136.C2 Ladder tread or handhold                  5,500            10,000
 having wrong clearance.............
136.C3 Ladder or handhold improperly             5,500            10,000
 located............................
136.C4 Ladder tread or handhold                  9,500            17,000
 obstructed.........................
136.C5 Ladder tread without                      9,500            17,000
 footguards.........................
138.A1 Hand or safety railing                   13,000            20,500
 missing............................
138.A2 Hand or safety railing broken            13,000            20,500
138.A3 Hand or safety railing loose              9,500            17,000
 except by design...................
138.B1 Hand or safety railing bent..             9,500            17,000
138.B2 Hand or safety railing wrong              5,500            10,000
 dimensions.........................
138.C1 Hand or safety railing                    5,500            10,000
 improperly applied.................
138.C2 Hand or safety railing having             5,500            10,000
 less than the required clearance...

138.C3 Hand or safety railing                    5,500            10,000
 improperly located.................
140.A1 Uncoupling lever missing.....             9,500            17,000
140.A2 Uncoupling lever broken or                9,500            17,000
 disconnected.......................
140.B1 Uncoupling lever bent will                9,500            17,000
 not safely and reasonably function
 as intended........................
140.C1 Uncoupling lever bracket bent             9,500            17,000
 lever will not function properly...
140.C2 Uncoupling lever bracket                  9,500            17,000
 broken or missing..................
140.D1 Uncoupling lever wrong                    5,500            10,000
 dimension..........................
140.D2 Uncoupling lever with                     5,500            10,000
 improper handle clearance..........
144.A1 Coupler missing..............            13,000            20,500
144.B1 Coupler height incorrect.....             5,500            10,000
144.C1 Coupler inoperative..........             9,500            17,000
145.A1 Kick plates missing..........             5,500            10,000
145.A2 Kick plates broken...........             5,500            10,000
145.B1 Kick plates wrong dimensions.             5,500            10,000
145.B2 Kick plates improper                      5,500            10,000
 clearance..........................
145.B3 Kick plates insecure or                   5,500            10,000
 improperly applied.................
146.A Notice or stencil not posted               2,500             5,000
 on cabooses with running boards
 removed............................
146.B Safe means not provided to                 2,500             5,000
 clean or maintain windows of
 caboose............................
231.31 Drawbars, standard height....             9,500            17,000
------------------------------------------------------------------------
\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 equipment that is used
  by a railroad, the appropriate penalties set forth above are
  aggregated up to a maximum of $25,000 per day. The Administrator
  reserves the right to assess a penalty of up to $100,000 for any
  violation where circumstances warrant. See 49 CFR part 209, appendix
  A.
\2\ This schedule uses section numbers from FRA's Safety Appliance
  Defect Code, a restatement of the CFR text in a reorganized format.
  For convenience, and as an exception to FRA's general policy, penalty
  citations will cite the defect code rather than the CFR. FRA reserves
  the right, should litigation become necessary, to substitute in its
  complaint the CFR and/or statutory citation in place of the defect
  code section cited in the penalty demand letter.

PART 232--[AMENDED]

    38. The authority citation for part 232 continues to read as
follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-
20303, 20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR
1.49.

    39. Appendix A to part 232 is revised to read as follows:

         Appendix A to Part 232--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

232.15 Movement of power brake
 defects:
    (a) Improper movement, general..             (\1\)             (\1\)
        (11) Failure to make                    $9,500           $17,000
         determinations and provide
         notification of en route
         defect.....................
    (b) Complete failure to tag.....             9,500            17,000
        (1) Insufficient tag or                  2,500             5,000
         record.....................
        (2), (4) Improper removal of             9,500            17,000
         tag........................
        (3) Failure to retain record             9,500            17,000
         of tag.....................
    (c) Improper loading or purging.             9,500            17,000
    (e) Improper placement of                    9,500            17,000
     defective equipment............
232.19 Availability of records......             (\1\)             (\1\)

   Subpart B--General Requirements

232.103 All train brake systems:
     (a)-(c), (h)-(i) Failure to                 9,500            17,000
     meet general design
     requirements...................
     (d) Failure to have proper                 13,000            20,500
     percentage of operative brakes
     from Class I brake test........
     (e) Operating with less than 85            13,000            20,500
     percent operative brakes.......
     (f) Improper use of car with                9,500            17,000
     inoperative or ineffective.....
    brakes..........................
     (g) Improper display of piston              9,500            17,000
     travel.........................
     (m) Failure to stop train with              9,500            17,000
     excess air flow or gradient....
     (n) Securement of unattended     ................  ................
     equipment:
         (1) Failure to apply                   13,000            20,500
         sufficient number of hand
         brakes; failure to develop
         or implement procedure to
         verify number applied......
         (2) Failure to reduce to                9,500            17,000
         zero or vent brake pipe....
         (3) Failure to apply hand               9,500            17,000
         brakes on locomotives......
         (4) Failure to adopt or                13,000            20,500
         comply with procedures for
         securing unattended
         locomotive.................
     (o) Improper adjustment of air              9,500            17,000
     regulating devices.............
     (p) Failure to hold supervisors             9,500            17,000
     jointly responsible............
232.105 Locomotives:
     (a) Air brakes not in safe and             13,000            20,500
     suitable condition.............
     (b) Not equipped with proper               13,000            20,500
     hand or parking brake..........

     (c)(1) Failure to inspect/                  9,500            17,000
     repair hand or parking brake...
         (2) Failure to properly                 5,500            10,000
         stencil, tag, or record....
     (d) Excess leakage from                     9,500            17,000
     equalizing reservoir...........
     (e) Improper use of feed or                 9,500            17,000
     regulating valve braking.......
     (f) Improper use of passenger               9,500            17,000
     position.......................
     (g) Brakes in operative                    13,000            20,500
     condition......................
232.107 Air sources/cold weather
 operations:
     (a)(1), (2) Failure to adopt or            13,000            20,500
     comply with monitoring program
     for yard air sources...........
         (3) Failure to maintain                 9,500            17,000
         records....................
     (b) Failure to blow                        13,000            20,500
     condensation...................
     (c) Use of improper chemicals..            13,000            20,500
     (d) Failure to equip or drain              13,000            20,500
     yard air reservoirs............
     (e) Failure to adopt or comply             13,000            20,500
     cold weather operating
     procedures.....................
232.109 Dynamic brakes:
     (a) Failure to provide                      9,500            17,000
     information....................
     (b) Failure to make repairs....             9,500            17,000
     (c) Failure to properly tag....             5,500            10,000
     (d) Failure to maintain record              2,500             5,000
     of repair......................
     (e) Improper deactivation......             9,500            17,000
     (f) Improper use of locomotive              9,500            17,000
     as controlling unit............
     (g) Locomotive not properly                 9,500            17,000
     equipped with indicator........
     (h) Rebuilt locomotive not                  9,500            17,000
     properly equipped..............
     (j) Failure to adopt or comply             13,000            20,500
     with dynamic brake operating
     rules..........................
     (k) Failure to adopt or comply             13,000            20,500
     with training on operating
     procedures.....................
232.111 Train handling information:
    (a) Failure to adopt and comply             13,000            20,500
     with procedures................
    (b) Failure to provide specific              9,500            17,000
     information....................

  Subpart C--Inspection and Testing
            Requirements

232.203 Training requirements:
    (a) Failure to develop or adopt             19,500            25,000
     program........................
    (b)(1)-(9) Failure to address or             9,500            17,000
     comply with specific required
     item or provision of program...
    (c) Failure to adopt or comply              13,000            20,500
     with two-way EOT program.......
    (d) Failure to adopt or comply              13,000            20,500
     with retaining valve program...
    (e) Failure to maintain adequate            13,000            20,500
     records........................
    (f) Failure to adopt and comply             19,500            25,000
     with periodic assessment plan..
232.205 Class I brake test--initial
 terminal inspection:
     (a) Complete failure to perform      (\1\) 19,500            25,000
     inspection.....................
     (c)(1)-(4), (6)-(8) Partial                13,000            20,500
     failure to perform inspection..
     (c)(5) Failure to properly                  9,500            17,000
     adjust piston travel (per car).
     (d) Failure to use carman when              5,500            10,000
     required.......................
     (e) Failure to provide proper               9,500            17,000
     notification...................
     (f) Failure to void compressed              9,500            17,000
     air............................
232.207 Class IA brake tests--1,000-
 mile inspection:
    (a) Complete failure to perform       (\1\) 13,000            20,500
     inspection.....................
    (b)(1)-(6) Partial failure to                9,500            17,000
     perform inspection.............
    (c) Failure to properly                      9,500            17,000
     designate location.............
    (c)(1) Failure to perform at                 9,500            17,000
     designated location............
    (c)(2) Failure to provide                    9,500            17,000
     notification...................
232.209 Class II brake tests--
 intermediate inspection:
    (a) Complete failure to perform       (\1\) 13,000            20,500
     inspection.....................
    (b)(1)-(5), (c) Partial failure              9,500            17,000
     to perform inspection..........
    (c) Failure to conduct Class I               (\1\)             (\1\)
     after Class II pick-up.........
232.211 Class III brake tests--
 trainline continuity inspection:
    (a) Complete failure to perform             13,000            20,500
     inspection.....................
    (b)(1)-(4), (c) Partial failure              9,500            17,000
     to perform inspection..........
    (d) Failure to restore air                   9,500            17,000
     pressure at rear...............
232.213 Extended haul trains:
    (a)(1) Failure to properly                  13,000            20,500
     designate an extended haul
     train..........................
    (a)(2)-(3), (5)(i), (8) Failure              (\1\)             (\1\)
     to perform inspections.........
    (a)(4) Failure to remove                     5,500            10,000
     defective car (per car)........
    (a)(5)(ii), (6) Failure to                  13,000            20,500
     conduct inbound inspection.....
    (a)(7) Failure to maintain                   5,500            10,000
     record of defects (per car)....
    (b) Improper movement or use of             13,000            20,500
     extended haul train............
232.215 Transfer train brake tests:
    (a) Failure to perform                      13,000            20,500
     inspection.....................
    (b) Failure to perform on cars               9,500            17,000
     added..........................
232.217 Train brake system tests
 conducted using yard air:
    (a) Failure to use suitable                  9,500            17,000
     device.........................
    (b) Improper connection of air              13,000            20,500
     test device....................
     (c) Failure to properly perform             (\1\)             (\1\)
     inspection.....................

     (d) Failure to calibrate test               9,500            17,000
     device.........................
     (e) Failure to use accurate                 9,500            17,000
     device.........................
232.219 Double heading and helper
 service:
    (a) Failure to perform                       9,500            17,000
     inspection or inability to
     control brakes.................
    (b) Failure to make visual                   9,500            17,000
     inspection.....................
    (c) Use of improper helper link              9,500            17,000
     device.........................

 Subpart D--Periodic Maintenance and
        Testing Requirements

232.303 General requirements:
    (b)-(d) Failure to conduct                   9,500            17,000
     inspection or test when car on
     repair track...................
    (e) Improper movement of                     9,500            17,000
     equipment for testing..........
    (e)(1) Failure to properly tag               5,500            10,000
     equipment for movement.........
    (e)(2)-(4) Failure to retain                 5,500            10,000
     record or improper removal of
     tag or card....................
    (f) Failure to stencil or track              9,500            17,000
     test information...............
232.305 Single car tests:
     (a) Failure to test in accord               9,500            17,000
     with required procedure........
     (b)-(c) Failure to perform test             9,500            17,000
232.309 Single car air brake test
 equipment and devices:
     (a)-(f) Failure to properly                 9,500            17,000
     test or calibrate..............

   Subpart E--End-of-Train Devices

232.403 Design standards for one-way
 devices:
    (a)-(g) Failure to meet                      9,500            17,000
     standards......................
232.405 Design standards for two-way  ................  ................
 devices:
    (a)-(i) Failure to meet                      9,500            17,000
     standards......................
232.407 Operating requirements for
 two-way devices:
    (b) Failure to equip a train....            13,000            20,500
    (c) Improper purchase...........             9,500            17,000
    (f)(1) Failure of device to be              13,000            20,500
     armed and operable.............
    (f)(2) Insufficient battery                  9,500            17,000
     charge.........................
    (f)(3) Failure to activate the               9,500            17,000
     device.........................
    (g) Improper handling of en                 13,000            20,500
     route failure, freight or other
     non-passenger..................
    (h) Improper handling of en                 13,000            20,500
     route failure, passenger.......
232.409 Inspection and testing of
 devices:
    (a) Failure to have unique code.             9,500            17,000
    (b) Failure to compare                       9,500            17,000
     quantitative values............
    (c) Failure to test emergency               13,000            20,500
     capability.....................
    (d) Failure to properly                      9,500            17,000
     calibrate......................

Subpart F--Introduction of New Brake
          System Technology

232.503 Process to introduce new
 technology:
    (b) Failure to obtain FRA                   19,500            25,000
     approval.......................
232.505 Pre-revenue service           ................  ................
 acceptance testing plan:
    (a) Failure to obtain FRA                   13,000            20,500
     approval.......................
    (b) Failure to comply with plan.             9,500            17,000
    (f) Failure to test previously              13,000            20,500
     used technology................

Subpart G--Electronically Controlled
   Pneumatic (ECP) Braking Systems

232.603 Design, interoperability,
 and configuration management
 requirements:
    (a) Failure to meet minimum                  5,500            10,000
     standards......................
    (b) Using ECP brake equipment                9,500            17,000
     without approval...............
    (c) Failure to adopt and comply             13,000            20,500
     with a proper configuration
     management plan................
232.605 Training Requirements:
    (a) Failure to adopt and comply              (\1\)             (\1\)
     with a proper training,
     qualification, and designation
     program for employees that
     perform inspection, testing or
     maintenance....................
    (b) Failure to amend operating              13,000            20,500
     rules..........................
    (c) Failure to adopt and comply             13,000            20,500
     with proper training criteria
     for locomotive engineers.......
232.607 Inspection and testing
 requirements:
    (a)(1), (b), (c)(1) Complete or              (\1\)             (\1\)
     partial failure to perform
     inspection.....................
    (a)(2) Complete or partial                   9,500            17,000
     failure to perform pre-
     departure inspection...........
    (c)(1)(iv), (c)(2) Failure to                9,500            17,000
     perform visual inspection on a
     car added en route.............
    (d) Failure to perform                       (\1\)             (\1\)
     inspection.....................
    (e)(1), (2) Failure to properly              9,500            17,000
     initialize the train...........
    (e)(3) Failure to ensure                     9,500            17,000
     identical consist and system
     information....................
    (f)(1) Failure to apply a proper             (\1\)             (\1\)
     brake pipe service reduction...
    (f)(2) Failure to properly                   (\1\)             (\1\)
     adhere to the proper piston
     travel ranges..................
    (g)(1)-(4) Improperly located               13,000            20,500
     and guarded cable..............
     (g)(5) Condition of cable and               9,500            17,000
     connections....................
232.609 Handling of defective
 equipment with ECP brake systems:
    (a) Failure to have proper                   (\1\)             (\1\)
     percentage of operative brakes
     from Class I brake test........
    (b) Failure to prevent a car                 9,500            17,000
     known to arrive with defective
     brakes to depart location where
     a Class I brake test is
     required.......................

    (c) Improper movement of a car               9,500            17,000
     equipped with conventional
     pneumatic brakes...............
    (d) Operating with less than 85              (\1\)             (\1\)
     percent operative brakes.......
    (f)(2)(i) Improper placement of              (\1\)             (\1\)
     defective conventional brake
     equipment......................
    (f)(2)(ii) Improper placement of             9,500            17,000
     defective ECP brake equipment..
    (g) Improper movement of                     (\1\)             (\1\)
     defective stand-alone ECP brake
     equipment in a train operating
     with conventional pneumatic
     brakes.........................
    (h) Improper movement from                   (\1\)             (\1\)
     initial terminal of stand-alone
     ECP brake equipment in a
     conventional brake operated
     train..........................
    (i) Failure to tag equipment....             (\1\)             (\1\)
    (j)(1) Failure to adopt and                  5,500            10,000
     comply with procedures for the
     movement of defective equipment
    (j)(2) Failure to submit list of             9,500            17,000
     ECP brake system repair
     locations......................
232.611 Periodic maintenance:
     (a) Failure to ensure the                   9,500            17,000
     proper and safe condition of
     car............................
     (b)-(d) Failure to perform test             9,500            17,000
232.613 End-of-train devices:
    (a) Failure to meet design                   9,500            17,000
     standards for ECP-EOT devices..
    (b) Moving with an improper or               9,500            17,000
     improperly connected ECP-EOT
     device.........................
------------------------------------------------------------------------
\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 equipment that is
  placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $25,000
  per day. Although the penalties listed for failure to perform the
  brake inspections and tests under Sec.   232.205 through Sec.
  232.209 may be assessed for each train that is not properly inspected,
  failure to perform any of the inspections and tests required under
  those sections will be treated as a violation separate and distinct
  from, and in addition to, any substantive violative conditions found
  on the equipment contained in the train consist. Moreover, the
  Administrator reserves the right to assess a penalty of up to $100,000
  for any violation where circumstances warrant. See 49 CFR part 209,
  appendix A.
Failure to observe any condition for movement of defective equipment set
  forth in Sec.   232.15(a) 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 equipment at the time of movement.
Failure to provide any of the records or plans required by this part
  pursuant to Sec.   232.19 will be considered a failure to maintain or
  develop the record or plan and will make the railroad liable for
  penalty under the particular regulatory section(s) concerning the
  retention or creation of the document involved.
Failure to properly perform any of the inspections specifically
  referenced in Sec.  Sec.   232.209, 232.213, and 232.217 may be
  assessed under each section of this part or this chapter, or both,
  that contains the requirements for performing the referenced
  inspection.
\2\ The penalty schedule uses section numbers from 49 CFR part 232. 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.

PART 233--[AMENDED]

    40. The authority citation for part 233 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.49.

    41. Appendix A to part 233 is revised to read as follows:

         Appendix A to Part 233--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
233.5 Accidents resulting from                  $9,500           $17,000
 signal failure.....................
233.7 Signal failure reports........             5,500            10,000
233.9 Reports.......................             2,500             5,000
------------------------------------------------------------------------
\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 $100,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 233. 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.

PART 234--[AMENDED]

    42. The authority citation for part 234 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.49.

    43. Appendix A to part 234 is revised to read as follows:

         Appendix A to Part 234--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart B--Reports

234.7 Accidents involving grade                 $9,500           $17,000
 crossing signal failure............
234.9 Grade crossing signal system               5,500            10,000
 failure reports....................

  Subpart C--Response to Reports of
     Warning System Malfunction

234.101 Employee notification rules.             5,500            10,000
234.103 Timely response to report of            13,000            20,500
 malfunction........................
234.105 Activation failure:
     (a) Failure to notify--train               19,500            25,000
     crews..........................
    Other railroads.................            19,500            25,000
     (b) Failure to notify law                   5,500            10,000
     enforcement agency.............
     (c) Failure to comply with--               13,000            20,500
     flagging requirements..........
    Speed restrictions..............            13,000            20,500
     (d) Failure to activate horn or             5,500            10,000
     whistle........................
234.106 Partial activation:
     (a) Failure to notify--train                9,500            17,000
     crews..........................
    Other railroads.................             9,500            17,000
     (b) Failure to notify law                   5,500            10,000
     enforcement agency.............
    1 (c) Failure to comply with--               9,500            17,000
     flagging requirements speed
     restrictions...................
     (d) Failure to activate horn or             5,500            10,000
     whistle........................
234.107 False activation:
     (a) Failure to notify--train               13,000            20,500
     crews..........................
    Other railroads.................            13,000            20,500
    1 (b) Failure to notify law                  5,500            10,000
     enforcement agency.............
     (c) Failure to comply with--                9,500            17,000
     flagging requirements..........
    Speed restrictions..............             9,500            17,000
     (d) Failure to activate horn or             5,500            10,000
     whistle........................
234.109 Recordkeeping...............             2,500             5,000

 Subpart D--Maintenance, Inspection,
             and Testing

        Maintenance Standards

234.201 Location of plans...........             5,500            10,000
234.203 Control circuits............             9,500            17,000
234.205 Operating characteristics of            13,000            20,500
 warning system apparatus...........
234.207 Adjustment, repair, or                  13,000            20,500
 replacement of component...........
234.209 Interference with normal                19,500            25,000
 functioning of system..............
234.211 Locking of warning system                5,500            10,000
 apparatus..........................
234.213 Grounds.....................             9,500            17,000
234.215 Standby power system........            19,500            25,000
234.217 Flashing light units........             5,500            10,000
234.219 Gate arm lights and light                5,500            10,000
 cable..............................
234.221 Lamp voltage................             9,500            17,000
234.223 Gate arm....................             5,500            10,000
234.225 Activation of warning system            19,500            25,000
234.227 Train detection apparatus...            19,500            25,000
234.229 Shunting sensitivity........            19,500            25,000
234.231 Fouling wires...............            13,000            20,500
234.233 Rail joints.................            13,000            20,500
234.235 Insulated rail joints.......            19,500            25,000
234.237 Switch equipped with circuit             5,500            10,000
 controller.........................
234.239 Tagging of wires and                     5,500            10,000
 interference of wires or tags with
 signal apparatus...................
234.241 Protection of insulated                  9,500            17,000
 wire; splice in underground wire...
234.243 Wire on pole line and aerial             9,500            17,000
 cable..............................
234.245 Signs.......................             5,500            10,000

        Inspections and Tests

234.247 Purpose of inspections and              13,000            20,500
 tests; removal from service of
 relay or device failing to meet
 test requirements..................
234.249 Ground tests................            13,000            20,500
234.251 Standby power...............             9,500            17,000
234.253 Flashing light units and                 5,500            10,000
 lamp voltage.......................
234.255 Gate arm and gate mechanism.             5,500            10,000
234.257 Warning system operation....            13,000            20,500
234.259 Warning time................             9,500            17,000
234.261 Highway traffic signal pre-              9,500            17,000
 emption............................
234.263 Relays......................             9,500            17,000
234.265 Timing relays and timing                 9,500            17,000
 devices............................
234.267 Insulation resistance tests,             9,500            17,000
 wires in trunking and cables.......
234.269 Cut-out circuits............            19,500            25,000
234.271 Insulated rail joints, bond              9,500            17,000
 wires, and track connections.......
234.273 Results of tests............             2,500             5,000

  Requirements for Processor-Based
               Systems

234.275 Processor-Based Systems.....            13,000            20,500
------------------------------------------------------------------------
\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 $100,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 234. 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.

PART 235--[AMENDED]

    44. The authority citation for part 235 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.49.

    45. Appendix A to part 235 is revised to read as follows:

         Appendix A to Part 235--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
235.5 Changes requiring filing of               $5,500           $10,000
 application
------------------------------------------------------------------------
\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 $100,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 235. 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.

PART 236--[AMENDED]

    46. The authority citation for part 236 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note and 49
CFR 1.49.

    47. Appendix A to part 236 is revised to read as follows:

         Appendix A to Part 236--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
236.0 Applicability, minimum                    $9,500           $17,000
 requirements.......................

 Subpart A--Rules and Instructions--
             All Systems
               General

236.1 Plans, where kept.............            13,000            20,500
236.2 Grounds.......................            13,000            20,500
236.3 Locking of signal apparatus
 housings:
    Power interlocking machine                   5,500            10,000
     cabinet not secured against
     unauthorized entry.............
    Other violations................             5,500            10,000
236.4 Interference with normal                  19,500            25,000
 functioning of device..............
236.5 Design of control circuits on             19,500            25,000
 closed circuit principle...........
236.6 Hand-operated switch equipped             13,000            20,500
 with switch circuit controller.....
236.7 Circuit controller operated by            13,000            20,500
 switch-and-lock movement...........
236.8 Operating characteristics of               9,500            17,000
 electro-magnetic, electronic, or
 electrical apparatus...............
236.9 Selection of circuits through              5,500            10,000
 indicating or annunciating
 instruments........................
236.10 Electric locks, force drop                5,500            10,000
 type; where required...............
236.11 Adjustment, repair, or                   13,000            20,500
 replacement of component...........
236.12 Spring switch signal                      9,500            17,000
 protection; where required.........
236.13 Spring switch; selection of               9,500            17,000
 signal control circuits through
 circuit controller.................
236.14 Spring switch signal                      9,500            17,000
 protection; requirements...........
236.15 Timetable instructions.......             5,500            10,000
236.16 Electric lock, main track
 releasing circuit:
    Electric lock releasing circuit             13,000            20,500
     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...................
    Other violations................            13,000            20,500
236.17 Pipe for operating                        5,500            10,000
 connections, requirements..........
236.18 Software management control
 plan:
    (a) Failure to develop and adopt             9,500            17,000
     a plan.........................
    (b) Failure to fully implement               9,500            17,000
     plan...........................
    (c) Inadequate plan.............             9,500            17,000

   Roadway Signals and Cab Signals

236.21 Location of roadway signals..            13,000            20,500
236.22 Semaphore signal arm;                     5,500            10,000
 clearance to other objects.........
236.23 Aspects and indications......             9,500            17,000
236.24 Spacing of roadway signals...            13,000            20,500
236.26 Buffing device, maintenance..            13,000            20,500

           Track Circuits

236.51 Track circuit requirements:
    (a) Shunt fouling circuit used              13,000            20,500
     where permissible speed through
     turnout greater than 45 m.p.h..
    (b) Track relay not in de-                  19,500            25,000
     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..
    Other violations................            13,000            20,500
236.52 Relayed cut-section..........            13,000            20,500
236.53 Track circuit feed at grade              13,000            20,500
 crossing...........................
236.54 Minimum length of track                  13,000            20,500
 circuit............................
236.55 Dead section; maximum length.            13,000            20,500
236.56 Shunting sensitivity.........            13,000            20,500
236.57 Shunt and fouling wires:
    (a) Shunt or fouling wires do               13,000            20,500
     not consist of at least two
     discrete conductors............
    Other violations................             9,500            17,000
236.58 Turnout, fouling section:
    Rail joint in shunt fouling                 13,000            20,500
     section not bonded.............
    Other violations................             9,500            17,000
236.59 Insulated rail joints........            13,000            20,500
236.60 Switch shunting circuit; use             13,000            20,500
 restricted.........................

          Wires and Cables

236.71 Signal wires on pole line and            13,000            20,500
 aerial cable.......................
236.73 Open-wire transmission line;              9,500            17,000
 clearance to other circuits........
236.74 Protection of insulated wire;             9,500            17,000
 splice in underground wire.........
236.76 Tagging of wires and                      5,500            10,000
 interference of wires or tags with
 signal apparatus...................

 Inspections and Tests; All Systems

236.101 Purpose of inspection and                9,500            17,000
 tests; removal from service or
 relay or device failing to meet
 test requirements..................
236.102 Semaphore or search-light               13,000            20,500
 signal mechanism...................
236.103 Switch circuit controller or            13,000            20,500
 point detector.....................
236.104 Shunt fouling circuit.......             9,500            17,000
236.105 Electric lock...............             9,500            17,000
236.106 Relays......................             9,500            17,000
236.107 Ground tests................             9,500            17,000
236.108 Insulation resistance tests,
 wires in trunking and cables:
    (c) Circuit permitted to                    13,000            20,500
     function on a conductor having
     insulation resistance value
     less than 200,000 ohms.........
    Other violations................             9,500            17,000
236.109 Time releases, timing relays             9,500            17,000
 and timing devices.................
236.110 Results of tests............             2,500             5,000

  Subpart B--Automatic Block Signal
               Systems
              Standards

236.201 Track circuit control of                13,000            20,500
 signals............................
236.202 Signal governing movements              13,000            20,500
 over hand-operated switch..........
236.203 Hand-operated crossover                 13,000            20,500
 between main tracks; protection....
236.204 Track signaled for movements            13,000            20,500
 in both directions, requirements...
236.205 Signal control circuits;                19,500            25,000
 requirements.......................
236.206 Battery or power supply with             9,500            17,000
 respect to relay; location.........
236.207 Electric lock on hand-
 operated switch; control:
    Approach or time locking of                 13,000            20,500
     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....
    Other violations................             9,500            17,000

       Subpart C--Interlocking
              Standards

236.301 Where signals shall be                   9,500            17,000
 provided...........................
236.302 Track circuits and route                13,000            17,000
 locking............................
236.303 Control circuits for                    13,000            20,500
 signals, selection through circuit
 controller operated by switch
 points or by switch locking
 mechanism..........................
236.304 Mechanical locking or same              13,000            20,500
 protection effected by circuits....
236.305 Approach or time locking....            13,000            20,500
236.306 Facing point lock or switch-             9,500            17,000
 and-lock movement..................
236.307 Indication locking:.........            13,000            20,500

236.308 Mechanical or electric                  13,000            20,500
 locking or electric circuits;
 requisites.........................
236.309 Loss of shunt protection;
 where required:
    Loss of shunt of five seconds or            13,000            20,500
     less permits release of route
     locking of power-operated
     switch, movable point frog, or
     derail.........................
    Other violations................             9,500            17,000
236.310 Signal governing approach to             9,500            17,000
 home signal........................
236.311 Signal control circuits,                13,000            20,500
 selection through track relays or
 devices functioning as track relays
 and through signal mechanism
 contacts and time releases at
 automatic interlocking.............
236.312 Movable bridge, interlocking
 of signal appliances with bridge
 devices:
    Emergency bypass switch or                  13,000            20,500
     device not locked or sealed....
    Other violations................            13,000            20,500
236.314 Electric lock for hand-
 operated switch or derail:
    Approach or time locking of                 13,000            20,500
     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.......................
    Other violations................            13,000            20,500

       Rules and Instructions

236.326 Mechanical locking removed               9,500            17,000
 or disarranged; requirement for
 permitting train movements through
 interlocking.......................
236.327 Switch, movable-point frog              13,000            20,500
 or split-point derail..............
236.328 Plunger of facing-point.....             9,500            17,000
236.329 Bolt lock...................            13,000            20,500
236.330 Locking dog of switch and                9,500            17,000
 lock movement......................
236.334 Point detector..............            13,000            20,500
236.335 Dogs, stops and trunnions of             5,500            10,000
 mechanical locking.................
236.336 Locking bed.................             5,500            10,000
236.337 Locking faces of mechanical              5,500            10,000
 locking; fit.......................
236.338 Mechanical locking required              5,500            10,000
 in accordance with locking sheet
 and dog chart......................
236.339 Mechanical locking;                      5,500            10,000
 maintenance requirements...........
236.340 Electromechanical                        5,500            10,000
 interlocking machine; locking
 between electrical and mechanical
 levers.............................
236.341 Latch shoes, rocker links,               5,500            10,000
 and quadrants......................
236.342 Switch circuit controller...            13,000            20,500

        Inspection and Tests

236.376 Mechanical locking..........             9,500            17,000
236.377 Approach locking............             9,500            17,000
236.378 Time locking................             9,500            17,000
236.379 Route locking...............             9,500            17,000
236.380 Indication locking..........             9,500            17,000
236.381 Traffic locking.............             9,500            17,000
236.382 Switch obstruction test.....            13,000            20,500
236.383 Valve locks, valves, and                 9,500            17,000
 valve magnets......................
236.384 Cross protection............             9,500            17,000
236.386 Restoring feature on power               9,500            17,000
 switches...........................
236.387 Movable bridge locking......            13,000            20,500

 Subpart D--Traffic Control Systems
              Standards
              Standards

236.401 Automatic block signal
 system and interlocking standards
 applicable to traffic control
 systems:
236.402 Signals controlled by track             19,500            25,000
 circuits and control operator......
236.403 Signals at controlled point.            19,500            25,000
236.404 Signals at adjacent control             19,500            25,000
 points.............................
236.405 Track signaled for movements            19,500            25,000
 in both directions, change of
 direction of traffic...............
236.407 Approach or time locking;               19,500            25,000
 where required.....................
236.408 Route locking...............            19,500            25,000
236.410 Locking, hand-operated
 switch; requirements:
    (a) Hand-operated switch on main            13,000            20,500
     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.,
     or train and engine movements
     may clear main track...........
    Hand-operated switch on signaled            13,000            20,500
     siding not electrically or
     mechanically locked in normal
     position where maximum
     authorized speed on the siding
     exceeds 30 m.p.h...............
    (b) Approach or time locking of             13,000            20,500
     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.
    Other violations................             9,500            17,000

       Rules and Instructions

236.426 Interlocking rules and                   2,500             5,000
 instructions applicable to traffic
 control systems....................

        Inspection and Tests

236.476 Interlocking inspections and             2,500             5,000
 tests applicable to traffic control
 systems............................

  Subpart E--Automatic Train Stop,
Train Control and Cab Signal Systems
              Standards
              Standards

236.501 Forestalling device and                  9,500            17,000
 speed control......................

236.502 Automatic brake application,            13,000            20,500
 initiation by restrictive block
 conditions stopping distance in
 advance............................
236.503 Automatic brake application;            13,000            20,500
 initiation when predetermined rate
 of speed exceeded..................
236.504 Operations interconnected                9,500            17,000
 with automatic block-signal system.
236.505 Proper operative relation                5,500            10,000
 between parts along roadway and
 parts on locomotive................
236.506 Release of brakes after                 13,000            20,500
 automatic application..............
236.507 Brake application; full                  9,500            17,000
 service............................
236.508 Interference with                        9,500            17,000
 application of brakes by means of
 brake valve........................
236.509 Two or more locomotives                  5,500            10,000
 coupled............................
236.511 Cab signals controlled in                9,500            17,000
 accordance with block conditions
 stopping distance in advance.......
236.512 Cab signal indication when              13,000            20,500
 locomotive enters blocks...........
236.513 Audible indicator...........             9,500            17,000
236.514 Interconnection of cab                   5,500            10,000
 signal system with roadway signal
 system.............................
236.515 Visibility of cab signals...             9,500            17,000
236.516 Power supply................             5,500            10,000

   Rules and Instructions; Roadway

236.526 Roadway element not                      5,500            10,000
 functioning properly...............
236.527 Roadway element insulation               5,500            10,000
 resistance.........................
236.528 Restrictive condition                    9,500            17,000
 resulting from open hand-operated
 switch; requirement................
236.529 Roadway element inductor;                5,500            10,000
 height and distance from rail......
236.531 Trip arm; height and                     5,500            10,000
 distance from rail.................
236.532 Strap iron inductor; use                 5,500            10,000
 restricted.........................
236.534 Entrance to equipped                     9,500            17,000
 territory; requirements............

 Rules and Instructions; Locomotives

236.551 Power supply voltage........             5,500            10,000
236.552 Insulation resistance.......             5,500            10,000
236.553 Seal, where required........             5,500            10,000
236.554 Rate of pressure reduction;              9,500            17,000
 equalizing reservoir or brake pipe.
236.555 Repaired or rewound receiver             2,500             5,000
 coil...............................
236.556 Adjustment of relay.........             5,500            10,000
236.557 Receiver; location with                  5,500            10,000
 respect to rail....................
236.560 Contact element, mechanical              5,500            10,000
 trip type; location with respect to
 rail...............................
236.562 Minimum rail current                     5,500            10,000
 required...........................
236.563 Delay time..................             9,500            17,000
236.564 Acknowledging time..........             5,500            10,000
236.565 Provision made for                       5,500            10,000
 preventing operation of pneumatic
 brake-applying apparatus by double-
 heading clock; requirement.........
236.566 Locomotive of each train                 5,500            10,000
 operating in train stop, train
 control or cab signal territory;
 equipped...........................
236.567 Restrictions imposed when
 device fails and/or is cut out en
 route:
    Report not made to designated                9,500            17,000
     officer at next available point
     of communication after
     automatic train stop, train
     control, or cab signal device
     fails and/or is cut en route...
    Trains permitted to proceed at               9,500            17,000
     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.
    Other violations................             5,500            10,000
236.568 Difference between speeds                5,500            10,000
 authorized by roadway signal and
 cab signal; action.................

    Inspection and Tests; Roadway

236.576 Roadway element.............             5,500            10,000
236.577 Test, acknowledgement, and               5,500            10,000
 cut-in circuits....................

  Inspection and Tests; Locomotive

236.586 Daily or after trip test....             9,500            17,000
236.587 Departure test:
    (b) Test of automatic train                 13,000            20,500
     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......................
    Test of automatic train stop,               13,000            20,500
     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.............
    (c) Automatic train stop, train             13,000            20,500
     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....................
     (d) Failure to certify, post,               2,500             5,000
     or retain test results as
     required.......................
    Other violations................             2,500             5,000
236.588 Periodic test...............            13,000            20,500
236.589 Relays......................             9,500            17,000
236.590 Pneumatic apparatus:
    Automatic train stop, train                  9,500            17,000
     control, or cab signal
     apparatus not inspected and
     cleaned at least once every 736
     days...........................
    Other violations................             9,500            17,000

  Subpart F--Dragging Equipment and
  Slide Detectors and Other Similar
    Protective Devices; Standards

              Standards

236.601 Signals controlled by                   13,000            20,500
 devices; location..................

 Subpart H--Standards for Processor-
   Based Signal and Train Control
               Systems

236.905 Railroad Safety Program Plan
 (RSPP).............................
    (a) Failure to develop and                   9,500            17,000
     submit RSPP when required......
    (d) Failure to obtain FRA                    9,500            17,000
     approval for a modification to
     RSPP...........................
236.907 Product Safety Plan (PSP):
    (a) Failure to address required              9,500            17,000
     PSP elements...................
    (b) Failure to identify or                   9,500            17,000
     implement product configuration/
     revision control measures......
    (d) Failure to communicate                  19,500            25,000
     identified safety critical
     hazard.........................
236.909 Minimum Performance
 Standard:
    (a) Failure to make analyses or              9,500            17,000
     documentation available........
    (b) Failure to determine or                 13,000            20,500
     demonstrate that the minimum
     performance standard has been
     met............................
236.913 Notification to FRA of PSPs:
    (a) Failure to prepare a PSP or              9,500            17,000
     PSP amendment as required......
    (b) Failure to submit a PSP or               9,500            17,000
     PSP amendment as required......
    (c) Failure to submit an                     9,500            17,000
     informational filing...........
    (j) Field testing without                   19,500            25,000
     authorization or approval......
236.915 Implementation and
 operation:
    (a) Operation of product without            19,500            25,000
     authorization or approval......
    (b) Failure to comply with PSP..             9,500            17,000
    (c) Interference with normal                19,500            25,000
     functioning safety-critical
     product........................
    (d) Failure to determine cause               9,500            17,000
     and adjust, repair or replace
     without undue delay or take
     appropriate action pending
     repair.........................
236.917 Retention of records:
    (a) Failure to maintain records              9,500            17,000
     as required....................
    (b)(1) Failure to report                    13,000            20,500
     inconsistency..................
    (b)(2) Failure to take prompt                5,500            10,000
     countermeasures................
    (b)(3) Failure to provide final              5,500            10,000
     report.........................
236.919 Operations and Maintenance               5,500            10,000
 Manual.............................
236.921 Training and qualification               9,500            17,000
 program, general...................
236.923 Task analysis and basic
 requirements:
    (a) Failure to develop an                    9,500            17,000
     acceptable training program....
    (a)(6) Failure to train persons              9,500            17,000
     as required....................
    (a)(8) Failure to conduct                    5,500            10,000
     evaluation of training program
     as required....................
    (b) Failure to maintain records              2,500             5,000
     as required....................
236.925 Training specific to control             9,500            17,000
 office personnel...................
236.927 Training specific to                     9,500            17,000
 locomotive engineers and other
 operating personnel................
236.929 Training specific to roadway             9,500            17,000
 workers............................

  Subpart I--Positive Train Control
               Systems
236.1005 Positive Train Control
 System Requirements:
    Failure to complete PTC system               5,500            10,000
     installation on track segment
     where PTC is required prior to
     12/31/2015.....................
    Commencement of revenue service             13,000            20,500
     prior to obtaining PTC System
     Certification..................
    Failure of the PTC system to                19,500            25,000
     perform a safety-critical
     function required by this
     section........................
    Failure to provide notice,                  13,000            20,500
     obtain approval, or follow a
     condition for temporary
     rerouting when required........
    Exceeding the allowed percentage             2,500             5,000
     of controlling locomotives
     operating out of an initial
     terminal after receiving a
     failed initialization..........
236.1006 Equipping locomotives
 operating in PTC territory:
    Operating in PTC territory a                19,500            25,000
     controlling locomotive without
     a required and operative PTC
     onboard apparatus..............
    Failure to report as prescribed              2,500             5,000
     by this section................
    Non-compliant operation of                  13,000            20,500
     unequipped trains in PTC
     territory......................
236.1007 Additional requirements for
 high-speed service:
    Operation of passenger trains at             9,500            17,000
     a speed equal to or greater
     than 60 m.p.h. on non-PTC-
     equipped territory where
     required.......................
    Operation of freight trains at a             9,500            17,000
     speed equal to or greater than
     50 m.p.h. on non-PTC-equipped
     territory where required.......
    Failure to fully implement                   9,500            17,000
     incursion protection where
     required.......................
236.1009 Procedural requirements:
    Failure to file PTCIP when                   2,500             5,000
     required.......................
    Failure to amend PTCIP when                  2,500             5,000
     required.......................
    Failure to obtain Type Approval              2,500             5,000
     when required..................
    Failure to update NPI...........             2,500             5,000
    Operation of PTC system prior to            13,000            20,500
     system certification...........
236.1011 PTCIP content requirements:
    Failure to install a PTC system              2,500             5,000
     in accordance with subpart I
     when so required...............
236.1013 PTCDP content requirements
 and Type Approval:

    Failure to maintain quality                  2,500             5,000
     control system.................
    Inappropriate use of Type                    2,500             5,000
     Approval.......................
236.1015 PTCSP content requirements
 and PTC System Certification:
    Failure to implement PTC system              9,500            17,000
     in accordance with the
     associated PTCSP and resultant
     system certification...........
    Failure to maintain PTC system               9,500            17,000
     in accordance with the
     associated PTCSP and resultant
     system certification...........
    Failure to maintain required                 2,500             5,000
     supporting documentation.......
236.1017 Independent third party
 Verification and Validation:
    Failure to conduct independent              13,000            20,500
     third party Verification and
     Validation when ordered........
236.1019 Main line track exceptions:
    Revenue operations conducted in              5,500            10,000
     non-compliance with the
     passenger terminal exception...
    Revenue operations conducted in              5,500            10,000
     non-compliance with the limited
     operations exception...........
    Failure to request modification              5,500            10,000
     of the PTCIP or PTCSP when
     required.......................
    Revenue operations conducted in              9,500            17,000
     violation of (c)(2)............
    Revenue operations conducted in              9,500            17,000
     violation of (c)(3)............
236.1021 Discontinuances, material
 modifications, and amendments:
    Failure to update PTCDP when                 2,500             5,000
     required.......................
    Failure to update PTCSP when                 2,500             5,000
     required.......................
    Failure to immediately adopt and             2,500             5,000
     comply with approved RFA.......
    Discontinuance or modification               2,500             5,000
     of a PTC system without
     approval when required.........
236.1023 Errors and malfunctions:
    Railroad failure to provide                  2,500             5,000
     proper notification of PTC
     system error or malfunction....
    Failure to maintain PTCPVL......             2,500             5,000
    Supplier failure to provide                  2,500             5,000
     proper notification of
     previously identified PTC
     system error or malfunction....
    Failure to provide timely                    2,500             5,000
     notification...................
    Failure to provide appropriate               5,500            10,000
     protective measures in the
     event of PTC system failure....
236.1027 Exclusions:
    Integration of primary train                 9,500            17,000
     control system with locomotive
     electronic system without
     approval.......................
236.1029 PTC system use and en route
 failures:
    Failure to determine cause of                5,500            10,000
     PTC system component failure
     without undue delay............
    Failure to adjust, repair, or                5,500            10,000
     replace faulty PTC system
     component without undue delay..
    Failure to take appropriate                  5,500            10,000
     action pending adjustment,
     repair, or replacement of
     faulty PTC system component....
    Non-compliant train operation                9,500            17,000
     within PTC-equipped territory
     with inoperative PTC onboard
     apparatus......................
    Interference with the normal                 9,500            17,000
     functioning of safety-critical
     PTC system.....................
    Improper arrangement of the PTC              5,500            10,000
     system onboard apparatus.......
236.1033 Communications and security
 requirements:
    Failure to provide cryptographic             2,500             5,000
     message integrity and
     authentication.................
    Improper use of revoked                      2,500             5,000
     cryptographic key..............
    Failure to protect cryptographic             2,500             5,000
     keys from unauthorized
     disclosure, modification, or
     substitution...................
    Failure to establish prioritized             2,500             5,000
     service restoration and
     mitigation plan for
     communication services.........
236.1035 Field testing requirements:
    Field testing without                        5,500            10,000
     authorization or approval......
236.1037 Records retention:
    Failure to maintain records and              2,500             5,000
     databases as required..........
    Failure to report inconsistency.             5,500            10,000
    Failure to take prompt                       5,500            10,000
     countermeasures................
    Failure to provide final report.             2,500             5,000
236.1039 Operations and Maintenance
 Manual:
    Failure to implement and                     2,500             5,000
     maintain Operations and
     Maintenance Manual as required.
236.1043 Task analysis and basic
 requirements:
    Failure to develop and maintain              5,500            10,000
     an acceptable training program.
    Failure to train persons as                  2,500             5,000
     required.......................
    Failure to conduct evaluation of             2,500             5,000
     training program as required...
    Failure to maintain records as               2,500             5,000
     required.......................
236.1045 Training specific to office
 control personnel:
    Failure to conduct training                  2,500             5,000
     unique to office control
     personnel......................
236.1047 Training specific to
 locomotive engineers and other
 operations personnel:
    Failure to conduct training                  2,500             5,000
     unique to locomotive engineers
     and other operating personnel..
236.1049 Training specific to
 roadway workers:
    Failure to conduct training                  2,500            5,000
     unique to roadway workers......
------------------------------------------------------------------------
\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 $100,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 236. 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.

PART 238--[AMENDED]

    48. The authority citation for part 238 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; 49 CFR
1.49.
    49. Appendix A to part 238 is revised to read as follows:

         Appendix A to Part 238--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

238.15 Movement of power brake
 defects:
     (b) Improper movement from                $13,000           $20,500
     Class I or IA brake test.......
     (c) Improper movement of en                 9,500            17,000
     route defect...................
         (2), (3) Insufficient tag               2,500             5,000
         or record..................
         (4) Failure to determine                9,500            17,000
         percent operative brakes...
     (d) Failure to follow operating            13,000            20,500
     restrictions...................
     (e) Failure to follow                       9,500            17,000
     restrictions for inoperative
     front or rear unit.............
238.17 Movement of other than power   ................  ................
 brake defects: \1\
     (c)(4), (5) Insufficient tag or             2,500             5,000
     record.........................
     (d) Failure to inspect or                   9,500            17,000
     improper use of roller bearings
     (e) Improper movement of                    9,500            17,000
     defective safety appliances....
238.19 Reporting and tracking
 defective equipment:
     (a) Failure to have reporting              19,500            25,000
     or tracking system.............
     (b) Failure to retain records..             5,500            10,000
     (c) Failure to make records                 2,500             5,000
     available......................
     (d) Failure to list power brake             5,500            10,000
     repair points..................

   Subpart B--Safety Planning and
        General Requirements

238.103 Fire protection plan/fire
 safety:
    (a) Failure to use proper                   13,000            20,500
     materials......................
     (b) Improper certification.....             5,500            10,000
     (c) Failure to consider fire               13,000            20,500
     safety on new equipment........
     (d) Failure to perform fire                13,000            20,500
     safety analysis................
     (e) Failure to develop, adopt              13,000            20,500
     or comply with procedures......
238.105 Train electronic hardware
 and software safety:
     (a), (b), (c) Failure to                   13,000            20,500
     develop and maintain hardware
     and software safety............
    (d) Failure to include required             13,000            20,500
     design features................
     (e) Failure to comply with                  9,500            17,000
     hardware and software safety
     program........................
238.107 Inspection, testing, and
 maintenance plan:
     (b) Failure to develop plan....            13,000            20,500
     (b)(1)-(5) Failure of plan to               9,500            17,000
     address specific item..........
     (d) Failure to conduct annual               9,500            17,000
     review.........................
238.109 Training, qualification, and
 designation program:
     (a) Failure to develop or adopt            13,000            20,500
     program........................
     (b)(1)-(4) Failure of plan to               9,500            17,000
     address specific item..........
     (b)(5)-(12) Failure to comply               9,500            17,000
     with specific required
     provisions of the program......
     (b)(13) Failure to maintain                 5,500            10,000
     adequate records...............
238.111 Pre-revenue service
 acceptance testing plan:
     (a) Failure to properly test               13,000            20,500
     previously used equipment......
     (b)(1) Failure to develop plan.            13,000            20,500
     (b)(2) Failure to submit plan               9,500            17,000
     to FRA.........................
     (b)(3) Failure to comply with               9,500            17,000
     plan...........................
     (b)(4) Failure to document                  5,500            10,000
     results of testing.............
     (b)(5) Failure to correct                   9,500            17,000
     safety deficiencies or impose
     operating limits...............
     (b)(6) Failure to maintain                  5,500            10,000
     records........................
     (b)(7) Failure to obtain FRA                9,500            17,000
     approval.......................
238.113 Emergency window exits......             9,500            17,000
238.114 Rescue access windows.......             9,500            17,000
238.115 Emergency lighting..........             9,500            17,000
238.117 Protection against personal              9,500            17,000
 injury.............................
238.119 Rim-stamped straight-plate               9,500            17,000
 wheels.............................
238.121 Emergency communication.....             9,500            17,000
238.123 Emergency roof access.......             9,500            17,000

Subpart C--Specific Requirements for
     Tier I Passenger Equipment

238.203 Static end strength.........             9,500            17,000
238.205 Anti-climbing mechanism.....             9,500            17,000
238.207 Link between coupling                    9,500            17,000
 mechanism and car body.............
238.209 Forward end structure of                 9,500            17,000
 locomotives........................
238.211 Collision posts.............             9,500            17,000
238.213 Corner posts................             9,500            17,000
238.215 Rollover strength...........             9,500            17,000
238.217 Side structure..............             9,500            17,000
238.219 Truck-to-car-body attachment             9,500            17,000
238.221 Glazing.....................             9,500            17,000
238.223 Fuel tanks..................             9,500            17,000
238.225 Electrical system...........             9,500            17,000

238.227 Suspension system...........             9,500            17,000
238.229 Safety appliances--general:
     (e) Failure to properly                     9,500            17,000
     identify equipment (per car)...
     (g) Failure to adopt or comply              9,500            17,000
     with inspection plan...........
     (h) Failure to use qualified                9,500            17,000
     person (per car)...............
     (i) Failure to properly conduct             9,500            17,000
     initial or periodic inspection
     (per car)......................
     (j) Failure to take proper                  9,500            17,000
     remedial action (per car)......
     (k) Failure to maintain records             5,500            10,000
     (per car)......................
238.230 Safety appliances--new
 equipment:
     (b)(2) Failure to identify                  9,500            17,000
     welded appliance (per car).....
     (b)(3) Failure to receive                   9,500            17,000
     approval for use (per car).....
     (c)(2) Failure to make proper               9,500            17,000
     repair (per car)...............
238.231 Brake System (a)-(g), (i)-               9,500            17,000
 (n)
     (h)(1), (2) Hand or parking                13,000            20,500
     brake missing or inoperative...
     (h)(3) Hand or parking brake                5,500            10,000
     inspection or record (per car).
     (h)(4) Hand or parking brake               13,000            20,500
     not applied to hold equipment
     unattended on grade or
     prematurely released...........
238.233 Interior fittings and                    9,500            17,000
 surfaces...........................
238.235 Doors.......................             9,500            17,000
238.237 Automated monitoring........             9,500            17,000

 Subpart D--Inspection, Testing, and
 Maintenance Requirements for Tier I
         Passenger Equipment

238.303 Exterior mechanical
 inspection of passenger equipment:
     (a)(1) Failure to perform               \1\ 9,500            17,000
     mechanical inspection..........
     (a)(2) Failure to inspect                   9,500            17,000
     secondary brake system.........
     (b) Failure to perform                  \1\ 9,500            17,000
     inspection on car added to
     train..........................
     (c) Failure to utilize properly             9,500            17,000
     qualified personnel............
     (e)(1) Products of combustion               9,500            17,000
     not released outside cab.......
     (e)(2) Battery not vented or                9,500            17,000
     gassing excessively............
     (e)(3) Coupler not in proper                9,500            17,000
     condition......................
     (e)(4) No device under drawbar              9,500            17,000
     pins or connection pins........
     (e)(5) Suspension system and                9,500            17,000
     spring rigging not in proper
     condition......................
     (e)(6) Truck not in proper                  9,500            17,000
     condition......................
     (e)(7) Side bearing not in                  9,500            17,000
     proper condition...............
     (e)(8) Wheel not in proper       ................  ................
     condition:
         (i), (iv) Flat spot(s) and   ................  ................
         shelled spot(s):
             (A) One spot 2\1/2\''               9,500            17,000
             or more but less than
             3'' in length..........
             (B) One spot 3'' or                13,000            20,500
             more in length.........
             (C) Two adjoining spots             9,500            17,000
             each of which is 2'' or
             more in length but less
             than 2\1/2\'' in length
             (D) Two adjoining spots            13,000            20,500
             each of which are at
             least 2'' in length, if
             either spot is 2\1/2\''
             or more in length......
         (ii) Gouge or chip in
         flange:
             (A) More than 1\1/2\''              9,500            17,000
             but less than 1\5/8\''
             in length; and more
             than \1/2\'' but less
             than \5/8\'' in width..
             (B) 1\5/8\'' or more in            13,000            20,500
             length and \5/8\'' or
             more in width..........
         (iii) Broken rim...........            13,000            20,500
         (v) Seam in tread..........             9,500            17,000
         (vi) Flange thickness of:    ................  ................
             (A) \7/8\'' or less but             9,500            17,000
             more than..............
             (B) \13/16\'' or less..            13,000            20,500
         (vii) Tread worn hollow....             9,500            17,000
         (viii) Flange height of:
             (A) 1\1/2\'' or greater             9,500            17,000
             but less than 1\5/8\''.
             (B) 1\5/8\'' or more...            13,000            20,500
         (ix) Rim thickness:          ................  ................
             (A) Less than 1''......             9,500            17,000
             (B) \15/16\'' or less..            13,000            20,500
         (x) Crack or break in
         flange, tread, rim, plate,
         or hub:
             (A) Crack of less than              9,500            17,000
             1''....................
             (B) Crack of 1'' or                13,000            20,500
             more...................
             (C) Break..............            13,000            20,500
         (xi) Loose wheel...........            13,000            20,500
         (xii) Welded wheel.........            13,000            20,500
     (e)(10) Improper grounding or              13,000            20,500
     insulation.....................
     (e)(11) Jumpers or cable                    9,500            17,000
     connections not in proper
     condition......................
     (e)(12) Door or cover plate not             9,500            17,000
     properly marked................
     (e)(13) Buffer plate not                    9,500            17,000
     properly placed................
     (e)(14) Diaphragm not properly              9,500            17,000
     placed or aligned..............
     (e)(15) Secondary braking                   9,500            17,000
     system not in operating mode or
     contains known defect..........
     (e)(16) Roller bearings:
         (i) Overheated.............            13,000            20,500
         (ii) Cap screw loose or                 9,500            17,000
         missing....................

         (iii) Cap screw lock broken             5,500            10,000
         or missing.................
         (iv) Seal loose, damaged,               9,500            17,000
         or leaks lubricant.........
     (e)(17) Air compressor                      9,500            17,000
     inoperative....................
     (g) Record of inspection:
         (1), (4) Failure to                     5,500            10,000
         maintain record of
         inspection.................
         (2) Record contains                     2,500             5,000
         insufficient information...
238.305 Interior mechanical
 inspection of passenger cars:
     (a) Failure to perform                  \1\ 5,500            10,000
     inspection.....................
     (b) Failure to utilize properly             5,500            10,000
     qualified personnel............
     (c)(1) Failure to protect                   9,500            17,000
     against personal injury........
     (c)(2) Floors not free of                   9,500            17,000
     condition that creates hazard..
     (c)(3) Access to manual door                5,500            10,000
     release not in place...........
     (c)(4) Emergency equipment not              5,500            10,000
     in place.......................
     (c)(5) Emergency brake valve                5,500            10,000
     not stenciled or marked........
     (c)(6) Door or cover plates not             5,500            10,000
     properly marked................
     (c)(7) Safety signage not in                5,500            10,000
     place or legible...............
     (c)(8) Trap door unsafe or                  9,500            17,000
     improperly secured.............
     (c)(9) Vestibule steps not                  5,500            10,000
     illuminated....................
     (c)(10) Door does not safely                9,500            17,000
     operate as intended............
     (c)(11) Seat broken, loose, or              9,500            17,000
     not properly attached..........
     (e) Record of inspection:
         (1), (4) Failure to                     5,500            10,000
         maintain record of
         inspection.................
         (2) Record contains                     2,500             5,000
         insufficient information...
     (f) Record of inspection:
         (1), (4) Failure to                     5,500            10,000
         maintain record of
         inspection.................
         (2) Record contains                     2,500             5,000
         insufficient information...
238.307 Periodic mechanical
 inspection of passenger cars and
 unpowered vehicles:
     (a) Failure to perform periodic         \1\ 9,500            17,000
     mechanical inspection..........
     (b) Failure to utilize properly             9,500            17,000
     qualified personnel............
     (c)(1) Seat or seat attachment              9,500            17,000
     broken or loose................
     (c)(2) Luggage rack broken or               9,500            17,000
     loose..........................
     (c)(3) Bed, bunks, or                       9,500            17,000
     restraints broken or loose.....
     (c)(4) Emergency window exit                9,500            17,000
     does not properly operate......
     (c)(5) Emergency lighting not               9,500            17,000
     operational....................
     (c)(6) Switches not in proper               9,500            17,000
     condition......................
     (c)(7) Coupler not in proper                9,500            17,000
     condition......................
     (c)(8) Truck not equipped with              9,500            17,000
     securing arrangement...........
     (c)(9) Truck center casting                13,000            20,500
     cracked or broken..............
     (c)(10) General conditions                  9,500            17,000
     endangering crew, passengers...
     (c)(13) Hand or parking brake               9,500            17,000
     test not performed.............
     (d)(1) Manual door release does             9,500            17,000
     not operate as intended........
     (d)(2) Hand or parking brake                9,500            17,000
     inspection not performed.......
     (e)(1) Failure to maintain                  5,500            10,000
     record of inspection...........
         (i)-(iv) Record contains                2,500             5,000
         insufficient information...
     (f)(1) Record of inspection:
         (i) Failure to maintain                 5,500            10,000
         record of inspection.......
         (ii) Record contains                    2,500             5,000
         insufficient information...
238.309 Periodic brake equipment
 maintenance:
     (b) Failure to perform on MU                9,500            17,000
     locomotive.....................
     (c) Failure to perform on                   9,500            17,000
     conventional locomotive........
     (d) Failure to perform on                   9,500            17,000
     passenger coaches or other
     unpowered vehicle..............
     (e) Failure to perform on cab               9,500            17,000
     car............................
     (f) Record of periodic
     maintenance:
         (1), (2) Failure to                     5,500            10,000
         maintain record or stencil.
238.311 Single car tests:
     (a) Failure to test in accord               9,500            17,000
     with required procedure........
     (b) Failure to utilize properly             9,500            17,000
     qualified personnel............
     (c), (e) Failure to perform                 9,500            17,000
     single car test................
     (f) Improper movement of car                5,500            10,000
     for testing....................
     (g) Failure to test after                   5,500            10,000
     repair or replacement of
     component......................
238.313 Class I brake test:
     (a) Failure to perform on              \1\ 19,500            25,000
     commuter or short-distance
     intercity passenger train......
     (b) Failure to perform on long-        \1\ 19,500            25,000
     distance intercity passenger
     train..........................
     (c) Failure to perform on cars         \1\ 13,000            20,500
     added to passenger train.......
     (d) Failure to utilized                    13,000            20,500
     properly qualified personnel...
     (f) Passenger train used from              13,000            20,500
     Class I brake test with less
     than 100% operative brakes.....
     (g) Partial failure to perform             13,000            20,500
     inspection on a passenger train
         (3) Failure to adjust                   9,500            17,000
         piston travel (per car)....
     (h) Failure to maintain record.             5,500            10,000
     (j) Failure to perform                     13,000            20,500
     additional Class I brake test..
    1 (j)(3) Failure to maintain                 5,500            10,000
     record.........................
238.315 Class IA brake test:

     (a) Failure to perform                 \1\ 13,000            20,500
     inspection.....................
     (d) Failure to utilize properly             9,500            17,000
     qualified personnel............
     (e) Passenger train used from              13,000            20,500
     Class IA brake test with
     improper percentage of
     operative brakes...............
     (f) Partial failure to perform              9,500            17,000
     inspection on passenger train..
238.317 Class II brake test:
     (a) Failure to perform                  \1\ 9,500            17,000
     inspection.....................
     (b) Failure to utilize properly             9,500            17,000
     qualified personnel............
     (c) Improper use of defective               9,500            17,000
     equipment from Class II brake
     test...........................
238.319 Running brake test:
     (a), (b) Failure to perform                 5,500            10,000
     test...........................
238.321 Out-of-service credit                    5,500            10,000

Subpart E--Specific Requirements for
     Tier II Passenger Equipment

238.403 Crash energy management.....             9,500            17,000
238.405 Longitudinal static                      9,500            17,000
 compressive strength...............
238.407 Anti-climbing mechanism.....             9,500            17,000
238.409 Forward end structures of
 power car cabs:
     (a) Center collision post......             9,500            17,000
     (b) Side collision posts.......             9,500            17,000
     (c) Corner posts...............             9,500            17,000
     (d) Skin.......................             9,500            17,000
238.411 Rear end structures of power
 car cabs:
     (a) Corner posts...............             9,500            17,000
     (b) Collision posts............             9,500            17,000
238.413 End structures of trailer                9,500            17,000
 cars...............................
238.415 Rollover strength...........             9,500            17,000
238.417 Side loads..................             9,500            17,000
238.419 Truck-to-car-body and truck              9,500            17,000
 component attachment...............
238.421 Glazing:
     (b) End-facing exterior glazing             9,500            17,000
     (c) Alternate glazing                       9,500            17,000
     requirements...................
     (d) Glazing securement.........             9,500            17,000
     (e) Stenciling.................             5,500            10,000
238.423 Fuel tanks:
     (a) External fuel tanks........             9,500            17,000
     (b) Internal fuel tanks........             9,500            17,000
238.425 Electrical system:
     (a) Circuit protection.........             9,500            17,000
     (b) Main battery system........             9,500            17,000
     (c) Power dissipation resistors             9,500            17,000
     (d) Electromagnetic                         9,500            17,000
     interference and compatibility.
238.427 Suspension system                        9,500            17,000
238.429 Safety Appliances:
     (a) Couplers...................            13,000            20,500
     (b) Hand/parking brakes........            13,000            20,500
     (d) Handrail or handhold                    9,500            17,000
     missing........................
         (d)(1)-(8) Handrail or                  9,500            17,000
         handhold improper design...
     (e) Sill step missing..........            13,000            20,500
         (e)(1)-(11) Sill step                   9,500            17,000
         improper design............
     (g) Optional safety appliances.             9,500            17,000
238.431 Brake system................             9,500            17,000
238.433 Draft System................             9,500            17,000
238.435 Interior fittings and                    9,500            17,000
 surfaces...........................
238.437 [Reserved]..................
238.439 Doors:
     (a) Exterior side doors........             9,500            17,000
     (b) Manual override feature....             9,500            17,000
     (c) Notification to crew of                 9,500            17,000
     door status....................
     (d) Emergency back-up power....             9,500            17,000
     (f) End door kick-out panel or              9,500            17,000
     pop-out window.................
238.441 Emergency roof access.......             9,500            17,000
238.443 Headlights..................             9,500            17,000
238.445 Automated monitoring........             9,500            17,000
238.447 Train operator's controls                9,500            17,000
 and power car cab layout...........

 Subpart F--Inspection, Testing, and
Maintenance Requirements for Tier II
         Passenger Equipment

238.503 Inspection, testing, and
 maintenance requirements:
     (a) Failure to develop                     19,500            25,000
     inspection, testing, and
     maintenance program or obtain
     FRA approval...................
     (b) Failure to comply with                 13,000            20,500
     provisions of the program......
     (c) Failure to ensure equipment             9,500            17,000
     free of conditions which
     endanger safety of crew,
     passengers, or equipment.......
     (d) Specific safety
     inspections:
         (1)(i) Failure to perform              19,500            25,000
         Class I brake test or
         equivalent.................

         (1)(ii) Partial failure to             13,000            20,500
         perform Class I brake test
         or equivalent..............
         (2)(i) Failure to perform           \1\ 9,500            17,000
         exterior mechanical
         inspection.................
         (2)(ii) Failure to perform          \1\ 5,500            10,000
         interior mechanical
         inspection.................
     (g) Failure to perform                      9,500            17,000
     scheduled maintenance as
     required in program............
     (h) Failure to comply with                 13,000            20,500
     training, qualification and
     designation program............
     (i) Failure to develop or                   9,500            17,000
     comply with standard procedures
     for performing inspection,
     tests, and maintenance.........
     (j) Failure to conduct annual              13,000            20,500
     review.........................
     (k) Failure to establish or                13,000            20,500
     utilize quality control program

 Subpart G--Specific Safety Planning
 Requirements for Tier II Passenger
              Equipment

238.603 Safety plan:
     (a) Failure to develop safety              13,000            20,500
     operating plan.................
     (b) Failure to develop                     13,000            20,500
     procurement plan...............
         (1)-(7) Failure to develop              9,500            17,000
         portion of plan............
     (c) Failure to maintain                     5,500            10,000
     documentation..................
------------------------------------------------------------------------
\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 $25,000
  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 $100,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition for
  movement of defective equipment set forth in Sec.   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 Sec.   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 Sec.   238.429 concerning the substantive defective
  condition. The penalties listed for failure to perform the exterior
  and interior mechanical inspections and tests required under Sec.
  238.303 and Sec.   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 Sec.   238.313 through Sec.   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.

PART 239--[AMENDED]

    50. The authority citation for part 239 continues to read as
follows:

    Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301,
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(c), (g),
(m).
    51 Appendix A to Part 239 is advised to read as follows:

        Appendix A to part 239--Schedule of Civil Penalities \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
  Subpart B--Specific Requirements
239.101:
    (a) Failure of a railroad to               $19,500           $25,000
     adopt\3\ a written emergency
     preparedness plan..............
    (a)(1) Failure of the plan to
     provide for:
        (i) Initial or on-board                  9,500            17,000
         notifications by an on-
         board crewmember...........
        (ii) Notification of outside             9,500            17,000
         emergency responders by
         control center.............
    (a)(2) Failure of the plan to
     provide for:
        (i) Initial or periodic                  9,500            17,000
         training of on-board
         personnel..................
        (ii) Initial or periodic                 9,500            17,000
         training of control center
         personnel..................
        (iii) Completion of initial              9,500            17,000
         training of all on-board
         and control center
         personnel by the specified
         date.......................
        (iv) Completion of initial               9,500            17,000
         training of all newly hired
         on-board and control center
         personnel by the specified
         date.......................
        (v) Adequate procedures to               9,500            17,000
         evaluate and test on-board
         and control center
         personnel for qualification
         under the emergency
         preparedness plan..........
        (vi) Adequate on-board                   9,500            17,000
         staffing...................
    (a)(3) Failure of a host                     9,500            17,000
     railroad involved in joint
     operations to coordinate
     applicable portions of the
     emergency preparedness plan
     with the railroad or railroads
     providing or operating a
     passenger train service
     operation......................
    (a)(4) Failure of the plan to
     address:
        (i) Readiness procedures for             9,500            17,000
         emergencies in tunnels.....
        (ii) Readiness procedures                9,500            17,000
         for emergencies on an
         elevated structure or in
         electrified territory......
        (iii) Coordination efforts               9,500            17,000
         involving adjacent rail
         modes of transportation....
    (a)(5) Failure of the plan to     ................  ................
     address relationships with on-
     line emergency responders by
     providing for:
        (i) The development and                  9,500            17,000
         availability of training
         programs...................

        (ii) Invitations to                      9,500            17,000
         emergency responders to
         participate in emergency
         simulations................
        (iii) Distribution of                    9,500            17,000
         applicable portions of the
         current emergency
         preparedness plan..........
    (a)(6) Failure of the plan to     ................  ................
     provide for, or the railroad to
     include on board each train and
     maintain and replace:
        (i) Emergency equipment.....             9,500            17,000
        (ii) First-aid kits.........             9,500            17,000
        (iii) Emergency lighting....             9,500            17,000
    (a)(7) Failure of the plan to                9,500            17,000
     provide for emergency
     instructions inside each
     passenger car or to include
     additional safety awareness
     information....................
239.103 Failure to conduct a                     9,500            17,000
 required full-scale simulation in
 accordance with the frequency
 schedule...........................
239.105 Debriefing and critique:
    (a) Failure to conduct a                     9,500            17,000
     debriefing and critique session
     after an emergency or full-
     scale simulation...............
    (d)(1) Failure to maintain a                 5,500            10,000
     record.........................
    (i) Failure to include date or               2,500             5,000
     location of the emergency or
     simulation.....................
        (ii) Failure to include date             2,500             5,000
         or location of the
         debriefing and critique
         session....................
        (iii) Failure to include                 2,500             5,000
         names of participants in
         the debriefing and critique
         session....................
    (d)(2) Failure to make record                2,500             5,000
     available......................
239.107 Emergency exits:
    (a)(1), (a)(2):                   ................  ................
        (i) Door not marked or                   9,500            17,000
         instructions not posted....
        (ii) Door improperly marked              9,500            17,000
         or instructions improperly
         posted.....................
    (b)(1) Failure to provide for                9,500            17,000
     scheduled inspection,
     maintenance, and repair of
     emergency windows and doors....
    (b)(2):
        (i) Failure to test a                    9,500            17,000
         representative sample of
         emergency windows..........
        (ii) Emergency windows                   5,500            10,000
         tested too infrequently....
    (b)(3) Failure to repair an                  9,500            17,000
     inoperative emergency window or
     door exit......................
    (c):
        (i) Failure to maintain a                5,500            10,000
         record.....................
        (ii) Failure to make record              2,500             5,000
         available..................
    (d)(1) Insufficient limits or                5,500            10,000
     controls on accessibility to
     records........................
    (d)(2) Missing terminal.........             2,500             5,000
    (d)(3) Inability of railroad to              2,500             5,000
     produce information in a usable
     format for immediate review....
    (d)(4) Failure by railroad to                2,500             5,000
     designate an authorized
     representative.................
    (d)(5) Failure to make record                2,500             5,000
     available......................

  Subpart C--Review, Approval, and
 Retention of Emergency Preparedness
                Plans

239.201 Filing and approval:
    (a):
        (i) Failure of a railroad to            13,000            20,500
         file a written emergency
         preparedness plan..........
        (ii) Failure to designate a              2,500             5,000
         primary person to contact
         for plan review............
        (iii) Failure of a railroad              2,500             5,000
         to file an amendment to its
         plan.......................
    (b)(1), (b)(2):
        (i) Failure of a railroad to             9,500            17,000
         correct a plan deficiency..
        (ii) Failure to provide FRA              2,500             5,000
         with a corrected copy of
         the plan...................
    (b)(3):
        (i) Failure of a railroad to             9,500            17,000
         correct an amendment
         deficiency.................
        (ii) Failure to file a                   2,500             5,000
         corrected plan amendment
         with FRA...................
239.203 Retention of emergency
 preparedness plan:
        (1) Failure to retain a copy             9,500            17,000
         of the plan or an amendment
         to the plan................
        (2) Failure to make record               2,500             5,000
         available..................

 Subpart D--Operational (Efficiency)
  Tests; Inspection of Records and
            Recordkeeping

239.301 Operational (efficiency)
 tests:
    (a) Failure to periodically                  9,500            17,000
     conduct operational
     (efficiency) tests of its on-
     board and control center
     employees......................
    (b)(1) Failure to maintain a                 5,500            10,000
     record.........................
    (b)(2) Record improperly                     2,500             5,000
     completed......................
    (c)(1) Failure to retain a copy              2,500             5,000
     of the record..................
    (c)(2) Failure to make record                2,500             5,000
     available......................
239.303 Electronic recordkeeping:
    (a) Insufficient limits or                   5,500            10,000
     controls on accessibility to
     records........................
    (b) Missing terminal............             2,500             5,000
    (c) Inability of railroad to                 2,500             5,000
     produce information in a usable
     format for immediate review....
    (d) Failure by railroad to                   2,500             5,000
     designate an authorized
     representative.................
     (e) Failure to make record                  2,500             5,000
     available......................
------------------------------------------------------------------------
\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 $100,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 239. 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.

\3\ This section also requires each railroad (subject to part 239) to
  comply with the adopted emergency preparedness plan. As the severity
  of a violation for a railroad's failure to comply with an emergency
  preparedness plan varies depending upon the provision with which the
  railroad failed to comply, please see the guideline penalty for the
  particular section of the regulation requiring that provision.

PART 240--[AMENDED]

    52. The authority citation for part 240 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.49.
    53. Appendix A to part 240 is revised to read as follows:

         Appendix A to Part 240--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
Subpart B--Component Elements of the
        Certification Process

240.101 Program failures:
    (a) Failure to have program.....           $19,500           $25,000
    (b) Program that fails to                    9,500            17,000
     address a subject..............
240.103 Failure to:
    (a) Follow Appendix B...........             2,500             5,000
    (d) Resubmit, when directed by               2,500             5,000
     FRA............................
240.104 Allowing uncertified person             13,000            20,500
 to operate nontraditional
 locomotives........................
240.105 Failure to have or execute               9,500            17,000
 adequate procedure for selection of
 supervisors........................
240.107 Classes of service:
    (a) Failure to designate classes             9,500            17,000
     of service.....................
240.109 Limitations on considering
 prior conduct records:
    (a) Failure to have procedure                9,500            17,000
     for determining eligibility....
    (e) Considering excluded data...             9,500            17,000
    (f), (g) Failure to provide                  9,500            17,000
     timely review opportunity......
240.111 Furnishing motor vehicle
 records:
    (a) Failure to action required               2,500             5,000
     to make information available..
    (b) Failure to request:.........
        (1) Local record............             2,500             5,000
        (2) NDR record..............             2,500             5,000
    (f) Failure to request                       2,500             5,000
     additional record..............
    (g) Failure to notify of absence             2,500             5,000
     of license.....................
    (h) Failure to submit request in             2,500             5,000
     timely manner..................
    (i) Failure to report within 48              2,500             5,000
     hours or railroad taking
     certification action for not
     reporting earlier than 48 hours
240.113 Furnishing prior employment
 information:
    (a) Failure to take action                   2,500             5,000
     required to make information
     available......................
    (b) Failure to request record...             2,500             5,000
240.115 Criteria for considering
 prior motor vehicle conduct:
    (b) Considering excluded data...             9,500            17,000
     (c) Failure to:
         (1) Consider data..........            19,500            25,000
         (3)-(4) Properly act in                 5,500            10,000
         response to data...........
240.117 Consideration of operational
 rules compliance records:
    (a) Failure to have program and             19,500            25,000
     procedures.....................
    (b)-(j) Failure to have adequate             9,500            17,000
     program or procedure...........
240.119 Consideration of substance
 abuse/rules compliance records:
    (a) Failure to have program and             19,500            25,000
     procedures.....................
    (b)-(e) Failure to have adequate             9,500            17,000
     program or procedure...........
240.121 Failure to have adequate                 9,500            17,000
 procedure for determining acuity...
    (f) Failure of engineer to                   9,500            17,000
     notify.........................
240.123 Failure to have:
    (b) Adequate procedures for                  9,500            17,000
     continuing education...........
    (c) Adequate procedures for                  9,500            17,000
     training new engineers.........
240.125 Failure to have:
    (a) Adequate procedures for                  9,500            17,000
     testing knowledge..............
    (d) Adequate procedures for                  9,500            17,000
     documenting testing............
240.127 Failure to have:
    (a) Adequate procedures for                  9,500            17,000
     evaluating skill performance...
    (c) Adequate procedures for                  9,500            17,000
     documenting skills testing.....
240.129 Failure to have:
    (a)-(b) Adequate procedures for              9,500            17,000
     monitoring performance.........
  Subpart C--Implementation of the
        Certification Process

240.201 Schedule for implementation:
    (a) Failure to select                        2,500             5,000
     supervisors by specified date..
    (c) Failure to issue certificate             2,500             5,000
     to engineer....................
    (d) Allowing uncertified person             19,500            25,000
     to operate.....................
    (e)-(g) Certifying without                   9,500            17,000
     complying with subpart C.......
    (h)-(i) Failure to issue                     2,500             5,000
     certificate to engineer........
240.203

    (a) Designating a person as a
     supervisor without determining
     that
        (1) Person knows and                     9,500            17,000
         understands this part......
        (2) Person can test and                 19,500            25,000
         evaluate engineers.........
        (3) Person has experience to             9,500            17,000
         prescribe remedies.........
    (b) Certifying a person without
     determining that:
        (1) Person meets the                    19,500            25,000
         eligibility criteria.......
        (2) Person meets the medical             9,500            17,000
         criteria...................
        (3) Person has demonstrated              9,500            17,000
         knowledge..................
        (4) Person has demonstrated              9,500            17,000
         skills.....................
    (c) Certifying a person without
     determining that:
        (1) Person has completed                 9,500            17,000
         training program...........
        (2) Person meets the                     9,500            17,000
         eligibility criteria.......
        (3) Time has elapsed........             9,500            17,000
240.205 Procedures for determining
 eligibility based on prior safety
 conduct:
    (a) Selecting person lacking                19,500            25,000
     eligibility....................
    (d) Failure to have basis for                9,500            17,000
     taking action..................
240.207 Ineligibility based on
 medical condition:
    (a) Selecting person lacking                13,000            20,500
     proper acuity..................
    (b) Failure to have basis for                2,500             5,000
     finding of proper acuity.......
    (c) Acuity examinations                      2,500             5,000
     performed by unauthorized
     person.........................
    (d) Failure to note need for                 2,500             5,000
     device to achieve acuity.......
    (e) Failure to use device needed             2,500             5,000
     for proper acuity..............
240.209 Demonstrating knowledge:
    (b) Failure to properly                     13,000            20,500
     determine knowledge............
    (c) Improper test procedure.....             9,500            17,000
    (d) Failure to document test                 2,500             5,000
     results........................
    (e) Allowing person to operate               9,500            17,000
     despite test failure...........
240.211 Demonstrating skills:
    (b) Failure to properly                      9,500            17,000
     determine knowledge............
    (c) Improper test procedure.....             5,500            10,000
    (d) Failure to document test                 2,500             5,000
     results........................
    (e) Allowing person to operate               9,500            17,000
     despite test failure...........
240.213 Completion of approved
 training program:
    (a) Failure to properly                      9,500            17,000
     determine......................
    (b) Failure to document                      5,500            10,000
     successful program completion..
240.215 Supporting information:
    (a), (f)-(h) Failure to have a               2,500             5,000
     record.........................
    (b) Failure to have complete                 2,500             5,000
     record.........................
        (i) Falsification of record.  ................            25,000
240.217 Time limits for making
 determinations:
    (a), (c) Exceeding time limit...             5,500            10,000
240.219 Denial of certification:
    (a) Failure to notify or provide             5,500            10,000
     opportunity for comment........
    (c) Failure to notify, provide               5,500            10,000
     data, or untimely notification.
240.221 Identification of persons:
    (a)-(c) Failure to have a record             5,500            10,000
    (d) Failure to update a record..             5,500            10,000
    (e)-(f) Failure to make a record             2,500             5,000
     available......................
240.223 Certificate criteria:
    (a) Improper certificate........             2,500             5,000
    (b) Failure to designate those               2,500             5,000
     with signatory authority.......
    (d) Falsification of certificate  ................            25,000
240.225 Railroad relying on
 determination of another:
    (a) Failure to address in                   19,500            25,000
     program or failure to require
     newly hired engineer to take
     entire training program........
        (2) Reliance on wrong class              5,500            10,000
         of service.................
        (3) Failure to familiarize               5,500            10,000
         person with new operational
         territory..................
        (4) Failure to determine                 5,500            10,000
         knowledge..................
        (5) Failure to determine                 5,500            10,000
         performance skills.........
240.227 Railroad relying on
 requirements of a different
 country:
    (a) Joint operator reliance:
        (1) On person not employed..             2,500             5,000
        (2) On person who fails to               2,500             5,000
         meet Canadian requirements.
    (b) Canadian railroad reliance:
        (1) On person not employed..             2,500             5,000
        (2) On person who fails to               2,500             5,000
         meet Canadian requirements.
240.229 Requirements for joint