49 CFR Part 232, Appendix A to Part 232 - Schedule of Civil Penalties 1

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View PDF at GPO Pt. 232, App. A
Appendix A to Part 232—Schedule of Civil Penalties 1
Section Violation Willfulviolation
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 $105,000 for any violation where circumstances warrant. See49 CFR part 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.
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
(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:
(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:
(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
[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; 77 FR 24421, Apr. 24, 2012]

Title 49 published on 2013-10-01

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.

  • 2014-11-07; vol. 79 # 216 - Friday, November 7, 2014
    1. 79 FR 66460 - Training, Qualification, and Oversight for Safety-Related Railroad Employees
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Final rule.
      This regulation is effective January 6, 2015. Petitions for reconsideration must be received on or before December 29, 2014. Petitions for reconsideration will be posted in the docket for this proceeding. Comments on any submitted petition for reconsideration must be received on or before February 10, 2015.
      49 CFR Parts 214, 232, and 243

Title 49 published on 2013-10-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 49 CFR 232 after this date.

  • 2014-11-07; vol. 79 # 216 - Friday, November 7, 2014
    1. 79 FR 66460 - Training, Qualification, and Oversight for Safety-Related Railroad Employees
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Final rule.
      This regulation is effective January 6, 2015. Petitions for reconsideration must be received on or before December 29, 2014. Petitions for reconsideration will be posted in the docket for this proceeding. Comments on any submitted petition for reconsideration must be received on or before February 10, 2015.
      49 CFR Parts 214, 232, and 243