49 CFR Part 230, Appendix D to Part 230 - Civil Penalty Schedule

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View PDF at GPO Pt. 230, App. D
Appendix D to Part 230—Civil Penalty Schedule
Section Violation Willfulviolation
1 Failure to observe any condition for movement set forth in § 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 § 230.12 will result in the lapse of any affected waiver.
Subpart A—General
230.11Repair of non-complying conditions:
(a) Failure to repair non-complying steam locomotive prior to use in service $1,000 $2,500
(b) Failure of owner and/or operator to approve repairs made prior to use of steam locomotive 1,000 1,500
230.12Movement of non-complying steam locomotive: (1) (1)
230.13Daily inspection:
(a) (b):
(1) Inspection overdue 1,500 3,000
(2) Inspection not performed by qualified person 1,000 1,500
(c) Inspection report not made, improperly executed or not retained 1,000 1,500
230.14Thirty-one service day inspection:
(a):
(1) Inspection overdue 1,500 3,000
(2) Inspection not performed by qualified person
(b) Failure to notify FRA 1,000 1,500
(c) Inspection report not made, improperly executed, not properly filed 1,000 1,500
230.15Ninety-two service day inspection:
(a):
(1) Inspection overdue 1,500 3,000
(2) Inspection not performed by qualified person 1,000 1,500
(b) Inspection report not made, improperly executed, not properly filed 1,000 1,500
230.16Annual inspection:
(a):
(1) Inspection overdue 1,500 3,000
(2) Inspection not performed by qualified person 1,000 1,500
(b) Failure to notify FRA 1,000 1,500
(c) Inspection report not made, improperly executed, not properly filed 1,000 1,500
230.17One thousand four hundred seventy-two service day inspection:
(a):
(1) Inspection overdue 1,500 3,000
(2) Inspection not performed by qualified person 1,250 2,000
(b) Inspection report not made, improperly executed, not properly maintained, not properly filed 1,000 1,500
230.18Service days:
(a) Service day record not available for inspection 1,000 1,500
(b) Failure to file service day report with FRA Regional Administrator 1,000 1,500
(c) Failure to complete all 1,472 service day inspection items prior to returning retired steam locomotive to service 1,500 3,000
230.19Posting of forms:
(a) FRA Form No. 1:
(1) FRA Form No. 1 not properly filled out 1,000 1,500
(2) FRA Form No. 1 not properly displayed 1,000 1,500
(b) FRA Form No. 3:
(1) FRA Form No. 3 not properly filled out 1,000 1,500
(2) FRA Form No. 3 not properly displayed 1,000 1,500
230.20Alteration and repair reports:
(a) Alterations:
(1) Failure to properly file FRA Form No. 19 with FRA Regional Administrator 1,000 1,500
(2) FRA Form No. 19 not properly filled out 1,000 1,500
(3) FRA Form No. 19 not properly maintained 1,000 1,500
(b) Repairs to unstayed portions of the boiler:
(1) FRA Form No. 19 not properly filled out 1,000 1,500
(2) FRA Form No. 19 not properly maintained 1,000 1,500
(c) Repairs to stayed portions of the boiler:
(1) FRA Form No. 19 not properly filled out 1,000 1,500
(2) FRA Form No. 19 not properly maintained 1,000 1,500
230.21Failure to properly document steam locomotive number Change 1,000 1,500
Subpart B—Boilers and Appurtenances
230.22Failure to properly report accident resulting from failure of steam locomotive boiler or part or appurtenance thereof 1,500 2,500
230.23Responsibility for general construction and safe working pressure:
(a) Failure to properly establish safe working pressure for steam locomotive boiler 5,000 10,000
(b) Placing steam locomotive in service before safe working pressure for boiler has been established 5,000 10,000
230.24Maximum allowable stress values on boiler components:
(a) Use of materials not of sufficient tensile strength 1,000 2,000
(b) Use of a safety factor value of less than 4 when using the code of original construction in boiler calculations 2,000 4,000
230.25Maximum allowable stresses on stays and braces:
(a) Exceeding allowable stress values on fire box and/or combustion chamber 1,000 2,000
(b) Exceeding allowable stress values on round, rectangular or gusset braces 1,000 2,000
230.29Inspection and repair:
(a):
(1) Failure of owner and/or operator to inspect and repair any steam locomotive boiler and/or appurtenance under control thereof 1,500 3,000
(2) Failure to remove steam locomotive from service when considered necessary to do so 2,500 5,000
(b):
(1) Failure of perform repairs in accordance with accepted industry standards 2,000 4,000
(2) Owner and/or operator returning steam locomotive boiler and/or appurtenances to service before they are in good condition and safe and suitable for service 2,000 4,000
230.30Lap-joint seam boilers, Failure to properly inspect 2,000 4,000
230.31Flues to be removed:
(a):
(1) Failure to remove all flues when inspecting boiler 1,500 3,000
(2) Failure to enter boiler and clean and inspect 1,500 3,000
(b) Failure to remove superheater flues when deemed necessary to do so 1,000 2,000
230.32Time and method of inspection:
(a) Failure to perform 1,472 service day inspection when required to do so 1,500 3,000
(b) Failure to properly inspect boiler during 1,472 service day inspection 1,500 3,000
230.33Welded repairs and alterations:
(a) Failure to obtain permission before welding on unstayed portions of boiler containing alloy or carbon steel with carbon content over .25 percent carbon 1,500 3,000
(b) Failure to perform welding on unstayed portions of boiler containing carbon steel not exceeding .25 percent carbon in accordance with a nationally accepted standard for boiler repairs 1,500 3,000
(c):
(1) Failure to submit written 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 1,500 3,000
(2) Repairing wasted sheets 1,500 3,000
230.34Riveted repairs and alterations:
(a) Failure to obtain approval 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 1,500 3,000
(b) Failure to perform riveted repairs on unstayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs 1,500 3,000
(c) Failure to perform riveted repairs on stayed boiler portions in accordance with established railroad practices or accepted national standards for boiler repairs 1,000 2,000
230.35Failure to raise temperature of steam locomotive boiler to 70 degrees F. before applying hydrostatic pressure to the boiler 1,000 2,000
230.36Hydrostatic testing of boilers:
(a) Failure to perform hydrostatic test of boiler as required 1,500 3,000
(b) Failure to properly perform hydrostatic test 1,500 3,000
(c) Failure to properly inspect boiler after conducting hydrostatic test above MAWP 1,500 3,000
230.37 Failure to perform proper steam test or inspection of boiler after completion of repair or alteration to boiler 1,000 2,000
230.38Telltale holes:
(a) Failure to have telltale holes as required in staybolts 1,000 2,000
(b) Failure to have proper telltale holes in reduced body staybolts 1,000 2,000
(c) Failure to keep telltales holes when so required 1,000 2,000
230.39Broken staybolts:
(a) Boiler in service with excess number of broken staybolts 1,500 3,000
(b) Failure to replace staybolts when required to do so; to properly replace staybolts when so required; to inspect adjacent staybolts when replacing broken staybolts 1,500 3,000
(c) Failure to count leaking, plugged, or missing telltale holes as broken staybolts 1,500 3,000
(d) Closing telltale holes by prohibited means 1,500 3,000
230.40Time and method of staybolt testing:
(a) Failure to hammer test staybolts when so required 1,000 2,000
(b) Failure to properly hammer test staybolts 1,000 2,000
230.41Flexible staybolts with caps:
(a) Failure to inspect flexible staybolts as required 1,000 2,000
(b) Failure to replace broken flexible staybolts; failure to close inner ends of telltale holes as required 1,000 2,000
(c) Failure to report removal of flexible staybolts caps and other tests on FRA Form No. 3 when so required 1,000 2,000
(d) Failure to remove staybolt caps or otherwise test when FRA inspector or steam locomotive owner and/or operator consider it necessary to do so 1,000 2,000
230.42Failure to have accurate boiler steam gauge where engine crew can conveniently read 2,000 4,000
230.43Failure to have gauge siphon of proper capacity on steam gauge supply pipe; failure to properly clean, maintain the steam gauge supply pipe 1,000 2,000
230.44Failure to test steam gauge when so required 1,000 2,000
230.45Failure to properly test and/or set steam gauge 1,000 2,000
230.46Failure to attach to boiler backhead metal badge plate showing allowable steam pressure 1,000 1,500
230.47Boiler Number:
(a) (b) (c) Failure to stamp builder's number on boiler when number is known 1,000 1,500
230.48Number and capacity of safety relief valves:
(a) Failure to equip steam locomotive boiler with proper safety relief valves 2,500 5,000
(b) Failure to provide additional safety relief valve capacity when so required 3,000 6,000
230.49Setting of safety relief valves:
(a) Safety relief valve(s) set and/or adjusted by person not competent to do so 2,500 5,000
(b) Safety relief valve(s) not set to open at prescribed pressure(s) 2,500 5,000
(c) Safety relief valve(s) not properly set 3,000 6,000
(d) Set pressure of lowest safety relief valve not properly indicated 1,000 2,000
230.50Failure to test and adjust safety relief valves when required to do so 1,500 3,000
230.51Failure to equip steam locomotive boiler with at least 2 properly installed water glasses 1,000 2,000
230.52Failure to properly equip water glasses 2,000 4,000
230.53Failure to properly clean water glass valves and/or gauge cocks when required to do so 1,000 2,000
230.54Testing and maintenance:
(a) Failure to properly test water glasses and/or gauge cocks 1,000 2,000
(b) Failure to properly maintain gauge cocks, water column drain valves, and/or water glass valves 1,500 3,000
230.55Tubular type water and lubricator glasses and shields:
(a) Failure to renew tubular type water glasses as required 1,000 2,000
(b) Failure to properly shield tubular water glasses and/or lubricator glasses 1,000 2,000
(c) Failure to properly locate and/or maintain water glasses and/or water glass shields 1,000 2,000
230.56 Failure to equip water glass with suitable lamp 1,000 2,000
230.57Injectors and feedwater pumps:
(a) Failure to equip steam locomotive with proper means for delivering water to the boiler 3,000 6,000
(b) Failure to properly test and/or maintain injectors, feedwater pumps, boiler checks, delivery pipes, feed water pipes, tank hose, tank valves 2,500 5,000
(c) Failure to properly brace injectors, feedwater pumps, and/or associated piping 1,000 2,000
230.58Flue plugs:
(a) Plugging flue plugs when not otherwise permitted 1,000 2,000
(b) Improperly plugging flue plugs, when otherwise permitted 1,000 2,000
230.59Failure to remove and properly clean fusible boiler plugs when required to do so; failure to properly note removal 1,500 3,000
230.60 Time of washing:
(a) Failure to thoroughly wash boiler when required to do so 1,000 2,000
(b) Failure to remove washout plugs, arch tube plugs, thermic siphon plugs, circulator plugs, water bar plugs when washing locomotive boiler 1,500 3,000
(c) Failure to examine and/or properly maintain washout plugs washout plug sleeves, threaded openings 1,500 3,000
(d) Failure to clean fusible plugs when required to do so 1,500 3,000
230.61Arch tubes, water bar tubes, circulators and thermic siphons:
(a) Failure to clean, wash, inspect arch tubes, water bar tubes, circulators and thermic siphons as required 1,000 2,000
(b) Failure to renew arch tubes, water bar tubes; failure to repair or renew circulators, thermic siphons when required 1,500 3,000
(c) Failure to properly inspect and/or replace as necessary arch tubes, water bar tubes, circulators 1,500 3,000
230.62Failure to properly inspect and/or repair or replace as necessary dry pipes subject to pressure 2,500 5,000
230.63Failure to properly inspect smoke box, steam pipes, pressure parts when required to do so 1,500 3,000
230.64Failure to remove from service steam locomotive boiler leaking under lagging from condition which may reduce safety and/or repair the boiler before returning to service 1,500 3,000
230.65Failure to keep steam locomotive boiler, piping, appurtenances in repair so steam does not obscure vision 1,000 2,000
230.66Failure to properly oversee general design, construction, maintenance of steam locomotive(s) and tender(s) 1,000 2,000
230.67Failure to ensure all steam 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 2,500 5,000
230.68Failure to equip steam locomotive that operates in excess of 20 miles per hour over the general system with speed indicator maintained to ensure accurate functioning 1,000 1,500
230.69Failure to equip steam locomotive with properly supported ash pan with operating mechanism that may be safely operated and securely closed 1,000 2,000
230.70Safe condition:
(a) Failure to perform proper pre-departure inspection when so required 1,000 2,000
(b) Failure to properly equip steam locomotive with brake pipe valve clearly identified as “Emergency Brake Valve” 1,000 2,000
230.71Orifice testing of air compressors:
(a)(b):
Failure to properly test and/or maintain air compressor(s) capacity 1,000 2,000
230.72Testing main reservoirs:
(a) Failure to properly test main reservoir(s) when required 1,000 2,000
(b) Impermissibly or improperly drilling main reservoir 1,000 2,000
(c) Impermissibly using NDE method to measure wall thickness of main reservoir 1,000 2,000
(d) Failure to use appropriate 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 1,500 3,000
230.73Air gauges:
(a) Failure to equip steam locomotive with properly located air gauge(s) that are no more than 3 psi in error 1,000 1,500
(b) Failure to test air gauge(s) when so required 1,000 1,500
(c) Failure to properly test air gauge(s) 1,000 1,500
230.74Failure to properly clean and/or test all air brake valves, related dirt collectors, filters when required to do so 1,000 1,500
230.75 Failure to properly stencil or display date of testing and cleaning and initials of shop or station performing work 1,000 1,500
230.76Piston travel:
(a) Insufficient minimum piston travel 1,000 1,500
(b) Excessive piston travel when steam locomotive is stationary 1,000 2,000
230.77Foundation brake gear:
(a) Failure to properly maintain foundation brake gear 1,000 2,000
(b) Foundation brake gear less than 2.5 inches above rail 1,000 2,000
230.78Leakage:
(a):
(1) Failure to test for leakage from main reservoir or related piping as required 1,000 1,500
(2) Failure to repair excessive leakage from main reservoir or related piping leakage 1,000 2,000
(b) Failure to test for brake cylinder as required 1,000 1,500
(c):
(1) Failure to test for leakage from steam locomotive brake pipe as required 1,000 2,000
(2) Failure to repair excessive brake pipe leakage 1,000 2,000
230.79Train signal system:
(1) Failure to test the train signal system or other form of on-board communication as required 1,000 1,500
(2) Failure to repair train signal system or other on-board communication when not safe or suitable for service 1,000 1,500
230.80Cabs:
(a) Steam locomotive cab not safe and suitable for service 1,000 2,000
(b) Steam pipes: Construction, attachment 1,000 2,000
(c) Oil-burning steam locomotive, cab-enclosed 1,000 1,500
230.81Cab aprons:
(a) Cab apron, general provisions 1,000 1,500
(b) Cab apron, insufficient width 1,000 1,500
230.82Fire doors:
(a) Safe and suitable for service, general provisions 1,000 2,000
(b) Construction and maintenance of mechanically operated fire doors 1,000 2,000
(c) Construction and maintenance of hand-operated fire doors 1,000 2,000
230.83Cylinder cocks:
(1) Failure to properly equip with cylinder cocks 1,000 1,500
(2) Failure to properly maintain cylinder cocks 1,000 1,500
230.84Sanders:
(1) Inoperable sanders 1,000 1,500
(2) Failure to test sanders 1,000 1,500
230.85Audible warning devices:
(a) General provisions 1,000 1,500
(b) Sound level measurements, Failure to properly take 1,000 1,500
230.86Required illumination:
(a) General provisions 1,000 1,500
(b) Dimming device, Failure to properly equip with 1,000 1,500
(c) Multiple locomotives, Failure of lead locomotive to display headlight 1,000 1,500
230.87Cab lights: Failure to properly equip with 1,000 2,000
230.88Throttles: Failure to properly maintain, equip 1,000 2,000
230.89Reverse gear:
(a) General provisions 1,000 2,000
(b) Air-operated power reverse gear 1,000 2,000
(c) Power reverse gear reservoirs 1,000 2,000
230.90Draw gear and draft systems:
(a) Maintenance and testing 1,000 1,500
(b) Safety bars and chains, general 1,000 1,500
(c) Safety bars and chains, minimum length 1,000 1,500
(d) Lost motion between steam locomotive and tender 1,000 1,500
(e) Spring buffers: Improper application, compression 1,000 1,500
230.91Chafing irons: Improper application, maintenance 1,000 1,500
230.92Draw gear, draft systems: Improperly maintained, fastened 1,000 1,500
230.93Pistons and piston rods:
(a) Failure to properly inspect, maintain, renew 1,000 2,000
(b) Fasteners: Failure to keep tight, properly equip 1,000 2,000
230.94Crossheads: Improperly maintained, excess clearance 1,000 2,000
230.95Guides: Failure to securely fasten, properly maintain 1,000 2,000
230.96Main, side, valve motion rods:
(a) General 1,000 2,000
(b) Repairs
(1) Failure to make in accordance with accepted national standard 1,000 2,000
(2) Failure to submit written request for approval prior to welding 1,000 2,000
(c) Bearings and bushings 1,000 1,500
(d) Rod side motion: Excessive motion 1,000 1,500
(e) Oil, grease cups: Failure to securely fasten, properly equip 1,000 1,500
(f) Main rod bearings:
(1) excessive bore 1,000 1,500
(2) excessive lost motion 1,000 1,500
(g) Side rod bearings, excessive bore 1,000 1,500
230.97Crank pins:
(a) General provisions 1,000 2,000
(b) Maintenance: Failure to maintain in safe, suitable condition 1,000 2,000
230.98Driving, trailing, engine truck axles:
(a) Condemning defects 1,000 2,000
(b) Journal diameter: Failure to stamp on end of axle 750 1,000
230.99Tender truck axle: Insufficient diameter 1,000 2,000
230.100Defects in tender truck axles and journals:
(a) Tender truck axle condemning defects 1,000 2,000
(b) Tender truck journal condemning defects 1,000 2,000
230.101Steam locomotive driving journal boxes:
(a) Driving journal boxes: Failure to properly maintain 1,000 2,000
(b) Broken bearings: Failure to renew 1,000 2,000
(c) Loose bearings: Failure to repair or renew 1,000 2,000
230.102Tender plain bearing journal boxes: Failure to repair 1,000 1,500
230.103Tender roller bearing journal boxes: Failure to properly maintain 1,000 1,500
230.104Driving box shoes and wedges: Failure to properly maintain 1,000 1,500
230.105Lateral motion:
(a) Condemning limits: Total lateral motion in excess of 1,000 1,500
(b) Limits exceeded, failure to demonstrate conditions require additional lateral motion 1,000 1,500
(c) Interferes with other parts of steam locomotive 1,000 1,500
230.106Steam locomotive frame:
(a) Failure to properly inspect and/or maintain 1,000 2,000
(b) Broken frames, not properly patched or secured 2,500 5,000
230.107Tender frame and body:
(a) Failure to properly maintain 1,000 1,500
(b) Height difference between tender deck and steam locomotive cab floor or deck excessive 1,000 1,500
(c) Gangway minimum width excessive 1,000 1,500
(d) Tender frame condemning defects 1,500 3,000
230.108Steam locomotive leading and trailing trucks:
(a) Failure to properly maintain 1,000 1,500
(b) Safety chain, suitable safety chain not provided 1,000 1,500
(c) Insufficient truck clearance 1,000 2,000
230.109Tender trucks:
(a):
(1) Tender truck frames 1,000 2,000
(2) Tender truck center plate 1,000 2,000
(b) Tender truck bolsters: Failure to properly maintain 1,500 3,000
(c) Condemning defects, springs and/or spring rigging 1,000 2,000
(d) Truck securing arrangement: Not properly maintained 1,000 1,500
(e) Side bearings, truck centering devices 1,000 2,000
(f) Friction side bearings: Run in contact 1,000 2,000
(g):
(1) Side bearings, failure to equip rear trucks with 1,000 2,000
(2) Insufficient clearance of 1,000 2,000
230.110Pilots:
(a) General provisions 1,000 1,500
(b) Clearance, insufficient or excessive 1,000 1,500
230.111Spring rigging:
(a) Arrangement of springs and equalizers 1,000 2,000
(b) Spring or spring rigging condemning defects 1,000 2,000
230.112Wheels and tires:
(a) Improperly Mounted, excess variance in axle diameter 1,500 3,000
(b) Out of gage 1,000 2,000
(c) Flange distance variance, excessive 1,000 2,000
(d) Tire thickness, insufficient 1,000 2,000
(e) Tire width, insufficient 1,000 2,000
230.113Wheels and tire defects:
(1) Failure to repair 1,000 2,000
(2) Welding on, except as otherwise provided for 1,500 3,000
(a) Cracks or breaks in 1,000 2,000
(b) Flat spots 1,000 2,000
(c) Chipped flange 1,000 2,000
(d) Broken rim 1,000 2,000
(e) Shelled-out spots 1,000 2,000
(f) Seams 1,000 2,000
(g) Worn flanges, excessive wear 1,000 2,000
(h) Worn treads, excessive wear 1,000 2,000
(i) Flange height, insufficient or excessive 1,000 2,000
(j) Rim thickness, insufficient 1,000 2,000
(k) Wheel diameter, excessive variance 1,000 2,000
230.114Wheel centers:
(a) Filling blocks and shims 1,000 2,000
(b) Wheel center condemning limits, failure to repair 1,000 2,000
(c) Wheel center repairs 1,000 2,000
(d) Counterbalance maintenance 1,000 2,000
230.115Feed water tanks:
(a) General provisions 1,000 2,000
(b) Inspection frequency, failure to inspect as required 1,000 1,500
(c) Top of tender: Improperly maintained and/or equipped 1,000 1,500
230.116Oil tanks:
(1) Failure to properly maintain 2,500 5,000
(2) Failure to equip with complying safety cut-off device 5,000 7,500

Title 49 published on 2014-10-01

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