failure to provide operating               5,000           7,500
     instructions.......................
    (1) Assignment of non-qualified                6,500           9,000
     employee to operate machine........
    (2) Operator unfamiliar with safety            6,500           9,000
     instructions for machine...........
    (3) Roadway worker working with                6,500           9,000
     unfamiliar machine.................
    (c) Roadway maintenance machine not            8,500          11,000
     clear of passing trains or
     operation of machine component
     closer than four feet to adjacent
     track without procedural
     instructions.......................
214.343 Training and qualification,
 general:
    (a)(1) Failure of railroad program             6,500           9,000
     to include training provisions.....
    (2) Failure to provide initial                 6,500           9,000
     training...........................
    (b) Failure to provide annual                  6,500           9,000
     training...........................
    (c) Assignment of non-qualified                6,500           9,000
     railroad employees to provide on-
     track safety.......................
    (d)(1) Failure to maintain records             5,000           7,500
     of qualifications..................
    (2) Incomplete records of                      5,000           7,500
     qualifications.....................
    (3) Failure to provide records of              5,000           7,500
     qualifications to FRA..............
214.345 Training for all roadway workers           6,500           9,000
214.347 Training and qualification for
 lone workers.
214.349 Training and qualification of
 watchmen/lookouts.
214.351 Training and qualification of
 flagmen.
214.353 Training and qualification of
 roadway workers who provide on-track
 safety for roadway work groups.

[[Page 70599]]

 
214.355 Training and qualification in on-
 track safety for operators of roadway
 maintenance machines.
------------------------------------------------------------------------
Subpart D--On-Track Roadway Maintenance Machines and Hi-
                      Rail Vehicles
------------------------------------------------------------------------
214.503 Good-faith challenges;
 procedures for notification and
 resolution:
    (a) Failure of employee to notify     ..............           9,000
     employer that the machine or
     vehicle does not comply with this
     subpart or has a condition
     inhibiting safe operation..........
    (b) Roadway worker required to                 8,500          11,000
     operate machine or vehicle when
     good-faith challenge not resolved..
    (c) Failure of employer to have or             8,500          11,000
     follow written procedures to
     resolve good-faith challenges......
214.505 Required environmental control
 and protection systems for new on-track
 roadway maintenance machines with
 enclosed cabs:
    (a) Failure to equip new machines              8,500          11,000
     with required systems..............
    (b) Failure of new or existing                 8,500          11,000
     machines to protect employees from
     exposure to air contaminants.......
    (c) Failure of employer to maintain            5,000           7,500
     required list of machines or make
     list available.....................
    (d) Removal of ``designated                    5,000           7,500
     machine'' from list before retired
     or sold............................
    (e) Personal respiratory protective            8,500          11,000
     equipment not provided when
     ventilation system fails...........
    (f) Personal respiratory protective            8,500          11,000
     equipment fails to meet required
     standards..........................
    (g) Other new machines with enclosed           8,500          11,000
     cabs not equipped with operable
     heating and ventilation systems....
    (h) Non-enclosed station not                   8,500          11,000
     equipped with covering, where
     feasible...........................
214.507 Required safety equipment for
 new on-track roadway maintenance
 machines:
    (a)(1)-(5) Failure to equip new                8,500          11,000
     machine or provide protection as
     specified in these paragraphs......
    (a)(6)-(7) Failure to equip new                6,500           9,000
     machine with first-aid kit or
     operative and charged fire
     extinguisher.......................
    (b) Position for operator to stand             8,500          11,000
     not properly equipped to provide
     safe and secure position...........
    (c) New machine not equipped with              6,500           9,000
     accurate speed indicator, as
     required...........................
    (d) As-built light weight not                  6,500           9,000
     conspicuously displayed on new
     machine............................
214.509 Required visual illumination and           6,500           9,000
 reflective devices for new on-track
 roadway maintenance machines...........
214.511 Required audible warning devices           8,500          11,000
 for new on-track roadway maintenance
 machines...............................
214.513 Retrofitting of existing on-
 track roadway maintenance machines;
 general:
    (a) Failure to provide safe and                8,500          11,000
     secure position and protection from
     moving parts inside cab for each
     roadway worker transported on
     machine............................
    (b) Horn or other audible warning              6,500           9,000
     device is missing, inoperable, or
     has non-compliant triggering
     mechanism..........................
    (c) Illumination device or portable            6,500           9,000
     light missing, inoperable,
     improperly secured, or incapable of
     illuminating track as required.....
214.515 Overhead covers for existing on-
 track roadway maintenance machines:
    (a) Failure to repair, reinstall, or           8,500          11,000
     maintain overhead cover as required
    (b) Failure to provide written                 5,000           7,500
     response to operator's request
     within 60 days.....................
214.517 Retrofitting of existing on-
 track roadway maintenance machines
 manufactured on or after January 1,
 1991:
    (a) Failure to equip machine with              8,500          11,000
     change-of-direction alarm or
     rearward viewing device............
    (b) Failure to equip machine with              8,500          11,000
     operative heater...................
    (c) Failure to display light weight            6,500           9,000
     of machine as required.............
    (d) Failure to equip machine with              8,500          11,000
     reflective material, reflective
     device, or operable brake lights...
    (e) Failure to install or replace              8,500          11,000
     safety glass as required...........
    (f) Failure to equip machine with              8,500          11,000
     turntable restraint device or
     warning light as required..........
214.518 Safe and secure position for               8,500          11,000
 riders.................................
214.519 Floors, decks, stairs, and                 8,500          11,000
 ladders for on-track roadway
 maintenance machines...................
214.521 Flagging equipment for on-track            6,500           9,000
 roadway maintenance machines and hi-
 rail vehicles..........................
214.523 Hi-rail vehicles:
    (a) Failure to inspect hi-rail gear            8,500          11,000
     annually...........................
    (b) Failure to maintain inspection             5,000           7,500
     record or make record available to
     FRA................................
    (c) Failure to equip new hi-rail               6,500           9,000
     vehicle with alarm and light or
     beacon as required.................
    (d)(2) Failure of operator to tag,             5,000           7,500
     date or report non-complying
     condition..........................
    (d)(3) Failure to repair or replace            6,500           9,000
     non-complying alarms, lights or
     beacons as required................
214.525 Towing with on-track roadway               8,500          11,000
 maintenance machines or hi-rail
 vehicles...............................
214.527 On-track roadway maintenance
 machines; inspection for compliance and
 schedule for repairs:
    (a) Failure of operator to check on-           5,000           7,500
     track roadway maintenance machine
     for compliance.....................
    (b) Failure of operator to tag,                5,000           7,500
     date, or report noncomplying
     condition..........................
    (c)(1)-(4) Failure to meet                     6,500           9,000
     requirements for operating on-track
     roadway maintenance machine with
     non-complying headlights, work
     lights, horn, fire extinguisher,
     alarm, warning light, or beacon....
    (c)(5) Failure to repair or replace            8,500          11,000
     defective or missing operator's
     seat within required time period...
214.529 In-service failure of primary              8,500          11,000
 braking system.........................
214.531 Schedule of repairs; general....           6,500           9,000
214.533 Schedule of repairs subject to
 availability of parts:
    (a)-(c) Failure to order necessary             6,500           9,000
     part(s), make repair(s), or remove
     on-track roadway maintenance
     machine or hi-rail vehicle from
     service as required................

[[Page 70600]]

 
    (d) Failure to maintain record or              5,000           7,500
     make record available to FRA.......
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. The penalty schedule uses section numbers
  from 49 CFR part 214. If more than one item is listed as a type of
  violation of a given section, each item is also designated by a
  ``penalty code,'' which is used to facilitate assessment of civil
  penalties, and which may or may not correspond to any subsection
  designation(s). For convenience, penalty citations will cite the CFR
  section and the penalty code, if any. FRA reserves the right, should
  litigation become necessary, to substitute in its complaint the CFR
  citation in place of the combined CFR and penalty code citation,
  should they differ.

PART 215--[AMENDED]

    5. The authority citation for part 215 continues to read as 
follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461.

    6. Appendix B to part 215 is revised to read as follows:

        Appendix B to Part 215.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
215.9 Movement for repair:
    (a), (c)............................           (\1\)           (\1\)
    (b).................................          $3,000          $4,500
215.11 Designation of qualified persons.           5,000           7,500
215.13 Pre-departure inspection.........           5,000           7,500
------------------------------------------------------------------------
                    Subpart B--Freight Car Components
------------------------------------------------------------------------
215.103 Defective wheel:
    (a) Flange thickness of:
        (1) \7/8\'' or less but more               5,000           7,500
         than \13/16\''.................
        (2) \13/16\'' or less...........           6,500           9,000
    (b) Flange height of:
        (1) 1\1/2\'' or greater but less           5,000           7,500
         than 1\5/8\''..................
        (2) 1\5/8\'' or more............           6,500           9,000
    (c) Rim thickness of:
        (1) \11/16\'' or less but more             5,000           7,500
         than \5/8\''...................
        (2) \5/8\'' or less.............           6,500           9,000
    (d) Wheel rim, flange plate hub
     width:
        (1) Crack of less than 1''......           5,000           7,500
        (2) Crack of 1'' or more........           6,500           9,000
        (3) Break.......................           8,500          11,000
    (e) Chip or gouge in flange of:
        (1) 1\1/2\'' or more but less              3,000           4,500
         than 1\5/8\'' in length; and \1/
         2\'' or more but less than \5/
         8\'' in width..................
        (2) 1\5/8\ '' or more in length;           5,000           7,500
         or \5/8\'' or more in width....
    (f) Slid flat or shelled spot(s):
        (1)(i) One spot more than 2\1/             3,000           4,500
         2\'', but less than 3'', in
         length.........................
        (ii) One spot 3'' or more in               5,000           7,500
         length.........................
        (2)(i) Two adjoining spots each            3,000           4,500
         of which is more than 2'' but
         less than 2\1/2\'' in length...
        (ii) Two adjoining spots both of           5,000           7,500
         which are at least 2'' in
         length, if either spot is 2\1/
         2\'', or more in length........
    (g) Loose on axle...................           8,500          11,000
    (h) Overheated; discoloration
     extending:
        (1) more than 4'' but less than            5,000           7,500
         4\1/2\''.......................
        (2) 4\1/2\'' or more............           6,500           9.000
    (i) Welded..........................           6,500           9,000
215.105 Defective axle:
    (a)(1) Crack of 1'' or less.........           5,000           7,500
    (2) Crack of more than 1''..........           6,500           9,000
    (3) Break...........................           8,500          11,000
    (b) Gouge in surface that is between           3,000           4,500
     the wheel seats and is more than \1/
     8\'' in depth......................
    (c) End collar with crack or break..           5,000           7,500
    (d) Journal overheated..............           8,500          11,000
    (e) Journal surface has: a ridge; a            5,000           7,500
     depression; a circumferential
     score; corrugation; a scratch; a
     continuous streak; pitting; rust;
     or etching.........................
215.107 Defective plain bearing box:
 general:
    (a)(1) No visible free oil..........           3,000           4,500
    (2) Lubricating pad dry (no                    6,500           9,000
     expression of oil observed when pad
     is compressed).....................
    (b) Box lid is missing, broken, or             3,000           4,500
     open except to receive servicing...
    (c) Contains foreign matter that can           5,000           7,500
     be expected to damage the bearing
     or have a detrimental effect on the
     lubrication of the journal and
     bearing............................

[[Page 70601]]

 
215.109 Defective plain bearing box:
 journal lubrication system:
    (a) Lubricating pad has a tear......           3,000           4,500
    (b) Lubricating pad scorched,                  5,000           7,500
     burned, or glazed..................
    (c) Lubricating pad contains                   5,000           7,500
     decaying or deteriorating fabric...
    (d) Lubricating pad has an exposed             5,000           7,500
     center core or metal parts
     contacting the journal.............
    (e) Lubricating pad is missing or              6,500           9,000
     not in contact with the journal....
215.111 Defective plain bearing:
    (a) Missing.........................           8,500          11,000
    (b) Bearing liner is loose or has              5,000           7,500
     piece broken out...................
    (c) Overheated......................           8,500          11,000
215.113 Defective plain bearing wedge:
    (a) Missing.........................           8,500          11,000
    (b) Cracked.........................           5,000           7,500
    (c) Broken..........................           6,500           9,000
    (d) Not located in its design                  5,000           7,500
     position...........................
215.115 Defective roller bearing:
    (a)(1) Overheated...................           8,500          11,000
    (2)(i) Cap screw(s) loose...........           6,500           9,000
    (ii) Cap screw lock broken, missing            3,000           4,500
     or improperly applied..............
    (3) Seal is loose or damaged, or               3,000           4,500
     permits leakage of lubricant.......
    (b)(1) Not inspected and tested                6,500           9,000
     after derailment...................
    (2) Not disassembled after                     5,000           7,500
     derailment.........................
    (3) Not repaired or replaced after             6,500           9,000
     derailment.........................
215.117 Defective roller bearing
 adapter:
    (a) Cracked or broken...............           5,000           7,500
    (b) Not in its design position......           6,500           9,000
    (c) Worn on the crown...............           5,000           7,500
215.119 Defective freight car truck:
    (a)(1) A side frame or bolster that            8,500          11,000
     is broken..........................
    (2)(i) Side frame or bolster with              5,000           7,500
     crack of: \1/4\'' or more, but less
     than 1''...........................
    (ii) 1'' or more....................           6,500           9,000
    (b) A snubbing device that is                  5,000           7,500
     ineffective or missing.............
    (c) Side bearing(s):
        (1) Assembly missing or broken..           8,500          11,000
        (2) In contact except by design.           6,500           9,000
        (3), (4) Total clearance at one
         end or at diagonally opposite
         sides of:
            (i) more than \3/4\'' but              5,000           7,500
             not more than 1''..........
            (ii) more than 1''..........           6,500           9,000
    (d) Truck spring(s):
        (1) Do not maintain travel or              5,000           7,500
         load...........................
        (2) Compressed solid............           5,000           7,500
        (3) Outer truck springs broken
         or missing:
            (i) Two outer springs.......           5,000           7,500
            (ii) Three or more outer               6,500           9,000
             springs....................
    (e) Truck bolster-center plate                 6,500           9,000
     interference.......................
    (f) Brake beam shelf support worn...           5,000           7,500
215.121 Defective car body:
    (a) Has less than 2\1/2\'' clearance           5,000           7,500
     from the top of rail...............
    (b) Car center sill is:
        (1) Broken......................           8,500          11,000
        (2) Cracked more than 6''.......           5,000           7,500
        (3) Bent or buckled more than              5,000           7,500
         2\1/2\'' in any 6'' length.....
    (c) Coupler carrier that is broken             5,000           7,500
     or missing.........................
    (d) Car door not equipped with                 8,500          11,000
     operative safety hangers...........
    (e)(1) Center plate not properly               8,500          11,000
     secured............................
    (2) Portion missing.................           5,000           7,500
    (3) Broken..........................           8,500          11,000
    (4) Two or more cracks..............           5,000           7,500
    (f) Broken sidesill, crossbearer, or           5,000           7,500
     body bolster.......................
215.123 Defective couplers:
    (a) Shank bent out of alignment.....           3,000           4,500
    (b) Crack in highly stressed                   5,000           7,500
     junction area......................
    (c) Coupler knuckle broken or                  5,000           7,500
     cracked............................
    (d) Coupler knuckle pin or thrower             5,000           7,500
     that is missing or inoperative.....
    (e) Coupler retainer pin lock that             3,000           4,500
     is missing or broken...............
    (f) Coupler with following                     5,000           7,500
     conditions: locklift inoperative;
     no anticreep protection; or coupler
     lock is missing, inoperative, bent,
     cracked, or broken.................
215.125 Defective uncoupling device                5,000           7,500
215.127 Defective draft arrangement:
    (a) Draft gear that is inoperative..           5,000           7,500
    (b) Yoke that is broken.............           5,000           7,500

[[Page 70602]]

 
    (c) End of car cushioning unit is              5,000           7,500
     leaking or inoperative.............
    (d) Vertical coupler pin retainer              8,500          11,000
     plate missing or has missing
     fastener...........................
    (e) Draft key or draft key retainer            8,500          11,000
     that is inoperative or missing.....
    (f) Follower plate that is missing             5,000           7,500
     or broken..........................
215.129 Defective cushioning device.....           5,000           7,500
------------------------------------------------------------------------
                     Subpart C--Restricted Equipment
------------------------------------------------------------------------
215.203 Restricted cars.................           5,000           7,500
------------------------------------------------------------------------
                          Subpart D--Stenciling
------------------------------------------------------------------------
215.301 General.........................           3,000           4,500
215.303 Stenciling of restricted cars...           3,000           4,500
215.305 Stenciling of maintenance-of-way           3,000          4,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally, when two or more violations of these regulations
  are discovered with respect to a single freight car that is placed or
  continued in service by a railroad, the appropriate penalties set
  forth above are aggregated up to a maximum of $11,000 per day. A
  failure to perform, with respect to a particular freight car, the
  predeparture inspection required by Sec.   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 $27,000
  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 Sec.   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 Sec.   215.305 is subject
  to all requirements of this Part. See Sec.   215.3(c)(3). The 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]

    7. 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.

    8. Appendix A to part 217 is revised to read as follows:

        Appendix A to Part 217.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
217.7 Operating Rules:
    (a).................................          $6,500          $9,000
    (b).................................           6,500           9,000
    (c).................................           6,500           9,000
217.9 Operational tests and inspections:
    (a) Program.........................           8,500          11,000
    (b) Record of program...............           6,500           9,000
    (c) Record of tests and inspections.           8,500          11,000
    (d) Annual Summary..................           8,500          11,000
217.11 Program of instruction on
 operating rules:
    (a).................................           8,500          11,000
    (b).................................           8,500         11,000
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

PART 218--[AMENDED]

    9. 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.

    10. Appendix A to part 218 is revised to read as follows:

        Appendix A to Part 218.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
              Subpart B--Blue Signal Protection of Workmen
------------------------------------------------------------------------
218.22 Utility employees:
    (a) Employee qualifications.........          $5,000          $7,500
    (b) Concurrent service..............           6,500           9,000

[[Page 70603]]

 
    (c) Assignment conditions:
        (1) No controlling locomotive...           6,500           9,000
        (2) Empty cab...................           6,500           9,000
        (3)(4) Improper communication...           6,500           9,000
        (5) Performing functions not               5,000           7,500
         listed.........................
    (d) Improper release................           5,000           7,500
    (f) More than three utility                    5,000           7,500
     employees with one crew............
218.23 Blue signal display..............           6,500           9,000
218.24 One-person crew:
    (a)(1) Equipment not coupled or                6,500           9,000
     insufficiently separated...........
    (a)(2) Unoccupied locomotive cab not           5,000           7,500
     secured............................
    (b) Helper service..................           6,500           9,000
218.25 Workmen on a main track..........           6,500           9,000
218.27 Workmen on track other than main
 track:
    (a) Protection provided except that            6,500           9,000
     signal not displayed at switch.....
    (b) through (e).....................           5,000           7,500
218.29 Alternate methods of protection:
    (a)(1) protection provided except              6,500           9,000
     that signal not displayed at switch
    (a)(2) through (a)(8)...............           6,500           9,000
    (b)(1) Protection provided except              6,500           9,000
     that signal not displayed at switch
    (b)(2) through (b)(4)...............           6,500           9,000
    (c) Use of derails..................           5,000           7,500
    (d) Emergency repairs...............           6,500           9,000
218.30 Remotely controlled switches:
    (a) and (b).........................           5,000           7,500
    (c).................................           1,500           2,500
------------------------------------------------------------------------
             Subpart C--Protection of Trains and Locomotives
------------------------------------------------------------------------
218.35 Yard limits:
    (a) and (b).........................           3,000           4,500
    (c).................................           3,000           4,500
218.37 Flag protection:
    (a).................................           1,500           2,500
    (b) and (c).........................           1,500           2,500
218.39 Hump operations..................           6,500           9,000
218.41 Noncompliance with hump                     6,500           9,000
 operations rule........................
------------------------------------------------------------------------
      Subpart D--Prohibition Against Tampering With Safety Devices
------------------------------------------------------------------------
218.55 Tampering........................  ..............          11,000
218.57 (i) Knowingly operating or                  3,000  ..............
 permitting operation of disabled
 equipment..............................
    (ii) Willfully operating or           ..............           4,500
     permitting operation of disabled
     equipment..........................
218.59 Operation of disabled equipment..           3,000          4,500
------------------------------------------------------------------------
\1\ Except as provided for in Sec.   218.57, a penalty may be assessed
  against an individual only for a willful violation. The Administrator
  reserves the right to assess a penalty of up to $27,000 for any
  violation where the circumstances warrant. See 49 CFR part 209,
  appendix A. The 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.

PART 219--[AMENDED]

    11. 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).

    12. Appendix A to part 219 is revised to read as follows:

Appendix A to Part 219--Schedule of Civil Penalties

    The following chart lists the schedule of civil penalties:

                          Penalty Schedule \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
219.3 Application:
    Railroad does not have required               $5,000          $7,500
     program............................
219.11 General conditions for chemical
 tests:
    (b)(1) Employee unlawfully refuses             8,500          11,000
     to participate in testing..........

[[Page 70604]]

 
    (b)(2) Employer fails to give                  8,500          11,000
     priority to medical treatment......
    (b)(3) Employee fails to remain                8,500          11,000
     available..........................
    (b)(4) Employee tampers with                   8,500          11,000
     specimen...........................
    (d) Employee unlawfully required to            5,000           7,500
     execute a waiver of rights.........
    (e) Railroad used or authorized the            1,500           2,500
     use of coercion to obtain specimens
    (g) Failure to meet supervisory                6,500           9,000
     training requirements or program of
     instruction not available or
     program not complete...............
    (h) Urine or blood specimens                   8,500          11,000
     provided for Federal testing were
     used for non-authorized testing....
219.23 Railroad policies:
    (a) Failure to provide written                 3,000           4,500
     notice of FRA test.................
    (b) Failure to provide written                 3,000           4,500
     notice of basis for FRA test.......
    (c) Use of subpart C form for other            3,000           4,500
     test...............................
    (d) Failure to provide educational             1,500           2,500
     materials..........................
    (e) Educational materials fail to              1,500           2,500
     explain requirements of this part
     and/or include required content....
    (f) Non-Federal provisions are                 1,500           2,500
     clearly described as independent
     authority..........................
------------------------------------------------------------------------
                         Subpart B--Prohibitions
------------------------------------------------------------------------
219.101 Alcohol and drug use prohibited:
    Employee violates prohibition(s)....           8,500  ..............
219.103 Prescribed and over-the-counter
 drugs:
    (a) Failure to train employee                  5,000           7,500
     properly on requirements...........
219.104 Responsive Action:
    (a) Failure to remove employee from            8,500          11,000
     covered service immediately........
    (b) Failure to provide notice for              5,000           7,500
     removal............................
    (c) Failure to provide prompt                  8,500          11,000
     hearing............................
    (d) Employee improperly returned to            8,500          11,000
     service............................
219.105 Railroad's duty to prevent
 violations:
    (a) Employee improperly permitted to           8,500          11,000
     remain in covered service..........
    (b) Failure to exercise due                    6,500           9,000
     diligence to assure compliance with
     prohibition........................
219.107 Consequences of unlawful
 refusal:
    (a) Failure to disqualify an                   8,500          11,000
     employee for nine months following
     a refusal..........................
    (e) Employee unlawfully returned to            8,500          11,000
     service............................
------------------------------------------------------------------------
             Subpart C--Post-Accident Toxicological Testing
------------------------------------------------------------------------
219.201 Events for which testing is
 required:
    (a) Failure to test after qualifying           8,500          11,000
     event (each employee not tested is
     a violation).......................
    (c)(1)(i) Failure to make good faith           5,000           7,500
     determination......................
    (c)(1)(ii) Failure to provide                  1,500           2,500
     requested decision report to FRA...
    (c)(2) Testing performed after non-            8,500          11,000
     qualifying event...................
219.203 Responsibilities of railroads
 and employees:
    (a)(1)(i) and (a)(2)(i) Failure to             5,000           7,500
     properly test/exclude from testing.
    (a)(1)(ii) and (a)(2)(ii) Non-                 5,000           7,500
     covered service employee tested....
    (b)(1) Delay in obtaining specimens            3,000           4,500
     due to failure to make every
     reasonable effort..................
    (c) Independent medical facility not           5,000           7,500
     utilized...........................
    (d) Failure to report event or                 1,500           2,500
     contact FRA when intervention
     required...........................
219.205 Specimen collection and
 handling:
    (a) Failure to observe requirements            5,000           7,500
     with respect to specimen
     collection, marking and handling...
    (b) Failure to provide properly                1,500           2,500
     prepared forms with specimens......
    (d) Failure to promptly or properly            5,000           7,500
     forward specimens..................
219.207 Fatality:
    (a) Failure to test.................           6,500           9,000
    (a)(1) Failure to ensure timely                1,500           2,500
     collection and shipment of required
     specimens..........................
    (b) Failure to request assistance              5,000           7,500
     when necessary.....................
219.209 Reports of tests and refusals:
    (a)(1) Failure to provide telephonic           3,000           4,500
     report.............................
    (b) Failure to provide written                 3,000           4,500
     report of refusal to test..........
    (c) Failure to maintain report                 3,000           4,500
     explaining why test not conducted
     within 4 hours.....................
219.211 Analysis and follow-up:
    (c) Failure of MRO to report review            1,500           2,500
     of positive results to FRA.........
------------------------------------------------------------------------
                      Subpart D--Testing for Cause
------------------------------------------------------------------------
219.300 Mandatory reasonable suspicion
 testing:
    (a)(1) Failure to test when                    8,500          11,000
     reasonable suspicion criteria met..
    (a)(2) Tested when reasonable                  8,500          11,000
     suspicion criteria not met.........
219.301 Testing for reasonable cause:
    (a) Event did not occur during daily           6,500           9,000
     tour...............................
    (b)(2) Tested when accident/incident           8,500          11,000
     criteria not met...................
    (b)(3) Tested when operating rules             8,500          11,000
     violation criteria not met.........

[[Page 70605]]

 
219.302 Prompt specimen collection:
    (a) Specimen collection not                    5,000           7,500
     conducted promptly.................
------------------------------------------------------------------------
             Subpart E--Identification of Troubled Employees
------------------------------------------------------------------------
219.401 Requirement for policies:
    (b) Failure to publish and/or                  5,000           7,500
     implement required policy..........
219.407 Alternate policies:
    (c) Failure to file agreement or               5,000           7,500
     other document or provide timely
     notice or revocation...............
------------------------------------------------------------------------
                     Subpart F--Pre-Employment Tests
------------------------------------------------------------------------
219.501 Pre-employment tests:
    (a) Failure to perform pre-                    5,000           7,500
     employment drug test before first
     time employee performs covered
     service............................
------------------------------------------------------------------------
                   Subpart G--Random Testing Programs
------------------------------------------------------------------------
219.601 Railroad random drug programs:
    (a)(1) Failure to file a random                6,500           9,000
     program............................
    (a)(2) Failure to file amendment to            5,000           7,500
     program............................
    (b) Failure to meet random testing             3,000           4,500
     criteria...........................
    (b)(1)(i) Failure to use a neutral             8,500          11,000
     selection process..................
    (b)(2)(i)(B) Testing not spread                3,000           4,500
     throughout the year................
    (b)(3) Testing not distributed                 3,000           4,500
     throughout the day.................
    (b)(4) Advance notice provided to              8,500          11,000
     employee...........................
    (b)(6) Testing when employee not on            6,500           9,000
     duty...............................
219.601A Failure to include covered                5,000           7,500
 service employee in pool...............
219.602 Administrator's determination of
 drug testing rate:
    (f) Total number of tests below                6,500           9,000
     minimum random drug testing rate...
219.603 Participation in drug testing:
    Failure to document reason for not             5,000           7,500
     testing selected employee..........
219.607 Railroad random alcohol
 programs:
    (a)(1) Failure to file a random                5,000           7,500
     alcohol program....................
    (a)(2) Failure to file amendment to            5,000           7,500
     program............................
    (b) Failure to meet random testing             8,500          11,000
     criteria...........................
    (b)(1) Failure to use a neutral                6,500           9,000
     selection process..................
    (b)(5) Testing when employee not on            5,000           7,500
     duty...............................
    (b)(8) Advance notice provided to              8,500          11,000
     employee...........................
219.607A Failure to include covered                6,500           9,000
 service employee in pool...............
219.608 Administrator's determination of
 random alcohol testing rate:
    (e) Total number of tests below                6,500           9,000
     minimum random alcohol testing rate
219.609 Participation in alcohol
 testing:
    Failure to document reason for not             5,000           7,500
     testing selected employee..........
------------------------------------------------------------------------
             Subpart H--Drug and Alcohol Testing Procedures
------------------------------------------------------------------------
219.701 Standards for drug and alcohol
 testing:
    (a) Failure to comply with part 40             1,500           2,500
     procedures in subpart B, D, F, or G
     testing............................
    (b) Testing not performed in a                 3,000           4,500
     timely manner......................
------------------------------------------------------------------------
                        Subpart I--Annual Report
------------------------------------------------------------------------
219.801 Reporting alcohol misuse prevention program results in a
 management information system:
    (a) Failure to submit MIS report on            3,000           4,500
     time...............................
    (c) Failure to submit accurate MIS             3,000           4,500
     report.............................
    (d) Failure to include required data           1,500           2,500
219.803 Reporting drug misuse prevention
 program results in a management
 information system:
    (c) Failure to submit accurate MIS             3,000           4,500
     report.............................
    (d) Failure to submit MIS report on            3,000           4,500
     report.............................
    (e) Failure to include required data           1,500           2,500
------------------------------------------------------------------------
                  Subpart J--Recordkeeping Requirements
------------------------------------------------------------------------
219.901 Retention of Alcohol Testing
 Records:
    (a) Failure to maintain records                5,000           7,500
     required to be kept by part 40.....
    (b) Failure to maintain records                5,000           7,500
     required to be kept for five years.
    (c) Failure to maintain records                5,000           7,500
     required to be kept for two years..
219.903 Retention of Drug Testing
 Records:
    (a) Failure to maintain records                5,000           7,500
     required to be kept by part 40.....
    (b) Failure to maintain records                5,000           7,500
     required to be kept for five years.
    (c) Failure to maintain records                5,000           7,500
     required to be kept for two years..
219.905 Access to facilities and
 records:

[[Page 70606]]

 
    (a) Failure to release records in              6,500           9,000
     this subpart in accordance with
     part 40............................
    (b) Failure to permit access to                8,500          11,000
     facilities.........................
    (c) Failure to provide access to               8,500         11,000
     results of railroad alcohol and
     drug testing programs..............
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The FRA Administrator reserves the right to assess a
  penalty of up to $27,000 for any violation, including ones not listed
  in this penalty schedule, where circumstances warrant. See 49 CFR part
  209, appendix A.

PART 220--[AMENDED]

    13. 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.

    14. Appendix C to part 220 is revised to read as follows:

        Appendix C to Part 220.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
220.9 Requirements for trains...........          $8,500         $11,000
220.11 Requirements for roadway workers.           6,500           9,000
220.21 Railroad Operating rules; radio
 communications:
    (a).................................           8,500          11,000
    (b).................................           6,500           9,000
220.23 Publication of radio information.           5,000           7,500
220.25 Instruction of employees.........           8,500          11,000
220.27 Identification...................           6,500           9,000
220.29 Statement of letters and numbers.           6,500           9,000
220.31 Initiating a transmission........           3,000           4,500
220.33 Receiving a transmission.........           5,000           7,500
220.35 Ending a transmission............           5,000           7,500
220.37 Voice test.......................           6,500           9,000
220.39 Continuous monitoring............           5,000           7,500
220.41 [Reserved].
220.43 Communication consistent with the           6,500           9,000
 rules..................................
220.45 Complete communications..........           8,500          11,000
220.47 Emergencies......................           8,500          11,000
220.49 Switching, backing or pushing....           8,500          11,000
220.51 Signal indications...............           6,500           9,000
220.61 Radio transmission of mandatory             8,500         11,000
 directives.............................
------------------------------------------------------------------------
\1\ A penalty may be assessed against and only for a willful violation.
  The Administrator reserves the right to assess a penalty of up to
  $27,000 for any violation where circumstances warrant. See 49 CFR part
  209, appendix A.

PART 221--[AMENDED]

    15. 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.

    16. Appendix C to part 221 is revised to read as follows:

        Appendix C to Part 221.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
221.13 Marking device display:
    (a) device not present, not                   $5,000          $7,500
     displayed, or not properly
     illuminated........................
    (d) device too close to rail........           3,000           4,500
221.14 Marking devices: Use of                     3,000           4,500
 unapproved or noncomplying device......
221.15 Marking device inspection:
    (a) Failure to inspect at crew                 3,000           4,500
     change.............................
    (b), (c) improper inspection........           3,000           4,500
221.16 Inspection procedure:
    (a) Failure to obtain protection....           5,000           7,500
    (b) Improper protection.............           5,000           7,500
221.17 Movement of defective equipment..        \1\5,000       \1\7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Where the conditions for movement of
  defective equipment set forth in Sec.   221.17 of this Part are not
  met, the movement constitutes a violation of Sec.   221.13 of this
  part.


[[Page 70607]]

PART 222--[AMENDED]

    17. 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.

    18. Appendix G to part 222 is revised to read as follows:

        Appendix G to Part 222.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                   Subpart B--Use of Locomotive Horns
------------------------------------------------------------------------
222.21 Use of locomotive horn:
    (a) Failure to sound horn at grade            $5,000          $7,500
     crossing...........................
    Failure to sound horn in proper                5,000           7,500
     pattern............................
    (b) Failure to sound horn at least             3,000           4,500
     15 and no more than 20 seconds
     before crossing....................
    Routine sounding of the locomotive             3,000           4,500
     horn more than \1/4\-mile in
     advance of crossing................
222.33
    Failure to sound horn when                     6,500           9,000
     conditions of Sec.   222.33 are not
     met................................
222.45
    Routine sounding of the locomotive             3,000           4,500
     horn at a grade crossing within a
     quiet zone.........................
222.49
    (b) Failure to provide Grade                   1,500           2,500
     Crossing Inventory Form information
222.59
    (d) Routine sounding of the                    1,500          2,500
     locomotive horn at a grade crossing
     equipped with wayside horn.........
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

PART 223--[AMENDED]

    19. 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.

    20. Appendix B to part 223 is revised to read as follows:

        Appendix B to Part 223.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
223.9 New or rebuilt equipment:
    (a) Locomotives.....................          $3,000          $4,500
    (b) Cabooses........................           3,000           4,500
    (c) Passenger cars..................           3,000           4,500
    (d)(1), (d)(2):
        (i) Window not marked or                   5,000           7,500
         instructions not posted........
        (ii) Window improperly marked or           3,000           4,500
         instructions improperly posted.
223.11(c) Existing locomotives..........           3,000           4,500
    (d) Repair of window................           1,500           2,500
223.13(c) Existing cabooses.............           3,000           4,500
    (d) Repair of window................           1,500           2,500
223.15(c) Existing passenger cars.......           3,000           4,500
    (d) Repair of window................           1,500           2,500
223.17 Identification of units..........           1,500          2,500
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. The 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.

PART 224--[AMENDED]

    21. 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.

    22. Appendix A to part 224 is revised to read as follows:

         Appendix A to Part 224.--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
224.103 Characteristics of
 retroreflective sheeting:
    (a)-(d) Retroreflective sheeting              $3,000          $4,500
     applied does not meet the
     requirements of Sec.   224.103.....
224.105 Sheeting dimensions and quantity           3,000           4,500
    (a) Failure to apply minimum amount            3,000           4,500
     of retroreflective sheeting in
     accordance with Table..............

[[Page 70608]]

 
    (b) Applying retroreflective                   3,000           4,500
     sheeting of wrong dimensions.......
224.106 Location of retroreflective
 sheeting:
    (a), (b) Applying retroreflective              3,000           4,500
     sheeting in nonconforming pattern..
224.107 Implementation schedule:
    (a)(1), (b)(1) Failure to apply                3,000           4,500
     retroreflective sheeting to new
     freight car or locomotive before
     equipment placed in service........
    (a)(2), (b)(2), (b)(4) Failure to              3,000           4,500
     apply retroreflective sheeting to
     existing freight car or locomotive
     in accordance with minimum schedule
     of paragraphs, (a)(2), (b)(2),
     (b)(4).............................
224.109 Inspection, repair, and
 replacement:
    (a)(1) Failure to perform inspection           3,000           4,500
    (2) Failure to properly notify car             3,000           4,500
     owner of defect....................
    (3) Failure to retain written                  3,000           4,500
     notification of defect for two
     years..............................
    (4) Failure to repair defect after             3,000           4,500
     notification.......................
    (b)(1) Failure to perform inspection           3,000           4,500
    (2) Failure to repair defect........           3,000           4,500
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. The 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]

    23. 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.
    24. Appendix A to part 225 is revised to read as follows:

        Appendix A to Part 225.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain               $1,500          $2,500
 accidents/incidents....................
225.11 Reports of accidents/incidents...           6,500           9,000
225.12(a):
    Failure to file Railroad Employee
     Human Factor Attachment properly...
    (1) Employee identified.............           6,500           9,000
    (2) No employee identified..........           3,000           4,500
225.12(b):
    (1) Failure to notify employee                 6,500           9,000
     properly...........................
    (2) Notification of employee not               6,500           9,000
     involved in accident...............
225.12(c):
    Failure of employing railroad to               1,500           2,500
     provide requested information
     properly...........................
225.12(d):
    (1) Failure to revise report when              6,500           9,000
     identity becomes known.............
    (2) Failure to notify after late               6,500           9,000
     identification.....................
225.12(f)(1):
    Submission of notice if employee               6,500           9,000
     dies as result of the reported
     accident...........................
225.12(g):
    Willfully false accident statement    ..............           9,000
     by employee........................
225.13 Late reports.....................           1,500           2,500
225.17(d) Alcohol or drug involvement...           8,500          11,000
225.23 Joint operations.................           (\1\)           (\1\)
225.25 Recordkeeping....................           5,000           7,500
225.27 Retention of records.............           1,500           2,500
225.33:
    (1) Failure to adopt the Internal              6,500           9,000
     Control Plan.......................
    (2) Inaccurate reporting due to                6,500           9,000
     failure to comply with the Internal
     Control Plan.......................
    (3) Failure to comply with the                 6,500           9,000
     intimidation/harassment policy in
     the Internal Control Plan..........
225.35 Access to records and reports....           8,500          11,000
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. A failure to comply with Sec.   225.23
  constitutes a violation of Sec.   225.11. For purposes of Sec.  Sec.
  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. The
  penalty schedule uses section numbers from 49 CFR part 225. If more
  than one item is listed as a type of violation of a given section,
  each item is also designated by a ``penalty code,'' which is used to
  facilitate assessment of civil penalties, and which may or may not
  correspond to any subsection designation(s). For convenience, penalty
  citations will cite the CFR section and the penalty code, if any. FRA
  reserves the right, should litigation become necessary, to substitute
  in its complaint the CFR citation in place of the combined CFR and
  penalty code citation, should they differ.


[[Page 70609]]

PART 228--[AMENDED]

    25. The authority citation for part 228 continues to read as 
follows:

    Authority: 49 U.S.C. 20103, 20107, 21101-21108; 28 U.S.C. 2461, 
note and 49 CFR 1.49.

    26. Appendix B to part 228 is revised to read as follows:

        Appendix B to Part 228.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                    Subpart B--Records and Reporting
------------------------------------------------------------------------
228.9 Railroad records..................          $5,000          $7,500
228.11 Hours of duty records............           1,500           2,500
228.17 Dispatcher's record..............           5,000           7,500
228.19 Monthly reports of excess service           1,500           2,500
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

PART 229--[AMENDED]

    27. 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).

    28. Appendix B to part 229 is revised to read as follows:

        Appendix B to Part 229.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
229.7 Prohibited acts: Safety               $1,500-6,500    $2,500-9,000
 deficiencies not governed by specific
 regulations: To be assessed on relevant
 facts..................................
229.9 Movement of noncomplying                     (\1\)           (\1\)
 locomotives............................
229.11 Locomotive identification........           1,500           2,500
229.13 Control of locomotives...........           5,000           7,500
229.17 Accident reports.................           3,000           4,500
219.19 Prior waivers....................           (\1\)           (\1\)
------------------------------------------------------------------------
                     Subpart B--Inspection and Tests
------------------------------------------------------------------------
229.21 Daily inspection:
    (a)(b):
    (1) Inspection overdue..............           3,000           4,500
    (2) Inspection report not made,                1,500           2,500
     improperly executed, or not
     retained...........................
    (c) Inspection not performed by a              1,500           2,500
     qualified person...................
229.23 Periodic inspection: General
    (a)(b):
        (1) Inspection overdue..........           3,000           4,500
        (2) Inspection performed                   3,000           4,500
         improperly or at a location
         where the underneath portion
         cannot be safely inspected.....
    (c)(d):
        (1) Form missing................           1,500           2,500
        (2) Form not properly displayed.           1,500           2,500
        (3) Form improperly executed....           1,500           2,500
    (e) Replace Form FRA F 6180-49A by             1,500           2,500
     April 2............................
    (f) Secondary record of the                    1,500           2,500
     information reported on Form FRA F
     6180.49A...........................
229.25
    (a) through (e)(4) Tests: Every                3,000           4,500
     periodic inspection................
    (e)(5) Ineffective maintenance......           6,500           9,000
229.27 Annual tests.....................           3,000           4,500
229.29 Biennial tests...................           3,000           4,500
229.31
    (a) Biennial hydrostatic tests of              3,000           4,500
     main reservoirs....................
    (b) Biennial hammer tests of main              3,000           4,500
     reservoirs.........................
    (c) Drilled telltale holes in welded           3,000           4,500
     main reservoirs....................
    (d) Biennial tests of aluminum main            3,000           4,500
     reservoirs.........................
229.33 Out-of-use credit................           1,500           2,500
------------------------------------------------------------------------
                     Subpart C--Safety Requirements
------------------------------------------------------------------------
229.41 Protection against personal                 5,000           7,500
 injury.................................
229.43 Exhaust and battery gases                   5,000           7,500
229.45 General condition: To be assessed     1,500-6,500     2,500-9,000
 based on relevant facts................
229.46 Brakes: General..................           5,000           7,500

[[Page 70610]]

 
229.47 Emergency brake valve............           5,000           7,500
229.49 Main reservoir system:
    (a)(1) Main reservoir safety valve..           5,000           7,500
    (2) Pneumatically actuated control             5,000           7,500
     reservoir..........................
    (b)(c) Main reservoir governors.....           5,000           7,500
229.51 Aluminum main reservoirs.........           5,000           7,500
229.53 Brake gauges.....................           5,000           7,500
229.55 Piston travel....................           5,000           7,500
229.57 Foundation brake gear............           5,000           7,500
229.59 Leakage..........................           5,000           7,500
229.61 Draft system.....................           3,000           4,500
229.63 Lateral motion...................           3,000           4,500
229.64 Plain bearing....................           3,000           4,500
229.65 Spring rigging...................           3,000           4,500
229.67 Trucks...........................           5,000           7,500
229.69 Side bearings....................           5,000           7,500
229.71 Clearance above top of rail......           1,500           2,500
229.73 Wheel sets.......................           5,000           7,500
229.75 Wheel and tire defects:
    (a), (d) Slid flat or shelled
     spot(s):
    (1) One spot 2\1/2\'' or more but              5,000           7,500
     less than 3'' in length............
        (2) One spot 3'' or more in                6,500           9,000
         length.........................
        (3) Two adjoining spots each of            5,000           7,500
         which is 2'' or more in length
         but less than 2\1/2\'' in
         length.........................
        (4) Two adjoining spots each of            6,500           9,000
         which are at least 2'' in
         length, if either spot is 2\1/
         2\'' or more in length.........
    (b) Gouge or chip in flange of:
        (1) more than 1\1/2\'' but less            5,000           7,500
         than 1\5/8\'' in length; and
         more than \1/2\'' but less than
         \5/8\'' in width...............
        (2) 1\5/8\'' or more in length             6,500           9,000
         and 5/8'' or more in width.....
    (c) Broken rim......................           8,500          11,000
    (e) Seam in tread...................           5,000           7,500
    (f) Flange thickness of:
        (1) \7/8\'' or less but more               5,000           7,500
         than \13/16\''.................
        (2) \13/16\'' or less...........           6,500           9,000
    (g) Tread worn hollow...............           5,000           7,500
    (h) Flange height of:
        (1) 1\1/2\'' or greater but less           5,000           7,500
         than 1\5/8\''..................
        (2) 1\5/8\'' or more............           6,500           9,000
    (i) Tire thickness..................           5,000           7,500
    (j) Rim thickness:
        (1) Less than 1'' in road                  5,000           7,500
         service and \3/4\'' in yard
         service........................
        (2) \15/16\'' or less in road              6,500           9,000
         service and \11/16\'' in yard
         service........................
    (k):
        (1) Crack of less than 1''......           5,000           7,500
        (2) Crack of 1'' or more........           6,500           9,000
        (3) Break.......................           8,500          11,000
    (l) Loose wheel or tire.............           8,500          11,000
    (m) Welded wheel or tire............           5,000           7,500
229.77 Current collectors...............           3,000           4,500
229.79 Third rail shoes and beams.......           3,000           4,500
229.81 Emergency pole; shoe insulation..           5,000           7,500
229.83 Insulation or grounding..........           6,500           9,000
229.85 Door and cover plates marked                3,000           4,500
 ``Danger''.............................
229.87 Hand operated switches...........           3,000           4,500
229.89 Jumpers; cable connections:
    (a) Jumpers and cable connections;             5,000           7,500
     located and guarded................
    (b) Condition of jumpers and cable             5,000           7,500
     connections........................
229.91 Motors and generators............           5,000           7,500
229.93 Safety cut-off device............           5,000           7,500
229.95 Venting..........................           5,000           7,500
229.97 Grounding fuel tanks.............           5,000           7,500
229.99 Safety hangers...................           5,000           7,500
229.101 Engines:
    (a) Temperature and pressure alarms,           3,000           4,500
     controls, and switches.............
    (b) Warning notice..................           5,000           7,500
    (c) Wheel slip/slide protection.....           3,000           4,500
229.103 Safe working pressure; factor of           5,000           7,500
 safety.................................
229.105 Steam generator number..........           1,500           2,500
229.107 Pressure gauge..................           5,000           7,500
229.109 Safety valves...................           5,000           7,500
229.111 Water-flow indicator............           5,000           7,500
229.113 Warning notice..................           5,000           7,500
229.115 Slip/slide alarms...............           5,000           7,500

[[Page 70611]]

 
229.117 Speed indicators................           5,000           7,500
229.119 Cabs, floors, and passageways:
    (a)(1) Cab set not securely mounted            3,000           4,500
     or braced..........................
    (2) Insecure or improper latching              3,000           4,500
     device.............................
    (b) Cab windows of lead locomotive..           3,000           4,500
    (c) Floors, passageways, and                   3,000           4,500
     compartments.......................
    (d) Ventilation and heating                    5,000           7,500
     arrangement........................
    (e) Continuous barrier..............           5,000           7,500
    (f) Containers for fuses and                   5,000           7,500
     torpedoes..........................
229.121 Locomotive cab noise............           5,000           7,500
229.123 Pilots, snowplows, end plates...           3,000           4,500
229.125
    (a) Headlights......................           5,000           7,500
    (d) Auxiliary lights................           5,000           7,500
229.127 Cab lights......................           3,000           4,500
229.129 Audible warning device:
    (a) prescribed sound levels.........           5,000           7,500
    arrangement of device...............           5,000           7,500
    (b) testing.........................           5,000           7,500
    (c) test procedures.................           5,000           7,500
    (c)(10) records of tests............           5,000           7,500
229.131 Sanders.........................           1,500           2,500
229.135 Event Recorders:
    (a) Lead locomotive without in-                5,000           7,500
     service event recorder.............
    (b) Failure to meet equipment                  5,000           7,500
     requirements.......................
    (c) Unauthorized removal or failure            5,000           7,500
     to remove from service.............
    (d) Improper response to out of                5,000           7,500
     service event recorder.............
    (e) Failure to preserve data or                5,000           7,500
     unauthorized extraction of data....
    (g) Tampering with device or data...           5,000           7,500
229.137 Sanitation, general:
    (a) Sanitation compartment in lead             5,000           7,500
     unit, complete failure to provide
     required items.....................
    (1) Ventilation.....................           3,000           4,500
    (2) Door missing....................           3,000           4,500
    (2)(i) Door doesn't close...........           3,000           4,500
    (2)(ii) No modesty lock.............           1,500           2,500
    (3) Not equipped with toilet in lead           5,000           7,500
    (4) Not equipped with washing system           3,000           4,500
    (5) Lack of paper...................           3,000           4,500
    (6) Lack of trash receptacle........           3,000           4,500
    (b) Exceptions:
        (1)(i) Commuter service, failure           1,500           2,500
         to meet conditions of exception
        (1)(ii) Switching service,                 1,500           2,500
         failure to meet conditions of
         exception......................
        (1)(iii) Transfer service,                 1,500           2,500
         failure to meet conditions of
         exception......................
        (1)(iv) Class III, failure to              1,500           2,500
         meet conditions of exception...
        (1)(v) Tourist, failure to meet            1,500           2,500
         conditions of exception........
        (1)(vi) Control cab locomotive,            1,500           2,500
         failure to meet conditions of
         exception......................
        (2) Noncompliant toilet.........           3,000           4,500
    (c) Defective/unsanitary toilet in             3,000           4,500
     lead unit..........................
    (1)-(5) Failure to meet conditions             3,000           4,500
     of exception.......................
    (d) Defective/unsanitary unit;                 3,000           4,500
     failure to meet conditions for
     trailing position..................
    (e) Defective/sanitary unit; failure           3,000           4,500
     to meet conditions for switching/
     transfer service...................
    (f) Paper, washing, trash holder;              3,000           4,500
     failure to equip prior to departure
    (g) Inadequate ventilation; failure            3,000           4,500
     to repair or move prior to
     departure..........................
    (h) Door closure/modesty lock;                 1,500           2,500
     failure to repair or move..........
    (i) Failure to retain/maintain of              3,000           4,500
     equipped units.....................
    (j) Failure to equip new units/in-             3,000           4,500
     cab facility.......................
    (k) Failure to provide potable water           3,000           4,500
229.139 Servicing requirements:
    (a) Lead occupied unit not sanitary.           3,000           4,500
    (b) Components not present/operating           1,500           2,500
    (c) Occupied unit in switching,                1,500           2,500
     transfer service, in trailing
     position not sanitary..............
    (d) Defective unit used more than 10           3,000           4,500
     days...............................
    (e) Failure to repair defective                1,500           2,500
     modesty lock.......................

[[Page 70612]]

 
229.141 Body structure, MU locomotives..           5,000           7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally, when two or more violations of these regulations
  are discovered with respect to a single locomotive that is used by a
  railroad, the appropriate penalties set forth above are aggregated up
  to a maximum of $11,000 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 $27,000
  for any violation where circumstances warrant. See 49 CFR part 209,
  appendix A. Failure to observe any condition for movement set forth in
  Sec.   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 Sec.
  229.19 will result in the lapse of any affected waiver.
\2\ The 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]

    29. 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.

    30. Appendix D to part 230 is revised to read as follows:

          Appendix D to Part 230.--Schedule of Civil Penalties
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
230.11 Repair of non-complying
 conditions:
    (a) Failure to repair non-complying           $3,000          $4,500
     steam locomotive prior to use in
     service............................
    (b) Failure of owner and/or operator           3,000           4,500
     to approve repairs made prior to
     use of steam locomotive............
230.12 Movement of non-complying steam             (\1\)           (\1\)
 locomotive.............................
230.13 Daily inspection:
    (a) (b):
        (1) Inspection overdue..........           5,000           7,500
        (2) Inspection not performed by            3,000           4,500
         qualified person...............
    (c) Inspection report not made,                3,000           4,500
     improperly executed or not retained
230.14 Thirty-one service day
 inspection:
    (a):
        (1) Inspection overdue..........           5,000           7,500
        (2) Inspection not performed by            3,000           4,500
         qualified person...............
    (b) Failure to notify FRA...........           3,000           4,500
    (c) Inspection report not made,                3,000           4,500
     improperly executed, not properly
     filed..............................
230.15 Ninety-two service day
 inspection:
    (a):
        (1) Inspection overdue..........           5,000           7,500
        (2) Inspection not performed by            3,000           4,500
         qualified person...............
    (b) Inspection report not made,                3,000           4,500
     improperly executed, not properly
     filed..............................
230.16 Annual inspection:
    (a):
        (1) Inspection overdue..........           5,000           7,500
        (2) Inspection not performed by            3,000           4,500
         qualified person...............
    (b) Failure to notify FRA...........           3,000           4,500
    (c) Inspection report not made,                3,000           4,500
     improperly executed, not properly
     filed..............................
230.17 One thousand four hundred seventy-
 two service day inspection:
    (a):
        (1) Inspection overdue..........           5,000           7,500
        (2) Inspection not performed by            3,000           4,500
         qualified person...............
    (b) Inspection report not made,                3,000           4,500
     improperly executed, not properly
     maintained, not properly filed.....
230.18 Service days:
    (a) Service day record not available           3,000           4,500
     for inspection.....................
    (b) Failure to file service day                3,000           4,500
     report with FRA Regional
     Administrator......................
    (c) Failure to complete all 1,472              5,000           7,500
     service day inspection items prior
     to returning retired steam
     locomotive to service..............
230.19 Posting of forms:
    (a) FRA Form No. 1:
        (1) FRA Form No. 1 not properly            3,000           4,500
         filled out.....................
        (2) FRA Form No. 1 not properly            3,000           4,500
         displayed......................
    (b) FRA Form No. 3:
        (1) FRA Form No. 3 not properly            3,000           4,500
         filled out.....................
        (2) FRA Form No. 3 not properly            3,000           4,500
         displayed......................

[[Page 70613]]

 
230.20 Alteration and repair reports:
    (a) Alterations:
        (1) Failure to properly file FRA           3,000           4,500
         Form No. 19 with FRA Regional
         Administrator..................
        (2) FRA Form No. 19 not properly           3,000           4,500
         filled out.....................
        (3) FRA Form No. 19 not properly           3,000           4,500
         maintained.....................
    (b) Repairs to unstayed portions of
     the boiler:
        (1) FRA Form No. 19 not properly           3,000           4,500
         filled out.....................
        (2) FRA Form No. 19 not properly           3,000           4,500
         maintained.....................
    (c) Repairs to stayed portions of
     the boiler:
        (1) FRA Form No. 19 not properly           3,000           4,500
         filled out.....................
        (2) FRA Form No. 19 not properly           3,000           4,500
         maintained.....................
230.21 Failure to properly document                3,000           4,500
 steam locomotive number Change.........
------------------------------------------------------------------------
          Subpart B--Boilers and Appurtenances
------------------------------------------------------------------------
230.22 Failure to properly report                  5,000           7,500
 accident resulting from failure of
 steam locomotive boiler or part or
 appurtenance thereof...................
230.23 Responsibility for general
 construction and safe working pressure:
    (a) Failure to properly establish              8,500          11,000
     safe working pressure for steam
     locomotive boiler..................
    (b) Placing steam locomotive in                8,500          11,000
     service before safe working
     pressure for boiler has been
     established........................
230.24 Maximum allowable stress values
 on boiler components:
    (a) Use of materials not of                    3,000           4,500
     sufficient tensile strength........
    (b) Use of a safety factor value of            6,500           9,000
     less than 4 when using the code of
     original construction in boiler
     calculations.......................
230.25 Maximum allowable stresses on
 stays and braces:
    (a) Exceeding allowable stress                 3,000           4,500
     values on fire box and/or
     combustion chamber.................
    (b) Exceeding allowable stress                 3,000           4,500
     values on round, rectangular or
     gusset braces......................
230.29 Inspection and repair:
    (a):
        (1) Failure of owner and/or                5,000           7,500
         operator to inspect and repair
         any steam locomotive boiler and/
         or appurtenance under control
         thereof........................
        (2) Failure to remove steam                6,500           9,000
         locomotive from service when
         considered necessary to do so..
    (b):
        (1) Failure of perform repairs             6,500           9,000
         in accordance with accepted
         industry standards.............
        (2) Owner and/or operator                  6,500           9,000
         returning steam locomotive
         boiler and/or appurtenances to
         service before they are in good
         condition and safe and suitable
         for service....................
230.30 Lap-joint seam boilers, Failure             6,500           9,000
 to properly inspect....................
230.31 Flues to be removed:
    (a):
        (1) Failure to remove all flues            5,000           7,500
         when inspecting boiler.........
        (2) Failure to enter boiler and            5,000           7,500
         clean and inspect..............
    (b) Failure to remove superheater              3,000           4,500
     flues when deemed necessary to do
     so.................................
230.32 Time and method of inspection:
    (a) Failure to perform 1,472 service           5,000           7,500
     day inspection when required to do
     so.................................
    (b) Failure to properly inspect                5,000           7,500
     boiler during 1,472 service day
     inspection.........................
230.33 Welded repairs and alterations:
    (a) Failure to obtain permission               5,000           7,500
     before welding on unstayed portions
     of boiler containing alloy or
     carbon steel with carbon content
     over .25 percent carbon............
    (b) Failure to perform welding on              5,000           7,500
     unstayed portions of boiler
     containing carbon steel not
     exceeding .25 percent carbon in
     accordance with a nationally
     accepted standard for boiler
     repairs............................
    (c):
        (1) Failure to submit written              5,000           7,500
         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...
        (2) Repairing wasted sheets.....           5,000           7,500
230.34 Riveted repairs and alterations:
    (a) Failure to obtain approval                 5,000           7,500
     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............................
    (b) Failure to perform riveted                 5,000           7,500
     repairs on unstayed boiler portions
     in accordance with established
     railroad practices or accepted
     national standards for boiler
     repairs............................
    (c) Failure to perform riveted                 3,000           4,500
     repairs on stayed boiler portions
     in accordance with established
     railroad practices or accepted
     national standards for boiler
     repairs............................
230.35 Failure to raise temperature of             3,000           4,500
 steam locomotive boiler to 70 degrees
 F. before applying hydrostatic pressure
 to the boiler..........................
230.36 Hydrostatic testing of boilers:
    (a) Failure to perform hydrostatic             5,000           7,500
     test of boiler as required.........
    (b) Failure to properly perform                5,000           7,500
     hydrostatic test...................
    (c) Failure to properly inspect                5,000           7,500
     boiler after conducting hydrostatic
     test above MAWP....................
230.37 Failure to perform proper steam             3,000           4,500
 test or inspection of boiler after
 completion of repair or alteration to
 boiler.................................

[[Page 70614]]

 
230.38 Telltale holes:
    (a) Failure to have telltale holes             3,000           4,500
     as required in staybolts...........
    (b) Failure to have proper telltale            3,000           4,500
     holes in reduced body staybolts....
    (c) Failure to keep telltales holes            3,000           4,500
     when so required...................
230.39 Broken staybolts:
    (a) Boiler in service with excess              5,000           7,500
     number of broken staybolts.........
    (b) Failure to replace staybolts               5,000           7,500
     when required to do so; to properly
     replace staybolts when so required;
     to inspect adjacent staybolts when
     replacing broken staybolts.........
    (c) Failure to count leaking,                  5,000           7,500
     plugged, or missing telltale holes
     as broken staybolts................
    (d) Closing telltale holes by                  5,000           7,500
     prohibited means...................
230.40 Time and method of staybolt
 testing:
    (a) Failure to hammer test staybolts           3,000           4,500
     when so required...................
    (b) Failure to properly hammer test            3,000           4,500
     staybolts..........................
230.41 Flexible staybolts with caps:
    (a) Failure to inspect flexible                3,000           4,500
     staybolts as required..............
    (b) Failure to replace broken                  3,000           4,500
     flexible staybolts; failure to
     close inner ends of telltale holes
     as required........................
    (c) Failure to report removal of               3,000           4,500
     flexible staybolts caps and other
     tests on FRA Form No. 3 when so
     required...........................
    (d) Failure to remove staybolt caps            3,000           4,500
     or otherwise test when FRA
     inspector or steam locomotive owner
     and/or operator consider it
     necessary to do so.................
230.42 Failure to have accurate boiler             6,500           9,000
 steam gauge where engine crew can
 conveniently read......................
230.43 Failure to have gauge siphon of             3,000           4,500
 proper capacity on steam gauge supply
 pipe; failure to properly clean,
 maintain the steam gauge supply pipe...
230.44 Failure to test steam gauge when            3,000           4,500
 so required............................
230.45 Failure to properly test and/or             3,000           4,500
 set steam gauge........................
230.46 Failure to attach to boiler                 3,000           4,500
 backhead metal badge plate showing
 allowable steam pressure...............
230.47 Boiler Number:
    (a) (b) (c) Failure to stamp                   3,000           4,500
     builder's number on boiler when
     number is known....................
230.48 Number and capacity of safety
 relief valves:
    (a) Failure to equip steam                     6,500           9,000
     locomotive boiler with proper
     safety relief valves...............
    (b) Failure to provide additional              6,500           9,000
     safety relief valve capacity when
     so required........................
230.49 Setting of safety relief valves:
    (a) Safety relief valve(s) set and/            6,500           9,000
     or adjusted by person not competent
     to do so...........................
    (b) Safety relief valve(s) not set             6,500           9,000
     to open at prescribed pressure(s)..
    (c) Safety relief valve(s) not                 6,500           9,000
     properly set.......................
    (d) Set pressure of lowest safety              3,000           4,500
     relief valve not properly indicated
230.50 Failure to test and adjust safety           5,000           7,500
 relief valves when required to do so...
230.51 Failure to equip steam locomotive           3,000           4,500
 boiler with at least 2 properly
 installed water glasses................
230.52 Failure to properly equip water             6,500           9,000
 glasses................................
230.53 Failure to properly clean water             3,000           4,500
 glass valves and/or gauge cocks when
 required to do so......................
230.54 Testing and maintenance:
    (a) Failure to properly test water             3,000           4,500
     glasses and/or gauge cocks.........
    (b) Failure to properly maintain               5,000           7,500
     gauge cocks, water column drain
     valves, and/or water glass valves..
230.55 Tubular type water and lubricator
 glasses and shields:
    (a) Failure to renew tubular type              3,000           4,500
     water glasses as required..........
    (b) Failure to properly shield                 3,000           4,500
     tubular water glasses and/or
     lubricator glasses.................
    (c) Failure to properly locate and/            3,000           4,500
     or maintain water glasses and/or
     water glass shields................
230.56 Failure to equip water glass with           3,000           4,500
 suitable lamp..........................
230.57 Injectors and feedwater pumps:
    (a) Failure to equip steam                     6,500           9,000
     locomotive with proper means for
     delivering water to the boiler.....
    (b) Failure to properly test and/or            6,500           9,000
     maintain injectors, feedwater
     pumps, boiler checks, delivery
     pipes, feed water pipes, tank hose,
     tank valves........................
    (c) Failure to properly brace                  3,000           4,500
     injectors, feedwater pumps, and/or
     associated piping..................
230.58 Flue plugs:
    (a) Plugging flue plugs when not               3,000           4,500
     otherwise permitted................
    (b) Improperly plugging flue plugs,            3,000           4,500
     when otherwise permitted...........
230.59 Failure to remove and properly              5,000           7,500
 clean fusible boiler plugs when
 required to do so; failure to properly
 note removal...........................
230.60 Time of washing:
    (a) Failure to thoroughly wash                 3,000           4,500
     boiler when required to do so......
    (b) Failure to remove washout plugs,           5,000           7,500
     arch tube plugs, thermic siphon
     plugs, circulator plugs, water bar
     plugs when washing locomotive
     boiler.............................
    (c) Failure to examine and/or                  5,000           7,500
     properly maintain washout plugs,
     washout plug sleeves, threaded
     openings
    (d) Failure to clean fusible plugs             5,000           7,500
     when required to do so.............
230.61 Arch tubes, water bar tubes,
 circulators and thermic siphons:
    (a) Failure to clean, wash, inspect            3,000           4,500
     arch tubes, water bar tubes,
     circulators and thermic siphons as
     required...........................
    (b) Failure to renew arch tubes,               5,000           7,500
     water bar tubes; failure to repair
     or renew circulators, thermic
     siphons when required..............
    (c) Failure to properly inspect and/           5,000           7,500
     or replace as necessary arch tubes,
     water bar tubes, circulators.......
230.62 Failure to properly inspect and/            6,500           9,000
 or repair or replace as necessary dry
 pipes subject to pressure..............

[[Page 70615]]

 
230.63 Failure to properly inspect smoke           5,000           7,500
 box, steam pipes, pressure parts when
 required to do so......................
230.64 Failure to remove from service              5,000           7,500
 steam locomotive boiler leaking under
 lagging from condition which may reduce
 safety and/or repair the boiler before
 returning to service...................
230.65 Failure to keep steam locomotive            3,000           4,500
 boiler, piping, appurtenances in repair
 so steam does not obscure vision.......
230.66 Failure to properly oversee                 3,000           4,500
 general design, construction,
 maintenance of steam locomotive(s) and
 tender(s)..............................
230.67 Failure to ensure all steam                 6,500           9,000
 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................................
230.68 Failure to equip steam locomotive           3,000           4,500
 that operates in excess of 20 miles per
 hour over the general system with speed
 indicator maintained to ensure accurate
 functioning............................
230.69 Failure to equip steam locomotive           3,000           4,500
 with properly supported ash pan with
 operating mechanism that may be safely
 operated and securely closed...........
230.70 Safe condition:
    (a) Failure to perform proper pre-             3,000           4,500
     departure inspection when so
     required...........................
    (b) Failure to properly equip steam            3,000           4,500
     locomotive with brake pipe valve
     clearly identified as ``Emergency
     Brake Valve''......................
230.71 Orifice testing of air
 compressors:
    (a)(b):
        Failure to properly test and/or            3,000           4,500
         maintain air compressor(s)
         capacity.......................
230.72 Testing main reservoirs:
    (a) Failure to properly test main              3,000           4,500
     reservoir(s) when required.........
    (b) Impermissibly or improperly                3,000           4,500
     drilling main reservoir............
    (c) Impermissibly using NDE method             3,000           4,500
     to measure wall thickness of main
     reservoirs.........................
    (d) Failure to use appropriate                 5,000           7,500
     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..........................
230.73 Air gauges:
    (a) Failure to equip steam                     3,000           4,500
     locomotive with properly located
     air gauge(s) that are no more than
     3 psi in error.....................
    (b) Failure to test air gauge(s)               3,000           4,500
     when so required...................
    (c) Failure to properly test air               3,000           4,500
     gauge(s)...........................
230.74 Failure to properly clean and/or            3,000           4,500
 test all air brake valves, related dirt
 collectors, filters when required to do
 so.....................................
230.75 Failure to properly stencil or              3,000           4,500
 display date of testing and cleaning
 and initials of shop or station
 performing work........................
230.76 Piston travel:
    (a) Insufficient minimum piston                3,000           4,500
     travel.............................
    (b) Excessive piston travel when               3,000           4,500
     steam locomotive is stationary.....
230.77 Foundation brake gear:
    (a) Failure to properly maintain               3,000           4,500
     foundation brake gear..............
    (b) Foundation brake gear less than            3,000           4,500
     2.5 inches above rail..............
230.78 Leakage:
    (a):
        (1) Failure to test for leakage            3,000           4,500
         from main reservoir or related
         piping as required.............
        (2) Failure to repair excessive            3,000           4,500
         leakage from main reservoir or
         related piping leakage.........
    (b) Failure to test for brake                  3,000           4,500
     cylinder as required...............
    (c):
        (1) Failure to test for leakage            3,000           4,500
         from steam locomotive brake
         pipe as required...............
        (2) Failure to repair excessive            3,000           4,500
         brake pipe leakage.............
230.79 Train signal system:
    (1) Failure to test the train signal           3,000           4,500
     system or other form of on-board
     communication as required..........
    (2) Failure to repair train signal             3,000           4,500
     system or other on-board
     communication when not safe or
     suitable for service...............
230.80 Cabs:
    (a) Steam locomotive cab not safe              3,000           4,500
     and suitable for service...........
    (b) Steam pipes: Construction,                 3,000           4,500
     attachment.........................
    (c) Oil-burning steam locomotive,              3,000           4,500
     cab-enclosed.......................
230.81 Cab aprons:
    (a) Cab apron, general provisions...           3,000           4,500
    (b) Cab apron, insufficient width...           3,000           4,500
230.82 Fire doors:
    (a) Safe and suitable for service,             3,000           4,500
     general provisions.................
    (b) Construction and maintenance of            3,000           4,500
     mechanically operated fire doors...
    (c) Construction and maintenance of            3,000           4,500
     hand-operated fire doors...........
230.83 Cylinder cocks:
    (1) Failure to properly equip with             3,000           4,500
     cylinder cocks.....................
    (2) Failure to properly maintain               3,000           4,500
     cylinder cocks.....................
230.84 Sanders:
    (1) Inoperable sanders..............           3,000           4,500

[[Page 70616]]

 
    (2) Failure to test sanders.........           3,000           4,500
230.85 Audible warning devices:
    (a) General provisions..............           3,000           4,500
    (b) Sound level measurements,                  3,000           4,500
     Failure to properly take...........
230.86 Required illumination:
    (a) General provisions..............           3,000           4,500
    (b) Dimming device, Failure to                 3,000           4,500
     properly equip with................
    (c) Multiple locomotives, Failure of           3,000           4,500
     lead locomotive to display
     headlight..........................
230.87 Cab lights: Failure to properly             3,000           4,500
 equip with.............................
230.88 Throttles: Failure to properly              3,000           4,500
 maintain, equip........................
230.89 Reverse gear:
    (a) General provisions..............           3,000           4,500
    (b) Air-operated power reverse gear.           3,000           4,500
    (c) Power reverse gear reservoirs...           3,000           4,500
230.90 Draw gear and draft systems:
    (a) Maintenance and testing.........           3,000           4,500
    (b) Safety bars and chains, general.           3,000           4,500
    (c) Safety bars and chains, minimum            3,000           4,500
     length.............................
    (d) Lost motion between steam                  3,000           4,500
     locomotive and tender..............
    (e) Spring buffers: Improper                   3,000           4,500
     application, compression...........
230.91 Chafing irons: Improper                     3,000           4,500
 application, maintenance...............
230.92 Draw gear, draft systems:                   3,000           4,500
 Improperly maintained, fastened........
230.93 Pistons and piston rods:
    (a) Failure to properly inspect,               3,000           4,500
     maintain, renew....................
    (b) Fasteners: Failure to keep                 3,000           4,500
     tight, properly equip..............
230.94 Crossheads: Improperly                      3,000           4,500
 maintained, excess clearance...........
230.95 Guides: Failure to securely                 3,000           4,500
 fasten, properly maintain..............
230.96 Main, side, valve motion rods:
    (a) General.........................           3,000           4,500
    (b) Repairs.........................           3,000           4,500
        (1) Failure to make in                     3,000           4,500
         accordance with accepted
         national standard..............
        (2) Failure to submit written              3,000           4,500
         request for approval prior to
         welding........................
    (c) Bearings and bushings...........           3,000           4,500
    (d) Rod side motion: Excessive                 3,000           4,500
     motion.............................
    (e) Oil, grease cups: Failure to               3,000           4,500
     securely fasten, properly equip....
    (f) Main rod bearings:
        (1) excessive bore..............           3,000           4,500
        (2) excessive lost motion.......           3,000           4,500
    (g) Side rod bearings, excessive               3,000           4,500
     bore...............................
230.97 Crank pins:
    (a) General provisions..............           3,000           4,500
    (b) Maintenance: Failure to maintain           3,000           4,500
     in safe, suitable condition........
230.98 Driving, trailing, engine truck
 axles:
    (a) Condemning defects..............           3,000           4,500
    (b) Journal diameter: Failure to               1,500           2,500
     stamp on end of axle...............
230.99 Tender truck axle: Insufficient             3,000           4,500
 diameter...............................
230.100 Defects in tender truck axles
 and journals:
    (a) Tender truck axle condemning               3,000           4,500
     defects............................
    (b) Tender truck journal condemning            3,000           4,500
     defects............................
230.101 Steam locomotive driving journal
 boxes:
    (a) Driving journal boxes: Failure             3,000           4,500
     to properly maintain...............
    (b) Broken bearings: Failure to                3,000           4,500
     renew..............................
    (c) Loose bearings: Failure to                 3,000           4,500
     repair or renew....................
230.102 Tender plain bearing journal               3,000           4,500
 boxes: Failure to repair...............
230.103 Tender roller bearing journal              3,000           4,500
 boxes: Failure to properly maintain....
230.104 Driving box shoes and wedges:              3,000           4,500
 Failure to properly maintain...........
230.105 Lateral motion:
    (a) Condemning limits: Total lateral           3,000           4,500
     motion in excess of................
    (b) Limits exceeded, failure to                3,000           4,500
     demonstrate conditions require
     additional lateral motion..........
    (c) Interferes with other parts of             3,000           4,500
     steam locomotive...................
230.106 Steam locomotive frame:
    (a) Failure to properly inspect and/           3,000           4,500
     or maintain........................
    (b) Broken frames, not properly                6,500           9,000
     patched or secured.................
230.107 Tender frame and body:
    (a) Failure to properly maintain....           3,000           4,500
    (b) Height difference between tender           3,000           4,500
     deck and steam locomotive cab floor
     or deck excessive..................
    (c) Gangway minimum width excessive.           3,000           4,500
    (d) Tender frame condemning defects.           5,000           7,500
230.108 Steam locomotive leading and
 trailing trucks:
    (a) Failure to properly maintain....           3,000           4,500
    (b) Safety chain, suitable safety              3,000           4,500
     chain not provided.................

[[Page 70617]]

 
    (c) Insufficient truck clearance....           3,000           4,500
230.109 Tender trucks:
    (a):
        (1) Tender truck frames.........           3,000           4,500
        (2) Tender truck center plate...           3,000           4,500
    (b) Tender truck bolsters: Failure             5,000           7,500
     to properly maintain...............
    (c) Condemning defects, springs and/           3,000           4,500
     or spring rigging..................
    (d) Truck securing arrangement: Not            3,000           4,500
     properly maintained................
    (e) Side bearings, truck centering             3,000           4,500
     devices............................
    (f) Friction side bearings: Run in             3,000           4,500
     contact............................
    (g):
        (1) Side bearings, failure to              3,000           4,500
         equip rear trucks with.........
        (2) Insufficient clearance of...           3,000           4,500
230.110 Pilots:
    (a) General provisions..............           3,000           4,500
    (b) Clearance, insufficient or                 3,000           4,500
     excessive..........................
230.111 Spring rigging:
    (a) Arrangement of springs and                 3,000           4,500
     equalizers.........................
    (b) Spring or spring rigging                   3,000           4,500
     condemning defects.................
230.112 Wheels and tires:
    (a) Improperly Mounted, excess                 5,000           7,500
     variance in axle diameter..........
    (b) Out of gage.....................           3,000           4,500
    (c) Flange distance variance,                  3,000           4,500
     excessive..........................
    (d) Tire thickness, insufficient....           3,000           4,500
    (e) Tire width, insufficient........           3,000           4,500
230.113 Wheels and tire defects:
    (1) Failure to repair...............           3,000           4,500
    (2) Welding on, except as otherwise            5,000           7,500
     provided for.......................
    (a) Cracks or breaks in.............           3,000           4,500
    (b) Flat spots......................           3,000           4,500
    (c) Chipped flange..................           3,000           4,500
    (d) Broken rim......................           3,000           4,500
    (e) Shelled-out spots...............           3,000           4,500
    (f) Seams...........................           3,000           4,500
    (g) Worn flanges, excessive wear....           3,000           4,500
    (h) Worn treads, excessive wear.....           3,000           4,500
    (i) Flange height, insufficient or             3,000           4,500
     excessive..........................
    (j) Rim thickness, insufficient.....           3,000           4,500
    (k) Wheel diameter, excessive                  3,000           4,500
     variance...........................
230.114 Wheel centers:
    (a) Filling blocks and shims........           3,000           4,500
    (b) Wheel center condemning limits,            3,000           4,500
     failure to repair..................
    (c) Wheel center repairs............           3,000           4,500
    (d) Counterbalance maintenance......           3,000           4,500
230.115 Feed water tanks:
    (a) General provisions..............           3,000           4,500
    (b) Inspection frequency, failure to           3,000           4,500
     inspect as required................
    (c) Top of tender: Improperly                  3,000           4,500
     maintained and/or equipped.........
230.116 Oil tanks:
    (1) Failure to properly maintain....           6,500           9,000
    (2) Failure to equip with complying            8,500         11,000
     safety cut-off device..............
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition for
  movement set forth in Sec.   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 Sec.
  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
  $11,000 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. The 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]

    31. 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.

    32. Appendix A to part 231 is revised to read as follows:

[[Page 70618]]



         Appendix A to Part 231.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
110.A1 Hand Brake or Hand Brake Part              $6,500          $9,000
 Missing................................
110.A2 Hand Brake or Hand Brake Part               6,500           9,000
 Broken.................................
110.A3 Hand Brake or Hand Brake Part               5,000           7,500
 Loose or Worn..........................
110.B1 Hand Brake Inoperative...........           6,500           9,000
110.B2 Hand Brake Inefficient...........           5,000           7,500
110.B3 Hand Brake Improperly Applied....           5,000           7,500
110.B4 Hand Brake Incorrectly located...           3,000           4,500
110.B5 Hand Brake Shaft Welded or Wrong            3,000           4,500
 Dimension..............................
110.B6 Hand Brake Shaft Not Retained in            3,000           4,500
 Operating Position.....................
110.B8 Hand Brake or Hand Brake Parts              3,000           4,500
 Wrong Design...........................
114.B2 Hand Brake Wheel or Lever Has               3,000           4,500
 Insufficient Clearance Around Rim or
 Handle.................................
114.B3 Hand Brake Wheel/Lever Clearance            3,000           4,500
 Insufficient to Vertical Plane Through
 Inside Face of Knuckle.................
120.A1 Brake Step Missing Except by                6,500           9,000
 Design.................................
120.A2 Brake Step or Brace Broken or               6,500           9,000
 Decayed................................
120.A3 Brake Step or Brace Loose........           5,000           7,500
120.B1 Brake Step or Brace Bent.........           5,000           7,500
120.B2 Brake Step or Wrong Dimensions...           3,000           4,500
120.C1 Brake Step Improperly Applied....           3,000           4,500
120.C2 Brake Step Improperly Located....           3,000           4,500
120.C3 Brake Step With Less Than 4''               3,000           4,500
 Clearance to Vertical Plane through
 Inside Face of Knuckle.................
120.C4 Brake Step Obstructed or                    5,000           7,500
 Otherwise Unsafe.......................
124.A1 Running Board Missing or Part               6,500           9,000
 Missing Except By Design...............
124.A2 Running Board Broken or Decayed..           6,500           9,000
124.A3 Running Board Loose Presents a              6,500           9,000
 Tripping Hazard or Other Unsafe
 Condition..............................
124.A4 Running Board Wrong Material.....           3,000           4,500
124.B1 Running Board Bent to the Extent            5,000           7,500
 that It is Unsafe......................
124.B2 Running Board Wrong Dimensions...           3,000           4,500
124.B3 Running Board Wrong Location.....           3,000           4,500
124.C1 Running Board Improperly Applied.           3,000           4,500
124.C2 Running Board Obstructed.........           5,000           7,500
126.A1 End Platform Missing or Part                6,500           9,000
 Except By Design.......................
126.A2 End Platform Broken or Decayed...           6,500           9,000
126.A3 End Platform Loose...............           5,000           7,500
126.B1 End Platform or Brace Bent.......           3,000           4,500
126.B2 End Platform Wrong Dimensions....           3,000           4,500
126.C1 End Platform Improperly Applied..           3,000           4,500
126.C2 End Platform With Less Than                 3,000           4,500
 Required Clearance to Vertical Plane
 Through Inside Knuckle.................
126.C3 End Platform Improperly Located..           3,000           4,500
126.C4 End Platform Obstructed..........           5,000           7,500
128.A1 Platform or Switching Step                  6,500           9,000
 Missing................................
128.A2 Platform or Switching Step Broken           6,500           9,000
 or Decayed.............................
128.A3 Platform or Switching Step Loose.           5,000           7,500
128.B1 Platform or Switching Step Bent..           5,000           7,500
128.B2 Platform or Switching Step Does             3,000           4,500
 Not Meet the Required Location or
 Dimensions.............................
128.C1 Platform or Switching Step                  5,000           7,500
 Improperly Applied or Repaired.........
128.C2 Platform or Switching Step                  5,000           7,500
 Obstructed.............................
128.D1 Switching Step Back Stop or Kick            3,000           4,500
 Plate Missing..........................
128.D2 Switching Step Not Illuminated              3,000           4,500
 When Required..........................
128.D3 Non-Illuminated Step Not Painted            1,500           2,500
 Contrasting Color......................
130.A1 Sill Step or Additional Tread,              6,500           9,000
 Missing................................
130.A2 Sill Step or Additional Tread,              6,500           9,000
 Broken.................................
130.A3 Sill Step or Additional Tread,              5,000           7,500
 Loose..................................
130.B1 Sill Step or Additional Tread,              5,000           7,500
 Bent...................................
130.B2 Sill Step or Additional Tread,              3,000           4,500
 Having Wrong Dimensions or Improperly
 Located................................
130.B3 Sill Step Improperly Applied.....           3,000           4,500
132.A1 Side Missing Step................           6,500           9,000
132.A2 Side Door Step Broken............           6,500           9,000
132.A3 Side Door Step Loose.............           5,000           7,500
132.B1 Side Door Step Bent..............           5,000           7,500
132.B2 Side Door Step Having Wrong                 3,000           4,500
 Dimensions.............................
134.A1 Ladder Missing...................           6,500           9,000
134.A2 Ladder Broken....................           6,500           9,000
134.A3 Ladder Loose.....................           5,000           7,500
134.B1 Ladder Bent......................           5,000           7,500
134.B2 Ladder Having Wrong Dimensions...           3,000           4,500
134.C1 Ladder Improperly Applied........           3,000           4,500
134.C2 Ladder Having Insufficient                  3,000           4,500
 Clearance or Improperly Located........
134.C3 Ladder Wrong Design..............           3,000           4,500
134.C4 Ladder Wrong Material............           3,000           4,500
134.D1 End Clearance Insufficient.......           3,000           4,500
136.A1 Ladder Tread or Handholds Missing           6,500           9,000

[[Page 70619]]

 
136.A2 Ladder Tread or Handhold Broken..           6,500           9,000
136.A3 Ladder Tread or Handhold Loose              5,000           7,500
 Except By Design.......................
136.B1 Ladder Tread or Handhold Bent to            5,000           7,500
 The Extent That It May Be Unsafe.......
136.B2 Ladder Tread or Handhold Wrong              3,000           4,500
 Dimensions.............................
136.C1 Ladder Tread or Handhold                    3,000           4,500
 Improperly Applied.....................
136.C2 Ladder Tread or Handhold Having             3,000           4,500
 Wrong Clearance........................
136.C3 Ladder or Handhold Improperly               3,000           4,500
 Located................................
136.C4 Ladder Tread or Handhold                    5,000           7,500
 Obstructed.............................
136.C5 Ladder Tread Without Footguards..           5,000           7,500
138.A1 Hand or Safety Railing Missing...           6,500           9,000
138.A2 Hand or Safety Railing Broken....           6,500           9,000
138.A3 Hand or Safety Railing Loose                5,000           7,500
 Except by Design.......................
138.B1 Hand or Safety Railing Bent......           5,000           7,500
138.B2 Hand or Safety Railing Wrong                3,000           4,500
 Dimensions.............................
138.C1 Hand or Safety Railing Improperly           3,000           4,500
 Applied................................
138.C2 Hand or Safety Railing Having               3,000           4,500
 Less Than the Required Clearance.......
138.C3 Hand or Safety Railing Improperly           3,000           4,500
 Located................................
140.A1 Uncoupling Lever Missing.........           5,000           7,500
140.A2 Uncoupling Lever Broken or                  5,000           7,500
 Disconnected...........................
140.B1 Uncoupling Lever Bent Will Not              5,000           7,500
 Safely and Reasonably Function As
 Intended...............................
140.C1 Uncoupling Lever Bracket Bent               5,000           7,500
 Lever Will Not Function Properly.......
140.C2 Uncoupling Lever Bracket Broken             5,000           7,500
 or Missing.............................
140.D1 Uncoupling Lever Wrong Dimension.           3,000           4,500
140.D2 Uncoupling Lever With Improper              3,000           4,500
 Handle Clearance.......................
144.A1 Coupler Missing..................           6,500           9,000
144.B1 Coupler Height Incorrect.........           3,000           4,500
144.C1 Coupler Inoperative..............           5,000           7,500
145.A1 Kick Plates Missing..............           3,000           4,500
145.A2 Kick Plates Broken...............           3,000           4,500
145.B1 Kick Plates Wrong Dimensions.....           3,000           4,500
145.B2 Kick Plates Improper Clearance...           3,000           4,500
145.B3 Kick Plates Insecure Or                     3,000           4,500
 Improperly Applied.....................
146.A Notice or Stencil not Posted on              1,500           2,500
 Cabooses with Running Boards Removed...
146.B Safe Means not Provided to Clean             1,500           2,500
 or Maintain Windows of Caboose.........
231.31 Drawbars, standard height........           5,000           7,500
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ This schedule uses section numbers from FRA's Safety Appliance
  Defect Code, a restatement of the CFR text in a reorganized format.
  For convenience, and as an exception to FRA's general policy, penalty
  citations will cite the defect code rather than the CFR. FRA reserves
  the right, should litigation become necessary, to substitute in its
  complaint the CFR and/or statutory citation in place of the defect
  code section cited in the penalty demand letter.

PART 232--[AMENDED]

    33. 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.

    34. Appendix A to part 232 is revised to read as follows:

          Appendix A to Part 232.--Schedule of Civil Penalties
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
232.15 Movement of power brake defects:
    (a) Improper movement, general......           (\1\)           (\1\)
        (11) Failure to make                      $5,000          $7,500
         determinations and provide
         notification of en route defect
    (b) Complete failure to tag.........           5,000           7,500
        (1) Insufficient tag or record..           1,500           2,500
        (2), (4) Improper removal of tag           5,000           7,500
        (3) Failure to retain record of            5,000           7,500
         tag............................
    (c) Improper loading or purging.....           5,000           7,500
    (e) Improper placement of defective            5,000           7,500
     equipment..........................
232.19 Availability of records..........           (\1\)           (\1\)
------------------------------------------------------------------------
                     Subpart B--General Requirements
------------------------------------------------------------------------
232.103 All train brake systems:
    (a)-(c), (h)-(i) Failure to meet               5,000           7,500
     general design requirements........
    (d) Failure to have proper                     6,500           9,000
     percentage of operative brakes from
     Class I brake test.................

[[Page 70620]]

 
    (e) Operating with less than 85                6,500           9,000
     percent operative brakes...........
    (f) Improper use of car with                   5,000           7,500
     inoperative or ineffective brakes..
    (g) Improper display of piston                 5,000           7,500
     travel.............................
    (m) Failure to stop train with                 5,000           7,500
     excess air flow or gradient........
    (n) Securement of unattended
     equipment:
        (1) Failure to apply sufficient            6,500           9,000
         number of hand brakes; failure
         to develop or implement
         procedure to verify number
         applied........................
        (2) Failure to initiate                    5,000           7,500
         emergency......................
        (3) Failure to apply hand brakes           5,000           7,500
         on locomotives.................
        (4) Failure to adopt or comply             6,500           9,000
         with procedures for securing
         unattended locomotive..........
    (o) Improper adjustment of air                 5,000           7,500
     regulating devices.................
    (p) Failure to hold supervisors                5,000           7,500
     jointly responsible................
232.105 Locomotives:
    (a) Air brakes not in safe and                 6,500           9,000
     suitable condition.................
    (b) Not equipped with proper hand or           6,500           9,000
     parking brake......................
    (c)(1) Failure to inspect/repair               5,000           7,500
     hand or parking brake..............
    (2) Failure to properly stencil,               3,000           4,500
     tag, or record.....................
    (d) Excess leakage from equalizing             5,000           7,500
     reservoir..........................
    (e) Improper use of feed or                    5,000           7,500
     regulating valve braking...........
    (f) Improper use of passenger                  5,000           7,500
     position...........................
    (g) Brakes in operative condition...           6,500           9,000
232.107 Air sources/cold weather
 operations:
    (a)(1), (2) Failure to adopt or                6,500           9,000
     comply with monitoring program for
     yard air sources...................
    (3) Failure to maintain records.....           5,000           7,500
    (b) Failure to blow condensation....           6,500           9,000
    (c) Use of improper chemicals.......           6,500           9,000
    (d) Failure to equip or drain yard             6,500           9,000
     air reservoirs.....................
    (e) Failure to adopt or comply cold            6,500           9,000
     weather operating procedures.......
232.109 Dynamic brakes:
    (a) Failure to provide information..           5,000           7,500
    (b) Failure to make repairs.........           5,000           7,500
    (c) Failure to properly tag.........           3,000           4,500
    (d) Failure to maintain record of              1,500           2,500
     repair.............................
    (e) Improper deactivation...........           5,000           7,500
    (f) Improper use of locomotive as              5,000           7,500
     controlling unit...................
    (g) Locomotive not properly equipped           5,000           7,500
     with indicator.....................
    (h) Rebuilt locomotive not properly            5,000           7,500
     equipped...........................
    (j) Failure to adopt or comply with            6,500           9,000
     dynamic brake operating rules......
    (k) Failure to adopt or comply with            6,500           9,000
     training on operating procedures...
232.111 Train handling information:
    (a) Failure to adopt and comply with           6,500           9,000
     procedures.........................
    (b) Failure to provide specific                5,000           7,500
     information........................
------------------------------------------------------------------------
             Subpart C--Inspection and Testing Requirements
------------------------------------------------------------------------
232.203 Training requirements:
    (a) Failure to develop or adopt                8,500          11,000
     program............................
    (b)(1)-(9) Failure to address or               5,000           7,500
     comply with specific required item
     or provision of program............
    (c) Failure to adopt or comply with            6,500           9,000
     two-way EOT program................
    (d) Failure to adopt or comply with            6,500           9,000
     retaining valve program............
    (e) Failure to maintain adequate               6,500           9,000
     records............................
    (f) Failure to adopt and comply with           8,500          11,000
     periodic assessment plan...........
232.205 Class I brake test--initial
 terminal inspection:
    (a) Complete failure to perform            \1\ 8,500          11,000
     inspection.........................
    (c)(1)-(4), (6)-(8) Partial failure            6,500           9,000
     to perform inspection..............
    (c)(5) Failure to properly adjust              5,000           7,500
     piston travel (per car)............
    (d) Failure to use carman when                 3,000           4,500
     required...........................
    (e) Failure to provide proper                  5,000           7,500
     notification.......................
    (f) Failure to void compressed air..           5,000           7,500
232.207 Class IA brake tests--1,000-mile
 inspection:
    (a) Complete failure to perform            \1\ 6,500           9,000
     inspection.........................
    (b)(1)-(6) Partial failure to                  5,000           7,500
     perform inspection.................
    (c) Failure to properly designate              5,000           7,500
     location...........................
    (c)(1) Failure to perform at                   5,000           7,500
     designated location................
    (c)(2) Failure to provide                      5,000           7,500
     notification.......................
232.209 Class II brake tests--
 intermediate inspection:
    (a) Complete failure to perform            \1\ 6,500           9,000
     inspection.........................
    (b)(1)-(5), (c) Partial failure to             5,000           7,500
     perform inspection.................
    (d) Failure to conduct Class I after           (\1\)           (\1\)
     Class II pick-up...................
232.211 Class III brake tests--trainline
 continuity inspection:
    (a) Complete failure to perform                6,500           9,000
     inspection.........................

[[Page 70621]]

 
    (b)(1)-(4), (c) Partial failure to             5,000           7,500
     perform inspection.................
    (d) Failure to restore air pressure            5,000           7,500
     at rear............................
232.213 Extended haul trains:
    (a)(1) Failure to properly designate           6,500           9,000
     an extended haul train.............
    (a)(2)-(3), (5)(i), (8) Failure to             (\1\)           (\1\)
     perform inspections................
    (a)(4) Failure to remove defective             3,000           4,500
     car (per car)......................
    (a)(5)(ii), (6) Failure to conduct             6,500           9,000
     inbound inspection.................
    (a)(7) Failure to maintain record of           3,000           4,500
     defects (per car)..................
    (b) Improper movement or use of                6,500           9,000
     extended haul train................
232.215 Transfer train brake tests:
    (a) Failure to perform inspection...           6,500           9,000
    (b) Failure to perform on cars added           5,000           7,500
232.217 Train brake system tests
 conducted using yard air:
    (a) Failure to use suitable device..           5,000           7,500
    (b) Improper connection of air test            6,500           9,000
     device.............................
    (c) Failure to properly perform                (\1\)           (\1\)
     inspection.........................
    (d) Failure to calibrate test device           5,000           7,500
    (e) Failure to use accurate device..           5,000           7,500
232.219 Double heading and helper
 service:
    (a) Failure to perform inspection or           5,000           7,500
     inability to control brakes........
    (b) Failure to make visual                     5,000           7,500
     inspection.........................
    (c) Use of improper helper link                5,000           7,500
     device.............................
------------------------------------------------------------------------
        Subpart D--Periodic Maintenance and Testing Requirements
------------------------------------------------------------------------
232.303 General requirements:
    (b)-(d) Failure to conduct                     5,000           7,500
     inspection or test when car on
     repair track.......................
    (e) Improper movement of equipment             5,000           7,500
     for testing........................
    (e)(1) Failure to properly tag                 3,000           4,500
     equipment for movement.............
    (e)(2)-(4) Failure to retain record            3,000           4,500
     or improper removal of tag or card.
    (f) Failure to stencil or track test           5,000           7,500
     information........................
232.305 Single car tests:
    (a) Failure to test in accord with             5,000           7,500
     required procedure.................
    (b)-(c) Failure to perform test.....           5,000           7,500
232.309 Repair track air brake test and
 single car test equipment and devices:
    (a)-(f) Failure to properly test or            5,000           7,500
     calibrate..........................
------------------------------------------------------------------------
                     Subpart E--End-of-Train Devices
------------------------------------------------------------------------
232.403 Design standards for one-way
 devices:
    (a)-(g) Failure to meet standards...           5,000           7,500
232.405 Design standards for two-way
 devices:
    (a)-(i) Failure to meet standards...           5,000           7,500
232.407 Operating requirements for two-
 way devices:
    (b) Failure to equip a train........           6,500           9,000
    (c) Improper purchase...............           5,000           7,500
    (f)(1) Failure of device to be armed           6,500           9,000
     and operable.......................
    (f)(2) Insufficient battery charge..           5,000           7,500
    (f)(3) Failure to activate the                 5,000           7,500
     device.............................
    (g) Improper handling of en route              6,500           6,500
     failure, freight or other non-
     passenger..........................
    (h) Improper handling of en route              6,500           9,000
     failure, passenger.................
232.409 Inspection and testing of
 devices:
    (a) Failure to have unique code.....           5,000           7,500
    (b) Failure to compare quantitative            5,000           7,500
     values.............................
    (c) Failure to test emergency                  6,500           9,000
     capability.........................
    (d) Failure to properly calibrate...           5,000           7,500
------------------------------------------------------------------------
         Subpart F--Introduction of New Brake System Technology
------------------------------------------------------------------------
232.503 Process to introduce new
 technology:
    (b) Failure to obtain FRA approval..           8,500          11,000
232.505 Pre-revenue service acceptance
 testing plan:
    (a) Failure to obtain FRA approval..           6,500           9,000
    (b) Failure to comply with plan.....           5,000           7,500
    (f) Failure to test previously used            6,500           9,000
     technology.........................
------------------------------------------------------------------------
\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 $11,000
  per day. Although the penalties listed for failure to perform the
  brake inspections and tests under Sec.   232.205 through Sec.
  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 volatile conditions found on
  the equipment contained in the train consist. Moreover, the
  Administrator reserves the right to assess a penalty of up to $27,000
  for any violation where circumstances warrant. See 49 CFR part 209,
  appendix A.

[[Page 70622]]

 
Failure to observe any condition for movement of defective equipment set
  forth in Sec.   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 Sec.   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 Sec.   232.209, Sec.   232.213, and Sec.   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.

PART 233--[AMENDED]

    35. 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.

    36. Appendix A to part 233 is revised to read as follows:

        Appendix A to Part 233.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
233.5 Accidents resulting from signal             $5,000          $7,500
 failure................................
233.7 Signal failure reports............           3,000           4,500
233.9 Annual reports....................           1,500          2,500
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

PART 234--[AMENDED]

    37. 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.

    38. Appendix A to part 234 is revised to read as follows:

        Appendix A to Part 234.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                           Subpart B--Reports
------------------------------------------------------------------------
234.7 Accidents involving grade crossing          $5,000          $7,500
 signal failure.........................
234.9 Grade crossing signal system                 3,000           4,500
 failure reports........................
------------------------------------------------------------------------
      Subpart C--Response to Reports of Warning System Malfunction
------------------------------------------------------------------------
234.101 Employee notification rules.....           3,000           4,500
234.103 Timely response to report of               6,500           9,000
 malfunction............................
234.105 Activation failure:
    (a) Failure to notify--train crews..           8,500          11,000
        Other railroads.................           8,500          11,000
    (b) Failure to notify law                      3,000           4,500
     enforcement agency.................
    (c) Failure to comply with--flagging           6,500           9,000
     requirements.......................
        Speed restrictions..............           6,500           9,000
    (d) Failure to activate horn or                3,000           4,500
     whistle............................
234.106 Partial activation:
    (a) Failure to notify--train crews..           5,000           7,500
        Other railroads.................           5,000           7,500
    (b) Failure to notify law                      3,000           4,500
     enforcement agency.................
    (c) Failure to comply with--flagging           5,000           7,500
     requirements speed restrictions....
    (d) Failure to activate horn or                3,000           4,500
     whistle............................
234.107 False activation:
    (a) Failure to notify--train crews..           6,500           9,000
        Other railroads.................           6,500           9,000
    (b) Failure to notify law                      3,000           4,500
     enforcement agency.................
    (c) Failure to comply with--flagging           5,000           7,500
     requirements.......................
        Speed restrictions..............           5,000           7,500
    (d) Failure to activate horn or                3,000           4,500
     whistle............................
234.109 Recordkeeping...................           1,500           2,500
------------------------------------------------------------------------
             Subpart D--Maintenance, Inspection, and Testing
------------------------------------------------------------------------
Maintenance Standards:
    234.201 Location of plans...........           3,000           4,500
    234.203 Control circuits............           5,000           7,500
    234.205 Operating characteristics of           6,500           9,000
     warning system apparatus...........
    234.207 Adjustment, repair, or                 6,500           9,000
     replacement of component...........
    234.209 Interference with normal               8,500          11,000
     functioning of system..............
    234.211 Locking of warning system              3,000           4,500
     apparatus..........................

[[Page 70623]]

 
    234.213 Grounds.....................           5,000           7,500
    234.215 Standby power system........           8,500          11,000
    234.217 Flashing light units........           3,000           4,500
    234.219 Gate arm lights and light              3,000           4,500
     cable..............................
    234.221 Lamp voltage................           5,000           7,500
    234.223 Gate arm....................           3,000           4,500
    234.225 Activation of warning system           8,500          11,000
    234.227 Train detection apparatus...           8,500          11,000
    234.229 Shunting sensitivity........           8,500          11,000
    234.231 Fouling wires...............           6,500           9,000
    234.233 Rail joints.................           6,500           9,000
    234.235 Insulated rail joints.......           8,500          11,000
    234.237 Switch equipped with circuit           3,000           4,500
     controller.........................
    234.239 Tagging of wires and                   3,000           4,500
     interference of wires or tags with
     signal apparatus...................
    234.241 Protection of insulated                5,000           7,500
     wire; splice in underground wire...
    234.243 Wire on pole line and aerial           5,000           7,500
     cable..............................
    234.245 Signs.......................           3,000           4,500
Inspections and Tests:
    234.247 Purpose of inspections and             6,500           9,000
     tests; removal from service of
     relay or device failing to meet
     test requirements..................
    234.249 Ground tests................           6,500           9,000
    234.251 Standby power...............           5,000           7,500
    234.253 Flashing light units and               3,000           4,500
     lamp voltage.......................
    234.255 Gate arm and gate mechanism.           3,000           4,500
    234.257 Warning system operation....           6,500           9,000
    234.259 Warning time................           5,000           7,500
    234.261 Highway traffic signal pre-            5,000           7,500
     emption............................
    234.263 Relays......................           5,000           7,500
    234.265 Timing relays and timing               5,000           7,500
     devices............................
    234.267 Insulation resistance tests,           5,000           7,500
     wires in trunking and cables.......
    234.269 Cut-out circuits............           8,500          11,000
    234.271 Insulated rail joints, bond            5,000           7,500
     wires, and track connections.......
    234.273 Results of tests............           1,500           2,500
    234.275 Processor-Based Systems.....           6,500          9,000
------------------------------------------------------------------------
\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 $27,000 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]

    39. 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.

    40. Appendix A to part 235 is revised to read as follows:

        Appendix A to Part 235.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
235.5 Changes requiring filing of                 $3,000         $4,500
 application............................
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

PART 236--[AMENDED]

    41. 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.

    42. Appendix A to part 236 is revised to read as follows:

[[Page 70624]]



        Appendix A to Part 236.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
             Subpart A--Rules and Instructions--All Systems
------------------------------------------------------------------------
General:
    236.0 Applicability, minimum                  $5,000          $7,500
     requirements.......................
    236.1 Plans, where kept.............           6,500           9,000
    236.2 Grounds.......................           6,500           9,000
    236.3 Locking of signal apparatus
     housings:
        (a) Power interlocking machine             3,000           4,500
         cabinet not secured against
         unauthorized entry.............
        (b) other violations............           3,000           4,500
    236.4 Interference with normal                 8,500          11,000
     functioning of device..............
    236.5 Design of control circuits on            8,500          11,000
     closed circuit principle...........
    236.6 Hand-operated switch equipped            6,500           9,000
     with switch circuit controller.....
    236.7 Circuit controller operated by           6,500           9,000
     switch-and-lock movement...........
    236.8 Operating characteristics of             5,000           7,500
     electro-magnetic, electronic, or
     electrical apparatus...............
    236.9 Selection of circuits through            3,000           4,500
     indicating or annunciating
     instruments........................
    236.10 Electric locks, force drop              3,000           4,500
     type; where required...............
    236.11 Adjustment, repair, or                  6,500           9,000
     replacement of component...........
    236.12 Spring switch signal                    5,000           7,500
     protection; where required.........
    236.13 Spring switch; selection of             5,000           7,500
     signal control circuits through
     circuit controller.................
    236.14 Spring switch signal                    5,000           7,500
     protection; requirements...........
    236.15 Timetable instructions.......           3,000           4,500
    236.16 Electric lock, main track
     releasing circuit:
        (a) Electric lock releasing                6,500           9,000
         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...................
        (b) other violations............           6,500           9,000
    236.17 Pipe for operating                      3,000           4,500
     connections, requirements..........
    236.18 Software management control
     plan:
        Failure to develop and adopt a             5,000           7,500
         plan...........................
        Failure to fully implement plan.           5,000           7,500
        Inadequate plan.................           5,000           7,500
Roadway Signals and Cab Signals--
    236.21 Location of roadway signals..           6,500           9,000
    236.22 Semaphore signal arm;                   3,000           4,500
     clearance to other objects.........
    236.23 Aspects and indications......           5,000           7,500
    236.24 Spacing of roadway signals...           6,500           9,000
    236.26 Buffing device, maintenance..           6,500           9,000
Track Circuits--
    236.51 Track circuit requirements:
        (a) Shunt fouling circuit used             6,500           9,000
         where permissible speed through
         turnout greater than 45 m.p.h..
        (b) Track relay not in de-                 8,500          11,000
         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..
        (c) other violations............           6,500           9,000
    236.52 Relayed cut-section..........           6,500           9,000
    236.53 Track circuit feed at grade             6,500           9,000
     crossing...........................
    236.54 Minimum length of track                 6,500           9,000
     circuit............................
    236.55 Dead section; maximum length.           6,500           9,000
    236.56 Shunting sensitivity.........           6,500           9,000
    236.57 Shunt and fouling wires:
        (a) Shunt or fouling wires do              6,500           9,000
         not consist of at least two
         discrete conductors............
        (b) other violations............           5,000           7,500
    236.58 Turnout, fouling section:
        (a) Rail joint in shunt fouling            6,500           9,000
         section not bonded.............
        (b) other violations............           5,000           7,500
    236.59 Insulated rail joints........           6,500           9,000
    236.60 Switch shunting circuit; use            6,500           9,000
     restricted.........................
Wires and Cables--
    236.71 Signal wires on pole line and           6,500           9,000
     aerial cable.......................
    236.73 Open-wire transmission line;            5,000           7,500
     clearance to other circuits........
    236.74 Protection of insulated wire;           5,000           7,500
     splice in underground wire.........
    236.76 Tagging of wires and                    3,000           4,500
     interference of wires or tags with
     signal apparatus...................
Inspections and Tests; All Systems--
    236.101 Purpose of inspection and              5,000           7,500
     tests; removal from service or
     relay or device failing to meet
     test requirements..................
    236.102 Semaphore or search-light              6,500           9,000
     signal mechanism...................
    236.103 Switch circuit controller or           6,500           9,000
     point detector.....................
    236.104 Shunt fouling circuit.......           5,000           7,500
    236.105 Electric lock...............           5,000           7,500
    236.106 Relays......................           5,000           7,500
    236.107 Ground tests................           5,000           7,500
    236.108 Insulation resistance tests,
     wires in trunking and cables:

[[Page 70625]]

 
        (a) Circuit permitted to                   6,500           9,000
         function on a conductor having
         insulation resistance value
         less than 200,000 ohms.........
        (b) other violations............           5,000           7,500
    236.109 Time releases, timing relays           5,000           7,500
     and timing devices.................
    236.110 Results of tests............           1,500           2,500
------------------------------------------------------------------------
                Subpart B--Automatic Block Signal Systems
------------------------------------------------------------------------
    236.201 Track circuit control of               6,500           9,000
     signals............................
    236.202 Signal governing movements             6,500           9,000
     over hand-operated switch..........
    236.203 Hand-operated crossover                6,500           9,000
     between main tracks; protection....
    236.204 Track signaled for movements           6,500           9,000
     in both directions, requirements...
    236.205 Signal control circuits;               8,500          11,000
     requirements.......................
    236.206 Battery or power supply with           5,000           7,500
     respect to relay; location.........
------------------------------------------------------------------------
                         Subpart C--Interlocking
------------------------------------------------------------------------
    236.207 Electric lock on hand-
     operated switch; control:
        (a) Approach or time locking of            6,500           9,000
         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....
        (b) other violations............           5,000           7,500
    236.301 Where signals shall be                 5,000           7,500
     provided...........................
    236.302 Track circuits and route               6,500           7,500
     locking............................
    236.303 Control circuits for                   6,500           9,000
     signals, selection through circuit
     controller operated by switch
     points or by switch locking
     mechanism..........................
    236.304 Mechanical locking or same             6,500           9,000
     protection effected by circuits....
    236.305 Approach or time locking....           6,500           9,000
    236.306 Facing point lock or switch-           5,000           7,500
     and-lock movement..................
    236.307 Indication locking..........           6,500           9,000
    236.308 Mechanical or electric                 6,500           9,000
     locking or electric circuits;
     requisites.........................
    236.309 Loss of shunt protection;              6,500           9,000
     where required.....................
        (a) Loss of shunt of five                  6,500           9,000
         seconds or less permits release
         of route locking of power-
         operated switch, movable point
         frog, or derail................
        (b) Other violations............           5,000           7,500
    236.310 Signal governing approach to           5,000           7,500
     home signal........................
    236.311 Signal control circuits,               6,500           9,000
     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:
        (a) Emergency bypass switch or             6,500           9,000
         device not locked or sealed....
        (b) other violations............           6,500           9,000
    236.314 Electric lock for hand-
     operated switch or derail:
        (a) Approach or time locking of            6,500           9,000
         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.......................
        (b) other violations............           6,500           9,000
Rules and Instructions--
    236.326 Mechanical locking removed             5,000           7,500
     or disarranged; requirement for
     permitting train movements through
     interlocking.......................
    236.327 Switch, movable-point frog             6,500           9,000
     or split-point derail..............
    236.328 Plunger of facing-point.....           5,000           7,500
    236.329 Bolt lock...................           6,500           9,000
    236.330 Locking dog of switch and              5,000           7,500
     lock movement......................
    236.334 Point detector..............           6,500           9,000
    236.335 Dogs, stops and trunnions of           3,000           4,500
     mechanical locking.................
    236.336 Locking bed.................           3,000           4,500
    236.337 Locking faces of mechanical            3,000           4,500
     locking; fit.......................
    236.338 Mechanical locking required            3,000           4,500
     in accordance with locking sheet
     and dog chart......................
    236.339 Mechanical locking;                    3,000           4,500
     maintenance requirements...........
    236.340 Electromechanical                      3,000           4,500
     interlocking machine; locking
     between electrical and mechanical
     levers.............................
    236.341 Latch shoes, rocker links,             3,000           4,500
     and quadrants......................
    236.342 Switch circuit controller...           6,500           9,000
Inspection and Tests--
    236.376 Mechanical locking..........           5,000           7,500
    236.377 Approach locking............           5,000           7,500
    236.378 Time locking................           5,000           7,500
    236.379 Route locking...............           5,000           7,500
    236.380 Indication locking..........           5,000           7,500
    236.381 Traffic locking.............           5,000           7,500
    236.382 Switch obstruction test.....           6,500           9,000
    236.383 Valve locks, valves, and               5,000           7,500
     valve magnets......................
    236.384 Cross protection............           5,000           7,500
    236.386 Restoring feature on power             5,000           7,500
     switches...........................

[[Page 70626]]

 
    236.387 Movable bridge locking......           6,500           9,000
------------------------------------------------------------------------
              Subpart D--Traffic Control Systems Standards
------------------------------------------------------------------------
    236.401 Automatic block signal
     system and interlocking standards
     applicable to traffic control
     systems:
    236.402 Signals controlled by track            8,500          11,000
     circuits and control operator......
    236.403 Signals at controlled point.           8,500          11,000
    236.404 Signals at adjacent control            8,500          11,000
     points.............................
    236.405 Track signaled for movements           8,500          11,000
     in both directions, change of
     direction of traffic...............
    236.407 Approach or time locking;              8,500          11,000
     where required.....................
    236.408 Route locking...............           8,500          11,000
    236.410 Locking, hand-operated
     switch; requirements:
        (a) Hand-operated switch on main           6,500           9,000
         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                6,500           9,000
         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            6,500           9,000
         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............           5,000           7,500
Rules and Instructions--
    236.426 Interlocking rules and                 1,500           2,500
     instructions applicable to traffic
     control systems....................
    236.476 Interlocking inspections and           1,500           2,500
     tests applicable to traffic control
     systems............................
------------------------------------------------------------------------
  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems
                                Standards
------------------------------------------------------------------------
    236.501 Forestalling device and                5,000           7,500
     speed control......................
    236.502 Automatic brake application,           6,500           9,000
     initiation by restrictive block
     conditions stopping distance in
     advance............................
    236.503 Automatic brake application;           6,500           9,000
     initiation when predetermined rate
     of speed exceeded..................
    236.504 Operations interconnected              5,000           7,500
     with automatic block-signal system.
    236.505 Proper operative relation              3,000           4,500
     between parts along roadway and
     parts on locomotive................
    236.506 Release of brakes after                6,500           9,000
     automatic application..............
    236.507 Brake application; full                5,000           7,500
     service............................
    236.508 Interference with                      5,000           7,500
     application of brakes by means of
     brake valve........................
    236.509 Two or more locomotives                3,000           4,500
     coupled............................
    236.511 Cab signals controlled in              5,000           7,500
     accordance with block conditions
     stopping distance in advance.......
    236.512 Cab signal indication when             6,500           9,000
     locomotive enters blocks...........
    236.513 Audible indicator...........           5,000           7,500
    236.514 Interconnection of cab                 3,000           4,500
     signal system with roadway signal
     system.............................
    236.515 Visibility of cab signals...           5,000           7,500
    236.516 Power supply................           3,000           4,500
Rules and Instructions; Roadway--
    236.526 Roadway element not                    3,000           4,500
     functioning properly...............
    236.527 Roadway element insulation             3,000           4,500
     resistance.........................
    236.528 Restrictive condition                  5,000           7,500
     resulting from open hand-operated
     switch; requirement................
    236.529 Roadway element inductor;              3,000           4,500
     height and distance from rail......
    236.531 Trip arm; height and                   3,000           4,500
     distance from rail.................
    236.532 Strap iron inductor; use               3,000           4,500
     restricted.........................
    236.534 Rate of pressure reduction;            5,000           7,500
     equalizing reservoir or brake pipe.
    236.551 Power supply voltage........           3,000           4,500
    236.552 Insulation resistance.......           3,000           4,500
    236.553 Seal, where required........           3,000           4,500
    236.554 Rate of pressure reduction;            5,000           7,500
     equalizing reservoir or brake pipe.
    236.555 Repaired or rewound receiver           1,500           2,500
     coil...............................
    236.556 Adjustment of relay.........           3,000           4,500
    236.557 Receiver; location with                3,000           4,500
     respect to rail....................
    236.560 Contact element, mechanical            3,000           4,500
     trip type; location with respect to
     rail...............................
    236.562 Minimum rail current                   3,000           4,500
     required...........................
    236.563 Delay time..................           5,000           7,500
    236.564 Acknowledging time..........           3,000           4,500
    236.565 Provision made for                     3,000           4,500
     preventing operation of pneumatic
     brake-applying apparatus by double-
     heading clock; requirement.........
    236.566 Locomotive of each train               3,000           4,500
     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:
        (a) Report not made to                     5,000           7,500
         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             5,000           7,500
         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.

[[Page 70627]]

 
        (c) other violations............           3,000           4,500
    236.568 Difference between speeds              3,000           4,500
     authorized by roadway signal and
     cab signal; action.................
Inspection and Tests; Roadway--
    236.576 Roadway element.............           3,000           4,500
    236.577 Test, acknowledgement, and             3,000           4,500
     cut-in circuits....................
Inspection and Tests; Locomotive--
    236.586 Daily or after trip test....           5,000           7,500
    236.587 Departure test:
        (a) Test of automatic train                6,500           9,000
         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                6,500           9,000
         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            6,500           9,000
         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....................
        (d) other violations............           5,000           7,500
    236.588 Periodic test...............           6,500           9,000
    236.589 Relays......................           5,000           7,500
    236.590 Pneumatic apparatus:
        (a) Automatic train stop, train            5,000           7,500
         control, or cab signal
         apparatus not inspected and
         cleaned at least once every 736
         days...........................
        (b) other violations............           5,000           7,500
------------------------------------------------------------------------
   Subpart F--Dragging Equipment and Slide Detectors and Other Similar
                      Protective Devices; Standards
------------------------------------------------------------------------
    236.601 Signals controlled by                  6,500           9,000
     devices; location..................
------------------------------------------------------------------------
    Subpart H--Standards for Processor-Based Signal and Train Control
                                 Systems
------------------------------------------------------------------------
    236.905 Railroad Safety Program Plan
     (RSPP):
        (a) Failure to develop and                 6,500           9,000
         submit RSPP when required......
        (b) Failure to obtain FRA                  6,500           9,000
         approval for a modification to
         RSPP...........................
    236.907 Product Safety Plan (PSP):
        (a) Failure to develop a PSP....           6,500           9,000
        (b) Failure to submit a PSP when           6,500           9,000
         required.......................
    236.909 Minimum Performance
     Standard:
        (a) Failure to make analyses or            5,000           7,500
         documentation available........
        (b) Failure to determine that              6,500           9,000
         the standard has been met......
    236.913 Notification to FRA of PSPs:
        (a) Failure to prepare a PSP or            6,500           9,000
         PSP amendment as required......
        (b) Failure to submit a PSP or             6,500           9,000
         PSP amendment as required......
        (c) Field testing without                  8,500          11,000
         authorization or approval......
    236.915 Implementation and
     operation:
        (a) Operation of product without           8,500          11,000
         authorization or approval......
        (b) Failure to comply with PSP..           5,000           7,500
        (c) Interference with normal               8,500          11,000
         functioning safety-critical
         product........................
        (d) Failure to determine cause             5,000           7,500
         and adjust, repair or replace
         without undue delay or take
         appropriate action pending
         repair.........................
    236.917 Retention of records:
        (a) Failure to maintain records            6,500           9,000
         as required....................
        (b) Failure to report                      6,500           9,000
         inconsistency..................
        (c) Failure to take prompt                 6,500           9,000
         countermeasures................
        (d) Failure to provide final               3,000           4,500
         report.........................
    236.919 Operations and Maintenance             5,000           7,500
     Manual.............................
    236.921 Training and qualification             5,000           7,500
     program, general...................
    236.923 Task analysis and basic
     requirements:
        (a) Failure to develop an                  3,000           4,500
         acceptable training program....
        (b) Failure to train persons as            3,000           4,500
         required.......................
        (c) Failure to conduct                     3,000           4,500
         evaluation of training program
         as required....................
        (d) Failure to maintain records            1,500           2,500
         as required....................
    236.925 Training specific to control           5,000           7,500
     office personnel...................
    236.927 Training specific to                   5,000           7,500
     locomotive engineers and other
     operating personnel................
    236.929 Training specific to roadway           5,000          7,500
     workers............................
------------------------------------------------------------------------
\1\ The Administrator reserves the right to assess a civil penalty of up
  to $27,000 per day for any violation where circumstances warrant See
  49 CFR part 209, appendix A. 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 $27,000 for any violation where
  circumstances warrant See 49 CFR part 209, appendix A The 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.


[[Page 70628]]

PART 238--[AMENDED]

    43. 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.

    44. Appendix A to part 238 is revised to read as follows:

        Appendix A to Part 238.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
238.15 Movement of power brake defects:
    (b) Improper movement from Class I            $6,500          $9,000
     or IA brake test...................
    (c) Improper movement of en route              5,000           7,500
     defect.............................
        (2), (3) Insufficient tag or               1,500           2,500
         record.........................
        (4) Failure to determine percent           5,000           7,500
         operative brake................
    (d) Failure to follow operating                6,500           9,000
     restrictions.......................
    (e) Failure to follow restrictions             5,000           7,500
     for inoperative front or rear unit.
238.17 Movement of other than power
 brake defects: \1\
    (c)(4), (5) Insufficient tag or                1,500           2,500
     record.............................
    (d) Failure to inspect or improper             5,000           7,500
     use of roller bearings.............
    (e) Improper movement of defective             5,000           7,500
     safety appliances..................
238.19 Reporting and tracking defective
 equipment:
    (a) Failure to have reporting or               8,500          11,000
     tracking system....................
    (b) Failure to retain records.......           3,000           4,500
    (c) Failure to make records                    1,500           2,500
     available..........................
    (d) Failure to list power brake                3,000           4,500
     repair points......................
------------------------------------------------------------------------
           Subpart B--Safety Planning and General Requirements
------------------------------------------------------------------------
238.103 Fire protection plan/fire
 safety:
    (a) Failure to use proper materials.           6,500           9,000
    (b) Improper certification..........           1,500           2,500
    (c) Failure to consider fire safety            6,500           9,000
     on new equipment...................
    (d) Failure to perform fire safety             6,500           9,000
     analysis...........................
    (e) Failure to develop, adopt or               6,500           9,000
     comply with procedures.............
238.105 Train electronic hardware and
 software safety:
    (a), (b), (c) Failure to develop and           6,500           9,000
     maintain hardware and software
     safety.............................
    (d) Failure to include required                6,500           9,000
     design features....................
    (e) Failure to comply with hardware            6,500           9,000
     and software safety program........
238.107 Inspection, testing, and
 maintenance plan:
    (b) Failure to develop plan.........           6,500           9,000
    (b)(1)-(5) Failure of plan to                  5,000           7,500
     address specific item..............
    (d) Failure to conduct annual review           6,500           9,000
238.109 Training, qualification, and
 designation program:
    (a) Failure to develop or adopt                6,500           9,000
     program............................
    (b)(1)-(4) Failure of plan to                  5,000           7,500
     address specific item..............
    (b)(5)-(12) Failure to comply with             5,000           7,500
     specific required provision the
     program............................
    (b)(13) Failure to maintain adequate           5,000           7,500
     records............................
238.111 Pre-revenue service acceptance
 testing plan:
    (a) Failure to properly test                   6,500           9,000
     previously used equipment..........
    (b)(1) Failure to develop plan......           6,500           9,000
    (b)(2) Failure to submit plan to FRA           6,500           9,000
    (b)(3) Failure to comply with plan..           6,500           9,000
    (b)(4) Failure to document results             6,500           9,000
     of testing.........................
    (b)(5) Failure to correct safety               6,500           9,000
     deficiencies or impose operating
     limits.............................
    (b)(6) Failure to maintain records..           3,000           4,500
    (b)(7) Failure to obtain FRA                   6,500           9,000
     approval...........................
238.113 Emergency window exits..........           5,000           7,500
238.115 Emergency lighting..............           5,000           7,500
238.117 Protection against personal                5,000           7,500
 injury.................................
238.119 Rim-stamped straight plate                 5,000           7,500
 wheels.................................
------------------------------------------------------------------------
          Subpart C--Specific Requirements for Tier I Equipment
------------------------------------------------------------------------
238.203 Static end strength.............           5,000           7,500
238.205 Anti-climbing mechanism.........           5,000           7,500
238.207 Link between coupling mechanism            5,000           7,500
 and car body...........................
238.209 Forward-facing end structure of            5,000           7,500
 locomotives............................
238.211 Collision posts.................           5,000           7,500
238.213 Corner posts....................           5,000           7,500
238.215 Rollover strength...............           5,000           7,500
238.217 Side structure..................           5,000           7,500
238.219 Truck-to-car-body attachment....           5,000           7,500
238.221 Glazing.........................           5,000           7,500
238.223 Fuel tanks......................           5,000           7,500

[[Page 70629]]

 
238.225 Electrical System...............           5,000           7,500
238.227 Suspension system...............           5,000           7,500
239.229 Safety appliances--general:
    (e) Failure to properly identify               5,000           7,500
     equipment (per car)................
    (g) Failure to adopt or comply with            5,000           7,500
     inspection plan....................
    (h) Failure to use qualified person            5,000           7,500
     (per car)..........................
    (i) Failure to properly conduct                5,000           7,500
     initial or periodic inspection (per
     car)...............................
    (j) Failure to take proper remedial            5,000           7,500
     action (per car)...................
    (k) Failure to maintain records (per           3,000           4,500
     car)...............................
238.230 Safety appliance--new equipment:
    (b)(2) Failure to identify welded              5,000           7,500
     appliance (per car)................
    (b)(3) Failure to receive approval             5,000           7,500
     for use (per car)..................
    (c)(2) Failure to make proper repair           5,000           7,500
     (per car)..........................
238.231 Brake System (a)-(g), (i)-(n)...           5,000           7,500
    (h)(1), (2) Hand or parking brake              6,500           9,000
     missing or inoperative.............
    (h)(3) Hand or parking brake                   5,000           7,500
     inspection or record (per car).....
    (h)(4) Hand or parking brake not               6,500           9,000
     applied to hold equipment
     unattended on grade or prematurely
     released...........................
238.233 Interior fittings and surfaces..           5,000           7,500
238.235 Doors...........................           5,000           7,500
238.237 Automated monitoring............           5,000           7,500
------------------------------------------------------------------------
 Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I
                                Equipment
------------------------------------------------------------------------
238.303 Exterior mechanical inspection
 of passenger equipment:
    (a)(1) Failure to perform mechanical       \1\ 5,000           7,500
     inspection.........................
    (a)(2) Failure to inspect secondary            5,000           7,500
     brake system.......................
    (b) Failure to perform inspection on       \1\ 5,000           7,500
     car added to train.................
    (c) Failure to utilize properly                5,000           7,500
     qualified personnel................
    (e)(1) Products of combustion not              5,000           7,500
     released outside cab...............
    (e)(2) Battery not vented or gassing           5,000           7,500
     excessively........................
    (e)(3) Coupler not in proper                   5,000           7,500
     condition..........................
    (e)(4) No device under drawbar pins            5,000           7,500
     or connection pins.................
    (e)(5) Suspension system and spring            5,000           7,500
     rigging not in proper condition....
    (e)(6) Truck not in proper condition           5,000           7,500
    (e)(7) Side bearing not in proper              5,000           7,500
     condition..........................
    (e)(8) Wheel not in proper
     condition:
        (i), (iv) Flat spot(s) and
         shelled spot(s):
            (A) One spot 2\1/2\'' or               5,000           7,500
             more but less than 3'' in
             length.....................
            (B) One spot 3'' or more in            6,500           9,000
             length.....................
            (C) Two adjoining spots each           5,000           7,500
             of which is 2'' or more in
             length but less than 2\1/
             2\'' in length.............
            (D) Two adjoining spots each           6,500           9,000
             of which are at least 2''
             in length, if either spot
             is 2\1/27\'' or more in
             length.....................
        (ii) Gouge or chip in flange:
            (A) More than 1\1/2\'' but             5,000           7,500
             less than 1\5/8\'' in
             length; and more than \1/
             2\'' but less than \5/8\''
             in width...................
            (B) 1\5/8\'' or more in                6,500           9,000
             length and \5/8\'' or more
             in width...................
        (iii) Broken rim................           6,500           9,000
        (v) Seam in tread...............           5,000           7,500
        (vi) Flange thickness of:
            (A) \7/8\'' or less but more           5,000           7,500
             than.......................
            (B) \13/16\'' or less.......           6,500           9,000
        (vii) Tread worn hollow.........           5,000           7,500
        (viii) Flange height of:
            (A) 1\1/2\'' or greater but            5,000           7,500
             less than 1\5/8\''.........
            (B) 1\5/8\'' or more........           6,500           9,000
        (ix) Rim thickness:
            (A) Less than 1''...........           5,000           7,500
            (B) \15/16\'' or less.......           6,500           9,000
        (x) Crack or break in flange,
         tread, rim, plate, or hub:
            (A) Crack of less than 1''..           5,000           7,500
            (B) Crack of 1'' or more....           6,500           9,000
            (C) Break...................           6,500           9,000
        (xi) Loose wheel................           6,500           9,000
        (xii) Welded wheel..............           6,500           9,000
    (e)(10) Improper grounding or                  6,500           9,000
     insulation.........................
    (e)(11) Jumpers or cable connections           5,000           7,500
     not in proper condition............
    (e)(12) Door or cover plate not                5,000           7,500
     properly marked....................
    (e)(13) Buffer plate not properly              5,000           7,500
     placed.............................
    (e)(14) Diaphragm not properly                 5,000           7,500
     placed or aligned..................
    (e)(15) Secondary braking system not           5,000           7,500
     in operating mode or contains known
     defect.............................
    (e)(16) Roller bearings:
        (i) Overheated..................           8,500          11,000

[[Page 70630]]

 
        (ii) Cap screw loose or missing.           5,000           7,500
        (iii) Cap screw lock broken or             3,000           4,500
         missing........................
        (iv) Seal loose, damaged, or               5,000           7,500
         leaks lubricant................
    (g) Record of inspection:
        (1), (4) Failure to maintain               5,000           7,500
         record of inspection...........
        (2) Record contains insufficient           3,000           4,500
         information....................
    (e)(17) Air compressor inoperative..           5,000           7,500
238.305 Interior mechanical inspection
 of passenger cars:
    (a) Failure to perform inspection...       \1\ 3,000           4,500
    (b) Failure to utilize properly                3,000           4,500
     qualified personnel................
    (c)(1) Failure to protect against              5,000           7,500
     personal injury....................
    (c)(2) Floors not free of condition            5,000           7,500
     that creates hazard................
    (c)(3) Access to manual door release           3,000           4,500
     not in place.......................
    (c)(4) Emergency equipment not in              3,000           4,500
     place..............................
    (c)(5) Emergency brake valve not               3,000           4,500
     stenciled or marked................
    (c)(6) Door or cover plates not                3,000           4,500
     properly marked....................
    (c)(7) Safety signage not in place             3,000           4,500
     or legible.........................
    (c)(8) Trap door unsafe or                     5,000           7,500
     improperly secured.................
    (c)(9) Vestibule steps not                     3,000           4,500
     illuminated........................
    (c)(10) Door not safely operate as             5,000           7,500
     intended...........................
    (c)(11) Seat broken, loose, or not             5,000           7,500
     properly attached..................
    (e) Record of inspection:
        (1), (4) Failure to maintain               3,000           4,500
         record of inspection...........
        (2) Record contains insufficient           1,500           2,500
         information....................
    (f) Record of inspection:
        (1), (4) Failure to maintain               3,000           4,500
         record of inspection...........
        (2) Record contains insufficient           1,500           2,500
         information....................
238.307 Periodic mechanical inspection
 of passenger cars and unpowered
 vehicles:
    (a) Failure to perform periodic            \1\ 5,000           7,500
     mechanical inspection..............
    (b) Failure to utilize properly                5,000           7,500
     qualified personnel................
    (c)(1) Seat or seat attachment                 5,000           7,500
     broken or loose....................
    (c)(2) Luggage rack broken or loose.           5,000           7,500
    (c)(3) Bed, bunks, or restraints               5,000           7,500
     broken or loose....................
    (c)(4) Emergency window exit not               5,000           7,500
     properly operate...................
    (c)(5) Emergency lighting not                  5,000           7,500
     operational........................
    (c)(6) Switches not in proper                  5,000           7,500
     condition..........................
    (c)(7) Coupler not in proper                   5,000           7,500
     condition..........................
    (c)(8) Truck not equipped with                 5,000           7,500
     securing arrangement...............
    (c)(9) Truck center casting cracked            6,500           9,000
     or broken..........................
    (c)(10) General conditions                     5,000           7,500
     endangering crew, passengers.......
    (c)(13) Hand or parking brake test             5,000           7,500
     not performed......................
    (d)(1) Manual door release does not            5,000           7,500
     operate as intended................
    (d)(2) Hand or parking brake                   5,000           7,500
     inspection not performed...........
    (e)(1) Failure to maintain record of           3,000           4,500
     inspection.........................
        (i)-(iv) Record contains                   3,000           4,500
         insufficient information.......
    (f)(1) Record of inspection:
        (i) Failure to maintain record             3,000           4,500
         of inspection..................
        (ii) Record contains                       1,500           2,500
         insufficient information.......
238.309 Periodic brake equipment
 maintenance:
    (b) Failure to perform on MU                   5,000           7,500
     locomotive.........................
    (c) Failure to perform on                      5,000           7,500
     conventional locomotive............
    (d) Failure to perform on passenger            5,000           7,500
     coaches or other unpowered vehicle.
    (e) Failure to perform on cab car...           5,000           7,500
    (f) Record of periodic maintenance:
        (1), (2) Failure to maintain               3,000           4,500
         record or stencil..............
238.311 Single car tests:
    (a) Failure to test in accord with             5,000           7,500
     required procedure.................
    (b) Failure to utilize properly                5,000           7,500
     qualified personnel................
    (c), (e) Failure to perform single             5,000           7,500
     car test...........................
    (f) Improper movement of car for               3,000           4,500
     testing............................
    (g) Failure to test after repair or            3,000           4,500
     replacement of component...........
238.313 Class I brake test:
    (a) Failure to perform on commuter         \1\ 8,500          11,000
     or short distance intercity
     passenger train....................
    (b) Failure to perform on long-            \1\ 8,500          11,000
     distance intercity passenger train.
    (c) Failure to perform on cars added           6,500           9,000
     to passenger train.................
    (d) Failure to utilized properly               6,500           9,000
     qualified personnel................
    (f) Passenger train used from Class            6,500           9,000
     I brake test with less than 100%
     operative brakes...................
    (g) Partial failure to perform                 6,500           9,000
     inspection on a passenger train....
        (3) Failure to adjust piston               5,000           7,500
         travel (per car)...............
    (h) Failure to maintain record......           3,000           4,500
    (j) Failure to perform additional              8,500          11,000
     Class I brake test.................

[[Page 70631]]

 
    (j)(3) Failure to maintain record...           3,000           4,500
238.315 Class IA brake test:
    (a) Failure to perform inspection...       \1\ 6,500           9,000
    (d) Failure to utilize properly                5,000           7,500
     qualified personnel................
    (e) Passenger train used from Class            6,500           9,000
     IA brake test with improper
     percentage of operative brakes.....
    (f) Partial failure to perform                 5,000           7,500
     inspection on passenger train......
238.317 Class II brake test:
    (a) Failure to perform inspection...       \1\ 5,000           7,500
    (b) Failure to utilize properly                5,000           7,500
     qualified personnel................
    (c) Improper use of defective                  5,000           7,500
     equipment from Class II brake test.
238.319 Running brake tests:
    (a), (b) Failure to perform test....           3,000           4,500
238.321 Out-of-service credit...........           3,000           4,500
------------------------------------------------------------------------
    Subpart E--Specific Requirements for Tier II Passenger Equipment
------------------------------------------------------------------------
238.403 Crash energy management.........           5,000           7,500
238.405 Longitudinal static compressive            5,000           7,500
 strength...............................
238.407 Anti-climbing mechanism.........           5,000           7,500
238.409 Forward end structures of power
 car cabs:
    (a) Center collision post...........           5,000           7,500
    (b) Side collision posts............           5,000           7,500
    (c) Corner posts....................           5,000           7,500
    (d) Skin............................           5,000           7,500
238.411 Rear end structures of power car
 cabs:
    (a) Corner posts....................           5,000           7,500
    (b) Collision posts.................           5,000           7,500
238.413 End structures of trailer cars..           5,000           7,500
238.415 Rollover strength...............           5,000           7,500
238.417 Side loads......................           5,000           7,500
238.419 Truck-to-car-body and truck                5,000           7,500
 component attachment...................
238.421 Glazing:
    (b) End-facing exterior glazing.....           5,000           7,500
    (c) Alternate glazing requirements..           5,000           7,500
    (d) Glazing securement..............           1,500           2,500
    (e) Stenciling......................           3,000           4,500
238.423 Fuel tanks:
    (a) External fuel tanks.............           5,000           7,500
    (b) Internal fuel tanks.............           5,000           7,500
238.425 Electrical system:
    (a) Circuit protection..............           5,000           7,500
    (b) Main battery system.............           5,000           7,500
    (c) Power dissipation resistors.....           5,000           7,500
    (d) Electromagnetic interference and           5,000           7,500
     compatibility......................
238.427 Suspension system...............           5,000           7,500
238.429 Safety Appliances:
    (a) Couplers........................           6,500           9,000
    (b) Hand/parking brakes.............           6,500           9,000
    (d) Handrail and handhold missing...           5,000           7,500
    (d)(1)-(8) Handrail or handhold                5,000           7,500
     improper design....................
    (e) Sill step missing...............           6,500           9,000
    (e)(1)-(11) Sill step improper                 5,000           7,500
     design.............................
    (g) Optional safety appliances......           5,000           7,500
238.431 Brake system....................           5,000           7,500
238.433 Draft System....................           5,000           7,500
238.435 Interior fittings and surfaces..           5,000           7,500
238.437 Emergency communication.........           5,000           7,500
238.439 Doors:
    (a) Exterior side doors.............           5,000           7,500
    (b) Manual override feature.........           5,000           7,500
    (c) Notification to crew of door               5,000           7,500
     status.............................
    (d) Emergency back-up power.........           5,000           7,500
    (f) End door kick-out panel or pop-            5,000           7,500
     out window.........................
    (g) Marking and instructions........      [Reserved]  ..............
238.441 Emergency roof hatch entrance              5,000           7,500
 location...............................
238.443 Headlights......................           5,000           7,500
238.445 Automated monitoring............           5,000           7,500
238.447 Train operator's controls and              5,000           7,500
 power car cab layout...................
------------------------------------------------------------------------
Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II
                           Passenger Equipment
------------------------------------------------------------------------
238.503 Inspection, testing, and
 maintenance requirements:

[[Page 70632]]

 
    (a) Failure to develop inspection,             8,500          11,000
     testing, and maintenance program or
     obtain FRA approval................
    (b) Failure to comply with                     6,500           9,000
     provisions of the program..........
    (c) Failure to ensure equipment free           5,000           7,500
     of conditions which endanger safety
     of crew, passengers, or equipment..
    (d) Specific safety inspections:
        (1)(i) Failure to perform Class            8,500          11,000
         I brake test or equivalent.....
        (1)(ii) Partial failure to                 6,500           9,000
         perform Class I brake test or
         equivalent.....................
        (2)(i) Failure to perform              \1\ 5,000           7,500
         exterior mechanical inspection.
        (2)(ii) Failure to perform             \1\ 3,000           4,500
         interior mechanical inspection.
    (g) Failure to perform scheduled               5,000           7,500
     maintenance as required in program.
    (h) Failure to comply with training,           6,500           9,000
     qualification and designation
     program............................
    (i) Failure to develop or comply               5,000           7,500
     with standard procedures for
     performing inspection, tests, and
     maintenance........................
    (j) Failure to conduct annual review           6,500           9,000
    (k) Failure to establish or utilize            6,500           9,000
     quality control program............
------------------------------------------------------------------------
 Subpart G--Specific Safety Planning Requirements for Tier II Passenger
                                Equipment
------------------------------------------------------------------------
238.603 Safety plan:
    (a) Failure to develop safety                  6,500           9,000
     operating plan.....................
    (b) Failure to develop procurement             6,500           9,000
     plan...............................
        (1)-(7) Failure to develop                 5,000           7,500
         portion of plan................
    (c) Failure to maintain                        5,000          7,500
     documentation......................
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. Generally when two or more violations of these regulations
  are discovered with respect to a single unit of passenger equipment
  that is placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $11,000
  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 $27,000 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 Sec.   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 Sec.   238.17(e)
  will deprive the railroad of the movement-for-repair provision and
  make the railroad and any responsible individuals liable for penalty
  under the particular regulatory section(s) contained in part 231 of
  this chapter or Sec.   238.429 concerning the substantive defective
  condition. The penalties listed for failure to perform the exterior
  and interior mechanical inspections and tests required under Sec.
  238.303 and Sec.   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 Sec.   238.313 through Sec.   238.319 may
  be assessed for each train that is not properly inspected.
\2\ The penalty schedule uses section numbers from 49 CFR part 238. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.

PART 239--[AMENDED]

    45. 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).

    46. Appendix A to part 239 is revised to read as follows:

        Appendix A to Part 239.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                    Subpart B--Specific Requirements
------------------------------------------------------------------------
239.101 (a) Failure of a railroad to              $8,500         $11,000
 adopt a written emergency preparedness
 plan...................................
    (a)(1) Failure of the plan to
     provide for:
        (i) Initial or on-board                    5,000           7,500
         notifications by an on-board
         crewmember.....................
        (ii) Notification of outside               5,000           7,500
         emergency responders by control
         center.........................
    (a)(2) Failure of the plan to
     provide for:
        (i) Initial or periodic training           5,000           7,500
         of on-board personnel..........
        (ii) Initial or periodic                   5,000           7,500
         training of control center
         personnel......................
        (iii) Completion of initial                5,000           7,500
         training of all on-board and
         control center personnel by the
         specified date.................
        (iv) Completion of initial                 5,000           7,500
         training of all newly hired on-
         board and control center
         personnel by the specified date
        (v) Adequate procedures to                 5,000           7,500
         evaluate and test on-board and
         control center personnel for
         qualification under the
         emergency preparedness plan....
        (vi) Adequate on-board staffing.           5,000           7,500

[[Page 70633]]

 
    (a)(3) Failure of a host railroad              5,000           7,500
     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............
    (a)(4) Failure of the plan to
     address:
        (i) Readiness procedures for               5,000           7,500
         emergencies in tunnels.........
        (ii) Readiness procedures for              5,000           7,500
         emergencies on an elevated
         structure or in electrified
         territory......................
        (iii) Coordination efforts                 5,000           7,500
         involving adjacent rail modes
         of transportation..............
    (a)(5) Failure of the plan to
     address relationships with on-line
     emergency responders by providing
     for:
        (i) The development and                    5,000           7,500
         availability of training
         programs.......................
        (ii) Invitations to emergency              5,000           7,500
         responders to participate in
         emergency simulations..........
        (iii) Distribution of applicable           5,000           7,500
         portions of the current
         emergency preparedness plan....
    (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.........           5,000           7,500
        (ii) First-aid kits.............           5,000           7,500
        (iii) Emergency lighting........           5,000           7,500
    (a)(7) Failure of the plan to                  3,000           4,500
     provide for emergency instructions
     inside each passenger car or to
     include additional safety awareness
     information........................
239.103 Failure to conduct a required              5,000           7,500
 full-scale simulation in accordance
 with the frequency schedule............
239.105 Debriefing and critique:
    (a) Failure to conduct a debriefing            5,000           7,500
     and critique session after an
     emergency or full-scale simulation.
    (d)(1) Failure to maintain a record.           3,000           4,500
        (i) Failure to include date or             1,500           2,500
         location of the emergency or
         simulation.....................
        (ii) Failure to include date or            1,500           2,500
         location of the debriefing and
         critique session...............
        (iii) Failure to include names             1,500           2,500
         of participants in the
         debriefing and critique session
    (d)(2) Failure to make record                  1,500           2,500
     available..........................
239.107 Emergency exits:
    (a)(1), (a)(2):
        (i) Door not marked or                     5,000           7,500
         instructions not posted........
        (ii) Door improperly marked or             5,000           7,500
         instructions 1,000-2,000
         improperly posted..............
    (b)(1) Failure to provide for                  5,000           7,500
     scheduled inspection, maintenance,
     and repair of emergency windows and
     doors..............................
    (b)(2):
        (i) Failure to test a                      5,000           7,500
         representative sample of
         emergency windows..............
        (ii) Emergency windows tested              3,000           4,500
         too infrequently...............
    (b)(3) Failure to repair an                    5,000           7,500
     inoperative emergency window or
     door exit..........................
    (c):
        (i) Failure to maintain a record           5,000           7,500
        (ii) Failure to make record                1,500           2,500
         available......................
    (d)(1) Insufficient limits or                  5,000           7,500
     controls on accessibility to
     records............................
    (d)(2) Missing terminal.............           1,500           2,500
    (d)(3) Inability of railroad to                1,500           2,500
     produce information in a usable
     format for immediate review........
    (d)(4) Failure by railroad to                  1,500           2,500
     designate an authorized
     representative.....................
    (d)(5) Failure to make record                  1,500           2,500
     available..........................
------------------------------------------------------------------------
  Subpart C--Review, Approval, and Retention of Emergency Preparedness
                                  Plans
------------------------------------------------------------------------
239.201 Filing and approval:
    (a):
        (i) Failure of a railroad to               6,500           9,000
         file a written emergency
         preparedness plan..............
        (ii) Failure to designate a                1,500           2,500
         primary person to contact for
         plan review....................
        (iii) Failure of a railroad to             5,000           7,500
         file an amendment to its plan..
    (b)(1), (b)(2):
        (i) Failure of a railroad to               1,500           2,500
         correct a plan deficiency......
        (ii) Failure to provide FRA with           1,500           2,500
         a corrected copy of the plan...
    (b)(3):
        (i) Failure of a railroad to               1,500           2,500
         correct an amendment deficiency
        (ii) Failure to file a corrected           1,500           2,500
         plan amendment with FRA........
239.203 Retention of emergency
 preparedness plan:
    (1) Failure to retain a copy of the            5,000           7,500
     plan or an amendment to the plan...
    (2) Failure to make record available           1,500           2,500
------------------------------------------------------------------------
  Subpart D--Operational (Efficiency) Tests; Inspection of Records and
                              Recordkeeping
------------------------------------------------------------------------
239.301 Operational (efficiency) tests:
    (a) Testing Program.................           5,000           7,500
    (b)(1) Failure to maintain a record.           5,000           7,500
    (b)(2) Record improperly completed..           1,500           2,500
    (c)(1) Failure to retain a copy of             1,500           2,500
     the record.........................
    (c)(2) Failure to make record                  1,500           2,500
     available..........................
239.303 Electronic recordkeeping:

[[Page 70634]]

 
    (a) Insufficient limits or controls            3,000           4,500
     on accessibility to records........
    (b) Missing terminal................           1,500           2,500
    (c) Inability of railroad to produce           1,500           2,500
     information in a usable format for
     immediate review...................
    (d) Failure by railroad to designate           1,500           2,500
     an authorized representative.......
    (e) Failure to make record available           1,500          2,500
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 239. If
  more than one item is listed as a type of violation of a given
  section, each item is also designated by a ``penalty code,'' which is
  used to facilitate assessment of civil penalties, and which may or may
  not correspond to any subsection designation(s). For convenience,
  penalty citations will cite the CFR section and the penalty code, if
  any. FRA reserves the right, should litigation become necessary, to
  substitute in its complaint the CFR citation in place of the combined
  CFR and penalty code citation, should they differ.

PART 240--[AMENDED]

    47. 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 149.

    48. Appendix A to part 240 is revised to read as follows:

        Appendix A to Part 240.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
                      Subpart B--Component Elements
------------------------------------------------------------------------
240.101 Program Failures:
    (a) Failure to have program.........          $8,500         $11,000
    (b) Program that fails to address a            5,000           7,500
     subject............................
240.103 Failure to:
    (a) follow Appendix B...............           1,500           2,500
    (d) resubmit, when directed by FRA..           1,500           2,500
240.104 Allowing uncertified person to             6,500           9,000
 operate non-traditional locomotives....
240.105 Failure to have or execute                 5,000           7,500
 adequate procedure for selection of
 supervisors............................
240.107 Classes of Service:
    (a) Failure to designate classes of            5,000           7,500
     service............................
240.109 Limitations on considering prior
 conduct records:
    (a) Failure to have procedure for              5,000           7,500
     determining eligibility............
    (e) Considering excluded data.......           5,000           7,500
    (f), (g) Failure to provide timely             5,000           7,500
     review opportunity.................
240.111 Furnishing Motor Vehicle
 Records:
    (a) Failure to action required to              1,500           2,500
     make information available.........
    (b) Failure to request:
        (1) local record................           1,500           2,500
        (2) NDR record..................           1,500           2,500
    (f) Failure to request additional              1,500           2,500
     record.............................
    (g) Failure to notify of absence of            1,500           2,500
     license............................
    (h) Failure to submit request in               1,500           2,500
     timely manner......................
    (i) Failure to report within 48                1,500           2,500
     hours or railroad taking
     certification action for not
     reporting earlier than 48 hours....
240.113 Furnishing prior employment
 information:
    (a) Failure to take action required            1,500           2,500
     to make information available......
    (b) Failure to request record.......           1,500           2,500
240.115 Criteria for considering prior
 motor vehicle conduct:
    (b) Considering excluded data.......           5,000           7,500
    (c) Failure to:
        (1) consider data...............           8,500          11,000
        (3)-(4) properly act in response           3,000           4,500
         to data........................
240.117 Consideration of Operational
 Rules Compliance Records:
    (a) Failure to have program and                8,500          11,000
     procedures.........................
    (b)-(j) Failure to have adequate               5,000           7,500
     program or procedure...............
240.119 Consideration of substance abuse/
 rules compliance Records:
    (a) Failure to have program and                8,500          11,000
     procedures.........................
    (b)-(e) Failure to have adequate               5,000           7,500
     program or procedure...............
240.121 Failure to have adequate                   5,000           7,500
 procedure for determining acuity.......
    (f) Failure of engineer to notify...           5,000           7,500
240.123 Failure to have--
    (b) adequate procedures for                    5,000           7,500
     continuing education...............
    (c) adequate procedures for training           5,000           7,500
     new engineers......................
240.125 Failure to have--
    (a) adequate procedures for testing            5,000           7,500
     knowledge..........................

[[Page 70635]]

 
    (d) adequate procedures for                    5,000           7,500
     documenting testing................
240.127 Failure to have--
    (a) adequate procedures for                    5,000           7,500
     evaluating skill performance.......
    (c) adequate procedures for                    5,000           7,500
     documenting skills testing.........
240.129 Failure to have--
    (a)-(b) adequate procedures for                5,000           7,500
     monitoring performance.............
------------------------------------------------------------------------
                Subpart C--Implementation of the Process
------------------------------------------------------------------------
240.201 Schedule for implementation:
    (a) Failure to select supervisors by           1,500           2,500
     specified date.....................
    (b) Failure to identify                        3,000           4,500
     grandfathered engineers............
    (c) Failure to issue certificate to            1,500           2,500
     engineer...........................
    (d) Allowing uncertified person to             5,000           7,500
     operate............................
    (e)-(g) Certifying without complying           5,000           7,500
     with subpart C.....................
    (h)-(i) Failure to issue certificate           1,500           2,500
     to engineer........................
240.203 (a) Designating a person as a
 supervisor without determining that--
        (1) person knows and understands           5,000           7,500
         this part......................
        (2) person can test and evaluate           8,500          11,000
         engineers......................
        (3) person has experience to               5,000           7,500
         prescribe remedies.............
    (b) Certifying a person without
     determining that--
        (1) person meets the eligibility           8,500          11,000
         criteria.......................
        (2) person meets the medical               5,000           7,500
         criteria.......................
        (3) person has demonstrated                5,000           7,500
         knowledge......................
        (4) person has demonstrated                5,000           7,500
         skills.........................
    (c) Certifying a person without
     determining that--
        (1) person has completed                   5,000           7,500
         training program...............
        (2) person meets the eligibility           5,000           7,500
         criteria.......................
        (3) time has elapsed............           5,000           7,500
240.205 Procedures for determining
 eligibility based on prior safety
 conduct:
    (a) Selecting person lacking                   8,500          11,000
     eligibility........................
    (d) Failure to have basis for taking           5,000           7,500
     action.............................
240.207 Ineligibility based on medical
 condition:
    (a) Selecting person lacking proper            6,500           9,000
     acuity.............................
    (b) Failure to have basis for                  1,500           2,500
     finding of proper acuity...........
    (c) Acuity examinations performed by           1,500           2,500
     unauthorized person................
    (d) Failure to note need for device            1,500           2,500
     to achieve acuity..................
    (e) Failure to use device needed for           1,500           2,500
     proper acuity......................
240.209 Demonstrating knowledge:
    (b) Failure to properly determine              6,500           9,000
     knowledge..........................
    (c) Improper test procedure.........           5,000           7,500
    (d) Failure to document test results           1,500           2,500
    (e) Allowing person to operate                 5,000           7,500
     despite test failure...............
240.211 Demonstrating skills:
    (b) Failure to properly determine              5,000           7,500
     knowledge..........................
    (c) Improper test procedure.........           3,000           4,500
    (d) Failure to document test results           1,500           2,500
    (e) Allowing person to operate                 5,000           7,500
     despite test failure...............
240.213 Completion of approved training
 program:
    (a) Failure to properly determine...           5,000           7,500
    (b) Failure to document successful             3,000           4,500
     program completion.................
240.215 Supporting information:
    (a), (f)-(h) Failure to have a                 1,500           2,500
     record.............................
    (b) Failure to have complete record.           1,500           2,500
    (i) Falsification of record.........            (--)          11,000
240.217 Time limits for making
 determinations:
    (a), (c) Exceeding time limit.......           3,000           4,500
240.219 Denial of certification:
    (a) Failure to notify or provide               3,000           4,500
     opportunity for comment............
    (c) Failure to notify, provide data,           3,000           4,500
     or untimely notification...........
240.221 Identification of persons:
    (a)-(c) Failure to have a record....           3,000           4,500
    (d) Failure to update a record......           3,000           4,500
    (e)-(f) Failure to make a record               1,500           2,500
     available..........................
240.223 Certificate criteria:
    (a) Improper certificate............           1,500           2,500
    (b) Failure to designate those with            1,500           2,500
     signatory authority................
    (d) Falsification of certificate....            (--)          11,000
240.225 Railroad Relying on
 Determination of Another:
    (a) Failure to address in program or           8,500          11,000
     failure to require newly hired
     engineer to take entire training
     program............................
    (2) Reliance on wrong class of                 3,000           4,500
     service............................

[[Page 70636]]

 
    (3) Failure to familiarize person              3,000           4,500
     with new operational territory.....
    (4) Failure to determine knowledge..           3,000           4,500
    (5) Failure to determine performance           3,000           4,500
     skills.............................
240.227 Railroad Relying on Requirements
 of a Different Country:
    (a) Joint operator reliance:
        (1) on person not employed......           1,500           2,500
        (2) on person who fails to meet            1,500           2,500
         Canadian requirements..........
    (b) Canadian railroad reliance:
        (1) on person not employed......           1,500           2,500
        (2) on person who fails to meet            1,500           2,500
         Canadian requirements..........
240.229 Requirements for Joint
 Operations Territory:
    (a) Allowing uncertified person to             3,000           4,500
     operate............................
    (b) Certifying without making                  6,500           9,000
     determinations or relying on
     another railroad...................
    (c) Failure of:
        (1) controlling railroad                   8,500          11,000
         certifying without determining
         certification status,
         knowledge, skills, or
         familiarity with physical
         characteristics................
        (2) employing railroad to                  8,500          11,000
         determine person's certified
         and qualified status for
         controlling railroad...........
        (3) person to notify employing             8,500          11,000
         railroad of lack of
         qualifications.................
    (d) Failure to provide qualified               3,000           4,500
     person.............................
240.231 Persons Qualified on Physical
 Characteristics in Other Than Joint
 Operations:
    (a) Person unqualified, no exception           8,500          11,000
     applies or railroad does not
     adequately address in program......
    (b) Failure to have a pilot:
        (1) for engineer who has never             8,500          11,000
         been qualified.................
        (2) for engineer previously                5,000           7,500
         qualified......................
------------------------------------------------------------------------
                    Subpart D--Program Administration
------------------------------------------------------------------------
240.301 Failure to have system for                 3,000           4,500
 certificate replacement................
240.303 Monitoring operations:
    (a) Failure to have program.........           8,500          11,000
    (b) Failure to observe each person             1,500           2,500
     annually...........................
    (c) Failure to test each person                1,500           2,500
     annually...........................
    (d) Failure to test properly........           1,500           2,500
240.305 Prohibited Conduct:
    (a) Unlawful:
        (1) passing of stop signal......           6,500           9,000
        (2) control of speed............           6,500           9,000
        (3) brake tests.................           6,500           9,000
        (4) occupancy of main track.....           6,500           9,000
        (5) tampering or operation with            6,500           9,000
         disabled safety device.........
        (6) supervisor, pilot, or                  6,500           9,000
         instructor fails to take
         appropriate action.............
    (b) Failure of engineer to:
        (1) carry certificate...........           1,500           2,500
        (2) display certificate when               1,500           2,500
         requested......................
    (c) Failure of engineer to notify              8,500          11,000
     railroad of limitations or railroad
     requiring engineer to exceed
     limitations........................
    (d) Failure of engineer to notify              8,500          11,000
     railroad of denial or revocation...
240.307 Revocation of Certification:
    (a) Failure to withdraw person from            3,000           4,500
     service............................
    (b) Failure to notify, provide                 3,000           4,500
     hearing opportunity, or untimely
     procedures.........................
    (c)-(h) Failure of railroad to                 3,000           4,500
     comply with hearing or waiver
     procedures.........................
    (j) Failure of railroad to make                3,000           4,500
     record.............................
    (k) Failure of railroad to conduct             6,500           9,000
     reasonable inquiry or make good
     faith determination................
240.309 Oversight Responsibility Report:
    (a) Failure to report or to report             1,500           2,500
     on time............................
    (b)-(h) Incomplete or inaccurate               3,000           4,500
     report.............................
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 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]

    49. 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.

    50. Appendix B to part 241 is revised to read as follows:

[[Page 70637]]



        Appendix B to Part 241.--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
               Section \2\                   Violation       violation
------------------------------------------------------------------------
241.9 (a) Requiring or permitting                 $6,500          $9,000
 extraterritorial dispatching of a
 railroad operation.....................
    (b) Failing to notify FRA about                6,500           9,000
     extraterritorial dispatching of a
     railroad operation in an emergency
     situation..........................
241.11 Conducting a railroad operation
 that is extraterritorially dispatched:
    (a)(1) Generally....................           6,500           9,000
    (a)(2) In an emergency situation--             1,500           2,500
     where dispatching railroad fails to
     notify FRA of the extraterritorial
     dispatching........................
241.13 Requiring or permitting track to
 be used for the conduct of a railroad
 operation that is extraterritorially
 dispatched:
    (a)(1) Generally....................           6,500           9,000
    (a)(2) In an emergency situation--             1,500           2,500
     where dispatching railroad fails to
     notify FRA of the extraterritorial
     dispatching........................
------------------------------------------------------------------------
\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 $27,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304 and 49 CFR part 209, appendix A.
\2\ The 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 November 16, 2006.
Joseph H. Boardman,
Administrator.
 [FR Doc. E6-20031 Filed 12-4-06; 8:45 am]
BILLING CODE 4910-06-P