49 CFR 232, Appendix A to Part 232 - Schedule of Civil Penalties 1
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Pt. 232, App. A
Appendix A to Part 232—Schedule of Civil Penalties 1
| Section | Violation | Willfulviolation |
|---|---|---|
| Subpart A—General | ||
| 232.15Movement of power brake defects: | ||
| (a) Improper movement, general | (1) | (1) |
| (11) Failure to make determinations and provide notification of en route defect | $2,500 | $5,000 |
| (b) Complete failure to tag | 2,500 | 5,000 |
| (1) Insufficient tag or record | 1,000 | 2,000 |
| (2), (4) Improper removal of tag | 2,000 | 4,000 |
| (3) Failure to retain record of tag | 2,000 | 4,000 |
| (c) Improper loading or purging | 2,500 | 5,000 |
| (e) Improper placement of defective equipment | 2,500 | 5,000 |
| 232.19Availability of records | (1) | (1) |
| Subpart B—General Requirements | ||
| 232.103All train brake systems: | ||
| (a)-(c), (h)-(i) Failure to meet general design requirements | 2,500 | 5,000 |
| (d) Failure to have proper percentage of operative brakes from Class I brake test | 5,000 | 7,500 |
| (e) Operating with less than 85 percent operative brakes | 5,000 | 7,500 |
| (f) Improper use of car with inoperative or ineffective brakes | 2,500 | 5,000 |
| (g) Improper display of piston travel | 2,500 | 5,000 |
| (m) Failure to stop train with excess air flow or gradient | 2,500 | 5,000 |
| (n) Securement of unattended equipment: | ||
| (1) Failure to apply sufficient number of hand brakes; failure to develop or implement procedure to verify number applied | 5,000 | 7,500 |
| (2) Failure to initiate emergency | 2,500 | 5,000 |
| (3) Failure to apply hand brakes on locomotives | 2,500 | 5,000 |
| (4) Failure to adopt or comply with procedures for securing unattended locomotive | 5,000 | 7,500 |
| (o) Improper adjustment of air regulating devices | 2,500 | 5,000 |
| (p) Failure to hold supervisors jointly responsible | 2,500 | 5,000 |
| 232.105Locomotives: | ||
| (a) Air brakes not in safe and suitable condition | 1,000-5,000 | 2,000-7,500 |
| (b) Not equipped with proper hand or parking brake | 5,000 | 7,500 |
| (c)(1) Failure to inspect/repair hand or parking brake | 2,500 | 5,000 |
| (2) Failure to properly stencil, tag, or record | 2,000 | 4,000 |
| (d) Excess leakage from equalizing reservoir | 2,500 | 5,000 |
| (e) Improper use of feed or regulating valve braking | 2,500 | 5,000 |
| (f) Improper use of passenger position | 2,500 | 5,000 |
| (g) Brakes in operative condition | 2,500 | 5,000 |
| 232.107Air sources/cold weather operations: | ||
| (a)(1), (2) Failure to adopt or comply with monitoring program for yard air sources | 5,000 | 7,500 |
| (3) Failure to maintain records | 2,500 | 5,000 |
| (b) Failure to blow condensation | 2,500 | 5,000 |
| (c) Use of improper chemicals | 5,000 | 7,500 |
| (d) Failure to equip or drain yard air reservoirs | 2,500 | 5,000 |
| (e) Failure to adopt or comply cold weather operating procedures | 5,000 | 7,500 |
| 232.109Dynamic brakes: | ||
| (a) Failure to provide information | 5,000 | 7,500 |
| (b) Failure to make repairs | 5,000 | 7,500 |
| (c) Failure to properly tag | 2,500 | 5,000 |
| (d) Failure to maintain record of repair | 2,000 | 4,000 |
| (e) Improper deactivation | 2,500 | 5,000 |
| (f) Improper use of locomotive as controlling unit | 2,500 | 5,000 |
| (g) Locomotive not properly equipped with indicator | 2,500 | 5,000 |
| (h) Rebuilt locomotive not properly equipped | 2,500 | 5,000 |
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| (j) Failure to adopt or comply with dynamic brake operating rules | 5,000 | 7,500 |
| (k) Failure to adopt or comply with training on operating procedures | 5,000 | 7,500 |
| 232.111Train handling information: | ||
| (a) Failure to adopt and comply with procedures | 5,000 | 7,500 |
| (b) Failure to provide specific information | 2,500 | 5,000 |
| Subpart C—Inspection and Testing Requirements | ||
| 232.203Training requirements: | ||
| (a) Failure to develop or adopt program | 7,500 | 11,000 |
| (b)(1)-(9) Failure to address or comply with specific required item or provision of program | 5,000 | 7,500 |
| (c) Failure to adopt or comply with two-way EOT program | 5,000 | 7,500 |
| (d) Failure to adopt or comply with retaining valve program | 5,000 | 7,500 |
| (e) Failure to maintain adequate records | 5,000 | 7,500 |
| (f) Failure to adopt and comply with periodic assessment plan | 7,500 | 11,000 |
| 232.205Class I brake test—initial terminal inspection: | ||
| (a) Complete failure to perform inspection | (1)10,000 | 15,000 |
| (c)(1)-(4), (6)-(8) Partial failure to perform inspection | 5,000 | 7,500 |
| (c)(5) Failure to properly adjust piston travel (per car) | 2,500 | 5,000 |
| (d) Failure to use carman when required | 5,000 | 7,500 |
| (e) Failure to provide proper notification | 2,500 | 5,000 |
| (f) Failure to void compressed air | 2,500 | 5,000 |
| 232.207Class IA brake tests—1,000-mile inspection: | ||
| (a) Complete failure to perform inspection | (1)5,000 | 7,500 |
| (b)(1)-(6) Partial failure to perform inspection | 2,500 | 5,000 |
| (c) Failure to properly designate location | 5,000 | 7,500 |
| (c)(1) Failure to perform at designated location | 5,000 | 7,500 |
| (c)(2) Failure to provide notification | 2,500 | 5,000 |
| 232.209Class II brake tests—intermediate inspection: | ||
| (a) Complete failure to perform inspection | (1)5,000 | 7,500 |
| (b)(1)-(5), (c) Partial failure to perform inspection | 2,500 | 5,000 |
| (d) Failure to conduct Class I after Class II pick-up | (1) | (1) |
| 232.211Class III brake tests—trainline continuity inspection: | ||
| (a) Complete failure to perform inspection | 5,000 | 7,500 |
| (b)(1)-(4), (c) Partial failure to perform inspection | 2,500 | 5,000 |
| (d) Failure to restore air pressure at rear | 2,500 | 2,500 |
| 232.213Extended haul trains: | ||
| (a)(1) Failure to properly designate an extended haul train | 5,000 | 7,500 |
| (a)(2)-(3), (5)(i), (8) Failure to perform inspections | (1) | (1) |
| (a)(4) Failure to remove defective car (per car) | 2,000 | 4,000 |
| (a)(5)(ii), (6) Failure to conduct inbound inspection | 5,000 | 7,500 |
| (a)(7) Failure to maintain record of defects (per car) | 2,000 | 4,000 |
| (b) Improper movement or use of extended haul train | 5,000 | 7,500 |
| 232.215Transfer train brake tests: | ||
| (a) Failure to perform inspection | 5,000 | 7,500 |
| (b) Failure to perform on cars added | 2,500 | 5,000 |
| 232.217Train brake system tests conducted using yard air: | ||
| (a) Failure to use suitable device | 2,500 | 5,000 |
| (b) Improper connection of air test device | 5,000 | 7,500 |
| (c) Failure to properly perform inspection | (1) | (1) |
| (d) Failure to calibrate test device | 2,500 | 5,000 |
| (e) Failure to use accurate device | 2,500 | 5,000 |
| 232.219Double heading and helper service: | ||
| (a) Failure to perform inspection or inability to control brakes | 2,500 | 5,000 |
| (b) Failure to make visual inspection | 2,500 | 5,000 |
| (c) Use of improper helper link device | 2,500 | 5,000 |
| Subpart D—Periodic Maintenance and Testing Requirements | ||
| 232.303General requirements: | ||
| (b)-(d) Failure to conduct inspection or test when car on repair track | 2,500 | 5,000 |
| (e) Improper movement of equipment for testing | 2,500 | 5,000 |
| (e)(1) Failure to properly tag equipment for movement | 2,000 | 5,000 |
| (e)(2)-(4) Failure to retain record or improper removal of tag or card | 2,000 | 4,000 |
| (f) Failure to stencil or track test information | 2,500 | 5,000 |
| 232.305Repair track air brake tests: | ||
| (a) Failure to test in accord with required procedure | 2,500 | 5,000 |
| (b)-(d) Failure to perform test | 2,500 | 5,000 |
| 232.307Single car tests: | ||
| (a) Failure to test in accord with required procedure | 2,500 | 5,000 |
| (b)-(c) Failure to perform test | 2,500 | 5,000 |
| 232.309Repair track air brake test and single car test equipment and devices: | ||
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| (a)-(f) Failure to properly test or calibrate | 2,500 | 5,000 |
| Subpart E—End-of-Train Devices | ||
| 232.403Design standards for one-way devices: | ||
| (a)-(g) Failure to meet standards | 2,500 | 5,000 |
| 232.405Design standards for two-way devices: | ||
| (a)-(i) Failure to meet standards | 2,500 | 5,000 |
| 232.407Operating requirements for two-way devices: | ||
| (b) Failure to equip a train | 5,000 | 7,500 |
| (c) Improper purchase | 2,500 | 5,000 |
| (f)(1) Failure of device to be armed and operable | 5,000 | 7,500 |
| (f)(2) Insufficient battery charge | 2,500 | 5,000 |
| (f)(3) Failure to activate the device | 2,500 | 5,000 |
| (g) Improper handling of en route failure, freight or other non-passenger | 5,000 | 7,500 |
| (h) Improper handling of en route failure, passenger | 5,000 | 7,500 |
| 232.409Inspection and testing of devices: | ||
| (a) Failure to have unique code | 2,500 | 5,000 |
| (b) Failure to compare quantitative values | 2,500 | 5,000 |
| (c) Failure to test emergency capability | 5,000 | 7,500 |
| (d) Failure to properly calibrate | 2,500 | 5,000 |
| Subpart F—Introduction of New Brake System Technology | ||
| 232.503Process to introduce new technology: | ||
| (b) Failure to obtain FRA approval | 10,000 | 15,000 |
| 232.505Pre-revenue service acceptance testing plan: | ||
| (a) Failure to obtain FRA approval | 5,000 | 7,500 |
| (b) Failure to comply with plan | 2,500 | 5,000 |
| (f) Failure to test previously used technology | 5,000 | 7,500 |
| Subpart G—Electronically Controlled Pneumatic (ECP) Braking Systems | ||
| 232.603 Design, interoperability, and configuration management requirements: | ||
| (a) Failure to meet minimum standards | 7,500 | 11,000 |
| (b) Using ECP brake equipment without approval | 7,500 | 11,000 |
| (c) Failure to adopt and comply with a proper configuration management plan | 7,500 | 11,000 |
| 232.605 Training Requirements: | ||
| (a) Failure to adopt and comply with a proper training, qualification, and designation program for employees that perform inspection, testing or maintenance | (1) | (1) |
| (b) Failure to amend operating rules | 12,500 | 16,000 |
| (c) Failure to adopt and comply with proper training criteria for locomotive engineers | 12,500 | 16,000 |
| 232.607 Inspection and testing requirements: | ||
| (a)(1), (b), (c)(1) Complete or partial failure to perform inspection | (1) | (1) |
| (a)(2) Complete or partial failure to perform pre-departure inspection | 7,500 | 11,000 |
| (c)(1)(iv), (c)(2) Failure to perform visual inspection on a car added en route | 4,500 | 6,500 |
| (d) Failure to perform inspection | (1) | (1) |
| (e)(1), (2) Failure to properly initialize the train | 7,500 | 11,000 |
| (e)(3) Failure to ensure identical consist and system information | 7,500 | 11,000 |
| (f)(1) Failure to apply a proper brake pipe service reduction | (1) | (1) |
| (f)(2) Failure to properly adhere to the proper piston travel ranges | (1) | (1) |
| (g)(1)-(4) Improperly located and guarded cable | 7,500 | 11,000 |
| (g)(5) Condition of cable and connections | 7,500 | 11,000 |
| 232.609 Handling of defective equipment with ECP brake systems: | ||
| (a) Failure to have proper percentage of operative brakes from Class I brake test | (1) | (1) |
| (b) Failure to prevent a car known to arrive with defective brakes to depart location where a Class I brake test is required | 7,500 | 11,000 |
| (c) Improper movement of a car equipped with conventional pneumatic brakes | 7,500 | 11,000 |
| (d) Operating with less than 85 percent operative brakes | (1) | (1) |
| (f)(2)(i) Improper placement of defective conventional brake equipment | (1) | (1) |
| (f)(2)(ii) Improper placement of defective ECP brake equipment | 7,500 | 11,000 |
| (g) Improper movement of defective stand-alone ECP brake equipment in a train operating with conventional pneumatic brakes | (1) | (1) |
| (h) Improper movement from initial terminal of stand-alone ECP brake equipment in a conventional brake operated train | (1) | (1) |
| (i) Failure to tag equipment | (1) | (1) |
| (j)(1) Failure to adopt and comply with procedures for the movement of defective equipment | 7,500 | 11,000 |
| (j)(2) Failure to submit list of ECP brake system repair locations | 7,500 | 11,000 |
| 232.611 Periodic maintenance: | ||
| (a) Failure to ensure the proper and safe condition of car | 7,500 | 11,000 |
| (b)-(d) Failure to perform test | 7,500 | 11,000 |
| 232.613 End-of-train devices: | ||
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| (a) Failure to meet design standards for ECP-EOT devices | 7,500 | 11,000 |
| (b) Moving with an improper or improperly connected ECP-EOT device | 9,500 | 13,000 |
| 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 $25,000 per day. An exception to this rule is the $15,000 penalty for willful violation of § 232.503 (failure to get FRA approval before introducing new technology) with respect to a single unit of equipment; if the unit has additional violative conditions, the penalty may routinely be aggregated to $15,000. Although the penalties listed for failure to perform the brake inspections and tests under § 232.205 through § 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 violative conditions found on the equipment contained in the train consist. 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 of defective equipment set forth in § 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 § 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 § 232.209, § 232.213, § 232.217, and subpart G may be assessed under each section of this part or this chapter, or both, that contains the requirements for performing the referenced inspection. | ||
[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004; 72 FR 51197, Sept. 6, 2007; 73 FR 61556, Oct. 16, 2008; 73 FR 79703, Dec. 30, 2008; 74 FR 15388, Apr. 6, 2009]
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.
