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49 CFR 214, Appendix A to Part 214 - Schedule of Civil Penalties 1
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Pt. 214, App. A
Appendix A to Part 214—Schedule of Civil Penalties 1
| Section | Violation | Willful |
|---|---|---|
| Subpart B—Bridge Worker Safety Standards | ||
| 214.103 Fall protection: | ||
| (i) Failure to provide fall protection | $5,000 | $10,000 |
| (ii) Failure to use fall protection | 2,500 | |
| 214.105 Standards and practices: | ||
| (a) General: | ||
| (1) Fall protection used for other purposes | 2,500 | 5,000 |
| (2) Failure to remove from service | 2,500 | 5,000 |
| (3) Failure to protect from deterioration | 2,500 | 5,000 |
| (4) Failure to inspect and remove | 5,000 | 10,000 |
| (5) Failure to train | 5,000 | 10,000 |
| (6) Failure to provide for prompt rescue | 5,000 | 10,000 |
| (7) Failure to prevent damage | 2,500 | 5,000 |
| (8) Failure to use proper connectors | 2,500 | 5,000 |
| (9) Failure to use proper anchorages | 2,500 | 5,000 |
| (b) Fall arrest system: | ||
| (1)-(17) Failure to provide conforming equipment | 2,500 | 5,000 |
| (c) Safety net systems: | ||
| (1) Failure to install close to workplace | 2,500 | 5,000 |
| (2) Failure to provide fall arrest if over 30 feet | 5,000 | 10,000 |
| (3) Failure to provide for unobstructed fall | 5,000 | 10,000 |
| (4) Failure to test | 2,500 | 5,000 |
| (5) Failure to use proper equipment | 2,500 | 5,000 |
| (6) Failure to prevent contact with surface below | 5,000 | 10,000 |
| (7) Failure to properly install | 5,000 | 10,000 |
| (8) Failure to remove defective nets | 5,000 | 10,000 |
| (9) Failure to inspect | 5,000 | 10,000 |
| (10) Failure to remove objects | 1,000 | 2,500 |
| (11)-(13) Failure to use conforming equipment | 2,500 | 10,000 |
| 214.107 Working over water: | ||
| (a)(i) Failure to provide life vest | 5,000 | 10,000 |
| (ii) Failure to use life vest | 1,500 | |
| (c) Failure to inspect | 2,500 | 5,000 |
| (e)(i) Failure to provide ring bouys | 5,000 | 10,000 |
| (ii) Failure to use ring bouys | 1,500 | |
| (f)(i) Failure to provide skiff | 1,000 | 2,500 |
| (ii) Failure to use skiff | 1,500 | |
| 214.109 Scaffolding: | ||
| (a)-(f) Failure to provide conforming equipment | 2,500 | 5,000 |
| 214.113 Head protection: | ||
| (a)(i) Failure to provide | 2,500 | 5,000 |
| (ii) Failure to use | 1,500 | |
| (b) or (c) Failure to provide conforming equipment | 2,500 | 5,000 |
| 214.115 Foot protection: | ||
| (a)(i) Failure to require use of | 2,500 | 5,000 |
| (ii) Failure to use | 1,500 | |
| 214.117 Eye and face protection: | ||
| (a)(i) Failure to provide | 2,500 | 5,000 |
| (ii) Failure to use | 1,500 | |
| (b) Failure to use conforming equipment | 2,500 | 5,000 |
| (c) Use of defective equipment | 2,500 | 5,000 |
| (d) Failure to provide for corrective lenses | 2,500 | 5,000 |
| Subpart C—Roadway Worker Protection Rule | ||
| 214.303 Railroad on-track safety programs, generally: | ||
| (a) Failure of a railroad to implement an On-track Safety Program | 10,000 | 20,000 |
| (b) On-track Safety Program of a railroad includes no internal monitoring procedure | 5,000 | 10,000 |
| 214.305 Compliance Dates: | ||
| Failure of a railroad to comply by the specified dates | 5,000 | 10,000 |
| 214.307 Review and approval of individual on-track safety programs by FRA: | ||
| (a)(i) Failure to notify FRA of adoption of On-track Safety Program | 1,000 | 5,000 |
| (ii) Failure to designate primary person to contact for program review | 1,000 | 2,000 |
| 214.309 On-track safety program documents: | ||
| (1) On-track Safety Manual not provided to prescribed employees | 2,000 | 5,000 |
| (2) On-track Safety Program documents issued in fragments | 2,000 | 5,000 |
| 214.311 Responsibility of employers: | ||
| (b) Roadway worker required by employer to foul a track during an unresolved challenge | 5,000 | 10,000 |
| (c) Roadway workers not provided with written procedure to resolve challenges of on-track safety procedures | 5,000 | 10,000 |
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| 214.313 Responsibility of individual roadway workers: | ||
| (b) Roadway worker fouling a track when not necessary in the performance of duty | 1,000 | |
| (c) Roadway worker fouling a track without ascertaining that provision is made for on-track safety | 1,500 | |
| (d) Roadway worker failing to notify employer of determination of improper on-track safety provisions | 3,000 | |
| 214.315 Supervision and communication: | ||
| (a) Failure of employer to provide job briefing | 2,000 | 10,000 |
| (b) Incomplete job briefing | 2,000 | 5,000 |
| (c)(i) Failure to designate roadway worker in charge of roadway work group | 2,000 | 5,000 |
| (ii) Designation of more than one roadway worker in charge of one roadway work group | 1,000 | 2,000 |
| (iii) Designation of non-qualified roadway worker in charge of roadway work group | 3,000 | 6,000 |
| (d)(i) Failure to notify roadway workers of on-track safety procedures in effect | 3,000 | 6,000 |
| (ii) Incorrect information provided to roadway workers regarding on-track safety procedures in effect | 3,000 | 6,000 |
| (iii) Failure to notify roadway workers of change in on-track safety procedures | 3,000 | 6,000 |
| (e)(i) Failure of lone worker to communicate with designated employee for daily job briefing | 1,500 | |
| (ii) Failure of employer to provide means for lone worker to receive daily job briefing | 3,000 | 6,000 |
| 214.317 On-track safety procedures, generally: | ||
| On-track safety rules conflict with this part | 5,000 | 10,000 |
| 214.319 Working limits, generally: | ||
| (a) Non-qualified roadway worker in charge of working limits | 5,000 | 10,000 |
| (b) More than one roadway worker in charge of working limits on the same track segment | 2,000 | 5,000 |
| (c)(1) Working limits released without notifying all affected roadway workers | 5,000 | 10,000 |
| (2) Working limits released before all affected roadway workers are otherwise protected | 5,000 | 10,000 |
| 214.321 Exclusive track occupancy: | ||
| (b) Improper transmission of authority for exclusive track occupancy | 2,000 | 5,000 |
| (b)(1) Failure to repeat authority for exclusive track occupancy to issuing employee | 1,500 | |
| (2) Failure to retain possession of written authority for exclusive track occupancy | 1,000 | |
| (3) Failure to record authority for exclusive track occupancy when issued | 2,000 | |
| (c) Limits of exclusive track occupancy not identified by proper physical features | 2,000 | 4,000 |
| (d)(1) Movement authorized into limits of exclusive track occupancy without authority of roadway worker in charge | 5,000 | 10,000 |
| (2) Movement authorized within limits of exclusive track occupancy without authority of roadway worker in charge | 5,000 | 10,000 |
| (3) Movement within limits of exclusive track occupancy exceeding restricted speed without authority of roadway worker in charge | 5,000 | 10,000 |
| 214.323 Foul time: | ||
| (a) Foul time authority overlapping movement authority of train or equipment | 5,000 | 10,000 |
| (b) Failure to repeat foul time authority to issuing employee | 1,500 | |
| 214.325 Train coordination: | ||
| (a) Train coordination limits established where more than one train is authorized to operate | 1,500 | 4,000 |
| (b)(1) Train coordination established with train not visible to roadway worker at the time | 1,500 | |
| (2) Train coordination established with moving train | 1,500 | |
| (3) Coordinated train moving without authority of roadway worker in charge | 2,000 | 5,000 |
| (4) Coordinated train releasing movement authority while working limits are in effect | 3,000 | 6,000 |
| 214.327 Inaccessible track: | ||
| (a) Improper control of entry to inaccessible track | 3,000 | 6,000 |
| (5) Remotely controlled switch not properly secured by control operator | 3,000 | 6,000 |
| (b) Train or equipment moving within inaccessible track limits without permission of roadway worker in charge | 3,000 | 6,000 |
| (c) Unauthorized train or equipment located within inaccessible track limits | 2,000 | 5,000 |
| 214.329 Train approach warning provided by watchmen/lookouts: | ||
| (a) Failure to give timely warning of approaching train | 5,000 | |
| (b)(1) Failure of watchman/lookout to give full attention to detecting approach of train | 3,000 | |
| (2) Assignment of other duties to watchman/lookout | 3,000 | 5,000 |
| (c) Failure to provide proper warning signal devices | 2,000 | 5,000 |
| (d) Failure to maintain position to receive train approach warning signal | 2,000 | |
| (e) Failure to communicate proper warning signal | 1,500 | 3,000 |
| (f)(1) Assignment of non-qualified person as watchman/lookout | 3,000 | 5,000 |
| (2) Non-qualified person accepting assignment as watchman/lookout | 1,500 | |
| (g) Failure to properly equip a watchman/lookout | 2,000 | 4,000 |
| 214.331 Definite train location: | ||
| (a) Definite train location established where prohibited | 3,000 | 5,000 |
| (b) Failure to phase out definite train location by required date | 3,000 | 5,000 |
| (d)(1) Train location information issued by unauthorized person | 2,000 | 5,000 |
| (2) Failure to include all trains operated on train location list | 3,000 | 5,000 |
| (5) Failure to clear a by ten minutes at the last station at which time is shown | 2,000 | |
| (6) Train passing station before time shown in train location list | 3,000 | 5,000 |
| (7) Non-qualified person using definite train location to establish on- track safety | 2,000 | 3,000 |
| 214.333 Informational line-ups of trains: | ||
| (a) Informational line-ups of trains used for on-track safety where prohibited | 3,000 | 5,000 |
| (b) Informational line-up procedures inadequate to protect roadway workers | 5,000 | 10,000 |
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| (c) Failure to discontinue informational line-ups by required date | 5,000 | 10,000 |
| 214.335 On-track safety procedures for roadway work groups : | ||
| (a) Failure to provide on-track safety for a member of a roadway work group | 3,000 | 5,000 |
| (b) Member of roadway work group fouling a track without authority of employee in charge | 2,000 | |
| (c) Failure to provide train approach warning or working limits on adjacent track where required | 3,000 | 5,000 |
| 214.337 On-track safety procedures for lone workers: | ||
| (b) Failure by employer to permit individual discretion in use of individual train detection | 5,000 | 10,000 |
| (c)(1) Individual train detection used by non-qualified employee | 2,000 | 4,000 |
| (2) Use of individual train detection while engaged in heavy or distracting work | 2,000 | |
| (3) Use of individual train detection in controlled point or manual interlocking | 2,000 | |
| (4) Use of individual train detection with insufficient visibility | 2,000 | |
| (5) Use of individual train detection with interfering noise | 2,000 | |
| (6) Use of individual train detection while a train is passing | 3,000 | |
| (d) Failure to maintain access to place of safety clear of live tracks | 2,000 | |
| (e) Lone worker unable to maintain vigilant lookout | 2,000 | |
| (f)(1) Failure to prepare written statement of on-track safety | 1,500 | |
| (2) Incomplete written statement of on-track safety | 1,000 | |
| (3) Failure to produce written statement of on-track safety to FRA | 1,500 | |
| 214.339 Audible warning from trains: | ||
| (a) Failure to require audible warning from trains | 2,000 | 4,000 |
| (b) Failure of train to give audible warning where required | 1,000 | 3,000 |
| 214.341 Roadway maintenance machines: | ||
| (a) Failure of on-track safety program to include provisions for safety near roadway maintenance machines | 3,000 | 5,000 |
| (b) Failure to provide operating instructions | 2,000 | 4,000 |
| (1) Assignment of non-qualified employee to operate machine | 2,000 | 5,000 |
| (2) Operator unfamiliar with safety instructions for machine | 2,000 | 5,000 |
| (3) Roadway worker working with unfamiliar machine | 2,000 | 5,000 |
| (c) Roadway maintenance machine not clear of passing trains | 3,000 | 6,000 |
| 214.343 Training and qualification, general: | ||
| (a)(1) Failure of railroad program to include training provisions | 5,000 | 10,000 |
| (2) Failure to provide initial training | 3,000 | 6,000 |
| (b) Failure to provide annual training | 2,500 | 5,000 |
| (c) Assignment of non-qualified railroad employees to provide on-track safety | 4,000 | 8,000 |
| (d)(1) Failure to maintain records of qualifications | 2,000 | 4,000 |
| (2) Incomplete records of qualifications | 1,000 | 3,000 |
| (3) Failure to provide records of qualifications to FRA | 2,000 | 4,000 |
| 214.345 Training for all roadway workers | ||
| 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 | ||
| 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 | ||
| 214.503Good-faith challenges; procedures for notification and resolution: | ||
| (a) Failure of employee to notify employer that the machine or vehicle does not comply with this subpart or has a condition inhibiting safe operation | 4,000 | |
| (b) Roadway worker required to operate machine or vehicle when good-faith challenge not resolved | 5,000 | 10,000 |
| (c) Failure of employer to have or follow written procedures to resolve good-faith challenges | 5,000 | 10,000 |
| 214.505Required environmental control and protection systems for new on-track roadway maintenance machines with enclosed cabs: | ||
| (a) Failure to equip new machines with required systems | 5,000 | 10,000 |
| (b) Failure of new or existing machines to protect employees from exposure to air contaminants | 5,000 | 10,000 |
| (c) Failure of employer to maintain required list of machines or make list available | 2,000 | 4,000 |
| (d) Removal of “designated machine” from list before retired or sold | 2,000 | 4,000 |
| (e) Personal respiratory protective equipment not provided when ventilation system fails | 5,000 | 10,000 |
| (f) Personal respiratory protective equipment fails to meet required standards | 5,000 | 10,000 |
| (g) Other new machines with enclosed cabs not equipped with operable heating and ventilation systems | 5,000 | 10,000 |
| (h) Non-enclosed station not equipped with covering, where feasible | 5,000 | 10,000 |
| 214.507Required safety equipment for new on-track roadway maintenance machines: | ||
| (a)(1)-(5) Failure to equip new machine or provide protection as specified in these paragraphs | 5,000 | 10,000 |
| (a)(6)-(7) Failure to equip new machine with first-aid kit or operative and charged fire extinguisher | 2,500 | 5,000 |
| (b) Position for operator to stand not properly equipped to provide safe and secure position | 5,000 | 10,000 |
| (c) New machine not equipped with accurate speed indicator, as required. | 2,500 | 5,000 |
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| (d) As-built light weight not conspicuously displayed on new machine | 2,500 | 5,000 |
| 214.509Required visual illumination and reflective devices for new on-track roadway maintenance machines | 2,500 | 5,000 |
| 214.511Required audible warning devices for new on-track roadway maintenance machines | 5,000 | 10,000 |
| 214.513Retrofitting of existing on-track roadway maintenance machines; general: | ||
| (a) Failure to provide safe and secure position and protection from moving parts 2,000 4,000 inside cab for each roadway worker transported on machine | 5,000 | 10,000 |
| (b) Horn or other audible warning device is missing, inoperable, or has non-compliant triggering mechanism | 2,500 | 5,000 |
| (c) Illumination device or portable light missing, inoperable, improperly secured, or incapable of illuminating track as required | 2,500 | 5,000 |
| 214.515Overhead covers for existing on-track roadway maintenance machines: | ||
| (a) Failure to repair, reinstall, or maintain overhead cover as required | 5,000 | 10,000 |
| (b) Failure to provide written response to operator's request within 60 days | 2,000 | 4,000 |
| 214.517Retrofitting of existing on-track roadway maintenance machines manufactured on or after January 1, 1991: | ||
| (a) Failure to equip machine with change-of-direction alarm or rearward viewing device. | 5,000 | 10,000 |
| (b) Failure to equip machine with operative heater | 5,000 | 10,000 |
| (c) Failure to display light weight of machine as required | 2,500 | 5,000 |
| (d) Failure to equip machine with reflective material, reflective device, or operable brake lights | 5,000 | 10,000 |
| (e) Failure to install or replace safety glass as required | 5,000 | 10,000 |
| (f) Failure to equip machine with turntable restraint device or warning light as required | 5,000 | 10,000 |
| 214.518Safe and secure position for riders | 5,000 | 10,000 |
| 214.519Floors, decks, stairs, and ladders for on-track roadway maintenance machines | 5,000 | 10,000 |
| 214.521Flagging equipment for on-track roadway maintenance machines and hi-rail vehicles | 2,500 | 5,000 |
| 214.523Hi-rail vehicles: | ||
| (a) Failure to inspect hi-rail gear annually | 5,000 | 10,000 |
| (b) Failure to maintain inspection record or make record available to FRA | 2,000 | 4,000 |
| (c) Failure to equip new hi-rail vehicle with alarm and light or beacon as required | 2,500 | 5,000 |
| (d)(2) Failure of operator to tag, date or report non-complying condition | 2,000 | 4,000 |
| (d)(3) Failure to repair or replace non-complying alarms, lights or beacons as required | 2,500 | 5,000 |
| 214.525Towing with on-track roadway maintenance machines or hi-rail vehicles | 5,000 | 10,000 |
| 214.527On-track roadway maintenance machines; inspection for compliance and schedule for repairs: | ||
| (a) Failure of operator to check on-track roadway maintenance machine for compliance | 2,000 | 4,000 |
| (b) Failure of oeprator to tag, date, or report noncomplying condition | 2,000 | 4,000 |
| (c)(1)-(4) Failure to meet requirements for operating on-track roadway maintenance machine with non-complying headlights, work lights, horn, fire extinguisher, alarm, warning light, or beacon | 2,500 | 5,000 |
| (c)(5) Failure to repair or replace defective or missing operator's seat within required time period | 5,000 | 10,000 |
| 214.529In-service failure of primary braking system | 5,000 | 10,000 |
| 214.531Schedule of repairs; general | 2,500 | 5,000 |
| 214.533Schedule of repairs subject to availability of parts: | ||
| (a)-(c) Failure to order necessary part(s), make repair(s), or remove on-track roadway maintenance machine or hi-rail vehicle from service as required | 2,500 | 5,000 |
| (d) Failure to maintain record or make record available to FRA | 2,000 | 4,000 |
| 1 A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a penalty of up to $100,000 for any violation where circumstances warrant. See 49 CFR qart 209 , appendix A. | ||
[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 63 FR 11620, Mar. 10, 1998; 68 FR 44412, July 28, 2003; 69 FR 8839, Feb. 26, 2004; 69 FR 30593, May 28, 2004; 73 FR 79701, Dec. 30, 2008]
Title 49 published on 2012-10-01
no entries appear in the Federal Register after this date.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
