49 CFR Part 240, Appendix A to Part 240 - Schedule of Civil Penalties 1

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View PDF at GPO Pt. 240, App. A
Appendix A to Part 240—Schedule of 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 B—Component Elements
240.101—Program Failures
(a) Failure to have program $5,000 $10,000
(b) Program that fails to address a subject 2,500 5,000
240.103—Failure to:
(a) follow Appendix B 1,000 2,000
(d) to resubmit, when directed by FRA 1,000 2,000
240.104—Allowing uncertified person to operate non-traditional locomotives 5,000 10,000
240.105—Failure to have or execute adequate procedure for selection of supervisors 2,500 5,000
240.107—Classes of Service
(a) Failure to designate classes of service 2,000 4,000
240.109—Limitations on considering prior conduct records
(a) Failure to have procedure for determining eligibility 2,500 5,000
(e) Considering excluded data 2,000 4,000
(f,g) Failure to provide timely review opportunity 2,000 4,000
240.111—Furnishing Motor Vehicle Records:
(a) Failure to action required to make information available 1,000 2,000
(b) Failure to request:
(1) local record 1,000 2,000
(2) NDR record 1,000 2,000
(f) Failure to request additional record 1,000 2,000
(g) Failure to notify of absence of license 750 1,500
(h) Failure to submit request in timely manner 750 1,500
(i) Failure to report within 48 hours or railroad taking certification action for not reporting earlier than 48 hours 1,000 2,000
240.113—Furnishing prior employment information
(a) Failure to take action required to make information available 1,000 2,000
(b) Failure to request record 1,000 2,000
240.115—Criteria for considering prior motor vehicle conduct
(b) Considering excluded data 2,000 4,000
(c) Failure to
(1) consider data 5,000 7,500
(3,4) properly act in response to data 2,500 5,000
240.117—Consideration of Operational Rules Compliance Records:
(a) Failure to have program and procedures 5,000 10,000
(b-j) Failure to have adequate program or procedure 2,500 5,000
240.119—Consideration of substance abuse /rules compliance records
(a) Failure to have program and procedures 5,000 10,000
(b-e) Failure to have adequate program or procedure 2,500 5,000
240.121—Failure to have adequate procedure for determining acuity 2,500 5,000
(f) Failure of engineer to notify 2,500 5,000
240.123—Failure to have:
(b) Adequate procedures for continuing education 2,500 5,000
(c) adequate procedures for training new engineers 2,500 5,000
240.125—Failure to have
(a) adequate procedures for testing knowledge 2,500 5,000
(d) adequate procedures for documenting testing 2,500 5,000
240.127—Failure to have
(a) adequate procedures for evaluating skill performance 2,500 5,000
(c) adequate procedures for documenting skills testing 2,500 5,000
240.129—Failure to have
(a-b) adequate procedures for monitoring performance 2,500 5,000
Subpart C—Implementation of the Process
240.201—Schedule for implementation
(a) Failure to select supervisors by specified date 1,000 2,000
(b) Failure to identify grandfathered engineers 2,000 4,000
(c) Failure to issue certificate to engineer 1,000 2,000
(d) Allowing uncertified person to operate 5,000 10,000
(e-g) Certifying without complying with subpart C 2,500 5,000
(h-i) Failure to issue certificate to engineer 1,000 2,000
240.203—
(a) Certifying a person without determining that
(1) person meets the eligibility criteria 5,000 7,500
(2) person meets the medical criteria 2,500 5,000
(3) person has demonstrated knowledge 2,500 5,000
(4) person has demonstrated skills 2,500 5,000
(b) Certifying a person without determining that
(1) person has completed training program 2,500 5,000
(2) person meets the eligibility criteria 2,500 5,000
(3) time has elapsed 2,500 5,000
240.205—Procedures for determining eligibility based on prior safety conduct
(a) Selecting person lacking eligibility 5,000 7,500
(b) Failure to have basis for taking action 2,500 5,000
240.207—Ineligibility based on medical condition
(a) Selecting person lacking proper acuity 2,000 4,000
(b) Failure to have basis for finding of proper acuity 1,000 2,000
(c) Acuity examinations performed by unauthorized person 1,000 2,000
(d) Failure to note need for device to achieve acuity 1,000 2,000
(e) Failure to use device needed for proper acuity 1,000 2,000
240.209—Demonstrating knowledge
(b) Failure to properly determine knowledge 2,500 5,000
(c) Improper test procedure 2,000 4,000
(d) Failure to document test results 1,000 2,000
(e) Allowing person to operate despite test failure 2,500 5,000
240.211—Demonstrating skills
(b) Failure to properly determine knowledge 2,500 5,000
(c) Improper test procedure 2,000 4,000
(d) Failure to document test results 1,000 2,000
(e) Allowing person to operate despite test failure 2,500 5,000
240.213—Completion of approved training program
(a) Failure to properly determine 2,500 5,000
(b) Failure to document successful program completion 2,000 4,000
240.215—Supporting information
(a, f-h) Failure to have a record 1,000 2,000
(b) Failure to have complete record 1,000 2,000
(i) Falsification of record (-) 10,000
240.217—Time limits for making determinations
(a, c) Exceeding time limit 2,000 4,000
240.219—Denial of certification
(a) Failure to notify or provide opportunity for comment 2,000 4,000
(c) Failure to notify, provide data, or untimely notification 2,000 4,000
240.221—Identification of persons
(a-c) Failure to have a record 2,000 4,000
(d) Failure to update a record 2,000 4,000
(e-f) Failure to make a record available 1,000 2,000
240.223—Certificate criteria
(a) Improper certificate 1,000 2,000
(b) Failure to designate those with signatory authority 1,000 2,000
(d) Falsification of certificate (-) 10,000
240.225—Railroad Relying on Determination of Another:
(a) Failure to address in program or failure to require newly hired engineer to take entire training program 5,000 7,500
(1) Reliance on expired certification 2,500 5,000
(2) Reliance on wrong class of service 2,500 5,000
(3) Failure to familiarize person with new operational territory 2,000 4,000
(4) Failure to determine knowledge 2,000 4,000
(5) Failure to determine performance skills 2,000 4,000
240.227—Railroad Relying on Requirements of a Different Country
(a) Joint operator reliance
(1) on person not employed 1,000 2,000
(2) on person who fails to meet Canadian requirements 1,000 2,000
(b) Canadian railroad reliance
(1) on person not employed 1,000 2,000
(2) on person who fails to meet Canadian requirements 1,000 2,000
240.229—Requirements for Joint Operations Territory:
(a) Allowing uncertified person to operate 2,000 4,000
(b) Certifying without making determinations or relying on another railroad 2,500 5,000
(c) Failure of
(1) controlling railroad certifying without determining certification status, knowledge, skills, or familiarity with physical characteristics 4,000 8,000
(2) employing railroad to determine person's certified and qualified status for controlling railroad 4,000 8,000
(3) person to notify employing railroad of lack of qualifications 4,000 8,000
(d) Failure to provide qualified person 2,000 4,000
240.231—Persons Qualified on Physical Characteristics in Other Than Joint Operations:
(a) Person unqualified, no exception applies or railroad does not adequately address in program 5,000 10,000
(b) Failure to have a pilot
(1) for engineer who has never been qualified 4,000 8,000
(2) for engineer previously qualified 2,500 5,000
Subpart D—Program Administration
240.301—Failure to have system for certificate replacement 2,000 4,000
240.303—Monitoring operations
(a) Failure to have program 5,000 10,000
(b) Failure to observe each person annually 1,000 2,000
(c) Failure to test each person annually 1,000 2,000
(d) Failure to test properly 1,000 2,000
240.305—Prohibited Conduct:
(a) Unlawful:
(1) passing of stop signal 2,500 5,000
(2) control of speed 2,500 5,000
(3) brake tests 2,500 5,000
(4) occupancy of main track 2,500 5,000
(5) tampering on operation with disabled safety device 2,500 5,000
(6) supervisor, pilot, or instructor fails to take appropriate action 2,500 5,000
(b) Failure of engineer to:
(1) carry certificate 1,000 2,000
(2) display certificate when requested 1,000 2,000
(c) Failure of engineer to notify railroad of limitations or railroad requiring engineer to exceed limitations 4,000 8,000
(d) Failure of engineer to notify railroad of denial or revocation 4,000 8,000
240.307—Revocation of Certification:
(a) Failure to withdraw person from service 2,500 5,000
(b) Failure to notify, provide hearing opportunity, or untimely procedures 2,500 5,000
(c-h) Failure of railroad to comply with hearing or waiver procedures 1,000 2,000
(j) Failure of railroad to make record 2,500 5,000
(k) Failure of railroad to conduct reasonable inquiry or make good faith determination 5,000 10,000
240.309—Oversight Responsibility Report:
(a) Failure to report or to report on time 1,000 2,000
(b-h) Incomplete or inaccurate report 2,000 4,000
[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 63 FR 11624, Mar. 10, 1998; 64 FR 60995, Nov. 8, 1999; 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 74 FR 68185, Dec. 23, 2009; 77 FR 24422, Apr. 24, 2012]

Title 49 published on 2014-10-01

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