are discovered with respect to a single freight car 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. A
  failure to perform, with respect to a particular freight car, the
  predeparture inspection required by Sec.   215.13 of this part will be
  treated as a violation separate and distinct from, and in addition to,
  any substantive violative conditions found on the car. 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 set forth in
  paragraphs (a) and (c) of Sec.   215.9 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 freight car at the time of movement. Maintenance-of-way
  equipment not stenciled in accordance with Sec.   215.305 is subject
  to all requirements of this part. See Sec.   215.3(c)(3).
\2\ The penalty schedule uses section numbers from 49 CFR part 215. 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 217--[AMENDED]

    9. The authority citation for part 217 continues to read as
follows:

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

    10. Appendix A to part 217 is revised to read as follows:

Appendix A to Part 217--Schedule Of Civil Penalties \1\

------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         Violation
------------------------------------------------------------------------
         Subpart A--General

217.7 Operating Rules:
    (a).............................            $5,500           $10,000
    (b).............................             5,500            10,000
    (c).............................             5,500            10,000
217.9 Operational tests and
 inspections:
    (a) Failure to implement a                  9,500-           17,000-
     program........................            19,500            25,000
    (b) Railroad and railroad
     testing officer
     responsibilities:
        (1) Failure to provide                  13,000            20,500
         instruction, examination,
         or field training, or
         failure to conduct tests in
         accordance with program....
        (2) Records.................             9,500            17,000
    (c) Record of program; program              9,500-           17,000-
     incomplete.....................            19,500            25,000
    (d) Records of individual tests              9,500            17,000
     and inspections................
    (e) Failure to retain copy of or
     conduct:.......................
        (1)(i) Quarterly review.....            13,000            20,500
        (1)(ii) and (2) Six month               13,000            20,500
         review.....................
        (3) Records.................             9,500            17,000

    (f) Annual summary..............             9,500            17,000
    (h) Failure to timely or                   13,000-           20,500-
     appropriately amend program                19,500            25,000
     after disapproval..............
217.11 Program of instruction on
 operating rules:
    (a).............................            5,500-           10,000-
                                                13,000            20,500
    (b).............................            5,500-           10,000-
                                                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 217. 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 218--[AMENDED]

    11. The authority citation for part 218 continues to read as
follows:

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

    12. Appendix A to part 218 is revised to read as follows:

         Appendix A to Part 218--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
Subpart B--Blue Signal Protection of
               Workmen

218.22 Utility employees:
    (a) Employee qualifications.....            $5,500           $10,000
    (b) Concurrent service..........             9,500            17,000
    (c) Assignment conditions:
        (1) No controlling                       9,500            17,000
         locomotive.................
        (2) Empty cab...............             9,500            17,000
        (3)(4) Improper                          9,500            17,000
         communication..............
        (5) Performing functions not             5,500            10,000
         listed.....................
    (d) Improper release............             5,500            10,000
    (f) More than three utility                  5,500            10,000
     employees with one crew........
218.23 Blue signal display..........             9,500            17,000
218.24 One-person crew:
    (a)(1) Equipment not coupled or              5,500            10,000
     insufficiently separated.......
    (a)(2) Unoccupied locomotive cab             9,500            17,000
     not secured....................
    (b) Helper service..............             5,500            10,000
218.25 Workmen on a main track......             9,500            17,000
218.27 Workmen on track other than
 main track:
    (a) Protection provided except               5,500            10,000
     that signal not displayed at
     switch.........................
    (b) through (e).................             9,500            17,000
218.29 Alternate methods of
 protection:
    (a)(1) Protection provided                   5,500            10,000
     except that signal not
     displayed at switch............
    (a)(2) through (a)(8)...........             9,500            17,000
    (b)(1) Protection provided                   5,500            10,000
     except that signal not
     displayed at switch............
    (b)(2) through (b)(4)...........             9,500            17,000
    (c) Use of derails..............             9,500            17,000
    (d) Emergency repairs...........             9,500            17,000
218.30 Remotely controlled switches:
    (a) and (b).....................             9,500            17,000
    (c).............................             2,500             5,000

 Subpart C--Protection of Trains and
             Locomotives

218.35 Yard limits:
    (a) and (b).....................             9,500            17,000
    (c).............................             2,500             5,000
218.37 Flag protection:
    (a).............................             9,500            17,000
    (b) and (c).....................             9,500            17,000
218.39 Hump operations..............             9,500            17,000
218.41 Noncompliance with hump                   9,500            17,000
 operations rule....................

   Subpart D--Prohibition against
    Tampering with Safety Devices

218.55 Tampering....................  ................            17,000
218.57
    (i) Knowingly operating or                   5,500  ................
     permitting operation of
     disabled equipment.............
    (ii) Willfully operating or       ................            10,000
     permitting operation of
     disabled equipment.............
218.59 Operation of disabled                     5,500            10,000
 equipment..........................

  Subpart E--Protection of Occupied
              Camp Cars

218.71 Warning Signal Display:
    (a) Warning signals.............             5,500            10,000
        (1) Cars may not be moved...             9,500            17,000
        (2) Rolling equipment may                5,500            10,000
         not be on same track
         reducing view of warning
         signal.....................
        (3) Rolling equipment may                9,500            17,000
         not pass a warning signal..
        (4) Signal will be displayed             5,500            10,000
         immediately and only
         removed prior to departure.
218.75 Methods of protection for
 camp cars on main track:
    (a) Warning signals near each                5,500            10,000
     switch with access.............
    (b) Immediate notification of                9,500            17,000
     occupation.....................
    (c) Alerting affected personnel              5,500            10,000
     of cars........................
    (d) Manual switched lined and                9,500            17,000
     locked.........................
    (e) Remote switches protected...             9,500            17,000
218.77 Remotely controlled switches:
    (a) Remote switch lined and                  9,500            17,000
     locked.........................
    (b) Operator may not remove                  9,500            17,000
     locking device without
     permission.....................
    (c) Recordkeeping...............             2,500             5,000
    (d) Derail and signal when                   9,500            17,000
     located on main track..........
218.79 Alternative methods for
 protection:
    (a) Other than main track:
        (1) Warning signal at each               9,500            17,000
         switch providing access....
        (2) Switches lined and                   9,500            17,000
         locked.....................
        (3) Derails 50 feet away                 9,500            17,000
         when speed is 5MPH.........
    (b) Except as provided in (a) on
     other than main track:
        (1) Derails 150 feet away                9,500            17,000
         from equipment.............
        (2) Derails must be locked               9,500            17,000
         in derailing position with
         signal.....................

   Subpart F--Handling Equipment,
        Switches and Derails

218.95 Instruction, Training and
 Examination:
    (a) Program.....................      9,500-13,000     17,000-20,500
    (b) Records.....................             9,500            17,000
    (c) Failure to timely or              9,500-13,000     17,000-20,500
     appropriately amend program
     after disapproval..............
218.97 Good Faith Challenge
 Procedures:
    (a) Employee Responsibility       ................             5,000
     Failure........................
    (b) through (d) Failure to adopt             9,500            17,000
     or implement procedures........
218.99 Shoving or Pushing Movements:
    (a) Failure to implement                    13,000            20,500
     required operating rule........
    (b) Failure to conduct job            9,500-13,000     17,000-20,500
     briefing, use a qualified
     employee, or establish proper
     protection.....................
    (c) Failure to observe equipment             9,500            17,000
     direction......................
    (d) Failure to properly                      9,500            17,000
     establish point protection
     within a remote control zone...
    (e) Failure to abide by                      9,500            17,000
     operational exception
     requirements...................
218.101 Leaving Equipment in the
 Clear:
    (a) Failure to implement                     9,500            17,000
     required operating rule........
    (b) Equipment left improperly                9,500            17,000
     fouling........................
    (c) Failure to implement                     9,500            17,000
     procedures for identifying
     clearance points...............
218.103 Hand-operated switches,
 including crossover switches:
    (a) Failure to implement                     9,500            17,000
     required operating rule........
    (b) through (d) Railroad                     9,500            17,000
     employee failures..............
218.105 Additional operational
 requirements for hand-operated main
 track switches:
    (a) Failure to implement                    13,000            20,500
     required operating rule........
    (b) and (c) Railroad and                     9,500            17,000
     employee failures..............
    (d) Failure to properly release             13,000            20,500
     authority limits...............
218.107 Additional operational
 requirements for hand-operated
 crossover switches:
    (a) Failure to implement                     9,500            17,000
     required operating rule........
    (b) and (c) Railroad and                     9,500            17,000
     employee failures..............
218.109 Hand-operated fixed derails:
    (a) Failure to implement                     9,500            17,000
     required operating rule........
    (b) and (c) Railroad and                     9,500            17,000
     employee failures..............
------------------------------------------------------------------------
\1\ Except as provided for in Sec.   218.57, a penalty may be assessed
  against an individual only for a willful violation. In addition, there
  are certain sections of the penalty schedule for which no penalty is
  listed in the ordinary violation column. These sections may only be
  cited as willful violations. The Administrator reserves the right to
  assess a penalty of up to $100,000 for any violation where the
  circumstances warrant. See 49 CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 218. 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 219--[AMENDED]

    13. The authority citation for part 219 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.49(m).

    14. Appendix A to part 219 is revised to read as follows:

         Appendix A to Part 219--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

219.3 Application: Railroad does not           $13,000           $20,500
 have required program
219.11 General conditions for
 chemical tests:
    (b)(1) Employee unlawfully                   5,500            10,000
     refuses to participate in
     testing........................
    (b)(2) Employer fails to give               13,000            20,500
     priority to medical treatment..
    (b)(3) Employee fails to remain              5,500            10,000
     available......................
    (b)(4) Employee tampers with                 5,500            10,000
     specimen.......................
    (d) Employee unlawfully required             5,500            10,000
     to execute a waiver of rights..
    (e) Railroad used or authorized   ................            10,000
     the use of coercion to obtain
     specimens......................
    (g) Failure to meet supervisory              9,500            17,000
     training requirements or
     program of instruction not
     available or program not
     complete.......................
    (h) Urine or blood specimens                 5,500            10,000
     provided for Federal testing
     were used for nonauthorized
     testing........................
219.23 Railroad policies:
    (a) Failure to provide written               5,500            10,000
     notice of FRA test.............
    (b) Failure to provide written               2,500             5,000
     notice of basis for FRA test...
    (c) Use of Subpart C form for                2,500             5,000
     other test.....................
    (d) Failure to provide                       2,500             5,000
     educational materials..........
    (e) Educational materials fail               2,500             5,000
     to explain requirements of this
     part and/or include required
     content........................
    (f) Non-Federal provisions are               5,500            10,000
     not clearly described as
     independent authority..........

       Subpart B--Prohibitions

219.101 Alcohol and drug use
 prohibited:
    Employee violates prohibition(s)            19,500            25,000
219.103 Prescribed and over-the-
 counter drugs:
    (a) Failure to train employee                5,500            10,000
     properly on requirements.......
219.104 Responsive action:
    (a) Failure to remove employee              19,500            25,000
     from covered service
     immediately....................
    (b) Failure to provide notice                5,500            10,000
     for removal....................
    (c) Failure to provide prompt                5,500            10,000
     hearing........................
    (d) Employee improperly returned            13,000            20,500
     to service.....................
219.105 Railroad's duty to prevent
 violations:
    (a) Employee improperly                     19,500            25,000
     permitted to remain in covered
     service........................
    (b) Failure to exercise due                  9,500            17,000
     diligence to assure compliance
     with prohibition...............
219.107 Consequences of unlawful
 refusal:
    (a) Failure to disqualify an                13,000            20,500
     employee for nine months
     following a refusal............
    (e) Employee unlawfully returned            13,000            20,500
     to service.....................

      Subpart C--Post-Accident
        Toxicological Testing

219.201 Events for which testing is
 required:
    (a) Failure to test after                   13,000            20,500
     qualifying event (each employee
     not tested is a violation).....
    (c)(1)(i) Failure to make good               5,500            10,000
     faith determination............
    (c)(1)(ii) Failure to provide                2,500             5,000
     requested decision report to
     FRA............................
    (c)(2) Testing performed after               9,500            17,000
     nonqualifying event............
219.203 Responsibilities of
 railroads and employees:
    (a)(1)(i) and (a)(2)(i) Failure              5,500            10,000
     to properly test/exclude from
     testing........................
    (a)(1)(ii) and (a)(2)(ii)                    5,500            10,000
     Noncovered service employee
     tested.........................
    (b)(1) Delay in obtaining                    5,500            10,000
     specimens due to failure to
     make every reasonable effort...
    (c) Independent medical facility             5,500            10,000
     not utilized...................
    (d) Failure to report event or               2,500             5,000
     contact FRA when intervention
     required.......................
219.205 Specimen collection and
 handling:
    (a) Failure to observe                       5,500            10,000
     requirements with respect to
     specimen collection, marking
     and handling...................
    (b) Failure to provide properly              2,500             5,000
     prepared forms with specimens..
    (d) Failure to promptly or                   5,500            10,000
     properly forward specimens.....
219.207 Fatality:
    (a) Failure to test.............            13,000            20,500
    (a)(1) Failure to ensure timely              2,500             5,000
     collection and shipment of
     required specimens.............
    (b) Failure to request                       5,500            10,000
     assistance when necessary......
219.209 Reports of tests and
 refusals:
    (a)(1) Failure to provide                    2,500             5,000
     telephonic report..............
    (b) Failure to provide written               2,500             5,000
     report of refusal to test......
    (c) Failure to maintain report               2,500             5,000
     explaining why test not
     conducted within four hours....
219.211 Analysis and follow-up:
    (c) Failure of MRO to report                 5,500            10,000
     review of positive results to
     FRA............................

    Subpart D--Testing for Cause

219.300 Mandatory reasonable
 suspicion testing:
    (a)(1) Failure to test when                 19,500            25,000
     reasonable suspicion criteria
     met............................

    (a)(2) Tested when reasonable                9,500            17,000
     suspicion criteria not met.....
219.301 Testing for reasonable
 cause:
    (a) Event did not occur during               5,500            10,000
     daily tour.....................
    (b)(2) Tested when accident/                 9,500            17,000
     incident criteria not met......
    (b)(3) Tested when operating                 9,500            17,000
     rules violation criteria not
     met............................
219.302 Prompt specimen collection:
    (a) Specimen collection not                  5,500            10,000
     conducted promptly.............

    Subpart E--Identification of
         Troubled Employees

219.401 Requirement for policies:
    (b) Failure to publish and/or                5,500            10,000
     implement required policy......
219.407 Alternate policies:
    (c) Failure to file agreement or             5,500            10,000
     other document or provide
     timely notice or revocation....

   Subpart F--Pre-Employment Tests

219.501 Pre-employment tests:
    (a) Failure to perform pre-                 13,000            20,500
     employment drug test before
     first time employee performs
     covered service................

 Subpart G--Random Testing Programs
219.601 Railroad random drug
 programs:
    (a)(1) Failure to file a random             13,000            20,500
     program........................
    (a)(2) Failure to file amendment             5,500            10,000
     to program.....................
    (b) Failure to meet random                   9,500            17,000
     testing criteria...............
    (b)(1)(i) Failure to use a                   9,500            17,000
     neutral selection process......
    (b)(2)(i)(B) Testing not spread              5,500            10,000
     throughout the year............
    (b)(3) Testing not distributed               5,500            10,000
     throughout the day.............
    (b)(4) Advance notice provided               9,500            17,000
     to employee....................
    (b)(6) Testing when employee not             5,500            10,000
     on duty........................
219.601 A Failure to include covered             9,500            17,000
 service employee in pool...........
219.602 Administrator's
 determination of drug testing rate:
    (f) Total number of tests below             13,000            20,500
     minimum random drug testing
     rate...........................
219.603 Participation in drug
 testing:
    Failure to document reason for               5,500            10,000
     not testing selected employee..
219.607 Railroad random alcohol
 programs:
    (a)(1) Failure to file a random             13,000            20,500
     alcohol program................
    (a)(2) Failure to file amendment             5,500            10,000
     to program.....................
    (b) Failure to meet random                   9,500            17,000
     testing criteria...............
    (b)(1) Failure to use a neutral              9,500            17,000
     selection process..............
    (b)(5) Testing when employee not             5,500            10,000
     on duty........................
    (b)(8) Advance notice provided               9,500            17,000
     to employee....................
219.607 A Failure to include covered             9,500            17,000
 service employee in pool...........
219.608 Administrator's
 determination of random alcohol
 testing rate:
    (e) Total number of tests below             13,000            20,500
     minimum random alcohol testing
     rate...........................
219.609 Participation in alcohol                 5,500            10,000
 testing: Failure to document reason
 for not testing selected employee

 Subpart H--Drug and Alcohol Testing
             Procedures

219.701 Standards for drug and
 alcohol testing:
    (a) Failure to comply with part              5,500            10,000
     40 procedures in Subpart B, D,
     F, or G testing................
    (b) Testing not performed in a               5,500            10,000
     timely manner..................

      Subpart I--Annual Report

219.800 Reporting alcohol and drug
 misuse prevention program results
 in a management information system:
    (a) Failure to submit MIS report             5,500            10,000
     on time........................
    (c) Failure to submit accurate               5,500            10,000
     MIS report.....................
    (d) Failure to include required              5,500            10,000
     data...........................

      Subpart J--Recordkeeping
            Requirements

219.901 Retention of Alcohol Testing
 Records:
    (a) Failure to maintain records              5,500            10,000
     required to be kept by part 40.
    (b) Failure to maintain records              5,500            10,000
     required to be kept for five
     years..........................
    (c) Failure to maintain records              5,500            10,000
     required to be kept for two
     years..........................
219.903 Retention of Drug Testing
 Records:
    (a) Failure to maintain records              5,500            10,000
     required to be kept by part 40.
    (b) Failure to maintain records              5,500            10,000
     required to be kept for five
     years..........................
    (c) Failure to maintain records              5,500            10,000
     required to be kept for two
     years..........................
219.905 Access to facilities and
 records:
    (a) Failure to release records               9,500            17,000
     in this subpart in accordance
     with part 40...................
    (b) Failure to permit access to              9,500            17,000
     facilities.....................
    (c) Failure to provide access to             9,500            17,000
     results of railroad alcohol and
     drug testing programs..........
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The FRA Administrator reserves the right to assess a
  penalty of up to $100,000 for any violation, including ones not listed
  in this penalty schedule, where circumstances warrant. See 49 CFR part
  209, appendix A.

\2\ The penalty schedule uses section numbers from 49 CFR part 219. 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 220--[AMENDED]

    15. The authority citation for part 220 continues to read as
follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 21304,
21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    16. Appendix C to part 220 is revised to read as follows:

         Appendix C to Part 220--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

220.9 Requirements for trains.......           $13,000           $20,500
220.11 Requirements for roadway                 13,000            20,500
 workers............................

    Subpart B--Radio and Wireless
      Communication Procedures

220.21 Railroad operating rules;
 radio communications:
    (a).............................             9,500            17,000
    (b).............................             9,500            17,000
220.23 Publication of radio                      9,500            17,000
 information........................
220.25 Instruction of employees.....             9,500            17,000
220.27 Identification...............             9,500            17,000
220.29 Statement of letters and                  9,500            17,000
 numbers............................
220.31 Initiating a transmission....             5,500            10,000
220.33 Receiving a transmission.....             9,500            17,000
220.35 Ending a transmission........             9,500            17,000
220.37 Voice test...................            13,000            20,500
220.38 Failed equipment.............             2,500             5,000
220.39 Continuous monitoring........             9,500            17,000
220.41 [Reserved]...................
220.43 Communication consistent with            13,000            20,500
 the rules..........................
220.45 Complete communications......            13,000            20,500
220.47 Emergencies..................            19,500            25,000
220.49 Switching, backing or pushing            19,500            25,000
220.51 Signal indications...........            13,000            20,500
220.61 Radio transmission of                    19,500            25,000
 mandatory directives...............
------------------------------------------------------------------------
\1\ A penalty may be assessed against and 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 220. 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 221--[AMENDED]

    17. The authority citation for part 221 continues to read as
follows:

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

    18. Appendix C to part 221 is revised to read as follows:

         Appendix C to Part 221--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
     Subpart B--Marking Devices

221.13 Marking device display:
    (a) Device not present, not                 $9,500           $17,000
     displayed, or not properly
     illuminated....................
    (d) Device too close to rail....             2,500             5,000
221.14 Marking devices: Use of                   5,500            10,000
 unapproved or noncomplying device..
221.15 Marking device inspection:
    (a) Failure to inspect at crew               5,500            10,000
     change.........................
    (b), (c) Improper inspection....             5,500            10,000
221.16 Inspection procedure:
    (a) Failure to obtain protection             9,500            17,000
    (b) Improper protection.........             5,500            10,000
221.17 Movement of defective                       (1)               (1)
 equipment..........................
------------------------------------------------------------------------
\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. Where the conditions for movement of
  defective equipment set forth in Sec.   221.17 of this part are not
  met, the movement constitutes a violation of Sec.   221.13 of this
  part.

\2\ The penalty schedule uses section numbers from 49 CFR part 221. 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 222--[AMENDED]

    19. The authority citation for part 222 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.49.

    20. Appendix H to part 222 is revised to read as follows:

         Appendix H to Part 222--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
 Subpart B--Use of Locomotive Horns

222.21 Use of locomotive horn:
    (a) Failure to sound horn at                $9,500           $17,000
     grade crossing.................
    Failure to sound horn in proper              5,500            10,000
     pattern........................
    (b) Failure to sound horn at                 9,500            17,000
     least 15 seconds and less than
     \1/4\ mile before crossing.....
        Sounding the horn more than              5,500            10,000
         25 seconds before the
         crossing...................
        Sounding the horn more than              5,500            10,000
         \1/4\ mile in advance of
         crossing...................

 Subpart C--Exceptions to the Use of
         the Locomotive Horn
    Silenced Horns at Individual
              Crossings

222.33 Failure to sound horn when                9,500            17,000
 conditions of Sec.   222.33 are not
 met................................

     Silenced Horns at Groups of
       Crossings--Quiet Zones

222.45 Routine sounding of the                   5,500            10,000
 locomotive horn at a quiet zone
 crossing...........................
222.49(b) Failure to provide Grade               2,500             5,000
 Crossing Inventory Form information
222.59(d) Routine sounding of the                2,500             5,000
 locomotive horn at a grade crossing
 equipped with wayside horn.........
------------------------------------------------------------------------
\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 222. 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 223--[AMENDED]

    21. The authority citation for part 223 continues to read as
follows:

    Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02,
21304; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    22. Appendix B to part 223 is revised to read as follows:

         Appendix B to Part 223--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
  Subpart B--Specific Requirements
223.9 New or rebuilt equipment:
    (a) Locomotives.................            $5,500           $10,000
    (b) Cabooses....................             5,500            10,000
    (c) Passenger cars..............             5,500            10,000
223.11(c) Existing locomotives......             5,500            10,000
    (d) Repair of window............             2,500             5,000
223.13(c) Existing cabooses.........             5,500            10,000
    (d) Repair of window............             2,500             5,000
223.15(c) Existing passenger cars...             5,500            10,000
    (d) Repair of window............             2,500             5,000
223.17 Identification of units......             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
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 223. 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 224--[AMENDED]

    23. The authority citation for part 224 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C.
2461; and 49 CFR 1.49.

    24. Appendix A to part 224 is revised to read as follows:

         Appendix A to Part 224--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
 Subpart B--Application, Inspection,
 and Maintenance of Retroreflective
              Material

224.103 Characteristics of
 retroreflective sheeting:
    (a)-(d) Retroreflective sheeting            $5,500           $10,000
     applied does not meet the
     requirements of Sec.   224.103.
224.105 Sheeting dimensions and
 quantity:
    (a) Failure to apply minimum                 5,500            10,000
     amount of retroreflective
     sheeting in accordance with
     Table 2........................
    (b) Applying retroreflective                 5,500            10,000
     sheeting of wrong dimensions...
224.106 Location of retroreflective
 sheeting:
    (a), (b) Applying                            5,500            10,000
     retroreflective sheeting in
     nonconforming pattern..........
224.107 Implementation schedule:
    (a)(1), (b)(1) Failure to apply              5,500            10,000
     retroreflective sheeting to new
     freight car or locomotive
     before equipment placed in
     service........................
    (a)(2), (b)(2), (b)(4) Failure               5,500            10,000
     to apply retroreflective
     sheeting to existing freight
     car or locomotive in accordance
     with minimum schedule of
     paragraphs (a)(2), (b)(2), or
     (b)(4).........................
224.109 Inspection, repair, and
 replacement:
    (1) Failure to perform                       5,500            10,000
     inspection.....................
    (2) Failure to properly notify               5,500            10,000
     car owner of defect............
    (3) Failure to retain written                2,500             5,000
     notification of defect for two
     years..........................
    (4) Failure to repair defect                 5,500            10,000
     after notification.............
------------------------------------------------------------------------
\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 224. 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 225--[AMENDED]

    25. The authority citation for part 225 continues to read as
follows:

    Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02, 21301,
21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49.

    26. Appendix A to part 225 is revised to read as follows:

         Appendix A to Part 225--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
225.9 Telephonic reports of certain             $9,500           $17,000
 accidents/incidents................
225.11 Reports of accidents/                     5,500            10,000
 incidents..........................
225.12(a): Failure to file Railroad
 Employee Human Factor Attachment
 properly:
    (1) Employee identified.........             2,500             5,000
    (2) No employee identified......             2,500             5,000
225.12(b):
    (1) Failure to notify employee               5,500            10,000
     properly.......................
    (2) Notification of employee not             2,500             5,000
     involved in accident...........
225.12(c): Failure of employing                  2,500             5,000
 railroad to provide requested
 information properly...............
225.12(d):
    (1) Failure to revise report                 2,500             5,000
     when identity becomes known....
    (2) Failure to notify after late             5,500            10,000
     identification.................
225.12(f)(1): Submission of notice               2,500             5,000
 if employee dies as result of the
 reported accident..................
225.12(g): Willfully false accident   ................            20,500
 statement by employee..............
225.13 Late reports.................             2,500             5,000
225.17(d) Alcohol or drug                        9,500            17,000
 involvement........................
225.23 Joint operations.............               (1)               (1)
225.25 Recordkeeping................             5,500            10,000
225.27 Retention of records.........             2,500             5,000
225.33:
    (1) Failure to adopt the                     9,500            17,000
     Internal Control Plan..........
    (2) Inaccurate reporting due to              9,500            17,000
     failure to comply with the
     Internal Control Plan..........
    (3) Failure to comply with the               9,500            17,000
     intimidation/harassment policy
     in the Internal Control Plan...

225.35 Access to records and reports             5,500            10,000
------------------------------------------------------------------------
\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. A failure to comply with Sec.   225.23
  constitutes a violation of Sec.   225.11. For purposes of Sec.  Sec.
  225.25 and 225.27 of this part, each of the following constitutes a
  single act of noncompliance: (1) A missing or incomplete log entry for
  a particular employee's injury or illness; or (2) a missing or
  incomplete log record for a particular rail equipment accident or
  incident. Each day a violation continues is a separate offense.
\2\ The penalty schedule uses section numbers from 49 CFR part 225. 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 227--[AMENDED]

    27. The authority citation for part 227 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20103 (note), 20701-20702; and 49
CFR 1.49.

    28. Appendix G to part 227 is revised to read as follows:

         Appendix G to Part 227--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

227.3 Application:
    (b)(4) Failure to meet the                  $5,500           $10,000
     required conditions for foreign
     railroad operations............
    Subpart B--Occupational Noise
   Exposure for Railroad Operating
              Employees

227.103 Noise monitoring program:
    (a) Failure to develop and/or               19,500            25,000
     implement a noise monitoring
     program........................
    (b) Failure to use sampling as               5,500            10,000
     required.......................
    (c) Failure to integrate sound               5,500            10,000
     levels and/or make noise
     measurements as required.......
    (d) Failure to repeat noise                  5,500            10,000
     monitoring where required......
    (e) Failure to consider work                 5,500            10,000
     environments where hearing
     protectors may be omitted......
    (f) Failure to provide                       2,500             5,000
     opportunity to observe
     monitoring.....................
    (g) Reporting of monitoring
     results:
        (1) Failure to notify                    5,500            10,000
         monitored employee.........
        (2) Failure to post results              5,500            10,000
         as required................
227.105 Protection of employees:
    (a) Failure to provide                      19,500            25,000
     appropriate protection to
     exposed employee...............
    (b) Failure to observe and                   5,500            10,000
     document sources of noise
     exposure.......................
    (c)-(d) Failure to protect                  13,000            20,500
     employee from impermissible
     continuous noise...............
227.107 Hearing conservation
 program:
    (a) Failure to administer an HCP            19,500            25,000
    (b) Failure to compute noise                 9,500            17,000
     exposure as required...........
227.109 Audiometric testing program:
    (a) Failure to establish and/or             19,500            25,000
     maintain an audiometric testing
     program........................
    (b) Failure to provide                       5,500            10,000
     audiometric test at no cost to
     employee.......................
    (c) Failure to have qualified                5,500            10,000
     person perform audiometric test
    (d) [Reserved]..................  ................  ................
    (e) Failure to establish                     9,500            17,000
     baseline audiogram as required.
    (f) Failure to offer and/or                  5,500            10,000
     require periodic audiogram as
     required.......................
    (g) Failure to evaluate                      5,500            10,000
     audiogram as required..........
    (h) Failure to comply with                   5,500            10,000
     follow-up procedures as
     required.......................
    (i) Failure to use required                  5,500            10,000
     method for revising baseline
     audiograms.....................
227.111 Audiometric test
 requirements:
    (a) Failure to conduct test as               5,500            10,000
     required.......................
    (b) Failure to use required                  5,500            10,000
     equipment......................
    (c) Failure to administer test               5,500            10,000
     in room that meets requirements
    (d) Complete failure to                     13,000            20,500
     calibrate......................
        (1) Failure to perform daily             2,500             5,000
         calibration as required....
        (2) Failure to perform                   2,500             5,000
         annual calibration as
         required...................
        (3) Failure to perform                   2,500             5,000
         exhaustive calibration as
         required...................
227.115 Hearing protectors (HP):
    (a) Failure to comply with                   9,500            17,000
     general requirements...........
    (b) Failure to make HP available             5,500            10,000
     as required....................
    (c) Failure to require use of HP            13,000            20,500
     at action level................
    (d) Failure to require use of HP            13,000            20,500
     at TWA of 90 dB(A).............
227.117 Hearing protector
 attenuation:
    (a) Failure to evaluate                      2,500             5,000
     attenuation as required........
    (b)-(c) Failure to attenuate to              2,500             5,000
     required level.................
    (d) Failure to reevaluate                    2,500             5,000
     attenuation....................

227.119 Training program:
    (a) Failure to institute a                   9,500            17,000
     training program as required...
    (b) Failure to provide training              2,500             5,000
     within required time frame.....
    (c) Failure of program and/or                2,500             5,000
     training materials to include
     required information...........
227.121 Recordkeeping:
    (a) General Requirements:
        (1) Failure to make record               2,500             5,000
         available as required......
        (3) Failure to transfer or               2,500             5,000
         retain records as required.
    (b)-(f) Records:
        (1) Failure to maintain                  2,500             5,000
         record or failure to
         maintain record with
         required information.......
        (2) Failure to retain                    2,500             5,000
         records for required time
         period.....................
------------------------------------------------------------------------
\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 227. 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 228--[AMENDED]

    29. The authority citation for part 228 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 21101-21109; Sec. 108, Div.
A, Pub. L. 110-432, 122 Stat. 4860-4866; 49 U.S.C. 21301, 21303,
21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49; and 49 U.S.C.
103.
    30. In appendix A to part 228, the ninth paragraph below the
heading ``General Provisions'', entitled ``Penalty'' is revised to read
as follows:

Appendix A to Part 228--Requirements of the Hours of Service Act:
Statement of Agency Policy and Interpretation

* * * * *

General Provisions

* * * * *
    Penalty. * * * Effective October 9, 2007, the ordinary maximum
penalty of $11,000 was raised to $16,000 as required under law.
Effective March 2, 2009, the minimum penalty, ordinary maximum
penalty and aggravated maximum penalty were raised again. The
minimum penalty was increased from $550 to $650 pursuant to the
law's requirement. Meanwhile, the ordinary maximum penalty was
increased from $16,000 to $25,000 and the aggravated maximum was
increased from $27,000 to $100,000 in accordance with the authority
provided under the Rail Safety Improvement Act of 2008. FRA's
guideline civil penalty amounts for violations of the substantive
hours of service statute are $9,500 for an ordinary violation of the
hours of service statute and $17,000 for a willful violation of the
hours of service statute. The Administrator reserves the right to
assess a penalty of up to $100,000 for a violation where
circumstances warrant. See 49 CFR part 209, appendix A.
* * * * *
    31. Appendix B to part 228 is revised to read as follows:

         Appendix B to Part 228--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
  Subpart B--Records and Reporting

228.9 Railroad records..............            $5,500           $10,000
228.11 Hours of duty records........             2,500             5,000
    Error on record reflect pattern             13,000            20,500
     of inaccurate recordkeeping....
228.17 Dispatcher's record..........             2,500             5,000
228.19 Monthly reports of excess                 9,500            17,000
 service............................

 Subpart D--Electronic Recordkeeping

228.203 Program components..........             9,500            17,000
228.205 Access to electronic records             9,500            17.000
228.207 Training....................             5,500            10,000
------------------------------------------------------------------------
\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 228. 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 229--[AMENDED]

    32. The authority citation for part 229 continues to read as
follows:

    Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20137-20138,
20143, 20701-20703, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.49(c), (m).

    33. Appendix B to part 229 is revised to read as follows:

         Appendix B to Part 229--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

229.7 Prohibited acts: Safety            $2,500-13,000     $5,000-20,500
 deficiencies not governed by
 specific regulations: To be
 assessed on relevant facts.........
229.9 Movement of noncomplying                   (\1\)             (\1\)
 locomotives........................
229.11 Locomotive identification....             2,500             5,000
229.13 Control of locomotives.......             9,500            17,000
229.17 Accident reports.............            15,500            10,000
219.19 Prior waivers................             (\1\)             (\1\)

   Subpart B--Inspection and Tests

229.21 Daily inspection:
    (a)(b):
         (1) Inspection overdue.....             5,500            10,000
        (2) Inspection report not                2,500             5,000
         made, improperly executed,
         or not retained............
     (c) Inspection not performed by             2,500             5,000
     a qualified person.............
229.23 Periodic inspection General
    (a)(b):
        (1) Inspection overdue......             5,500            10,000
        (2) Inspection performed                 5,500            10,000
         improperly or at a location
         where the underneath
         portion cannot be safely
         inspected..................
    (c)(d):
        (1) Form missing............             2,500             5,000
        (2) Form not properly                    2,500             5,000
         displayed..................
        (3) Form improperly executed             2,500             5,000
    (e) Replace Form FRA F 6180-49A              2,500             5,000
     by April 2.....................
    (f) Secondary record of the                  2,500             5,000
     information reported on Form
     FRA F 6180.49A.................
229.25:
     (a) through (e)(4) Tests: Every             5,500            10,000
     periodic inspection............
     (e)(5) Ineffective maintenance.            13,000            20,500
229.27 Annual tests.................             5,500            10,000
229.29 Biennial tests...............             5,500            10,000
229.31:
    (a) Biennial hydrostatic tests               5,500            10,000
     of main reservoirs.............
    (b) Biennial hammer tests of                 5,500            10,000
     main reservoirs................
    (c) Drilled telltale holes in                5,500            10,000
     welded main reservoirs.........
    (d) Biennial tests of aluminum               5,500            10,000
     main reservoirs................
229.33 Out-of-use credit............             2,500             5,000

   Subpart C--Safety Requirements

        General Requirements

229.41 Protection against personal               9,500            17,000
 injury.............................
229.43 Exhaust and battery gases....             9,500            17,000
229.45 General condition: To be           2,500-13,000      5,000-20,500
 assessed based on relevant facts...

            Brake System

229.46 Brakes: General..............             9,500            17,000
229.47 Emergency brake valve........             9,500            17,000
229.49 Main reservoir system:
    (a)(1) Main reservoir safety                 9,500            17,000
     valve..........................
        (2) Pneumatically actuated               9,500            17,000
         control reservoir..........
     (b)(c) Main reservoir governors             9,500            17,000
229.51 Aluminum main reservoirs.....             9,500            17,000
229.53 Brake gauges.................             9,500            17,000
229.55 Piston travel................             9,500            17,000
229.57 Foundation brake gear........             9,500            17,000
229.59 Leakage......................             9,500            17,000

            Draft System

229.61 Draft system.................             5,500            10,000
          Suspension System

229.63 Lateral motion...............             5,500            10,000
229.64 Plain bearing................             5,500            10,000
229.65 Spring rigging...............             5,500            10,000
229.67 Trucks.......................             9,500            17,000
229.69 Side bearings................             9,500            17,000
229.71 Clearance above top of rail..             2,500             5,000
229.73 Wheel sets...................             9,500            17,000
229.75 Wheel and tire defects:
    (a), (d) Slid flat or shelled
     spot(s):
        (1) One spot \21/2\'' or                 9,500            17,000
         more but less than 3'' in
         length.....................
        (2) One spot 3'' or more in             13,000            20,500
         length.....................
        (3) Two adjoining spots each             9,500            17,000
         of which is 2'' or more in
         length but less than \21/
         2\'' in length.............

        (4) Two adjoining spots each            13,000            20,500
         of which are at least 2''
         in length, if either spot
         is \21/2\'' or more in
         length.....................
    (b) Gouge or chip in flange of:
        (1) More than \11/2\'' but               9,500            17,000
         less than \15/8\'' in
         length; and more than \1/
         2\'' but less than \5/8\''
         in width...................
        (2) \15/8\'' or more in                 13,000            20,500
         length and \5/8\'' or more
         in width...................
    (c) Broken rim..................            19,500            25,000
    (e) Seam in tread...............             9,500            17,000
    (f) Flange thickness of:........
        (1) \7/8\'' or less but more             9,500            17,000
         than \13/16\''.............
        (2) \13/16\'' or less.......            13,000            20,500
    (g) Tread worn hollow...........             9,500            17,000
    (h) Flange height of:
        (1) \11/2\'' or greater but              9,500            17,000
         less than \15/8\''.........
        (2) \15/8\'' or more........            13,000            20,500
    (i) Tire thickness..............             9,500            17,000
    (j) Rim thickness:
        (1) Less than 1'' in road                9,500            17,000
         service and \3/4\'' in yard
         service....................
        (2) \15/16\'' or less in                13,000            20,500
         road service and \11/16\''
         in yard service............
    (k):
        (1) Crack of less than 1''..             9,500            17,000
        (2) Crack of 1'' or more....            13,000            20,500
        (3) Break...................            19,500            25,000
        (l) Loose wheel or tire.....            19,500            25,000
    (m) Welded wheel or tire........             9,500            17,000

          Electrical System

229.77 Current collectors...........             5,500            10,000
229.79 Third rail shoes and beams...             5,500            10,000
229.81 Emergency pole; shoe                      9,500            17,000
 insulation.........................
229.83 Insulation or grounding......            13,000            20,500
229.85 Door and cover plates marked              5,500            10,000
 ``Danger''.........................
229.87 Hand operated switches.......             5,500            10,000
229.89 Jumpers; cable connections:
    (a) Jumpers and cable                        9,500            17,000
     connections; locked and guarded
    (b) Condition of jumpers and                 9,500            17,000
     cable connections..............
229.91 Motors and generators........             9,500            17,000

    Internal Combustion Equipment

229.93 Safety cut-off device........             9,500            17,000
229.95 Venting......................             9,500            17,000
229.97 Grounding fuel tanks.........             9,500            17,000
229.99 Safety hangers...............             9,500            17,000
229.101 Engines:
    (a) Temperature and pressure                 5,500            10,000
     alarms, controls, and switches.
    (b) Warning notice..............             9,500            17,000
    (c) Wheel slip/slide protection.             5,500            10,000

          Steam Generators

229.103 Safe working pressure;                   9,500            17,000
 factor of safety
229.105 Steam generator number......             2,500             5,000
229.107 Pressure gauge..............             9,500            17,000
229.109 Safety valves...............             9,500            17,000
229.111 Water-flow indicator........             9,500            17,000
229.113 Warning notice..............             9,500            17,000

       Cabs and Cab Equipment

229.115 Slip/slide alarms...........             9,500            17,000
229.117 Speed indicators............             9,500            17,000
229.119 Cabs, floors, and
 passageways:
     (a)(1) Cab set not securely                 5,500            10,000
     mounted or braced..............
        (2) Insecure or improper                 5,500            10,000
         latching device............
     (b) Cab windows of lead                     5,500            10,000
     locomotive.....................
     (c) Floors, passageways, and                5,500            10,000
     compartments...................
     (d) Ventilation and heating                 9,500            17,000
     arrangement....................
     (e) Continuous barrier.........             9,500            17,000
     (f) Containers for fuses and                9,500            17,000
     torpedoes......................
229.121 Locomotive cab noise:
    (a) Performance Standards
        (1) Failure to meet sound               13,000            20,500
         level......................
        (2) Improper maintenance                 5,500            10,000
         alterations................
        (3) Failure to comply with               5,500            10,000
         static test protocols......
    (b) Maintenance of Locomotives:
        (1) Failure to maintain                  5,500            10,000
         excessive noise report
         record or respond to report
         as required................

        (3) Failure to make good                 5,500            10,000
         faith effort as required...
        (4) Failure to maintain                  2,500             5,000
         record as required.........
229.123 Pilots, snowplows, end                   5,500            10,000
 plates.............................
229.125:
    (a) Headlights..................             9,500            17,000
    (d) Auxiliary lights............             9,500            17,000
229.127 Cab lights..................             5,500            10,000
229.129 Locomotive horn:
    (a) Prescribed sound levels.....             9,500            17,000
    Arrangement of horn.............             9,500            17,000
    (b) Failure to perform sound                 9,500            17,000
     level test.....................
    (c) Sound level test improperly              9,500            17,000
     performed......................
Record of sound level test                       5,500            10,000
 improperly executed, or not
 retained...........................
229.131 Sanders.....................             2,500             5,000
229.135 Event Recorders:
    (a) Lead locomotive without in-              9,500            17,000
     service event recorder.........
    (b) Failure to meet equipment                9,500            17,000
     requirements...................
    (c) Unauthorized removal or                  9,500            17,000
     failure to remove from service.
    (d) Improper response to out of              9,500            17,000
     service event recorder.........
    (e) Failure to preserve data or              9,500            17,000
     unauthorized extraction of data
    (g) Tampering with device or                 9,500            17,000
     data...........................
229.137 Sanitation, general:
    (a) Sanitation compartment in                9,500            17,000
     lead unit, complete failure to
     provide required items.........
        (1) Ventilation.............             5,500            10,000
        (2) Door missing............             5,500            10,000
        (2)(i) Door doesn't close...             5,500            10,000
        (2)(ii) No modesty lock.....             2,500             5,000
        (3) Not equipped with toilet             9,500            17,000
         in lead....................
        (4) Not equipped with                    5,500            10,000
         washing system.............
        (5) Lack of paper...........             5,500            10,000
        (6) Lack of trash receptacle             5,500            10,000
    (b) Exceptions:
        (1)(i) Commuter service,                 2,500             5,000
         failure to meet conditions
         of exception...............
        (1)(ii) Switching service,               2,500             5,000
         failure to meet conditions
         of exception...............
        (1)(iii) Transfer service,               2,500             5,000
         failure to meet conditions
         of exception...............
        (1)(iv) Class III, failure               2,500             5,000
         to meet conditions of
         exception..................
        (1)(v) Tourist, failure to               2,500             5,000
         meet conditions of
         exception..................
        (1)(vi) Control cab                      2,500             5,000
         locomotive, failure to meet
         conditions of exception....
        (2) Noncompliant toilet.....             5,500            10,000
    (c) Defective/unsanitary toilet              5,500            10,000
     in lead unit...................
        (1)-(5) Failure to meet                  5,500            10,000
         conditions of exception....
    (d) Defective/unsanitary unit;               5,500            10,000
     failure to meet conditions for
     trailing position..............
    (e) Defective/sanitary unit;                 5,500            10,000
     failure to meet conditions for
     switching/transfer service.....
    (f) Paper, washing, trash                    5,500            10,000
     holder; failure to equip prior
     to departure...................
    (g) Inadequate ventilation;                  5,500            10,000
     failure to repair or move prior
     to departure...................
    (h) Door closure/modesty lock;               2,500             5,000
     failure to repair or move......
    (i) Failure to retain/maintain               5,500            10,000
     of equipped units..............
    (j) Failure to equip new units/              5,500            10,000
     in-cab facility................
    (k) Failure to provide potable               5,500            10,000
     water..........................
229.139 Servicing requirements:
    (a) Lead occupied unit not                   5,500            10,000
     sanitary.......................
    (b) Components not present/                  2,500             5,000
     operating......................
    (c) Occupied unit in switching,              2,500             5,000
     transfer service, in trailing
     position not sanitary..........
    (d) Defective unit used more                 5,500            10,000
     than ten days..................
    (e) Failure to repair defective              2,500             5,000
     modesty lock...................

        Subpart D--Locomotive
 Crashworthiness Design Requirements

229.141 Body structure, MU                       9,500            17,000
 locomotives........................
229.205 General requirements:
    (a)(1) Wide-nose locomotive not             19,500            25,000
     designed in compliance with AAR
     S-580-2005.....................
        (2) Wide-nose locomotive not            19,500            25,000
         designed in compliance with
         new approved design
         standard...................
        (3) Wide-nose locomotive not            19,500            25,000
         designed in compliance with
         alternate approved design
         standard...................
    (b) Monocoque or semi-monocoque             19,500            25,000
     locomotive not in compliance
     with design requirements.......
    (c) Narrow-nose not in                      19,500            25,000
     compliance with design
     requirements...................
229.206 Design requirements:
    Locomotive fails to meet--
        (1) Emergency egress                    19,500            25,000
         requirements...............
        (2) Emergency interior                  19,500            25,000
         lighting requirements......
        (3) Interior configuration              19,500            25,000
         requirements...............
229.213 Locomotive manufacturing
 information:
    (a) Failure to retain required               9,500            17,000
     information....................
    (b) Failure to produce required              9,500            17,000
     information....................

229.215 Retention and inspection of
 designs:
    (a) Failure to retain required               9,500            17,000
     design records.................
    (b) Failure to retain required               9,500            17,000
     repair or modification records.
    (c) Failure to make records                  9,500            17,000
     available when requested.......
229.217 Fuel tank:
    (a) External fuel tank..........            19,500            25,000
    (b) Internal fuel tank..........            19,500            25,000
------------------------------------------------------------------------
\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 locomotive that is used by a
  railroad, the appropriate penalties set forth above are aggregated up
  to a maximum of $25,000 per day. However, a failure to perform, with
  respect to a particular locomotive, any of the inspections and tests
  required under subpart B of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that locomotive. 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 set forth in
  Sec.   229.9 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
  locomotive at the time of movement. Failure to comply with Sec.
  229.19 will result in the lapse of any affected waiver.
\2\ The penalty schedule uses section numbers from 49 CFR part 229. 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 230--[AMENDED]

    34. The authority citation for part 230 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.49.

    35. Appendix D to part 230 is revised to read as follows:

           Appendix D to Part 230--Schedule of Civil Penalties
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
         Subpart A--General

   General Inspection Requirements

230.11 Repair of non-complying
 conditions:
    (a) Failure to repair                       $5,500           $10,000
     noncomplying steam locomotive
     prior to use in service........
    (b) Failure of owner and/or                  5,500            10,000
     operator to approve repairs
     made prior to use of steam
     locomotive.....................
230.12 Movement of noncomplying                    (1)               (1)
 steam locomotive...................
230.13 Daily inspection:
    (a)(b):
        (1) Inspection overdue......             9,500            17,000
        (2) Inspection not performed             5,500            10,000
         by qualified person........
    (c) Inspection report not made,              5,500            10,000
     improperly executed or not
     retained.......................
230.14 Thirty-one service day
 inspection:
    (a):
        (1) Inspection overdue......             9,500            17,000
        (2) Inspection not performed             5,500            10,000
         by qualified person........
    (b) Failure to notify FRA.......             5,500            10,000
    (c) Inspection report not made,              5,500            10,000
     improperly executed, not
     properly filed.................
230.15 Ninety-two service day
 inspection:
    (a):
        (1) Inspection overdue......             9,500            17,000
        (2) Inspection not performed             5,500            10,000
         by qualified person........
    (b) Inspection report not made,              5,500            10,000
     improperly executed, not
     properly filed.................
230.16 Annual inspection:
    (a):
        (1) Inspection overdue......             9,500            17,000
        (2) Inspection not performed             5,500            10,000
         by qualified person........
    (b) Failure to notify FRA.......             5,500            10,000
    (c) Inspection report not made,              5,500            10,000
     improperly executed, not
     properly filed.................
230.17 One thousand four hundred
 seventy-two service day inspection:
    (a):
        (1) Inspection overdue......             9,500            17,000
        (2) Inspection not performed             5,500            10,000
         by qualified person........
    (b) Inspection report not made,              5,500            10,000
     improperly executed, not
     properly maintained, not
     properly filed.................

     Recordkeeping Requirements

230.18 Service days:
    (a) Service day record not                   5,500            10,000
     available for inspection.......
    (b) Failure to file service day              5,500            10,000
     report with FRA Regional
     Administrator..................
    (c) Failure to complete all                  9,500            17,000
     1,472 service day inspection
     items prior to returning
     retired steam locomotive to
     service........................

230.19 Posting of forms:
    (a) FRA Form No. 1:
        (1) FRA Form No. 1 not                   5,500            10,000
         properly filled out........
        (2) FRA Form No. 1 not                   5,500            10,000
         properly displayed.........
    (b) FRA Form No. 3:
        (1) FRA Form No. 3 not                   5,500            10,000
         properly filled out........
        (2) FRA Form No. 3 not                   5,500            10,000
         properly displayed.........
230.20 Alteration and repair
 reports:
    (a) Alterations:
        (1) Failure to properly file             5,500            10,000
         FRA Form No. 19 with FRA
         Regional Administrator.....
        (2) FRA Form No. 19 not                  5,500            10,000
         properly filled out........
        (3) FRA Form No. 19 not                  5,500            10,000
         properly maintained........
    (b) Repairs to unstayed portions
     of the boiler:
        (1) FRA Form No. 19 not                  5,500            10,000
         properly filled out........
        (2) FRA Form No. 19 not                  5,500            10,000
         properly maintained........
    (c) Repairs to stayed portions
     of the boiler:
        (1) FRA Form No. 19 not                  5,500            10,000
         properly filled out........
        (2) FRA Form No. 19 not                  5,500            10,000
         properly maintained........
230.21 Failure to properly document              5,500            10,000
 steam locomotive number change.....
230.22 Failure to properly report                9,500            17,000
 accident resulting from failure of
 steam locomotive boiler or part or
 appurtenance thereof...............

Subpart B--Boilers and Appurtenances

230.23 Responsibility for general
 construction and safe working
 pressure:
    (a) Failure to properly                     19,500            25,000
     establish safe working pressure
     for steam locomotive boiler....
    (b) Placing steam locomotive in             19,500            25,000
     service before safe working
     pressure for boiler has been
     established....................

          Allowable Stress

230.24 Maximum allowable stress
 values on boiler components:
    (a) Use of materials not of                  5,500            10,000
     sufficient tensile strength....
    (b) Use of a safety factor value            13,000            20,500
     of less than four when using
     the code of original
     construction in boiler
     calculations...................
230.25 Maximum allowable stresses on
 stays and braces:
    (a) Exceeding allowable stress               5,500            10,000
     values on fire box and/or
     combustion chamber.............
    (b) Exceeding allowable stress               5,500            10,000
     values on round, rectangular or
     gusset braces..................

        Inspection and Repair

230.29 Inspection and repair:
     (a):
        (1) Failure of owner and/or              9,500            17,000
         operator to inspect and
         repair any steam locomotive
         boiler and/or appurtenance
         under control thereof......
        (2) Failure to remove steam             13,000            20,500
         locomotive from service
         when considered necessary
         to do so...................
    (b):
        (1) Failure of perform                  13,000            20,500
         repairs in accordance with
         accepted industry standards
        (2) Owner and/or operator               13,000            20,500
         returning steam locomotive
         boiler and/or appurtenances
         to service before they are
         in good condition and safe
         and suitable for service...
230.30 Lap-joint seam boilers,                  13,000            20,500
 failure to properly inspect........
230.31 Flues to be removed:
    (a):
        (1) Failure to remove all                9,500            17,000
         flues when inspecting
         boiler.....................
        (2) Failure to enter boiler              9,500            17,000
         and clean and inspect......
    (b) Failure to remove                        5,500            10,000
     superheater flues when deemed
     necessary to do so.............
230.32 Time and method of
 inspection:
    (a) Failure to perform 1,472                 9,500            17,000
     service day inspection when
     required to do so..............
    (b) Failure to properly inspect              9,500            17,000
     boiler during 1,472 service day
     inspection.....................
230.33 Welded repairs and
 alterations:
    (a) Failure to obtain permission             9,500            17,000
     before welding on unstayed
     portions of boiler containing
     alloy or carbon steel with
     carbon content over .25 percent
     carbon.........................
    (b) Failure to perform welding               9,500            17,000
     on unstayed portions of boiler
     containing carbon steel not
     exceeding .25 percent carbon in
     accordance with a nationally
     accepted standard for boiler
     repairs........................
    (c):
        (1) Failure to submit                    9,500            17,000
         written request for
         approval before performing
         weld buildup on wasted
         areas of unstayed boiler
         surfaces that exceed 100
         square inches or the
         smaller of 25 percent of
         minimum required wall
         thickness or \1/2\ inch....
        (2) Repairing wasted sheets.             9,500            17,000
230.34 Riveted repairs and
 alterations:
    (a) Failure to obtain approval               9,500            17,000
     before making riveted
     alterations on unstayed
     portions of the boiler; failure
     to do riveting in accordance
     with established railroad
     practices or accepted national
     standards for boiler repairs...
    (b) Failure to perform riveted               9,500            17,000
     repairs on unstayed boiler
     portions in accordance with
     established railroad practices
     or accepted national standards
     for boiler repairs.............

    (c) Failure to perform riveted               5,500            10,000
     repairs on stayed boiler
     portions in accordance with
     established railroad practices
     or accepted national standards
     for boiler repairs.............

     Pressure Testing of Boilers

230.35 Failure to raise temperature              5,500            10,000
 of steam locomotive boiler to 70
 degrees F. before applying
 hydrostatic pressure to the boiler.
230.36 Hydrostatic testing of
 boilers:
    (a) Failure to perform                       9,500            17,000
     hydrostatic test of boiler as
     required.......................
    (b) Failure to properly perform              9,500            17,000
     hydrostatic test...............
    (c) Failure to properly inspect              9,500            17,000
     boiler after conducting
     hydrostatic test above MAWP....
230.37 Failure to perform proper                 5,500            10,000
 steam test or inspection of boiler
 after completion of repair or
 alteration to boiler...............

              Staybolts

230.38 Telltale holes:
    (a) Failure to have telltale                 5,500            10,000
     holes as required in staybolts.
    (b) Failure to have proper                   5,500            10,000
     telltale holes in reduced body
     staybolts......................
    (c) Failure to keep telltale                 5,500            10,000
     holes when so required.........
230.39 Broken staybolts:
    (a) Boiler in service with                   9,500            17,000
     excess number of broken
     staybolts......................
    (b) Failure to replace staybolts             9,500            17,000
     when required to do so; to
     properly replace staybolts when
     so required; to inspect
     adjacent staybolts when
     replacing broken staybolts.....
    (c) Failure to count leaking,                9,500            17,000
     plugged, or missing telltale
     holes as broken staybolts......
    (d) Closing telltale holes by                9,500            17,000
     prohibited means...............
230.40 Time and method of staybolt
 testing:
    (a) Failure to hammer test                   5,500            10,000
     staybolts when so required.....
    (b) Failure to properly hammer               5,500            10,000
     test staybolts.................
230.41 Flexible staybolts with caps:
    (a) Failure to inspect flexible              5,500            10,000
     staybolts as required..........
    (b) Failure to replace broken                5,500            10,000
     flexible staybolts; failure to
     close inner ends of telltale
     holes as required..............
    (c) Failure to report removal of             5,500            10,000
     flexible staybolts caps and
     other tests on FRA Form No. 3
     when so required...............
    (d) Failure to remove staybolt               5,500            10,000
     caps or otherwise test when FRA
     inspector or steam locomotive
     owner and/or operator consider
     it necessary to do so..........

            Steam Gauges

230.42 Failure to have accurate                 13,000            20,500
 boiler steam gauge where engine
 crew can conveniently read.........
230.43 Failure to have gauge siphon              5,500            10,000
 of proper capacity on steam gauge
 supply pipe; failure to properly
 clean, maintain the steam gauge
 supply pipe........................
230.44 Failure to test steam gauge               5,500            10,000
 when so required...................
230.45 Failure to properly test and/             5,500            10,000
 or set steam gauge.................
230.46 Failure to attach to boiler               5,500            10,000
 backhead metal badge plate showing
 allowable steam pressure...........
230.47 Boiler Number:
    (a) (b) (c) Failure to stamp                 5,500            10,000
     builder's number on boiler when
     number is known................

        Safety Relief Valves

230.48 Number and capacity of safety
 relief valves:
    (a) Failure to equip steam                  13,000            20,500
     locomotive boiler with proper
     safety relief valves...........
    (b) Failure to provide                      13,000            20,500
     additional safety relief valve
     capacity when so required......
230.49 Setting of safety relief
 valves:
    (a) Safety relief valve(s) set              13,000            20,500
     and/or adjusted by person not
     competent to do so.............
    (b) Safety relief valve(s) not              13,000            20,500
     set to open at prescribed
     pressure(s)....................
    (c) Safety relief valve(s) not              13,000            20,500
     properly set...................
    (d) Set pressure of lowest                   5,500            10,000
     safety relief valve not
     properly indicated.............
230.50 Failure to test and adjust                9,500            17,000
 safety relief valves when required
 to do so...........................

    Water Glasses and Gauge Cocks

230.51 Failure to equip steam                    5,500            10,000
 locomotive boiler with at least two
 properly installed water glasses...
230.52 Failure to properly equip                13,000            20,500
 water glasses......................
230.53 Failure to properly clean                 5,500            10,000
 water glass valves and/or gauge
 cocks when required to do so.......
230.54 Testing and maintenance:
    (a) Failure to properly test                 5,500            10,000
     water glasses and/or gauge
     cocks..........................
    (b) Failure to properly maintain             9,500            17,000
     gauge cocks, water column drain
     valves, and/or water glass
     valves.........................
230.55 Tubular type water and
 lubricator glasses and shields:
    (a) Failure to renew tubular                 5,500            10,000
     type water glasses as required.
    (b) Failure to properly shield               5,500            10,000
     tubular water glasses and/or
     lubricator glasses.............
    (c) Failure to properly locate               5,500            10,000
     and/or maintain water glasses
     and/or water glass shields.....
230.56 Failure to equip water glass              5,500            10,000
 with suitable lamp.................

Injectors, Feedwater Pumps, and Flue
                Plugs

230.57 Injectors and feedwater
 pumps:
    (a) Failure to equip steam                  13,000            20,500
     locomotive with proper means
     for delivering water to the
     boiler.........................

    (b) Failure to properly test and/           13,000            20,500
     or maintain injectors,
     feedwater pumps, boiler checks,
     delivery pipes, feed water
     pipes, tank hose, tank valves..
    (c) Failure to properly brace                5,500            10,000
     injectors, feedwater pumps, and/
     or associated piping...........
230.58 Flue plugs:
    (a) Plugging flue plugs when not             5,500            10,000
     otherwise permitted............
    (b) Improperly plugging flue                 5,500            10,000
     plugs, when otherwise permitted

            Fusible Plugs

230.59 Failure to remove and                     9,500            17,000
 properly clean fusible boiler plugs
 when required to do so; failure to
 properly note removal..............

           Washing Boilers

230.60 Time of washing:
    (a) Failure to thoroughly wash               5,500            10,000
     boiler when required to do so..
    (b) Failure to remove washout                9,500            17,000
     plugs, arch tube plugs, thermic
     siphon plugs, circulator plugs,
     water bar plugs when washing
     locomotive boiler..............
    (c) Failure to examine and/or                9,500            17,000
     properly maintain washout plugs
     washout plug sleeves, threaded
     openings.......................
    (d) Failure to clean fusible                 9,500            17,000
     plugs when required to do so...
230.61 Arch tubes, water bar tubes,
 circulators and thermic siphons:
    (a) Failure to clean, wash,                  5,500            10,000
     inspect arch tubes, water bar
     tubes, circulators and thermic
     siphons as required............
    (b) Failure to renew arch tubes,             9,500            17,000
     water bar tubes; failure to
     repair or renew circulators,
     thermic siphons when required..
    (c) Failure to properly inspect              9,500            17,000
     and/or replace as necessary
     arch tubes, water bar tubes,
     circulators....................

             Steam Pipes

230.62 Failure to properly inspect              13,000            20,500
 and/or repair or replace as
 necessary dry pipes subject to
 pressure...........................
230.63 Failure to properly inspect               9,500            17,000
 smoke box, steam pipes, pressure
 parts when required to do so.......

             Steam Leaks

230.64 Failure to remove from                    9,500            17,000
 service steam locomotive boiler
 leaking under lagging from
 condition which may reduce safety
 and/or repair the boiler before
 returning to service...............
230.65 Failure to keep steam                     5,500            10,000
 locomotive boiler, piping,
 appurtenances in repair so steam
 does not obscure vision............

  Subpart C--Steam Locomotives and
               Tenders

230.66 Failure to properly oversee               5,500            10,000
 general design, construction,
 maintenance of steam locomotive(s)
 and tender(s)......................
230.67 Failure to ensure all steam              13,000            20,500
 locomotives and tenders are
 properly inspected and repaired and/
 or all defects are properly
 repaired and steam locomotive and/
 or tender are in good condition,
 safe and suitable for service
 before being returned to service...

          Speed Indicators

230.68 Failure to equip steam                    5,500            10,000
 locomotive that operates in excess
 of 20 miles per hour over the
 general system with speed indicator
 maintained to ensure accurate
 functioning........................

              Ash Pans

230.69 Failure to equip steam                    5,500            10,000
 locomotive with properly supported
 ash pan with operating mechanism
 that may be safely operated and
 securely closed....................

     Brake and Signal Equipment

230.70 Safe condition:
    (a) Failure to perform proper                5,500            10,000
     pre-departure inspection when
     so required....................
    (b) Failure to properly equip                5,500            10,000
     steam locomotive with brake
     pipe valve clearly identified
     as ``Emergency Brake Valve''...
230.71 Orifice testing of air
 compressors:
    (a)(b):
        Failure to properly test and/            5,500            10,000
         or maintain air
         compressor(s) capacity.....
230.72 Testing main reservoirs:
    (a) Failure to properly test                 5,500            10,000
     main reservoir(s) when required
    (b) Impermissibly or improperly              5,500            10,000
     drilling main reservoir........
    (c) Impermissibly using NDE                  5,500            10,000
     method to measure wall
     thickness of main reservoir....
    (d) Failure to use appropriate               9,500            17,000
     method of NDE testing of wall
     thickness of welded or riveted
     longitudinal lap seam main
     reservoir(s); failure to
     withdraw main reservoir(s) from
     service when testing reveals
     insufficient wall thickness....
230.73 Air gauges:
    (a) Failure to equip steam                   5,500            10,000
     locomotive with properly
     located air gauge(s) that are
     no more than three psi in error
    (b) Failure to test air gauge(s)             5,500            10,000
     when so required...............
    (c) Failure to properly test air             5,500            10,000
     gauge(s).......................
230.74 Failure to properly clean and/            5,500            10,000
 or test all air brake valves,
 related dirt collectors, filters
 when required to do so.............

230.75 Failure to properly stencil               5,500            10,000
 or display date of testing and
 cleaning and initials of shop or
 station performing work............
230.76 Piston travel:
    (a) Insufficient minimum piston              5,500            10,000
     travel.........................
    (b) Excessive piston travel when             5,500            10,000
     steam locomotive is stationary.
230.77 Foundation brake gear:
    (a) Failure to properly maintain             5,500            10,000
     foundation brake gear..........
    (b) Foundation brake gear less               5,500            10,000
     than 2.5 inches above rail.....
230.78 Leakage:
    (a):
        (1) Failure to test for                  5,500            10,000
         leakage from main reservoir
         or related piping as
         required...................
        (2) Failure to repair                    5,500            10,000
         excessive leakage from main
         reservoir or related piping
         leakage....................
    (b) Failure to test for brake                5,500            10,000
     cylinder as required...........
    (c):
        (1) Failure to test for                  5,500            10,000
         leakage from steam
         locomotive brake pipe as
         required...................
        (2) Failure to repair                    5,500            10,000
         excessive brake pipe
         leakage....................
230.79 Train signal system:
    (1) Failure to test the train                5,500            10,000
     signal system or other form of
     on-board communication as
     required.......................
    (2) Failure to repair train                  5,500            10,000
     signal system or other on-board
     communication when not safe or
     suitable for service...........

 Cabs, Warning Signals, Sanders and
               Lights

230.80 Cabs:
    (a) Steam locomotive cab not                 5,500            10,000
     safe and suitable for service..
    (b) Steam pipes: Construction,               5,500            10,000
     attachment.....................
    (c) Oil-burning steam                        5,500            10,000
     locomotive, cab-enclosed.......
230.81 Cab aprons:
    (a) Cab apron, general                       5,500            10,000
     provisions.....................
    (b) Cab apron, insufficient                  5,500            10,000
     width..........................
230.82 Fire doors:
    (a) Safe and suitable for                    5,500            10,000
     service, general provisions....
    (b) Construction and maintenance             5,500            10,000
     of mechanically operated fire
     doors..........................
    (c) Construction and maintenance             5,500            10,000
     of hand-operated fire doors....
230.83 Cylinder cocks:
    (1) Failure to properly equip                5,500            10,000
     with cylinder cocks............
    (2) Failure to properly maintain             5,500            10,000
     cylinder cocks.................
230.84 Sanders:
    (1) Inoperable sanders..........             5,500            10,000
    (2) Failure to test sanders.....             5,500            10,000
230.85 Audible warning devices:
    (a) General provisions..........             5,500            10,000
    (b) Sound level measurements,                5,500            10,000
     Failure to properly take.......
230.86 Required illumination:
    (a) General provisions..........             5,500            10,000
    (b) Dimming device, failure to               5,500            10,000
     properly equip with............
    (c) Multiple locomotives,                    5,500            10,000
     failure of lead locomotive to
     display headlight..............
230.87 Cab lights: Failure to                    5,500            10,000
 properly equip with................

    Throttles and Reversing Gear

230.88 Throttles: Failure to                     5,500            10,000
 properly maintain, equip...........
230.89 Reverse gear:
    (a) General provisions..........             5,500            10,000
    (b) Air-operated power reverse               5,500            10,000
     gear...........................
    (c) Power reverse gear                       5,500            10,000
     reservoirs.....................

     Draw Gear and Draft Systems

230.90 Draw gear and draft systems:
    (a) Maintenance and testing.....             5,500            10,000
    (b) Safety bars and chains,                  5,500            10,000
     general........................
    (c) Safety bars and chains,                  5,500            10,000
     minimum length.................
    (d) Lost motion between steam                5,500            10,000
     locomotive and tender..........
    (e) Spring buffers: Improper                 5,500            10,000
     application, compression.......
230.91 Chafing irons: Improper                   5,500            10,000
 application, maintenance...........
230.92 Draw gear, draft systems:                 5,500            10,000
 Improperly maintained, fastened....

            Driving Gear

230.93 Pistons and piston rods:
    (a) Failure to properly inspect,             5,500            10,000
     maintain, renew................
    (b) Fasteners: Failure to keep               5,500            10,000
     tight, properly equip..........
230.94 Crossheads: Improperly                    5,500            10,000
 maintained, excess clearance.......
230.95 Guides: Failure to securely               5,500            10,000
 fasten, properly maintain..........
230.96 Main, side, valve motion                  5,500            10,000
 rods:

    (a) General.....................             5,500            10,000
    (b) Repairs.....................             5,500            10,000
        (1) Failure to make in                   5,500            10,000
         accordance with accepted
         national standard..........
        (2) Failure to submit                    5,500            10,000
         written request for
         approval prior to welding..
    (c) Bearings and bushings.......             5,500            10,000
    (d) Rod side motion: Excessive               5,500            10,000
     motion.........................
    (e) Oil, grease cups: Failure to             5,500            10,000
     securely fasten, properly equip
     (f) Main rod bearings:
        (1) Excessive bore..........             5,500            10,000
        (2) Excessive lost motion...             5,500            10,000
    (g) Side rod bearings, excessive             5,500            10,000
     bore...........................
230.97 Crank pins:
    (a) General provisions..........             5,500            10,000
    (b) Maintenance: Failure to                  5,500            10,000
     maintain in safe, suitable
     condition......................

            Running Gear

230.98 Driving, trailing, engine
 truck axles:
    (a) Condemning defects..........             5,500            10,000
    (b) Journal diameter: Failure to             2,500             5,000
     stamp on end of axle...........
230.99 Tender truck axle:                        5,500            10,000
 Insufficient diameter..............
230.100 Defects in tender truck
 axles and journals:
    (a) Tender truck axle condemning             5,500            10,000
     defects........................
    (b) Tender truck journal                     5,500            10,000
     condemning defects.............
230.101 Steam locomotive driving
 journal boxes:
    (a) Driving journal boxes:                   5,500            10,000
     Failure to properly maintain...
    (b) Broken bearings: Failure to              5,500            10,000
     renew..........................
    (c) Loose bearings: Failure to               5,500            10,000
     repair or renew................
230.102 Tender plain bearing journal             5,500            10,000
 boxes: Failure to repair...........
230.103 Tender roller bearing                    5,500            10,000
 journal boxes: Failure to properly
 maintain...........................
230.104 Driving box shoes and                    5,500            10,000
 wedges: Failure to properly
 maintain...........................
230.105 Lateral motion:
    (a) Condemning limits: Total                 5,500            10,000
     lateral motion in excess of....
    (b) Limits exceeded, failure to              5,500            10,000
     demonstrate conditions require
     additional lateral motion......
    (c) Interferes with other parts              5,500            10,000
     of steam locomotive............

Trucks, Frames and Equalizing System

230.106 Steam locomotive frame:
    (a) Failure to properly inspect              5,500            10,000
     and/or maintain................
    (b) Broken frames, not properly             13,000            20,500
     patched or secured.............
230.107 Tender frame and body:
    (a) Failure to properly maintain             5,500            10,000
    (b) Height difference between                5,500            10,000
     tender deck and steam
     locomotive cab floor or deck
     excessive......................
    (c) Gangway minimum width                    5,500            10,000
     excessive......................
    (d) Tender frame condemning                  9,500            17,000
     defects........................
230.108 Steam locomotive leading and
 trailing trucks:
    (a) Failure to properly maintain             5,500            10,000
    (b) Safety chain, suitable                   5,500            10,000
     safety chain not provided......
    (c) Insufficient truck clearance             5,500            10,000
230.109 Tender trucks:
    (a):
        (1) Tender truck frames.....             5,500            10,000
        (2) Tender truck center                  5,500            10,000
         plate......................
    (b) Tender truck bolsters:                   9,500            17,000
     Failure to properly maintain...
    (c) Condemning defects, springs              5,500            10,000
     and/or spring rigging..........
    (d) Truck securing arrangement:              5,500            10,000
     Not properly maintained........
    (e) Side bearings, truck                     5,500            10,000
     centering devices..............
    (f) Friction side bearings: Run              5,500            10,000
     in contact.....................
    (g):
        (1) Side bearings, failure               5,500            10,000
         to equip rear trucks with..
        (2) Insufficient clearance               5,500            10,000
         of.........................
230.110 Pilots:
    (a) General provisions..........             5,500            10,000
    (b) Clearance, insufficient or               5,500            10,000
     excessive......................
230.111 Spring rigging:
    (a) Arrangement of springs and               5,500            10,000
     equalizers.....................
    (b) Spring or spring rigging                 5,500            10,000
     condemning defects.............

          Wheels and Tires

230.112 Wheels and tires:
    (a) Improperly mounted, excess               9,500            17,000
     variance in axle diameter......
    (b) Out of gage.................             5,500            10,000
    (c) Flange distance variance,                5,500            10,000
     excessive......................

    (d) Tire thickness, insufficient             5,500            10,000
    (e) Tire width, insufficient....             5,500            10,000
230.113 Wheels and tire defects:
    (1) Failure to repair...........             5,500            10,000
    (2) Welding on, except as                    9,500            17,000
     otherwise provided for.........
        (a) Cracks or breaks in.....             5,500            10,000
        (b) Flat spots..............             5,500            10,000
        (c) Chipped flange..........             5,500            10,000
        (d) Broken rim..............             5,500            10,000
        (e) Shelled-out spots.......             5,500            10,000
        (f) Seams...................             5,500            10,000
        (g) Worn flanges, excessive              5,500            10,000
         wear.......................
        (h) Worn treads, excessive               5,500            10,000
         wear.......................
        (i) Flange height,                       5,500            10,000
         insufficient or excessive..
        (j) Rim thickness,                       5,500            10,000
         insufficient...............
        (k) Wheel diameter,                      5,500            10,000
         excessive variance.........
230.114 Wheel centers:
    (a) Filling blocks and shims....             5,500            10,000
    (b) Wheel center condemning                  5,500            10,000
     limits, failure to repair......
    (c) Wheel center repairs........             5,500            10,000
    (d) Counterbalance maintenance..             5,500            10,000

       Steam Locomotive Tanks

230.115 Feed water tanks:
    (a) General provisions..........             5,500            10,000
    (b) Inspection frequency,                    5,500            10,000
     failure to inspect as required.
    (c) Top of tender: Improperly                5,500            10,000
     maintained and/or equipped.....
230.116 Oil tanks:
     (1) Failure to properly                    13,000            20,500
     maintain.......................
     (2) Failure to equip with                  19,500            25,000
     complying safety cut-off device
------------------------------------------------------------------------
\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. Failure to observe any condition for
  movement set forth in Sec.   230.12 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 locomotive at the time of movement. Failure to comply with Sec.
  230.12 will result in the lapse of any affected waiver. Generally,
  when two or more violations of these regulations are discovered with
  respect to a single locomotive that is used by a railroad, the
  appropriate penalties set forth are aggregated up to a maximum of
  $25,000 per day. However, a failure to perform, with respect to a
  particular locomotive, any of the inspections and tests required under
  this part, will be treated as a violation separate and distinct from,
  and in addition to, any substantive violative conditions found on that
  locomotive.
\2\ The penalty schedule uses section numbers from 49 CFR part 230. 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 231--[AMENDED]

    36. The authority citation for part 231 continues to read as
follows:

    Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.49.

    37. Appendix A to part 231 is revised to read as follows:

         Appendix A to Part 231--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                             Willful
             Section \2\                  Violation         violation
------------------------------------------------------------------------
110.A1 Hand brake or hand brake part           $13,000           $20,500
 missing............................
110.A2 Hand brake or hand brake part            13,000            20,500
 broken.............................
110.A3 Hand brake or hand brake part             9,500            17,000
 loose or worn......................
110.B1 Hand brake inoperative.......            13,000            20,500
110.B2 Hand brake inefficient.......             9,500            17,000
110.B3 Hand brake improperly applied             9,500            17,000
110.B4 Hand brake incorrectly                    5,500            10,000
 located............................
110.B5 Hand brake shaft welded or                5,500            10,000
 wrong dimension....................
110.B6 Hand brake shaft not retained             5,500            10,000
 in operating position..............
110.B8 Hand brake or hand brake                  5,500            10,000
 parts wrong design.................
114.B2 Hand brake wheel or lever has             5,500            10,000
 insufficient clearance around rim
 or handle..........................
114.B3 Hand brake wheel/lever                    5,500            10,000
 clearance insufficient to vertical
 plane through inside face of
 knuckle............................
120.A1 Brake step missing except by             13,000            20,500
 design.............................
120.A2 Brake step or brace broken or            13,000            20,500
 decayed............................
120.A3 Brake step or brace loose....             9,500            17,000
120.B1 Brake step or brace bent.....             9,500            17,000

120.B2 Brake step or brace wrong                 5,500            10,000
 dimensions.........................
120.C1 Brake step improperly applied             5,500            10,000
120.C2 Brake step improperly located             5,500            10,000
120.C3 Brake step with less than 4''             5,500            10,000
 clearance to vertical plane through
 inside face of knuckle.............
120.C4 Brake step obstructed or                  9,500            17,000
 otherwise unsafe...................
124.A1 Running board missing or part            13,000            20,500
 missing except by design...........
124.A2 Running board broken or                  13,000            20,500
 decayed............................
124.A3 Running board loose presents              9,500            17,000
 a tripping hazard or other unsafe
 condition..........................
124.A4 Running board wrong material.             5,500            10,000
124.B1 Running board bent to the                 9,500            17,000
 extent that it is unsafe...........
124.B2 Running board wrong                       5,500            10,000
 dimensions.........................
124.B3 Running board wrong location.             5,500            10,000
124.C1 Running board improperly                  5,500            10,000
 applied............................
124.C2 Running board obstructed.....             9,500            17,000
126.A1 End platform missing or part             13,000            20,500
 except by design...................
126.A2 End platform broken or                   13,000            20,500
 decayed............................
126.A3 End platform loose...........             9,500            17,000
126.B1 End platform or brace bent...             5,500            10,000
126.B2 End platform wrong dimensions             5,500            10,000
126.C1 End platform improperly                   5,500            10,000
 applied............................
126.C2 End platform with less than               5,500            10,000
 required clearance to vertical
 plane through inside knuckle.......
126.C3 End platform improperly                   5,500            10,000
 located............................
126.C4 End platform obstructed......             9,500            17,000
128.A1 Platform or switching step               13,000            20,500
 missing............................
128.A2 Platform or switching step               13,000            20,500
 broken or decayed..................
128.A3 Platform or switching step                9,500            17,000
 loose..............................
128.B1 Platform or switching step                9,500            17,000
 bent...............................
128.B2 Platform or switching step                5,500            10,000
 does not meet the required location
 or dimensions......................
128.C1 Platform or switching step                9,500            17,000
 improperly applied or repaired.....
128.C2 Platform or switching step                9,500            17,000
 obstructed.........................
128.D1 Switching step back stop or               5,500            10,000
 kick plate missing.................
128.D2 Switching step not                        5,500            10,000
 illuminated when required..........
128.D3 Non-illuminated step not                  5,500            10,000
 painted contrasting color..........
130.A1 Sill step or additional                  13,000            20,500
 tread, missing.....................
130.A2 Sill step or additional                  13,000            20,500
 tread, broken......................
130.A3 Sill step or additional                   9,500            17,000
 tread, loose.......................
130.B1 Sill step or additional                   9,500            17,000
 tread, bent........................
130.B2 Sill step or additional                   5,500            10,000
 tread, having wrong dimensions or
 improperly located.................
130.B3 Sill step improperly applied.             5,500            10,000
132.A1 Side door step missing step..            13,000            20,500
132.A2 Side door step broken........            13,000            20,500
132.A3 Side door step loose.........             9,500            17,000
132.B1 Side door step bent..........             9,500            17,000
132.B2 Side door step having wrong               5,500            10,000
 dimensions.........................
134.A1 Ladder missing...............            13,000            20,500
134.A2 Ladder broken................            13,000            20,500
134.A3 Ladder loose.................             9,500            17,000
134.B1 Ladder bent..................             9,500            17,000
134.B2 Ladder having wrong                       5,500            10,000
 dimensions.........................
134.C1 Ladder improperly applied....             5,500            10,000
134.C2 Ladder having insufficient                5,500            10,000
 clearance or improperly located....
134.C3 Ladder wrong design..........             5,500            10,000
134.C4 Ladder wrong material........             5,500            10,000
134.D1 End clearance insufficient...             5,500            10,000
136.A1 Ladder tread or handholds                13,000            20,500
 missing............................
136.A2 Ladder tread or handhold                 13,000            20,500
 broken.............................
136.A3 Ladder tread or handhold                  9,500            17,000
 loose except by design.............
136.B1 Ladder tread or handhold bent             9,500            17,000
 to the extent that it may be unsafe
136.B2 Ladder tread or handhold                  5,500            10,000
 wrong dimensions...................
136.C1 Ladder tread or handhold                  5,500            10,000
 improperly applied.................