49 CFR 229, Appendix B to Part 229 - Schedule of Civil Penalties 1
Pt. 229, App. B
Appendix B to Part 229—Schedule of Civil Penalties 1
| Section | Violation | Willful violation |
|---|---|---|
| Subpart A—General | ||
| 229.7Prohibited acts: Safety deficiencies not governed by specific regulations: To be assessed on relevant facts | $1,000-5,000 | $2,000-7,500 |
| 229.9Movement of noncomplying locomotives | (1) | (1) |
| 229.11Locomotive identification | 1,000 | 2,000 |
| 229.13Control of locomotives | 2,500 | 5,000 |
| 229.17Accident reports | 2,500 | 5,000 |
| 229.19Prior Waivers | (1) | (1) |
| Subpart B—Inspection and tests | ||
| 229.21Daily inspection: | ||
| (a)(b): | ||
| (1) Inspection overdue | 2,000 | 4,000 |
| (2) Inspection report not made, improperly executed, or not retained | 1,000 | 2,000 |
| (c) Inspection not performed by a qualified person | 1,000 | 2,000 |
| 229.23Periodic inspection General | ||
| (a)(b): | ||
| (1) Inspection overdue | 2,500 | 5,000 |
| (2) Inspection performed improperly or at a location where the underneath portion cannot be safely inspected | 2,500 | 5,000 |
| (c)(d): | ||
| (1) Form missing | 1,000 | 2,000 |
| (2) Form not properly displayed | 1,000 | 2,000 |
| (3) Form improperly executed | 1,000 | 2,000 |
| (e) Replace Form FRA F 6180-49A by April 2 | 1,000 | 2,000 |
| (f) Secondary record of the information reported on Form FRA F 6180.49A | 1,000 | 2,000 |
| 229.25 | ||
| (a) through (e)(4) Tests: Every periodic inspection | 2,500 | 5,000 |
| (e)(5) Ineffective maintenance | 8,000 | 16,000 |
| 229.27Annual tests | 2,500 | 5,000 |
| 229.29Biennial tests | 2,500 | 5,000 |
| 229.31: | ||
| (a) Biennial hydrostatic tests of main reservoirs | 2,500 | 5,000 |
| (b) Biennial hammer tests of main reservoirs | 2,500 | 5,000 |
| (c) Drilled telltale holes in welded main reservoirs | 2,500 | 5,000 |
| (d) Biennial tests of aluminum main reservoirs | 2,500 | 5,000 |
| 229.33Out-of-use credit | 1,000 | 2,000 |
| Subpart C—Safety Requirements | ||
| 229.41Protection against personal injury | 2,500 | 5,000 |
| 229.43Exhaust and battery gases | 2,500 | 5,000 |
| 229.45General condition: To be assessed based on relevant facts | 1,000-5,000 | 2,000-7,500 |
| 229.46Brakes: General | 2,500 | 5,000 |
| 229.47Emergency brake valve | 2,500 | 5,000 |
| 229.49Main reservoir system: | ||
| (a)(1) Main reservoir safety valve | 2,500 | 5,000 |
| (2) Pneumatically actuated control reservoir | 2,500 | 5,000 |
| (b)(c) Main reservoir governors | 2,500 | 5,000 |
| 229.51Aluminum main reservoirs | 2,500 | 5,000 |
| 229.53Brake gauges | 2,500 | 5,000 |
| 229.55Piston travel | 2,500 | 5,000 |
| 229.57Foundation brake gear | 2,500 | 5,000 |
| 229.59Leakage | 2,500 | 5,000 |
| 229.61Draft system | 2,500 | 5,000 |
| 229.63Lateral motion | 2,500 | 5,000 |
| 229.64Plain bearing | 2,500 | 5,000 |
| 229.65Spring rigging | 2,500 | 5,000 |
| 229.67Trucks | 2,500 | 5,000 |
| 229.69Side bearings | 2,500 | 5,000 |
| 229.71Clearance above top of rail | 2,500 | 5,000 |
| 229.73Wheel sets | 2,500 | 5,000 |
| 229.75Wheel and tire defects: | ||
| (a),(d) Slid flat or shelled spot(s): | ||
| (1) One spot 21/2″ or more but less than 3″ in length | 2,500 | 5,000 |
| (2) One spot 3″ or more in length | 5,000 | 7,500 |
| (3) Two adjoining spots each of which is 2″ or more in length but less than 21/2″ in length | 2,500 | 5,000 |
| (4) Two adjoining spots each of which are at least 2″ in length, if either spot is 21/2″ or more in length | 5,000 | 7,500 |
|
Code of Federal Regulations
- Page 494
|
||
| (b) Gouge or chip in flange of: | ||
| (1) more than 11/2″ but less than 15/8″ in length; and more than 1/2″ but less than 5/8″ in width | 2,500 | 5,000 |
| (2) 15/8″ or more in length and 5/8″ or more in width | 5,000 | 7,500 |
| (c) Broken rim | 5,000 | 7,500 |
| (e) Seam in tread | 2,500 | 5,000 |
| (f) Flange thickness of: | ||
| (1) 7/8″ or less but more than 13/16″ | 2,500 | 5,000 |
| (2) 13/16″ or less | 5,000 | 7,500 |
| (g) Tread worn hollow | 2,500 | 5,000 |
| (h) Flange height of: | ||
| (1) 11/2″ or greater but less than 15/8″ | 2,500 | 5,000 |
| (2) 15/8″ or more | 5,000 | 7,000 |
| (i) Tire thickness | 2,500 | 5,000 |
| (j) Rim thickness: | ||
| (1) Less than 1″ in road service and 3/4″ in yard service | 2,500 | 5,000 |
| (2) 15/16″ or less in road service and 11/16″ in yard service | 5,000 | 7,500 |
| (k) Crack of less than 1″ | 5,000 | 7,500 |
| (1) Crack of less than 1″ | 2,500 | 5,000 |
| (2) Crack of 1″ or more | 5,000 | 7,500 |
| (3) Break | 5,000 | 7,500 |
| (l) Loose wheel or tire | 5,000 | 7,500 |
| (m) Welded wheel or tire | 5,000 | 7,500 |
| 229.77Current collectors | 2,500 | 5,000 |
| 229.79Third rail shoes and beams | 2,000 | 4,000 |
| 229.81Emergency pole; shoe insulation | 2,500 | 5,000 |
| 229.83Insulation or grounding | 5,000 | 7,500 |
| 229.85Door and cover plates marked “Danger” | 2,500 | 5,000 |
| 229.87Hand operated switches | 2,500 | 5,000 |
| 229.89Jumpers; cable connections: | ||
| (a) Jumpers and cable connections; located and guarded | 2,500 | 5,000 |
| (b) Condition of jumpers and cable connections | 2,500 | 5,000 |
| 229.91Motors and generators | 2,500 | 5,000 |
| 229.93Safety cut-off device | 2,500 | 5,000 |
| 229.95Venting | 2,500 | 5,000 |
| 229.97Grounding fuel tanks | 2,500 | 5,000 |
| 229.99Safety hangers | 2,500 | 5,000 |
| 229.101Engines: | ||
| (a) Temperature and pressure alarms, controls, and switches | 2,500 | 5,000 |
| (b) Warning notice | 2,500 | 5,000 |
| (c) Wheel slip/slide protection | 2,500 | 5,000 |
| 229.103Safe working pressure; factor of safety | 2,500 | 5,000 |
| 229.105Steam generator number | 650 | 1,000 |
| 229.107Pressure gauge | 2,500 | 5,000 |
| 229.109Safety valves | 2,500 | 5,000 |
| 229.111Water-flow indicator | 2,500 | 5,000 |
| 229.113Warning notice | 2,500 | 5,000 |
| 229.115Slip/slide alarms | 2,500 | 5,000 |
| 229.117Speed indicators | 2,500 | 5,000 |
| 229.119Cabs, floors, and passageways: | ||
| (a)(1) Cab set not securely mounted or braced | 2,500 | 5,000 |
| (2) Insecure or improper latching device | 2,500 | 5,000 |
| (b) Cab windows of lead locomotive | 2,500 | 5,000 |
| (c) Floors, passageways, and compartments | 2,500 | 5,000 |
| (d) Ventilation and heating arrangement | 2,500 | 5,000 |
| (e) Continuous barrier | 2,500 | 5,000 |
| (f) Containers for fuses and torpedoes | 2,500 | 5,000 |
| 229.121Locomotive Cab Noise: | ||
| (a) Performance Standards | ||
| (1) Failure to meet sound level | 5,000 | 7,500 |
| (2) Improper maintenance alterations | 2,500 | 5,000 |
| (3) Failure to comply with static test protocols | 2,500 | 5,000 |
| (b) Maintenance of Locomotives | ||
| (1) Failure to maintain excessive noise report record or respond to report as required | 2,500 | 5,000 |
| (3) Failure to make good faith effort as required | 2,500 | 5,000 |
| (4) Failure to maintain record as required | 2,000 | 4,000 |
| 229.123Pilots, snowplows, end plates | 2,500 | 5,000 |
| 229.125 | ||
| (a) Headlights | 2,500 | 5,000 |
| (d) Auxiliary lights | 2,500 | 5,000 |
| 229.127Cab lights | 2,500 | 5,000 |
|
Code of Federal Regulations
- Page 495
|
||
| 229.129 Locomotive horn: | ||
| (a) Prescribed sound levels | 2,500 | 5,000 |
| Arrangement of horn | 2,500 | 5,000 |
| (b) Failure to perform sound level test | 2,500 | 5,000 |
| (c) Sound level test improperly performed | 2,500 | 5,000 |
| Record of sound level test improperly executed, or not retained | 1,000 | 4,000 |
| 229.131Sanders | 1,000 | 2,000 |
| 229.135 Event Recorders: | ||
| (a) Lead locomotive without in-service event recorder | 2,500 | 5,000 |
| (b) Failure to meet equipment requirements | 2,500 | 5,000 |
| (c) Unauthorized removal or failure to remove from service | 2,500 | 5,000 |
| (d) Improper response to out of service event recorder | 2,500 | 5,000 |
| (e) Failure to preserve data or unauthorized extraction of data | 2,500 | 5,000 |
| (g) Tampering with device or data | 2,500 | 5,000 |
| 229.141Body structure, MU locomotives | 2,500 | 5,000 |
| 229.137Sanitation, general: | ||
| (a) Sanitation compartment in lead unit, complete failure to provide required items | $5,000 | $10,000 |
| (1) Ventilation | 2,500 | 5,000 |
| (2) Door missing | 2,000 | 4,000 |
| (2)(i) Door doesn't close | 1,000 | 2,000 |
| (2)(ii) No modesty lock | 1,000 | 2,000 |
| (3) Not equipped with toilet in lead | 5,000 | 10,000 |
| (4) Not equipped with washing system | 1,000 | 2,000 |
| (5) Lack of paper | 1,000 | 2,000 |
| (6) Lack of trash receptacle | 1,000 | 2,000 |
| (b) Exceptions: | ||
| (1)(i) Commuter service, failure to meet conditions of exception | 2,500 | 5,000 |
| (1)(ii) Switching service, failure to meet conditions of exception | 2,500 | 5,000 |
| (1)(iii) Transfer service, failure to meet conditions of exception | 2,500 | 5,000 |
| (1)(iv) Class III, failure to meet conditions of exception | 2,500 | 5,000 |
| (1)(v) Tourist, failure to meet conditions of exception | 2,500 | 5,000 |
| (1)(vi) Control cab locomotive, failure to meet conditions of exception | 2,500 | 5,000 |
| (2) Noncompliant toilet | 5,000 | 10,000 |
| (c) Defective/unsanitary toilet in lead unit | 2,500 | 5,000 |
| (1-5) Failure to meet conditions of exception | 2,500 | 5,000 |
| (d) Defective/unsanitary unit; failure to meet conditions for trailing position | 2,500 | 5,000 |
| (e) Defective/sanitary unit; failure to meet conditions for switching/transfer service | 2,500 | 5,000 |
| (f) Paper, washing, trash holder; failure to equip prior to departure | 2,500 | 5,000 |
| (g) Inadequate ventilation; failure to repair or move prior to departure | 2,500 | 5,000 |
| (h) Door closure/modesty lock; failure to repair or move | 1,000 | 2,000 |
| (i) Failure to retain/maintain of equipped units | 2,500 | 5,000 |
| (j) Failure to equip new units/in-cab facility | 2,500 | 5,000 |
| (k) Failure to provide potable water | 2,500 | 5,000 |
| 229.139Servicing requirements: | ||
| (a) Lead occupied unit not sanitary | 2,500 | 5,000 |
| (b) Components not present/operating | 2,500 | 5,000 |
| (c) Occupied unit in switching, transfer service, in trailing position not sanitary | 2,500 | 5,000 |
| (d) Defective unit used more than 10 days | 2,500 | 5,000 |
| (e) Failure to repair defective modesty lock | 1,000 | 2,000 |
| Subpart D—Locomotive Crashworthiness Design Requirements | ||
| 229.205General requirements: | ||
| (a)(1) Wide-nose locomotive not designed in compliance with AAR S-580-2005 | $5,000 | $7,500 |
| (2) Wide-nose locomotive not designed in compliance with new approved design standard | 5,000 | 7,500 |
| (3) Wide-nose locomotive not designed in compliance with alternate approved design standard | 5,000 | 7,500 |
| (b) Monocoque or semi-monocoque locomotive not in compliance with design requirements | 5,000 | 7,500 |
| (c) Narrow-nose not in compliance with design requirements | 5,000 | 7,500 |
| 229.206Design requirements: | ||
| Locomotive fails to meet— | ||
| (1) Emergency egress requirements | 2,500 | 5,000 |
| (2) Emergency interior lighting requirements | 2,500 | 5,000 |
| (3) Interior configuration requirements | 2,500 | 5,000 |
| 229.213Locomotive manufacturing information: | ||
| (a) Failure to retain required information | 2,500 | 5,000 |
| (b) Failure to produce required information | 2,500 | 5,000 |
| 229.215Retention and inspection of designs: | ||
| (a) Failure to retain required design records | 2,500 | 5,000 |
| (b) Failure to retain required repair or modification records | 2,500 | 5,000 |
| (c) Failure to make records available when requested | 2,500 | 5,000 |
|
Code of Federal Regulations
- Page 496
|
||
| 229.217Fuel tank: | ||
| (a) External fuel tank | 5,000 | 7,500 |
| (b) Internal fuel tank | 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 $16,000 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 $100,000 for any violation where circumstances warrant. See 49 CFR qart 209 , appendix A. | ||
| Failure to observe any condition for movement set forth in § 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 § 229.19 will result in the lapse of any affected waiver. | ||
[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr. 27, 2005; 70 FR 37942, June 30, 2005; 71 FR 36915, June 28, 2006; 71 FR 47667, Aug. 17, 2006; 71 FR 63136, Oct. 27, 2006; 72 FR 51197, Sept. 6, 2007; 73 FR 79703, Dec. 30, 2008]
Title 49 published on 2012-10-01
The following are only the Rules published in the Federal Register after the published date of Title 49.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
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.
Title 49 published on 2012-10-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 49 CFR 229 after this date.
