49 CFR Part 236, Appendix A to Part 236 - Civil Penalties 1

Status message

There are 2 Updates appearing in the Federal Register for 49 CFR 236. View below or at eCFR (GPOAccess)
prev | next
View PDF at GPO Pt. 236, App. A
Appendix A to Part 236—Civil Penalties 1
Section Violation Willful violation
1 A penalty may be assessed against an individual only for a willful violation. 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.
Subpart A—Rules and Instructions—All Systems
General:
236.0Applicability, minimum requirements $2,500 $5,000
236.1Plans, where kept 1,000 2,000
236.2Grounds 1,000 2,000
236.3Locking of signal apparatus housings:
(a) Power interlocking machine cabinet not secured against unauthorized entry 2,500 5,000
(b) other violations 1,000 2,000
236.4Interference with normal functioning of device 5,000 7,500
236.5Design of control circuits on closed circuit principle 1,000 2,000
236.6Hand-operated switch equipped with switch circuit controller 1,000 2,000
236.7Circuit controller operated by switch-and-lock movement 1,000 2,000
236.8Operating characteristics of electro-magnetic, electronic, or electrical apparatus 1,000 2,000
236.9Selection of circuits through indicating or annunciating instruments 1,000 2,000
236.10Electric locks, force drop type; where required 1,000 2,000
236.11Adjustment, repair, or replacement of component 2,500 5,000
236.12Spring switch signal protection; where required 1,000 2,000
236.13Spring switch; selection of signal control circuits through circuit controller 1,000 2,000
236.14Spring switch signal protection; requirements 1,000 2,000
236.15Timetable instructions 1,000 2,000
236.16Electric lock, main track releasing circuit:
(a) Electric lock releasing circuit on main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically 2,500 5,000
(b) other violations 1,000 2,000
236.17Pipe for operating connections, requirements 1,000 2,000
236.18Software management control plan:
Failure to develop and adopt a plan $5,000 $10,000
Failure to fully implement plan 5,000 10,000
Inadequate plan 2,500 10,000
Roadway Signals and Cab Signals
236.21Location of roadway signals 1,000 2,000
236.22Semaphore signal arm; clearance to other objects 1,000 2,000
236.23Aspects and indications 1,000 2,000
236.24Spacing of roadway signals 2,500 5,000
236.26Buffing device, maintenance 1,000 2,000
Track Circuits
236.51Track circuit requirements:
(a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h 2,500 5,000
(b) Track relay not in de-energized position or device that functions as track relay not in its most restrictive state when train, locomotive, or car occupies any part of track circuit, except fouling section of turnout of hand-operated main-track crossover 2,500 5,000
(c) other violations 1,000 2,000
236.52Relayed cut-section 1,000 2,000
236.53Track circuit feed at grade crossing 1,000 2,000
236.54Minimum length of track circuit 1,000 2,000
236.55Dead section; maximum length 1,000 2,000
236.56Shunting sensitivity 2,500 5,000
236.57Shunt and fouling wires:
(a) Shunt or fouling wires do not consist of at least two discrete conductors 2,500 5,000
(b) other violations 1,000 2,000
236.58Turnout, fouling section:
(a) Rail joint in shunt fouling section not bonded 2,500 5,000
(b) other violations 1,000 2,000
236.59Insulated rail joints 1,000 2,000
236.60Switch shunting circuit; use restricted 2,500 5,000
Wires and Cables
236.71Signal wires on pole line and aerial cable 1,000 2,000
236.73Open-wire transmission line; clearance to other circuits 1,000 2,000
236.74Protection of insulated wire; splice in underground wire 1,000 2,000
236.76Tagging of wires and interference of wires or tags with signal apparatus 1,000 2,000
Inspections and Tests; All Systems
236.101Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements 2,500 5,000
236.102Semaphore or search-light signal mechanism 1,000 2,000
236.103Switch circuit controller or point detector 1,000 2,000
236.104Shunt fouling circuit 1,000 2,000
236.105Electric lock 1,000 2,000
236.106Relays 1,000 2,000
236.107Ground tests 1,000 2,000
236.108Insulation resistance tests, wires in trunking and cables:
(a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms 2,500 5,000
(b) other violations 1,000 2,000
236.109Time releases, timing relays and timing devices 1,000 2,000
236.110Results of tests 1,000 2,000
Subpart B—Automatic Block Signal Systems
236.201Track circuit control of signals 1,000 2,000
236.202Signal governing movements over hand-operated switch 1,000 2,000
236.203Hand-operated crossover between main tracks; protection 1,000 2,000
236.204Track signaled for movements in both directions, requirements 1,000 2,000
236.205Signal control circuits; requirements 1,000 2,000
236.206Battery or power supply with respect to relay; location 1,000 2,000
Subpart C—Interlocking
236.207Electric lock on hand-operated switch; control:
(a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position 2,500 5,000
(b) other violations 1,000 2,000
236.301Where signals shall be provided 1,000 2,000
236.302Track circuits and route locking 1,000 2,000
236.303Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism 1,000 2,000
236.304Mechanical locking or same protection effected by circuits 1,000 2,000
236.305Approach or time locking 1,000 2,000
236.306Facing point lock or switch-and-lock movement 1,000 2,000
236.307Indication locking:
236.308Mechanical or electric locking or electric circuits; requisites 1,000 2,000
236.309Loss of shunt protection; where required:
(a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, movable point frog, or derail 2,500 5,000
(b) Other violations 1,000 2,000
236.310Signal governing approach to home signal 1,000 2,000
236.311Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking 1,000 2,000
236.312Movable bridge, interlocking of signal appliances with bridge devices:
(a) Emergency bypass switch or device not locked or sealed 2,500 5,000
(b) other violations 1,000 2,000
236.314Electric lock for hand-operated switch or derail:
(a) Approach or time locking of electric lock at hand-operated switch or derail can be defeated by unauthorized use of emergency device which is not kept sealed in non-release position 2,500 5,000
(b) other violations 1,000 2,000
Rules and Instructions
236.326Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking 1,000 2,000
236.327Switch, movable-point frog or split-point derail 1,000 2,000
236.328Plunger of facing-point 1,000 2,000
236.329Bolt lock 1,000 2,000
236.330Locking dog of switch and lock movement 1,000 2,000
236.334Point detector 1,000 2,000
236.335Dogs, stops and trunnions of mechanical locking 1,000 2,000
236.336Locking bed 1,000 2,000
236.337Locking faces of mechanical locking; fit 1,000 2,000
236.338Mechanical locking required in accordance with locking sheet and dog chart 1,000 2,000
236.339Mechanical locking; maintenance requirements 1,000 2,000
236.340Electromechanical interlocking machine; locking between electrical and mechanical levers 1,000 2,000
236.341Latch shoes, rocker links, and quadrants 1,000 2,000
236.342Switch circuit controller 1,000 2,000
Inspection and Tests
236.376Mechanical locking 1,000 2,000
236.377Approach locking 1,000 2,000
236.378Time locking 1,000 2,000
236.379Route locking 1,000 2,000
236.380Indication locking 1,000 2,000
236.381Traffic locking 1,000 2,000
236.382Switch obstruction test 1,000 2,000
236.383Valve locks, valves, and valve magnets 1,000 2,000
236.384Cross protection
236.386Restoring feature on power switches
236.387Movable bridge locking 1,000 2,000
Subpart D—Traffic Control Systems Standards
236.401Automatic block signal system and interlocking standards applicable to traffic control systems:
236.402Signals controlled by track circuits and control operator 1,000 2,000
236.403Signals at controlled point 1,000 2,000
236.404Signals at adjacent control points 1,000 2,000
236.405Track signaled for movements in both directions, change of direction of traffic 1,000 2,000
236.407Approach or time locking; where required 1,000 2,000
236.408Route locking 1,000 2,000
236.410Locking, hand-operated switch; requirements:
(a) Hand-operated switch on main track not electrically or mechanically locked in normal position where signal not provided to govern movement to main track, movements made at speeds in excess of 20 m.p.h., and train or engine movements may clear main track 2,500 5,000
(b) Hand-operated switch on signaled siding not electrically or mechanically locked in normal position where signal not provided to govern movements to signaled siding, train movements made at speeds in excess of 30 m.p.h., and train or engine movements may clear signaled siding 2,500 5,000
(c) Approach or time locking of electric lock at hand-operated switch can be defeated by use of emergency release device of electric lock which is not kept sealed in non-release position 2,500 5,000
(d) other violations 1,000 2,000
Rules and Instructions
236.426Interlocking rules and instructions applicable to traffic control systems 1,000 2,000
236.476Interlocking inspections and tests applicable to traffic control systems 1,000 2,000
Subpart E—Automatic Train Stop, Train Control and Cab Signal Systems Standards
236.501Forestalling device and speed control 1,000 2,000
236.502Automatic brake application, initiation by restrictive block conditions stopping distance in advance 1,000 2,000
236.503Automatic brake application; initiation when predetermined rate of speed exceeded 1,000 2,000
236.504Operations interconnected with automatic block-signal system 1,000 2,000
236.505Proper operative relation between parts along roadway and parts on locomotive 1,000 2,000
236.506Release of brakes after automatic application 1,000 2,000
236.507Brake application; full service 1,000 2,000
236.508Interference with application of brakes by means of brake valve 1,000 2,000
236.509Two or more locomotives coupled 1,000 2,000
236.511Cab signals controlled in accordance with block conditions stopping distance in advance 1,000 2,000
236.512Cab signal indication when locomotive enters blocks 1,000 2,000
236.513Audible indicator 1,000 2,000
236.514Interconnection of cab signal system with roadway signal system 1,000 2,000
236.515Visibility of cab signals 1,000 2,000
236.516Power supply 1,000 2,000
Rules and Instructions; Roadway
236.526Roadway element not functioning properly 2,500 5,000
236.527Roadway element insulation resistance 1,000 2,000
236.528Restrictive condition resulting from open hand-operated switch; requirement 1,000 2,000
236.529Roadway element inductor; height and distance from rail 1,000 2,000
236.531Trip arm; height and distance from rail 1,000 2,000
236.532Strap iron inductor; use restricted 1,000 2,000
236.534Rate of pressure reduction; equalizing reservoir or brake pipe 1,000 2,000
236.551Power supply voltage 1,000 2,000
236.552Insulation resistance 1,000 2,000
236.553Seal, where required 2,500 5,000
236.554Rate of pressure reduction; equalizing reservoir or brake pipe 1,000 2,000
236.555Repaired or rewound receiver coil 1,000 2,000
236.556Adjustment of relay 1,000 2,000
236.557Receiver; location with respect to rail 1,000 2,000
236.560Contact element, mechanical trip type; location with respect to rail 1,000 2,000
236.562Minimum rail current required 1,000 2,000
236.563Delay time 1,000 2,000
236.564Acknowledging time 1,000 2,000
236.565Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement 1,000 2,000
236.566Locomotive of each train operating in train stop, train control or cab signal territory; equipped 5,000 7,500
236.567Restrictions imposed when device fails and/or is cut out en route:
(a) Report not made to designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route 5,000 7,500
(b) Train permitted to proceed at speed exceeding 79 m.p.h. where automatic train stop, train control, or cab signal device fails and/or is cut out en route when absolute block established in advance of train on which device is inoperative 5,000 7,500
(c) other violations 1,000 2,000
236.568Difference between speeds authorized by roadway signal and cab signal; action 1,000 2,000
Inspection and Tests; Roadway
236.576Roadway element 1,000 2,000
236.577Test, acknowledgement, and cut-in circuits 1,000 2,000
Inspection and Tests; Locomotive
236.586Daily or after trip test 2,500 5,000
236.587Departure test:
(a) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made on departure of locomotive from initial terminal if equipment on locomotive not cut out between initial terminal and equipped territory 5,000 7,500
(b) Test of automatic train stop, train control, or cab signal apparatus on locomotive not made immediately on entering equipped territory, if equipment on locomotive cut out between initial terminal and equipped territory 5,000 7,500
(c) Automatic train stop, train control, or cab signal apparatus on locomotive making more than one trip within 24-hour period not given departure test within corresponding 24-hour period 5,000 7,500
(d) other violations 2,500 5,000
236.588Periodic test 2,500 5,000
236.589Relays 2,500 5,000
236.590Pneumatic apparatus:
(a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once every 736 days 2,500 5,000
(b) other violations 1,000 2,000
Subpart F—Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards
236.601Signals controlled by devices; location 1,000 2,000
Subpart H—Standards for Processor-Based Signal and Train Control Systems
236.905Railroad Safety Program Plan (RSPP):
Failure to develop and submit RSPP when required 5,000 7,500
Failure to obtain FRA approval for a modification to RSPP 5,000 7,500
236.907Product Safety Plan (PSP):
Failure to develop a PSP 5,000 7,500
Failure to submit a PSP when required 5,000 7,500
236.909Minimum Performance Standard:
Failure to make analyses or documentation available 2,500 5,000
Failure to determine that the standard has been met 5,000 7,500
236.913Notification to FRA of PSPs: 2,500 5,000
Failure to prepare a PSP or PSP amendment as required 5,000 7,500
Failure to submit a PSP or PSP amendment as required 5,000 7,500
Field testing without authorization or approval 10,000 20,000
236.915Implementation and operation:
(a) Operation of product without authorization or approval 10,000 20,000
(b) Failure to comply with PSP 2,500 5,000
(c) Interference with normal functioning safety-critical product 7,500 15,000
(d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair 5,000 7,500
236.917Retention of records:
Failure to maintain records as required 7,500 15,000
Failure to report inconsistency 10,000 20,000
Failure to take prompt countermeasures 10,000 20,000
Failure to provide final report 2,500 5,000
236.919Operations and Maintenance Manual 3,000 6,000
236.921Training and qualification program, general 3,000 6,000
236.923Task analysis and basic requirements:
Failure to develop an acceptable training program 2,500 5,000
Failure to train persons as required 2,500 5,000
Failure to conduct evaluation of training program as required 2,500 5,000
Failure to maintain records as required 1,500 3,000
236.925Training specific to control office personnel 2,500 5,000
236.927Training specific to locomotive engineers and other operating personnel 2,500 5,000
236.929Training specific to roadway workers 2,500 5,000
Subpart I—Positive Train Control Systems
236.1005Positive Train Control System Requirements:
Failure to complete PTC system installation on track segment where PTC is required prior to 12/31/2015 16,000 25,000
Commencement of revenue service prior to obtaining PTC System Certification 16,000 25,000
Failure of the PTC system to perform a safety-critical function required by this section 5,000 7,500
Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required 5,000 7,500
Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after receiving a failed initialization 5,000 7,500
236.1006Equipping locomotives operating in PTC territory:
Operating in PTC territory a controlling locomotive without a required and operative PTC onboard apparatus 15,000 25,000
Failure to report as prescribed by this section 5,000 7,500
Non-compliant operation of unequipped trains in PTC territory 15,000 25,000
236.1007Additional requirements for high-speed service:
Operation of passenger trains at speed equal to or greater than 60 mph on non-PTC-equipped territory where required 15,000 25,000
Operation of freight trains at speed equal to or greater than 50 mph on non-PTC-equipped territory where required 15,000 25,000
Failure to fully implement incursion protection where required 5,000 7,500
236.1009Procedural requirements:
Failure to file PTCIP when required 5,000 7,500
Failure to amend PTCIP when required 5,000 7,500
Failure to obtain Type Approval when required 5,000 7,500
Failure to update NPI 5,000 7,500
Operation of PTC system prior to system certification 16,000 25,000
236.1011PTCIP content requirements:
Failure to install a PTC system in accordance with subpart I when so required 11,000 16,000
236.1013PTCDP content requirements and Type Approval:
Failure to maintain quality control system 5,000 7,500
Inappropriate use of Type Approval 5,000 7,500
236.1015PTCSP content requirements and PTC System Certification:
Failure to implement PTC system in accordance with the associated PTCSP and resultant system certification 16,000 25,000
Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification 16,000 25,000
Failure to maintain required supporting documentation 2,500 5,000
236.1017Independent third party Verification and Validation:
Failure to conduct independent third party Verification and Validation when ordered 11,000 16,000
236.1019Main line track exceptions:
Revenue operations conducted in non-compliance with the passenger terminal exception 16,000 25,000
Revenue operations conducted in non-compliance with the limited operations exception 16,000 25,000
Failure to request modification of the PTCIP or PTCSP when required 11,000 16,000
Revenue operations conducted in violation of (c)(2) 16,000 25,000
Revenue operations conducted in violation of (c)(3) 25,000 25,000
236.1021Discontinuances, material modifications, and amendments:
Failure to update PTCDP when required 5,000 7,500
Failure to update PTCSP when required 5,000 7,500
Failure to immediately adopt and comply with approved RFA 5,000 7,500
Discontinuance or modification of a PTC system without approval when required 11,000 16,000
236.1023Errors and malfunctions:
Railroad failure to provide proper notification of PTC system error or malfunction 5,000 7,500
Failure to maintain PTCPVL 2,500 5,000
Supplier failure to provide proper notification of previously identified PTC system error or malfunction 5,000 7,500
Failure to provide timely notification 5,000 7,500
Failure to provide appropriate protective measures in the event of PTC system failure 15,000 25,000
236.1027Exclusions:
Integration of primary train control system with locomotive electronic system without approval 5,000 7,500
236.1029PTC system use and en route failures:
Failure to determine cause of PTC system component failure without undue delay 5,000 7,500
Failure to adjust, repair, or replace faulty PTC system component without undue delay 5,000 7,500
Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system component 15,000 25,000
Non-compliant train operation within PTC-equipped territory with inoperative PTC onboard apparatus 5,000 7,500
Interference with the normal functioning of safety-critical PTC system 15,000 25,000
Improper arrangement of the PTC system onboard apparatus 2,500 5,000
236.1033Communications and security requirements:
Failure to provide cryptographic message integrity and authentication 5,000 7,500
Improper use of revoked cryptographic key 5,000 15,000
Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution 5,000 15,000
Failure to establish prioritized service restoration and mitigation plan for communication services 5,000 7,500
236.1035Field testing requirements:
Field testing without authorization or approval 10,000 20,000
236.1037Records retention:
Failure to maintain records and databases as required 7,500 15,000
Failure to report inconsistency 10,000 20,000
Failure to take prompt countermeasures 10,000 20,000
Failure to provide final report 2,500 5,000
236.1039Operations and Maintenance Manual:
Failure to implement and maintain Operations and Maintenance Manual as required 3,000 6,000
236.1043Task analysis and basic requirements:
Failure to develop and maintain an acceptable training program 10,000 20,000
Failure to train persons as required 2,500 5,000
Failure to conduct evaluation of training program as required 2,500 5,000
Failure to maintain records as required 1,500 3,000
236.1045Training specific to office control personnel:
Failure to conduct training unique to office control personnel 2,500 5,000
236.1047Training specific to locomotive engineers and other operating personnel:
Failure to conduct training unique to locomotive engineers and other operating personnel 2,500 5,000
236.1049Training specific to roadway workers:
Failure to conduct training unique to roadway workers 2,500 5,000
[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 73 FR 79704, Dec. 30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, 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.

  • 2014-08-22; vol. 79 # 163 - Friday, August 22, 2014
    1. 79 FR 49693 - Positive Train Control Systems (RRR)
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Final rule.
      This final rule is effective October 21, 2014.
      49 CFR Parts 234, 235, and 236

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 236 after this date.

  • 2014-08-22; vol. 79 # 163 - Friday, August 22, 2014
    1. 79 FR 49693 - Positive Train Control Systems (RRR)
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Final rule.
      This final rule is effective October 21, 2014.
      49 CFR Parts 234, 235, and 236