49 C.F.R. Appendix A to Part 231—Schedule of Civil Penalties1
Title 49 - Transportation
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 $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A. 2 This schedule uses section numbers from FRA's Safety Appliance Defect Code, a restatement of the CFR text in a reorganized format. For convenience, and as an exception to FRA's general policy, penalty citations will cite the defect code rather than the CFR. FRA reserves the right, should litigation become necessary, to substitute in its complaint the CFR and/or statutory citation in place of the defect code section cited in the penalty demand letter. [53 FR 52933, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 66 FR 4193, Jan. 17, 2001]
Title 49: Transportation
PART 231—RAILROAD SAFETY APPLIANCE STANDARDS
Appendix A to Part 231—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful FRA safety appliance defect code section \2\ Violation violation------------------------------------------------------------------------110.A1 Hand Brake or Hand Brake Part Missing.. $5,000 $7,500110.A2 Hand Brake or Hand Brake Part Broken... 5,000 7,500110.A3 Hand Brake or Hand Brake Part Loose or 2,500 5,000 Worn.........................................110.B1 Hand Brake Inoperative................. 5,000 7,500110.B2 Hand Brake Inefficient................. 2,500 5,000110.B3 Hand Brake Improperly Applied.......... 2,500 5,000110.B4 Hand Brake Incorrectly located......... 2,500 5,000110.B5 Hand Brake Shaft Welded or Wrong 2,500 5,000 Dimension....................................110.B6 Hand Brake Shaft Not Retained in 2,500 5,000 Operating Position...........................110.B8 Hand Brake or Hand Brake Parts Wrong 2,500 5,000 Design.......................................114.B2 Hand Brake Wheel or Lever Has 2,500 5,000 Insufficient Clearance Around Rim or Handle..114.B3 Hand Brake Wheel/Lever Clearance 2,500 5,000 Insufficient to Vertical Plane Through Inside Face of Knuckle..............................120.A1 Brake Step Missing Except by Design.... 5,000 7,500120.A2 Brake Step or Brace Broken or Decayed.. 2,500 5,000120.A3 Brake Step or Brace Loose.............. 2,500 5,000120.B1 Brake Step or Brace Bent............... 2,500 5,000120.B2 Brake Step or Wrong Dimensions......... 2,500 5,000120.C1 Brake Step Improperly Applied.......... 2,500 5,000120.C2 Brake Step Improperly Located.......... 2,500 5,000120.C3 Brake Step With Less Than 4[inch] 2,500 5,000 Clearance to Vertical Plane Through Inside Face of Knuckle..............................120.C4 Brake Step Obstructed or Otherwise 2,500 5,000 Unsafe.......................................124.A1 Running Board Missing or Part Missing 5,000 7,500 Except By Design.............................124.A2 Running Board Broken or Decayed........ 5,000 7,500124.A3 Running Board Loose Presents a Tripping 2,500 5,000 Hazard or Other Unsafe Condition.............124.A4 Running Board Wrong Material........... 2,500 5,000124.B1 Running Board Bent to the Extent that 2,500 5,000 It is Unsafe.................................124.B2 Running Board Wrong Dimensions......... 2,500 5,000124.B3 Running Board Wrong Location........... 2,500 5,000124.C1 Running Board Improperly Applied....... 2,500 5,000124.C2 Running Board Obstructed............... 2,500 5,000126.A1 End Platform Missing or Part Except By 5,000 7,500 Design.......................................126.A2 End Platform Broken or Decayed......... 5,000 7,500126.A3 End Platform Loose..................... 2,500 5,000126.B1 End Platform or Brace Bent............. 2,500 5,000126.B2 End Platform Wrong Dimensions.......... 2,500 5,000126.C1 End Platform Improperly Applied........ 2,500 5,000126.C2 End Platform With Less Than Required 2,500 5,000 Clearance to Vertical Plane Through Inside Knuckle......................................126.C3 End Platform Improperly Located........ 2,500 5,000126.C4 End Platform Obstructed................ 5,000 7,500128.A1 Platform or Switching Step Missing..... 5,000 7,500128.A2 Platform or Switching Step Broken or 5,000 7,500 Decayed......................................128.A3 Platform or Switching Step Loose....... 2,500 5,000128.B1 Platform or Switching Step Bent........ 2,500 5,000128.B2 Platform or Switching Step Does Not 2,500 5,000 Meet the Required Location or Dimensions.....128.C1 Platform or Switching Step Improperly 2,500 5,000 Applied or Repaired..........................128.C2 Platform or Switching Step Obstructed.. 2,500 5,000128.D1 Switching Step Back Stop or Kick Plate 2,500 5,000 Missing......................................128.D2 Switching Step Not Illuminated When 2,500 5,000 Required.....................................128.D3 Non-Illuminated Step Not Painted 1,000 2,000 Contrasting Color............................130.A1 Sill Step or Additional Tread, Missing. 5,000 7,500130.A2 Sill Step or Additional Tread, Broken.. 5,000 7,500130.A3 Sill Step or Additional Tread, Loose... 2,500 5,000130.B1 Sill Step or Additional Tread, Bent.... 2,500 5,000130.B2 Sill Step or Additional Tread, Having 2,500 5,000 Wrong Dimensions or Improperly Located.......130.B3 Sill Step Improperly Applied........... 2,500 5,000132.A1 Side Missing Step...................... 5,000 7,500132.A2 Side Door Step Broken.................. 5,000 7,500132.A3 Side Door Step Loose................... 2,500 5,000132.B1 Side Door Step Bent.................... 2,500 5,000132.B2 Side Door Step Having Wrong Dimensions. 2,500 5,000134.A1 Ladder Missing......................... 5,000 7,500134.A2 Ladder Broken.......................... 5,000 7,500134.A3 Ladder Loose........................... 2,500 5,000134.B1 Ladder Bent............................ 2,500 5,000134.B2 Ladder Having Wrong Dimensions......... 2,500 5,000134.C1 Ladder Improperly Applied.............. 2,500 5,000134.C2 Ladder Having Insufficient Clearance or 2,500 5,000 Improperly Located...........................134.C3 Ladder Wrong Design.................... 2,500 5,000134.C4 Ladder Wrong Material.................. 2,500 5,000134.D1 End Clearance Insufficient............. 2,500 5,000136.A1 Ladder Tread or Handholds Missing...... 5,000 7,500136.A2 Ladder Tread or Handhold Broken........ 5,000 7,500136.A3 Ladder Tread or Handhold Loose Except 2,500 5,000 By Design....................................136.B1 Ladder Tread or Handhold Bent to The 2,500 5,000 Extent That It May Be Unsafe.................136.B2 Ladder Tread or Handhold Wrong 2,500 5,000 Dimensions...................................136.C1 Ladder Tread or Handhold Improperly 2,500 5,000 Applied......................................136.C2 Ladder Tread or Handhold Having Wrong 2,500 5,000 Clearance....................................136.C3 Ladder or Handhold Improperly Located.. 2,500 5,000136.C4 Ladder Tread or Handhold Obstructed.... 2,500 5,000136.C5 Ladder Tread Without Footguards........ 2,500 5,000138.A1 Hand or Safety Railing Missing......... 5,000 7,500138.A2 Hand or Safety Railing Broken.......... 5,000 7,500138.A3 Hand or Safety Railing Loose Except by 2,500 5,000 Design.......................................138.B1 Hand or Safety Railing Bent............ 2,500 5,000138.B2 Hand or Safety Railing Wrong Dimensions 2,500 5,000138.C1 Hand or Safety Railing Improperly 2,500 5,000 Applied......................................138.C2 Hand or Safety Railing Having Less Than 2,500 5,000 the Required Clearance.......................138.C3 Hand or Safety Railing Improperly 2,500 5,000 Located......................................140.A1 Uncoupling Lever Missing............... 2,500 5,000140.A2 Uncoupling Lever Broken or Disconnected 2,500 5,000140.B1 Uncoupling Lever Bent Will not Safely 2,500 5,000 and Reasonably Function As Intended..........140.C1 Uncoupling Lever Bracket Bent Lever 2,500 5,000 Will Not Function Properly...................140.C2 Uncoupling Lever Bracket Broken or 2,500 5,000 Missing......................................140.D1 Uncoupling Lever Wrong Dimension....... 2,500 5,000140.D2 Uncoupling Lever With Improper Handle 2,500 5,000 Clearance....................................144.A1 Coupler Missing........................ 5,000 7,500144.B1 Coupler Height Incorrect............... 2,500 5,000144.C1 Coupler Inoperative.................... 2,500 5,000145.A1 Kick Plates Missing.................... 2,500 5,000145.A2 Kick Plates Broken..................... 2,500 5,000145.B1 Kick Plates Wrong Dimensions........... 2,500 5,000145.B2 Kick Plates Improper Clearance......... 2,500 5,000145.B3 Kick Plates Insecure Or Improperly 2,500 5,000 Applied......................................146.A Notice or Stencil not Posted on Cabooses 500 1,000 with Running Boards Removed..................146.B Safe Means not Provided to Clean or 1,000 2,000 Maintain Windows of Caboose..................231.31 Drawbars, standard height.............. 2,500 5,000------------------------------------------------------------------------
