49 CFR Part 229, Appendix B to Part 229 - Schedule of Civil Penalties 1

View PDF at GPO Pt. 229, App. B
Appendix B to Part 229—Schedule of Civil Penalties 1
Section Violation Willful violation
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 $105,000 for any violation where circumstances warrant. See 49 CFR part 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.
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
229.15Remote control 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)(1) Inspection overdue 2,500 5,000
(a)(2) Inspection performed improperly or at a location where the underneath portion cannot be safely inspected 2,500 5,000
(b)(1) Inspection overdue 2,500 5,000
(b)(2) Inspection overdue 2,500 5,000
(c) Inspection overdue 2,500 5,000
(e):
(1) Form missing 1,000 2,000
(2) Form not properly displayed 1,000 2,000
(3) Form improperly executed 1,000 2,000
(f) Replace Form FRA F 6180.49A by April 2 or July 3
(g) Secondary record of the information reported Form FRA F 6180.49A 1,000 2,000
229.25Tests: every periodic inspection:
(a) through (d)(4) and (e) and (f) Tests 2,500 5,000
(d)(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
(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 1,000 1,500
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
229.114Steam generator inspections and tests 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
(g) Failure to equip 2,500 5,000
(h) Failure to maintain 2,500 5,000
(i) Failure to equip 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
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
229.137Sanitation, 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
229.140Alerters 2,500 5,000
229.141Body structure, MU locomotives 2,500 5,000
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
229.217Fuel tank:
(a) External fuel tank 5,000 7,500
(b) Internal fuel tank 5,000 7,500
Subpart E—Locomotive Electronics
229.307Safety analysis:
(a) Failure to establish and maintain a safety analysis 5,000 10,000
(b) Failure to provide safety analysis upon request 2,500 5,000
(c) Failure to comply with safety analysis 5,000-10,000 15,000
229.309Safety-critical changes and failure:
(a)(1) Failure to notify FRA 1,000 2,000
(a)(2) Failure to update safety analysis 3,500 7,000
(a)(4) Failure to notify manufacturer 10,000 15,000
(b) Failure to notify railroad 10,000 15,000
(c) Failure to establish and maintain program 3,500 7,000
229.311Review of SAs:
(a) Failure to notify FRA 1,000 2,000
(b) Failure to report 1,000 2,000
(c) Failure to correct safety hazards 5,000-10,000 15,000
(d) Failure to final report 1,000 2,000
229.313Product testing results and records:
(a) Failure to maintain records and database 5,000 10,000
(b) Incomplete testing records 3,500 7,000
(c) Improper signature 3,500 7,000
229.315Operations and maintenance manual:
(a) Failure to implement and maintain manual 5,000 10,000
(c) Failure to document revisions 5,000 10,000
(d) Failure to follow plan 5,000-10,000 15,000
229.317Training and qualification program:
(a) Failure to establish and implement program 5,000 10,000
(b) Failure to conduct training 2,500 5,000
(g) Failure to evaluate program 2,500 5,000
(h) Failure to maintain records 1,500 3,000
229.319Operating personnel training 2,500 5,000
[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; 77 FR 21351, Apr. 9, 2012; 77 FR 24421, Apr. 24, 2012]

Title 49 published on 2013-10-01

no entries appear in the Federal Register after this date.