49 C.F.R. Appendix B to Part 229—Schedule of Civil Penalties1
Title 49 - Transportation
Link to an amendment published at 71 FR 36914, June 28, 2006.
Link to an amendment published at 71 FR 47667, Aug. 17, 2006. [53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 199867 FR 16052, Apr. 4, 2002; 69 FR 30594, May 28, 2004; 70 FR 21920, Apr. 27, 2005; 70 FR 37942, June 30, 2005]
Title 49: Transportation
PART 229—RAILROAD LOCOMOTIVE SAFETY STANDARDS
Subpart D—Design Requirements
Appendix B to Part 229—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ Subpart A_General------------------------------------------------------------------------229.7 Prohibited acts: Safety deficiencies not $1,000- $2,000- governed by specific regulations: To be 5,000 7,500 assessed on relevant facts...................229.9 Movement of noncomplying locomotives.... (\1\) (\1\)229.11 Locomotive identification.............. 1,000 2,000229.13 Control of locomotives................. 2,500 5,000229.17 Accident reports....................... 2,500 5,000229.19 Prior Waivers.......................... (\1\) (\1\)------------------------------------------------------------------------ Subpart B_Inspection and tests ------------------------------------------------------------------------229.21 Daily inspection: (a)(b): (1) Inspection overdue................ 2,000 4,000 (2) Inspection report not made, 1,000 2,000 improperly executed, or not retained. (c) Inspection not performed by a 1,000 2,000 qualified person.........................229.23 Periodic inspection General (a)(b): (1) Inspection overdue................ 2,500 5,000 (2) Inspection performed improperly or 2,500 5,000 at a location where the underneath portion cannot be safely inspected... (c)(d): (1) Form missing...................... 1,000 2,000 (2) Form not properly displayed....... 1,000 2,000 (3) Form improperly executed.......... 1,000 2,000 (e) Replace Form FRA F 6180-49A by April 2 1,000 2,000 (f) Secondary record of the information 1,000 2,000 reported on Form FRA F 6180.49A..........229.25 (a) through (e)(4) Tests: Every periodic 2,500 5,000 inspection................................. (e)(5) Ineffective maintenance.............. 8,000 16,000229.27 Annual tests........................... 2,500 5,000229.29 Biennial tests......................... 2,500 5,000229.31: (a) Biennial hydrostatic tests of main 2,500 5,000 reservoirs............................... (b) Biennial hammer tests of main 2,500 5,000 reservoirs............................... (c) Drilled telltale holes in welded main 2,500 5,000 reservoirs............................... (d) Biennial tests of aluminum main 2,500 5,000 reservoirs...............................229.33 Out-of-use credit...................... 1,000 2,000------------------------------------------------------------------------ Subpart C_Safety Requirements ------------------------------------------------------------------------229.41 Protection against personal injury..... 2,500 5,000229.43 Exhaust and battery gases.............. 2,500 5,000229.45 General condition: To be assessed based 1,000-5,000 2,000-7,500 on relevant facts............................229.46 Brakes: General........................ 2,500 5,000229.47 Emergency brake valve.................. 2,500 5,000229.49 Main reservoir system: (a)(1) Main reservoir safety valve........ 2,500 5,000 (2) Pneumatically actuated control 2,500 5,000 reservoir................................ (b)(c) Main reservoir governors........... 2,500 5,000229.51 Aluminum main reservoirs............... 2,500 5,000229.53 Brake gauges........................... 2,500 5,000229.55 Piston travel.......................... 2,500 5,000229.57 Foundation brake gear.................. 2,500 5,000229.59 Leakage................................ 2,500 5,000229.61 Draft system........................... 2,500 5,000229.63 Lateral motion......................... 2,500 5,000229.64 Plain bearing.......................... 2,500 5,000229.65 Spring rigging......................... 2,500 5,000229.67 Trucks................................. 2,500 5,000229.69 Side bearings.......................... 2,500 5,000229.71 Clearance above top of rail............ 2,500 5,000229.73 Wheel sets............................. 2,500 5,000229.75 Wheel and tire defects: (a),(d) Slid flat or shelled spot(s): (1) One spot 2\1/2\[inch] or more but 2,500 5,000 less than 3[inch] in length.......... (2) One spot 3[inch] or more in length 5,000 7,500 (3) Two adjoining spots each of which 2,500 5,000 is 2[inch] or more in length but less than 2\1/2\[inch] in length.......... (4) Two adjoining spots each of which 5,000 7,500 are at least 2[inch] in length, if either spot is 2\1/2\[inch] or more in length............................ (b) Gouge or chip in flange of: (1) more than 1\1/2\[inch] but less 2,500 5,000 than 1\5/8\[inch] in length; and more than \1/2\[inch] but less than \5/ 8\[inch] in width.................... (2) 1\5/8\[inch] or more in length and 5,000 7,500 \5/8\[inch] or more in width......... (c) Broken rim............................ 5,000 7,500 (e) Seam in tread......................... 2,500 5,000 (f) Flange thickness of: (1) \7/8\[inch] or less but more than 2,500 5,000 \13/16\[inch]........................ (2) \13/16\[inch] or less............. 5,000 7,500 (g) Tread worn hollow..................... 2,500 5,000 (h) Flange height of: (1) 1\1/2\[inch] or greater but less 2,500 5,000 than 1\5/8\[inch].................... (2) 1\5/8\[inch] or more.............. 5,000 7,000 (i) Tire thickness........................ 2,500 5,000 (j) Rim thickness: (1) Less than 1[inch] in road service 2,500 5,000 and \3/4\[inch] in yard service...... (2) \15/16\[inch] or less in road 5,000 7,500 service and \11/16\[inch] in yard service.............................. (k) Crack of less than 1[inch]............ 5,000 7,500 (1) Crack of less than 1[inch]........ 2,500 5,000 (2) Crack of 1[inch] or more.......... 5,000 7,500 (3) Break............................. 5,000 7,500 (l) Loose wheel or tire................... 5,000 7,500 (m) Welded wheel or tire.................. 5,000 7,500229.77 Current collectors..................... 2,500 5,000229.79 Third rail shoes and beams............. 2,000 4,000229.81 Emergency pole; shoe insulation........ 2,500 5,000229.83 Insulation or grounding................ 5,000 7,500229.85 Door and cover plates marked ``Danger'' 2,500 5,000229.87 Hand operated switches................. 2,500 5,000229.89 Jumpers; cable connections: (a) Jumpers and cable connections; located 2,500 5,000 and guarded.............................. (b) Condition of jumpers and cable 2,500 5,000 connections..............................229.91 Motors and generators.................. 2,500 5,000229.93 Safety cut-off device.................. 2,500 5,000229.95 Venting................................ 2,500 5,000229.97 Grounding fuel tanks................... 2,500 5,000229.99 Safety hangers......................... 2,500 5,000229.101 Engines: (a) Temperature and pressure alarms, 2,500 5,000 controls, and switches................... (b) Warning notice........................ 2,500 5,000 (c) Wheel slip/slide protection........... 2,500 5,000229.103 Safe working pressure; factor of 2,500 5,000 safety.......................................229.105 Steam generator number................ 500 1,000229.107 Pressure gauge........................ 2,500 5,000229.109 Safety valves......................... 2,500 5,000229.111 Water-flow indicator.................. 2,500 5,000229.113 Warning notice........................ 2,500 5,000229.115 Slip/slide alarms..................... 2,500 5,000229.117 Speed indicators...................... 2,500 5,000229.119 Cabs, floors, and passageways: (a)(1) Cab set not securely mounted or 2,500 5,000 braced................................... (2) Insecure or improper latching 2,500 5,000 device............................... (b) Cab windows of lead locomotive........ 2,500 5,000 (c) Floors, passageways, and compartments. 2,500 5,000 (d) Ventilation and heating arrangement... 2,500 5,000 (e) Continuous barrier.................... 2,500 5,000 (f) Containers for fuses and torpedoes.... 2,500 5,000229.121 Locomotive cab noise.................. 2,500 5,000229.123 Pilots, snowplows, end plates......... 2,500 5,000229.125 (a) Headlights.............................. 2,500 5,000 (d) Auxiliary lights........................ 2,500 5,000229.127 Cab lights............................ 2,500 5,000229.129 Audible warning device: (a) prescribed sound levels................. $2,500 $5,000 arrangement of device................... 2,500 5,000 (b) testing................................. 2,500 5,000 (c) test procedures......................... 2,500 5,000 (c)(10) records of tests.................... 2,500 5,000229.131 Sanders............................... 1,000 2,000229.135 Event Recorders: (a) Lead locomotive without in-service event 2,500 5,000 recorder................................... (b) Failure to meet equipment requirements.. 2,500 5,000 (c) Unauthorized removal or failure to 2,500 5,000 remove from service........................ (d) Improper response to out of service 2,500 5,000 event recorder............................. (e) Failure to preserve data or unauthorized 2,500 5,000 extraction of data......................... (g) Tampering with device or data........... 2,500 5,000229.141 Body structure, MU locomotives........ 2,500 5,000229.137 Sanitation, general: (a) Sanitation compartment in lead unit, $5,000 $10,000 complete failure to provide required items.................................... (1) Ventilation....................... 2,500 5,000 (2) Door missing...................... 2,000 4,000 (2)(i) Door doesn't close............. 1,000 2,000 (2)(ii) No modesty lock............... 1,000 2,000 (3) Not equipped with toilet in lead.. 5,000 10,000 (4) Not equipped with washing system.. 1,000 2,000 (5) Lack of paper..................... 1,000 2,000 (6) Lack of trash receptacle.......... 1,000 2,000 (b) Exceptions: (1)(i) Commuter service, failure to 2,500 5,000 meet conditions of exception......... (1)(ii) Switching service, failure to 2,500 5,000 meet conditions of exception......... (1)(iii) Transfer service, failure to 2,500 5,000 meet conditions of exception......... (1)(iv) Class III, failure to meet 2,500 5,000 conditions of exception.............. (1)(v) Tourist, failure to meet 2,500 5,000 conditions of exception.............. (1)(vi) Control cab locomotive, 2,500 5,000 failure to meet conditions of exception............................ (2) Noncompliant toilet............... 5,000 10,000 (c) Defective/unsanitary toilet in lead 2,500 5,000 unit..................................... (1-5) Failure to meet conditions of 2,500 5,000 exception............................ (d) Defective/unsanitary unit; failure to 2,500 5,000 meet conditions for trailing position.... (e) Defective/sanitary unit; failure to 2,500 5,000 meet conditions for switching/transfer service.................................. (f) Paper, washing, trash holder; failure 2,500 5,000 to equip prior to departure.............. (g) Inadequate ventilation; failure to 2,500 5,000 repair or move prior to departure........ (h) Door closure/modesty lock; failure to 1,000 2,000 repair or move........................... (i) Failure to retain/maintain of equipped 2,500 5,000 units.................................... (j) Failure to equip new units/in-cab 2,500 5,000 facility................................. (k) Failure to provide potable water...... 2,500 5,000229.139 Servicing requirements: (a) Lead occupied unit not sanitary....... 2,500 5,000 (b) Components not present/operating...... 2,500 5,000 (c) Occupied unit in switching, transfer 2,500 5,000 service, in trailing position not sanitary................................. (d) Defective unit used more than 10 days. 2,500 5,000 (e) Failure to repair defective modesty 1,000 2,000 lock.....................................------------------------------------------------------------------------\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 $10,000 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 $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.Failure to observe any condition for movement set forth in § 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 § 229.19 will result in the lapse of any affected waiver.
