49 CFR Part 238, Appendix A to Part 238 - Schedule of Civil Penalties 1

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View PDF at GPO Pt. 238, App. A
Appendix A to Part 238—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 passenger equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $16,000 per day. However, failure to perform, with respect to a particular unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. 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 § 238.17 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 unit of passenger equipment at the time of movement.
Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power brakes, set forth in § 238.17(e) will deprive the railroad of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or § 238.429 concerning the substantive defective condition.
The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under § 238.303 and § 238.305 may be assessed for each unit of passenger equipment contained in a train that is not properly inspected. Whereas, the penalties listed for failure to perform the brake inspections and tests under § 238.313 through § 238.319 may be assessed for each train that is not properly inspected.
2 The penalty schedule uses section numbers from 49 CFR part 238. If more than one item is listed as a type of violation of a given section, each item is also designated by a “penalty code,” which is used to facilitate assessment of civil penalties, and which may or may not correspond to any subsection designation(s). For convenience, penalty citations will cite the CFR section and the penalty code, if any. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR citation in place of the combined CFR and penalty code citation, should they differ.
SUBPART A—GENERAL
238.15Movement of power brake defects:
(b) Improper movement from Class I or IA brake test 5,000 7,500
(c) Improper movement of en route defect 2,500 5,000
(2), (3) Insufficient tag or record 1,000 2,000
(4) Failure to determine percent operative brake 2,500 5,000
(d) Failure to follow operating restrictions 5,000 7,500
(e) Failure to follow restrictions for inoperative front or rear unit 2,500 5,000
238.17Movement of other than power brake defects: 1
(c)(4), (5) Insufficient tag or record 1,000 2,000
(d) Failure to inspect or improper use of roller bearings 2,500 5,000
(e) Improper movement of defective safety appliances (1)
238.19Reporting and tracking defective equipment:
(a) Failure to have reporting or tracking system 7,500 11,000
(b) Failure to retain records 2,000 4,000
(c) Failure to make records available 1,000 2,000
(d) Failure to list power brake repair points 2,000 4,000
SUBPART B—SAFETY PLANNING AND GENERAL REQUIREMENTS
238.103Fire protection plan/fire safety:
(a) Failure to use proper materials 5,000 7,500
(b) Improper certification 1,000 2,000
(c) Failure to consider fire safety on new equipment 5,000 7,500
(d) Failure to perform fire safety analysis 5,000 7,500
(e) Failure to develop, adopt or comply with procedures 5,000 7,500
238.105Train electronic hardware and software safety:
(a), (b), (c) Failure to develop and maintain hardware and software safety 7,500 11,000
(d) Failure to include required design features 5,000 7,500
(e) Failure to comply with hardware and software safety program 5,000 7,500
238.107Inspection, testing, and maintenance plan:
(b) Failure to develop plan 7,500 11,000
(b)(1)-(5) Failure of plan to address specific item 3,000 6,000
(d) Failure to conduct annual review 5,000 7,500
238.109Training, qualification, and designation program:
(a) Failure to develop or adopt program 7,500 11,000
(b)(1)-(4) Failure of plan to address specific item 3,000 6,000
(b)(5)-(12) Failure to comply with specific required provision of the program 5,000 7,500
(b)(13) Failure to maintain adequate records 2,500 5,000
238.111Pre-revenue service acceptance testing plan:
(a) Failure to properly test previously used equipment 7,500 11,000
(b)(1) Failure to develop plan 7,500 11,000
(b)(2) Failure to submit plan to FRA 5,000 7,500
(b)(3) Failure to comply with plan 5,000 7,500
(b)(4) Failure to document results of testing 5,000 7,500
(b)(5) Failure to correct safety deficiencies or impose operating limits 5,000 7,500
(b)(6) Failure to maintain records 3,000 6,000
(b)(7) Failure to obtain FRA approval 5,000 7,500
238.113Emergency window exits 2,500 5,000
238.114Rescue access windows 2,500 5,000
238.115Emergency lighting 2,500 5,000
238.117Protection against personal injury 2,500 5,000
238.119Rim-stamped straight plate wheels 2,500 5,000
238.121Emergency communication 2,500 5,000
238.123Emergency roof access 2,500 5,000
SUBPART C—SPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT
238.203Static end strength 2,500 5,000
238.205Anti-climbing mechanism 2,500 5,000
238.207Link between coupling mechanism and car body 2,500 5,000
238.209Forward-facing end structure of locomotives 2,500 5,000
238.211Collision posts 2,500 5,000
238.213Corner posts 2,500 5,000
238.215Rollover strength 2,500 5,000
238.217Side structure 2,500 5,000
238.219Truck-to-car-body attachment 2,500 5,000
238.221Glazing 2,500 5,000
238.223Fuel tanks 2,500 5,000
238.225Electrical System 2,500 5,000
238.227Suspension system 2,500 5,000
238.229Safety appliances—general:
(e) Failure to properly identify equipment (per car) 2,500 5,000
(g) Failure to adopt or comply with inspection plan 2,500 5,000
(h) Failure to use qualified person (per car) 2,500 5,000
(i) Failure to properly conduct initial or periodic inspection (per car) 2,500 5,000
(j) Failure to take proper remedial action (per car) 2,500 5,000
(k) Failure to maintain records (per car) 2,000 4,000
238.230Safety appliances—new equipment:
(b)(2) Failure to identify welded appliance (per car) 2,500 5,000
(b)(3) Failure to receive approval for use (per car) 2,500 5,000
(c)(2) Failure to make proper repair (per car) 2,500 5,000
238.231Brake System (a)-(g), (i)-(n) 2,500 5,000
(h)(1), (2) Hand or parking brake missing or inoperative 5,000 7,500
(h)(3) Hand or parking brake inspection or record (per car) 2,500 5,000
(h)(4) Hand or parking brake not applied to hold unattended equipment or prematurely released 5,000 7,500
238.233Interior fittings and surfaces 2,500 7,500
238.235Doors 2,500 5,000
238.237Automated monitoring 2,500 5,000
SUBPART D—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT
238.303Exterior mechanical inspection of passenger equipment:
(a)(1) Failure to perform mechanical inspection 1 2,000 4,000
(a)(2) Failure to inspect secondary brake system 2,500 5,000
(b) Failure to perform inspection on car added to train 1 2,000 4,000
(c) Failure to utilize properly qualified personnel 2,000 4,000
(e)(1) Products of combustion not released outside cab 2,500 5,000
(e)(2) Battery not vented or gassing excessively 2,500 5,000
(e)(3) Coupler not in proper condition 2,500 5,000
(e)(4) No device under drawbar pins or connection pins 2,500 5,000
(e)(5) Suspension system and spring rigging not in proper condition 2,500 5,000
(e)(6) Truck not in proper condition 2,500 5,000
(e)(7) Side bearing not in proper condition 2,500 5,000
(e)(8) Wheel not in proper condition:
(i), (iv) Flat spot(s) and shelled spot(s):
(A) One spot 21/2″ or more but less than 3″ in length 2,500 5,000
(B) One spot 3″ or more in length 5,000 7,500
(C) Two adjoining spots each of which is 2″ or more in length but less than 21/2″ in length 2,500 5,000
(D) Two adjoining spots each of which are at least 2″ in length, if either spot is 21/27″ or more in length 5,000 7,500
(ii) Gouge or chip in flange:
(A) 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
(B) 15/8″ or more in length and 5/8″ or more in width 5,000 7,500
(iii) Broken rim 5,000 7,500
(v) Seam in tread 2,500 5,000
(vi) Flange thickness of: 2,500 5,000
(A) 7/8″ or less but more than
(B) 13/16″ or less 5,000 7,500
(vii) Tread worn hollow 2,500 5,000
(viii) Flange height of:
(A) 11/2″ or greater but less than 15/8 2,500 5,000
(B) 15/8″ or more 5,000 7,500
(ix) Rim thickness:
(A) Less than 1″ 2,500 5,000
(B) 15/16″ or less 5,000 7,500
(x) Crack or break in flange, tread, rim, plate, or hub:
(A) Crack of less than 1″ 2,500 5,000
(B) Crack of 1″ or more 5,000 7,500
(C) Break 5,000 7,500
(xi) Loose wheel 5,000 7,500
(xii) Welded wheel 5,000 7,500
(e)(10) Improper grounding or insulation 5,000 7,500
(e)(11) Jumpers or cable connections not in proper condition 2,500 5,000
(e)(12) Door or cover plate not properly marked 2,500 5,000
(e)(13) Buffer plate not properly placed 2,500 5,000
(e)(14) Diaphragm not properly placed or aligned 2,500 5,000
(e)(15) Secondary braking system not in operating mode or contains known defect 2,500 5,000
(e)(16) Roller bearings:
(i) Overheated 5,000 7,500
(ii) Cap screw loose or missing 2,500 5,000
(iii) Cap screw lock broken or missing 1,000 2,000
(iv) Seal loose, damaged, or leaks lubricant 2,500 5,000
(e)(17) Air compressor inoperative 2,500 5,000
(g) Record of inspection:
(1), (4) Failure to maintain record of inspection 5,000 4,000
(2) Record contains insufficient information 1,000 2,000
238.305Interior mechanical inspection of passenger cars:
(a) Failure to perform inspection 1 1,000 2,000
(b) Failure to utilize properly qualified personnel 1,000 2,000
(c)(1) Failure to protect against personal injury 2,500 5,000
(c)(2) Floors not free of condition that creates hazard 2,500 5,000
(c)(3) Access to manual door release not in place 2,000 4,000
(c)(4) Emergency equipment not in place 1,000 2,000
(c)(5) Emergency brake valve not stenciled or marked 2,500 5,000
(c)(6) Door or cover plates not properly marked 2,500 5,000
(c)(7) Safety signage not in place or legible 1,000 2,000
(c)(8) Trap door unsafe or improperly secured 2,500 5,000
(c)(9) Vestibule steps not illuminated 2,000 4,000
(c)(10) Door not safely operate as intended 2,500 5,000
(c)(11) Seat broken, loose, or not properly attached 2,500 5,000
(e) Record of inspection:
(1), (4) Failure to maintain record of inspection 2,000 4,000
(2) Record contains insufficient information 1,000 1,000
(f) Record of inspection:
(1), (4) Failure to maintain record of inspection 2,000 4,000
(2) Record contains insufficient information 1,000 2,000
238.307Periodic mechanical inspection of passenger cars and unpowered vehicles:
(a) Failure to perform periodic mechanical inspection 1 2,500 5,000
(b) Failure to utilize properly qualified personnel 2,500 5,000
(c)(1) Seat or seat attachment broken or loose 2,500 5,000
(c)(2) Luggage rack broken or loose 2,500 5,000
(c)(3) Bed, bunks, or restraints broken or loose 2,500 5,000
(c)(4) Emergency window exit not properly operate 2,500 5,000
(c)(5) Emergency lighting not operational 2,500 5,000
(c)(6) Switches not in proper condition 2,500 5,000
(c)(7) Coupler not in proper condition 2,500 5,000
(c)(8) Truck not equipped with securing arrangement 2,500 5,000
(c)(9) Truck center casting cracked or broken 5,000 7,500
(c)(10) General conditions endangering crew, passengers 2,500 5,000
(c)(13) Hand or parking brake test not performed 2,500 5,000
(d)(1) Manual door release not operate as intended 2,500 5,000
(d)(2) Hand or parking brake inspection not performed 2,500 5,000
(e)(1) Failure to maintain record of inspection 2,000 4,000
(i)-(iv) Record contains insufficient information 1,000 2,000
(f)(1) Record of inspection:
(i) Failure to maintain record of inspection 2,000 4,000
(ii) Record contains insufficient information 1,000 2,000
238.309Periodic brake equipment maintenance:
(b) Failure to perform on MU locomotive 2,500 5,000
(c) Failure to perform on conventional locomotive 2,500 5,000
(d) Failure to perform on passenger coaches or other unpowered vehicle 2,500 5,000
(e) Failure to perform on cab car 2,500 5,000
(f) Record of periodic maintenance:
(1), (2) Failure to maintain record or stencil 2,000 4,000
238.311Single car tests:
(a) Failure to test in accord with required procedure 2,500 5,000
(b) Failure to utilize properly qualified personnel 2,500 5,000
(c), (e) Failure to perform single car test 2,500 5,000
(f) Improper movement of car for testing 2,000 4,000
(g) Failure to test after repair or replacement of component 2,000 4,000
238.313Class I brake test:
(a) Failure to perform on commuter or short distance intercity passenger train 1 10,000 15,000
(b) Failure to perform on long-distance intercity passenger train 1 10,000 15,000
(c) Failure to perform on cars added to passenger train 1 5,000 7,500
(d) Failure to utilized properly qualified personnel 5,000 7,500
(f) Passenger train used from Class I brake test with less than 100% operative brakes 5,000 7,500
(g) Partial failure to perform inspection on a passenger train 5,000 7,500
(3) Failure to adjust piston travel (per car) 2,500 5,000
(h) Failure to maintain record 2,000 4,000
(j) Failure to perform additional Class I brake test 5,000 7,500
(j)(3) Failure to maintain record 2,000 4,000
238.315Class IA brake test:
(a) Failure to perform inspection 1 5,000 7,500
(d) Failure to utilize properly qualified personnel 2,500 5,000
(e) Passenger train used from Class IA brake test with improper percentage of operative brakes 5,000 7,500
(f) Partial failure to perform inspection on passenger train 2,500 5,000
238.317Class II brake test:
(a) Failure to perform inspection 1 2,500 5,000
(b) Failure to utilize properly qualified personnel 2,500 5,000
(c) Improper use of defective equipment from Class II brake test 2,500 5,000
238.319Running brake tests:
(a), (b) Failure to perform test 2,000 4,000
238.321Out-of-service credit 1,000 2,000
SUBPART E—SPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.403Crash energy management 2,500 5,000
238.405Longitudinal static compressive strength 2,500 5,000
238.407Anti-climbing mechanism 2,500 5,000
238.409Forward end structures of power car cabs:
(a) Center collision post 2,500 5,000
(b) Side collision posts 2,500 5,000
(c) Corner posts 2,500 5,000
(d) Skin 2,500 5,000
238.411Rear end structures of power car cabs:
(a) Corner posts 2,500 5,000
(b) Collision posts 2,500 5,000
238.413End structures of trailer cars 2,500 5,000
238.415Rollover strength 2,500 5,000
238.417Side loads 2,500 5,000
238.419Truck-to-car-body and truck component attachment 2,500 5,000
238.421Glazing:
(b) End-facing exterior glazing 2,500 5,000
(c) Alternate glazing requirements 2,500 5,000
(d) Glazing securement 1,000 2,000
(e) Stenciling 2,500 5,000
238.423Fuel tanks:
(a) External fuel tanks 2,500 5,000
(b) Internal fuel tanks 2,500 5,000
238.425Electrical system:
(a) Circuit protection 2,500 5,000
(b) Main battery system 2,500 5,000
(c) Power dissipation resistors 2,500 5,000
(d) Electromagnetic interference and compatibility 2,500 5,000
238.427Suspension system 2,500 5,000
238.429 Safety Appliances:
(a) Couplers 5,000 7,500
(b) Hand/parking brakes 5,000 7,500
(d) Handrail and handhold missing 2,500 5,000
(d)(1)-(8) Handrail or handhold improper design 2,500 5,000
(e) Sill step missing 5,000 7,500
(e)(1)-(11) Sill step improper design 2,500 5,000
(g) Optional safety appliances 2,500 5,000
238.431Brake system 2,500 5,000
238.433Draft System 2,500 5,000
238.435Interior fittings and surfaces 2,500 5,000
238.437[Reserved]
238.439 Doors:
(a) Exterior side doors 2,500 5,000
(b) Manual override feature 2,500 5,000
(c) Notification to crew of door status 2,500 5,000
(d) Emergency back-up power 2,500 5,000
(f) End door kick-out panel or pop-out window 2,500 5,000
(g) Marking and instructions [Reserved]
238.441Emergency roof access 2,500 5,000
238.443Headlights 2,500 5,000
238.445Automated monitoring 2,500 5,000
238.447Train operator's controls and power car cab layout 2,500 5,000
SUBPART F—INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.503Inspection, testing, and maintenance requirements:
(a) Failure to develop inspection, testing, and maintenance program or obtain FRA approval 10,000 15,000
(b) Failure to comply with provisions of the program 5,000 7,500
(c) Failure to ensure equipment free of conditions which endanger safety of crew, passengers, or equipment 2,500 5,000
(d) Specific safety inspections:
(1)(i) Failure to perform Class I brake test or equivalent 10,000 15,000
(1)(ii) Partial failure to perform Class I brake test or equivalent 5,000 7,500
(2)(i) Failure to perform exterior mechanical inspection 1 2,000 4,000
(2)(ii) Failure to perform interior mechanical inspection 1 1,000 2,000
(g) Failure to perform scheduled maintenance as required in program 2,500 5,000
(h) Failure to comply with training, qualification and designation program 5,000 7,500
(i) Failure to develop or comply with standard procedures for performing inspection, tests, and maintenance 2,500 5,000
(j) Failure to conduct annual review 5,000 7,500
(k) Failure to establish or utilize quality control program 5,000 7,500
SUBPART G—SPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.603Safety plan:
(a) Failure to develop safety operating plan 7,500 11,000
(b) Failure to develop procurement plan 7,500 11,000
(1)-(7) Failure to develop portion of plan 2,500 5,000
(c) Failure to maintain documentation 2,500 5,000
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19994, Apr. 23, 2002; 72 FR 51198, Sept. 6, 2007; 73 FR 6413, Feb. 1, 2008; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012]

Title 49 published on 2014-10-01

no entries appear in the Federal Register after this date.