49 CFR Appendix A to Part 234, Schedule of Civil Penalties 1

Appendix A to Part 234 - Schedule of Civil Penalties 1
Section Violation Willful
violation
Subpart B - Reports
234.7 Accidents involving grade crossing signal failure $5,000 $7,500
234.9 Grade crossing signal system failure reports 2,500 5,000
Subpart C - Response to Reports of Warning System Malfunction
Sec.
234.101 Employee notification rules 2,500 5,000
234.103 Timely response to report of malfunction 2,500 5,000
234.105 Activation failure
(a) Failure to notify - train crews 5,000 7,500
Other railroads 5,000 7,500
(b) Failure to notify law enforcement agency 2,500 5,000
(c) Failure to comply with - flagging requirements 5,000 5,000
Speed restrictions 5,000 7,500
(d) Failure to activate horn or whistle 5,000 7,500
234.106 Partial activation
(a) Failure to notify - train crews 5,000 7,500
Other railroads 5,000 7,500
(b) Failure to notify law enforcement agency 2,500 5,000
(c) Failure to comply with - flagging requirements speed restrictions 5,000 7,500
(d) Failure to activate horn or whistle 5,000 7,500
234.107 False activation
(a) Failure to notify - train crews 5,000 7,500
Other railroads 5,000 7,500
(b) Failure to notify law enforcement agency 2,500 5,000
(c) Failure to comply with - flagging requirements 5,000 7,500
Speed restrictions 5,000 7,500
(d) Failure to activate horn or whistle 5,000 7,500
234.109 Recordkeeping 1,000 2,000
Subpart D - Maintenance, Inspection, and Testing
Maintenance Standards:
234.201 Location of plans 1,000 2,000
234.203 Control circuits 1,000 2,000
234.205 Operating characteristics of warning system apparatus 2,500 5,000
234.207 Adjustment, repair, or replacement of component 2,500 5,000
234.209 Interference with normal functioning of system 5,000 7,500
234.211 Locking of warning system apparatus 1,000 2,000
234.213 Grounds 1,000 2,000
234.215 Standby power system 5,000 7,500
234.217 Flashing light units 1,000 2,000
234.219 Gate arm lights and light cable 1,000 2,000
234.221 Lamp voltage 1,000 2,000
234.223 Gate arm 1,000 2,000
234.225 Activation of warning system 5,000 7,500
234.227 Train detection apparatus 2,500 5,000
234.229 Shunting sensitivity 2,500 5,000
234.231 Fouling wires 1,000 2,000
234.233 Rail joints 1,000 2,000
234.235 Insulated rail joints 1,000 2,000
234.237 Switch equipped with circuit controller 1,000 2,000
234.239 Tagging of wires and interference of wires or tags with signal apparatus 1,000 2,000
234.241 Protection of insulated wire; splice in underground wire 1,000 2,000
234.243 Wire on pole line and aerial cable 1,000 2,000
234.245 Signs 1,000 2,000
Inspections and Tests:
234.247 Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements 2,500 5,000
234.249 Ground tests 2,500 5,000
234.251 Standby power 5,000 7,500
234.253 Flashing light units and lamp voltage 1,000 2,000
234.255 Gate arm and gate mechanism 1,000 2,000
234.257 Warning system operation 2,500 5,000
234.259 Warning time 1,000 2,000
234.261 Highway traffic signal pre-emption 1,000 2,000
234.263 Relays 1,000 2,000
234.265 Timing relays and timing devices 1,000 2,000
234.267 Insulation resistance tests, wires in trunking and cables 2,500 5,000
234.269 Cut-out circuits 1,000 2,000
234.271 Insulated rail joints, bond wires, and track connections 2,500 5,000
234.273 Results of tests 1,000 2,000
234.275 Processor-Based Systems $5,000 $7,500
Subpart E - Emergency Notification Systems for Telephonic Reporting of Unsafe Conditions at Highway-Rail and Pathway Grade Crossings
234.303 Emergency notification systems (ENS) for telephonic reporting of unsafe conditions at highway-rail and pathway grade crossings:
(a) Dispatching railroad fails to establish and maintain a toll-free telephone service by which the railroad can directly and promptly receive telephone calls (calls) from the public of reports of unsafe conditions at crossings 15,000 25,000
(a)(1) Dispatching railroad fails to have either a live person answer calls directly and promptly, or use an automated answering system or third-party telephone service for receiving calls from the public of reports of unsafe conditions at crossings 10,000 15,000
(a)(2) Dispatching railroad improperly uses an automated answering system 10,000 15,000
(b)(1)-(2) Excepted dispatching railroad improperly uses answering machine to receive calls of unsafe conditions at crossings 5,000 7,500
(b)(2) Excepted dispatching railroad fails to use proper method to receive calls of unsafe conditions at crossings during either operational or non-operational hours 5,000 7,500
(e) Dispatching railroad improperly uses local telephone number to receive calls of unsafe conditions at crossings 5,000 7,500
234.305 Remedial actions in response to reports of unsafe conditions at highway-rail and pathway grade crossings:
Response to credible report of warning system malfunction at a highway-rail grade crossing.
(a)(1) Maintaining railroad fails under subpart C to follow subpart C of this part2 5,000 7,500
(a)(2)(i) Dispatching railroad fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction 5,000 7,500
(ii) Dispatching railroad fails to promptly contact the maintaining railroad and inform it of the reported malfunction 5,000 7,500
Response to public report of warning system malfunction at a highway-rail grade crossing.
(b)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction 5,000 7,500
(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported malfunction 5,000 7,500
(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the malfunction, and take the appropriate remedial action 5,000 7,500
(b)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction 5,000 7,500
(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported malfunction 5,000 7,500
(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported malfunction 5,000 7,500
(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the malfunction, and take the appropriate remedial action 5,000 7,500
Response to report of warning system failure at a pathway grade crossing.
(c)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported failure 5,000 7,500
(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported failure 5,000 7,500
(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the failure, and without undue delay repair the active warning system if necessary 5,000 7,500
(c)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported failure 5,000 7,500
(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported failure 5,000 7,500
(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported failure 5,000 7,500
(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the failure, and without undue delay repair the active warning system if necessary 5,000 7,500
Response to report of a disabled vehicle or other obstruction blocking a railroad track at a highway-rail or pathway grade crossing.
(d)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported obstruction 5,000 7,500
(ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported obstruction 5,000 7,500
(iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the obstruction, and without undue delay take the necessary action to have the obstruction removed 5,000 7,500
(d)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported obstruction 5,000 7,500
(ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported obstruction 5,000 7,500
(iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported obstruction 5,000 7,500
(iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the obstruction, and without undue delay take the necessary action to have the obstruction removed 5,000 7,500
Special rule on contacting a train that is not required to have communication equipment.
(e) Having received a report pursuant to § 234.303(c)(1) , (c)(2), (d)(1), or (d)(2), railroad fails to promptly contact the occupied controlling locomotive of the train by the quickest means available consistent with § 220.13(a) of this chapter 5,000 7,500
Response to report of an obstruction of view at a highway-rail or pathway grade crossing.
(f)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report and remove the obstruction if it is lawful and feasible to do so 5,000 7,500
(f)(2)(i) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad 5,000 7,500
(ii) Maintaining railroad fails to timely investigate the report and remove the obstruction if it is lawful and feasible to do so 5,000 7,500
Response to report of other unsafe condition at a highway-rail or pathway grade crossing.
(g)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report, and timely correct the unsafe condition if it is lawful and feasible to do so 5,000 7,500
(g)(2) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad 5,000 7,500
(g)(3) Maintaining railroad fails to timely investigate the report, and timely correct the unsafe condition if it is lawful and feasible to do so 5,000 7,500
Maintaining railroad's responsibilities for receiving reports of unsafe conditions at highway-rail and pathway grade crossings.
(h)(1)(i) Maintaining railroad fails to provide sufficient contact information to dispatching railroad, by which the dispatching railroad may timely contact the maintaining railroad upon receipt of a report 5,000 7,500
(ii) Maintaining railroad fails either to have a live person answer calls directly and promptly, or to use an automated answering system for receiving calls from the dispatching railroad of a report of an unsafe condition 10,000 15,000
(iii) Dispatching railroad improperly uses an automated answering system 10,000 15,000
(h)(2)(i)-(ii) Excepted maintaining railroad fails to use proper method to receive calls of unsafe conditions at crossings during operational or non-operational hours 5,000 7,500
234.306 Multiple dispatching or maintaining railroads with respect to the same highway-rail or pathway grade crossing; appointment of responsible railroad:
(a)(1) Each of the dispatching railroads for the crossing fails to appoint a primary dispatching railroad for the crossing 10,000 15,000
(a)(1)(i)-(iv) The primary dispatching railroad for the crossing fails to carry out one of the prescribed duties 5,000 7,500
(a)(2) Another pertinent dispatching railroad for the crossing fails to carry out remedial action as required by § 234.305 5,000 7,500
(b)(1) Each of the maintaining railroads for the crossing fails to appoint one maintaining railroad responsible for the placement and maintenance of the ENS sign(s) 5,000 7,500
(b)(2) The assigned maintaining railroad in § 234.306(b)(1) fails to display on the ENS sign(s) the emergency telephone number of the dispatching railroad or primary dispatching railroad for the crossing 5,000 7,500
(c)(1) The dispatching railroad or primary dispatching railroad fails to promptly contact and inform the appropriate maintaining railroad(s) for the crossing of the reported problem 5,000 7,500
(c)(2) The maintaining railroad fails to carry out remedial action as required by § 234.305 10,000 15,000
234.307 Use of third-party telephone service by dispatching and maintaining railroads 3:
(a)(1) Dispatching railroad improperly uses third-party telephone service 10,000 15,000
(a)(2) Dispatching railroad fails to ensure third-party telephone service compliance with § 234.307 10,000 15,000
(b)(1) Maintaining railroad improperly uses third-party telephone service 10,000 15,000
(b)(2) Maintaining railroad fails to ensure third-party telephone service compliance with § 234.307 10,000 15,000
(d)(1) Railroad fails to provide sufficient contact information to third-party telephone service 2,500 5,000
(d)(2)(i) Railroad fails to inform FRA in writing before the implementation of a third-party telephone service 2,500 5,000
(ii) Railroad fails to provide FRA with contact information for the third-party telephone service 2,500 5,000
(iii) Railroad fails to provide FRA with information identifying the crossings about which the third-party telephone service will receive reports 2,500 5,000
(d)(3) Railroad fails to inform FRA in writing within 30 days following any changes in the use of, or the discontinuance of, third-party telephone service 2,500 5,000
(d)(4) 4 Dispatching or maintaining railroad fails to take appropriate action required by § 234.305 .
(e) 5 Railroad fails to ensure third-party telephone service compliance with § 234.313 or § 234.315 , as applicable.
234.309 ENS signs in general:
(a) Dispatching railroad fails to provide ENS telephone number to the maintaining railroad a minimum of 180 days prior to the required implementation date of the ENS 2,500 5,000
(b)(1)-(3) 6 Responsible railroad fails to display minimum required information on ENS sign 5,000 7,500
(c)(1)-(4) 7 Responsible railroad fails to display ENS sign that meets size and other physical requirements 5,000 7,500
234.311 ENS sign placement and maintenance:
(a)(1)-(2) Responsible railroad fails to place and maintain required number of sign(s) at the crossing or entrance(s) to facility 5,000 7,500
(b)(1)-(2) Responsible railroad fails to properly locate and maintain the sign(s) at the crossing 5,000 7,500
234.313 Recordkeeping:
(a)(1)-(9) Railroad fails to maintain in its records the minimum information required for each ENS report received 2,500 5,000
(c)(1)-(2) Responsible railroad(s) fail(s) to record in writing an appointment of a railroad, pursuant to § 234.306 , or properly retain a copy of the document 2,500 5,000
(d)(1) Railroad fails to properly retain records 2,500 5,000
(d)(2) Railroad fails to provide FRA access to records 2,500 5,000
234.315 Electronic recordkeeping:
(a)-(b) Railroad fails to comply with electronic recordkeeping requirements 2,500 5,000
Subpart F - Highway-Rail and Pathway Crossing Inventory Reporting
§ 234.403 Submission of data to the Crossing Inventory:
(b) Failure to complete Inventory Form (or electronic equivalent) in accordance with the Inventory Guide $1,000 $2,000
(c) Class I railroad failure to submit crossing data to the Crossing Inventory electronically 1,000 2,000
§ 234.405 Submission of initial data to the Crossing Inventory for previously unreported crossings
(a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic equivalent) to the Crossing Inventory for previously unreported crossing 2,500 5,000
(b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for previously unreported crossing 2,500 5,000
(c) Operating railroad failure to provide written notification to FRA that the primary operating railroad failed to timely report previously unreported crossing 1,000 2,000
§ 234.407 Submission of initial data to the Crossing Inventory for new crossings:
(a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic equivalent) to the Crossing Inventory for new crossing 2,500 5,000
(b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for new crossing 2,500 5,000
(c) Operating railroad failure to provide written notification to FRA that the primary operating railroad failed to timely report new crossing 1,000 2,000
§ 234.409 Submission of periodic updates to the Crossing Inventory:
(a) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the Crossing Inventory for highway-rail or pathway crossing 2,500 5,000
(b) Operating railroad failure to timely submit up-to-date and accurate partial crossing data to the Crossing Inventory for highway-rail or pathway crossing 2,500 5,000
§ 234.411 Changes requiring submission of updated information to the Crossing Inventory:
(a) Failure to timely report crossing sale to the Crossing Inventory 2,500 5,000
(b) Primary operating railroad failure to timely report crossing closure to the Crossing Inventory 2,500 5,000
(c) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the Crossing Inventory after change in crossing characteristics 2,500 5,000
§ 234.413 Recordkeeping 1,000 2,000
§ 234.415 Electronic Recordkeeping 1,000 2,000

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 $109,819 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. To facilitate the assessment of penalty amounts, the specific types of violations of a given section are sometimes designated by the paragraph of the section (e.g., “(a)”) and a code not corresponding to the legal citation for the violation (e.g., “(1)”), so that the complete citation in the penalty schedule is e.g., “(a)(1).” FRA reserves the right to revise the citation of the violation in the Summary of Alleged Violations issued by FRA in the event of litigation.

2 Either this section or the parallel section of subpart C of this part may be cited, but not both.

3 FRA does not plan to assess civil penalties against a third-party telephone service, under § 234.307(c) or (e). However, FRA plans to assess violations against the dispatching and maintaining railroads for failing to ensure that the third-party telephone service complies with the requirements of §§ 234.307, 234.313, or 234.315, if applicable. See § 234.307(a), (b), (e).

4 For a violation of § 234.307(d)(4), a penalty should be assessed for the specific type of violation according to the penalty schedule for a violation of § 234.305.

5 For a violation of § 234.307(e) pertaining to recordkeeping, a penalty should be assessed for the specific type of violation in the penalty schedule for a violation of §§ 234.313 or 234.315, as applicable.

6 FRA reserves the right to cite a violation for each item of required information omitted from a sign.

7 FRA reserves the right to cite a violation for each physical characteristic that is nonconforming.

[ 61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11094, Mar. 7, 2005; 73 FR 76704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 80 FR 786, Jan. 6, 2015; 80 FR 30364, May 28, 2015; 81 FR 37534, June 10, 2016; 81 FR 43111, July 1, 2016]

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

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United States Code
Public Laws

Title 49 published on 09-May-2017 04:41

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 49 CFR Part 234 after this date.

  • 2017-04-13; vol. 82 # 70 - Thursday, April 13, 2017
    1. 82 FR 17765 - Implementation of the Federal Civil Penalties Inflation Adjustment Act Improvements Act for a Violation of a Federal Railroad Safety Law, Federal Railroad Administration Safety Regulation or Order, or the Hazardous Material Transportation Laws or Regulations, Orders, Special Permits, and Approvals Issued Under Those Laws
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Federal Railroad Administration
      Final rule.
      This final rule is effective April 13, 2017.
      49 CFR Parts 209, 213, 214, 215, 216, 217, 218, 219, 220, 221, 222, 223, 224, 225, 227, 228, 229, 230, 231, 232, 233, 234, 235, 236, 237, 238, 239, 240, 241, 242, 243, 244, 270, and 272