49 CFR Part 242, Appendix A to Part 242 - Schedule of Civil Penalties

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View PDF at GPO Pt. 242, App. A
Appendix A to Part 242—Schedule of Civil Penalties
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 $100,000 for any violation where circumstances warrant. See49 CFR part 209, Appendix A.
Appendix A to Part 242 —Schedule of Civil Penalties 1
Section Violation Willful violation
Subpart B—Program and Eligibility Requirements:
242.101—Program failures:
(a) Failure to have program $10,000 $20,000
(a)(1)-(6) Program that fails to address a subject 2,500 5,000
242.103—Program approval:
(a)-(b) Failure to follow Appendix B 1,000 2,000
(c) Failure to comply with filing requirements 1,000 2,000
(h) to resubmit, when directed by FRA 1,000 2,000
242.105—Schedule for implementation:
(a)-(b) Failure to designate conductors 2,000 4,000
(c) Allowing uncertified person to serve as conductor 7,500 15,000
(d)-(e) Certifying without complying with subpart B or failure to issue a certificate 2,500 5,000
(f) Serving as a conductor without complying with subpart B or being issued a certificate 7,500 15,000
242.107—Types of service:
(a) Failure to designate types of service 2,000 4,000
(c) Reclassifying a certificate 2,500 5,000
242.109—Certification and recertification determinations:
(a) Failure to determine in writing the requirements of (a)(1), (a)(2), (a)(3), and/or (a)(4) 2,500 5,000
(b) Considering excluded data 2,000 4,000
(c) Failure to have required documents on file 1,000 2,000
(d), (e) Failure to provide timely review opportunity 2,000 4,000
242.111—Motor vehicle operator records:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to initially certify 2,000 4,000
(d) Failure to recertify 2,000 4,000
(e) Allowing person to serve as conductor before information is evaluated 7,500 15,000
(f) Failure to certify or certify during pendency of waiver request 2,000 4,000
(g) Failure to take action to make information available 1,000 2,000
(h), (i), (j) Failure to request record 1,000 2,000
(k) Failure to notify of absence of license 1,000 2,000
(l) Failure to report in timely manner or railroad taking certification action for not reporting earlier than 48 hours 1,000 2,000
(m), (n) Considering excluded data 2,000 4,000
(o) Failure to:
(1) Consider data 6,000 10,000
(3), (4) Properly act in response to data 2,500 5,000
242.113—Prior safety conduct:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to request record or take required action 2,000 2,000
242.115—Substance abuse/rules:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to have basis for taking action 2,500 5,000
(d)-(g) Failure to comply with requirements 2,500 5,000
242.117—Vision and hearing acuity:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to have basis for finding proper acuity 1,000 2,000
(d) Acuity examination performed by unauthorized person 1,000 2,000
(e) Failure to note need for device to achieve acuity 1,000 2,000
(f) Failure to use device needed for proper acuity 1,000 2,000
(h)-(j) Failure to comply with requirements 2,500 5,000
(k) Failure of conductor to notify 2,500 5,000
242.119—Training:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to determine in writing the requirements of (c)(1), (c)(2), and/or (c)(3) 2,500 5,000
(d) Failure to:
(1) Make determination, include proper curriculum, and/or document knowledge and ability 2,500 5,000
(2) Failure to include component 1,000 2,000
(3) Failure to make information available 1,000 2,000
(4) Failure to maintain steps or tasks in one manual or make available 1,000 2,000
(5) Failure to review and modify training plan 1,000 2,000
(e) Failure to require person to meet requirements 2,500 5,000
(f) Failure to provide opportunity to consult 1,000 2,000
(g)-(k) Failure to have adequate procedures or include procedures in program 2,500 5,000
(l) Failure to have adequate procedures for or provide continuing education 2,500 5,000
242.121—Knowledge testing:
(a) Failure to implement program meeting requirements 6,000
(b) Failure to determine eligibility requirements met 5,000 7,500
(c) Failure to have adequate procedures for testing knowledge 2,500 5,000
(d) Failure to properly document testing 2,500 5,000
(e) Failure to provide opportunity to consult 2,500 5,000
(f) Failure to document whether test was passed or failed 2,500 5,000
(g) Allowing person to serve as a conductor despite test failure 2,500 5,000
242.123—Monitoring operational performance:
(a)-(b) Failure to implement program meeting requirements 6,000
(c) Failure to test each conductor annually 2,500 5,000
(d) Failure to test properly 2,500 5,000
(e) Failure to indicate the action to be take 2,500 5,000
(f) Failure to test within time limits 2,500 5,000
242.125—Reliance on determination of another:
(a) Failure to address in program or require newly hired conductor to take entire training program 5,000 7,500
(b) Failure to make any required determinations 2,500 5,000
242.127—Relying on requirements of a country:
(a)-(b) Failure to determine person employed and meets Canadian standards 2,500 5,000
Subpart C—Administration of the Certification Program:
242.201—Time limitations:
(a), (c), and (d) Exceeding time limit 2,000 4,000
242.203—Supporting information:
(a), (c)-(e) Failure to have a record 2,500 5,000
(b) Failure to have a complete record 2,000 4,000
(f) Falsification of a record (−) 10,000
(g) Failure to comply with requirements if records maintained electronically 2,000 4,000
242.205—Identification of persons:
(a)-(b) Failure to have a record 2,500 5,000
(c) Failure to update or make a record available 2,000 4,000
(d) Falsification of a record (−) 10,000
(e) Failure to comply with requirements if records maintained electronically 2,000 4,000
242.207—Certificate components:
(a) Improper certificate 1,000 2,000
(b) Failure to designate those with signing authority 1,000 2,000
(d) Falsification of a certificate (−) 10,000
242.209—Maintenance of the certificate:
(a) Failure of conductor to carry certificate or display certificate when requested 1,000 2,000
(b) Failure of conductor to notify railroad of limitations or railroad requiring conductor to exceed limitations 4,000 8,000
242.211—Replacement of certificates:
(a) Failure to have a reasonably accessible system for certificate replacement 2,000 4,000
(b) Failure to comply with requirements for temporary replacement certificates 1,000 2,000
242.213—Multiple certifications:
(d) Allowing an engineer to operate without a conductor where the engineer is not certified as a conductor or not accompanied by a certified conductor 7,500 15,000
(e) Failure to comply with emergency restrictions 2,500 5,000
(f) Failure of conductor to notify railroad of denial or revocation 4,000 8,000
(g) Performing conductor service with a revoked conductor certificate 7,500 15,000
(h), (k) Performing work as an engineer or obtaining an engineer certificate with a conductor certification revoked for a violation of 242.403(e)(1)-(e)(5) or (e)(12) 7,500 15,000
(i), (j) Performing work as a conductor or obtaining a conductor certificate with an engineer certification revoked under 240.307 7,500 15,000
(l) Denying or revoking engineer certification or recertification based solely on the denial of conductor certification 4,000 8,000
(m) Denying or revoking conductor certification or recertification based solely on the denial of engineer certification 4,000 8,000
242.215—Oversight responsibility:
(a) Failure to perform annual review and analysis or perform on time 2,000 4,000
(b)-(i) Incomplete or inaccurate report 2,500 5,000
Subpart D—Territorial Qualification and Joint Operations
242.301—Territorial qualification:
(a) Allowing uncertified person or person not territorially qualified to serve as a conductor 7,500 15,000
(b) Failure to notify railroad of lack of qualifications 4,000 8,000
(c) Failure to provide required assistance 4,000 8,000
(d) Failure to provide assistance or up-to-date job aid 4,000 8,000
Subpart E—Denial and Revocation of Certification
242.401—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
242.403—Revocation criteria:
(a) Failure to implement program meeting requirements 6,000
(b) Unlawful failure to comply with rules and practices 2,500 5,000
(c) Failure to revoke certification 2,500 5,000
(d) Considering excluded data 2,500 5,000
(e) Considering unlisted violations of operating rules and practices 2,500 5,000
(f) Improperly counting or considering violations 2,500 5,000
242.405—Periods of ineligibility:
(a)-(c) Imposition of incorrect period of ineligibility 2,500 5,000
242.407—Revocation of certification:
(a) Failure to revoke certification 7,500 15,000
(b) Failure to suspend, notify, provide hearing opportunity, or improper procedures 2,500 5,000
(c)-(h) Failure of railroad to comply with hearing or waiver procedures 2,500 5,000
(j) Failure of railroad to make record 1,000 2,000
(k) Failure of railroad to conduct reasonable inquiry or make good faith determination 5,000 10,000

Footnote(s):
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.

[76 FR 69841, Nov. 9, 2011, as amended at 77 FR 24423, Apr. 24, 2012]

Title 49 published on 2013-10-01

no entries appear in the Federal Register after this date.