49 C.F.R. Appendix A to Part 232—Schedule of Civil Penalties1
Title 49 - Transportation
[66 FR 4193, Jan. 17, 2001, as amended at 69 FR 30594, May 28, 2004]
Title 49: Transportation
PART 232—BRAKE SYSTEM SAFETY STANDARDS for FREIGHT and OTHER NON-PASSENGER TRAINS and EQUIPMENT; END-of-TRAIN DEVICES
Subpart F—Introduction of New Brake System Technology
Appendix A to Part 232—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ Subpart A_General232.15 Movement of power brake defects: (a) Improper movement, general...... (\1\) (\1\) (11) Failure to make $2,500 $5,000 determinations and provide notification of en route defect (b) Complete failure to tag......... 2,500 5,000 (1) Insufficient tag or record.. 1,000 2,000 (2), (4) Improper removal of tag 2,000 4,000 (3) Failure to retain record of 2,000 4,000 tag............................ (c) Improper loading or purging..... 2,500 5,000 (e) Improper placement of defective 2,500 5,000 equipment..........................232.19 Availability of records (\1\) (\1\) Subpart B_General Requirements232.103 All train brake systems: (a)-(c), (h)-(i) Failure to meet 2,500 5,000 general design requirements........ (d) Failure to have proper 5,000 7,500 percentage of operative brakes from Class I brake test................. (e) Operating with less than 85 5,000 7,500 percent operative brakes........... (f) Improper use of car with 2,500 5,000 inoperative or ineffective brakes.. (g) Improper display of piston 2,500 5,000 travel............................. (m) Failure to stop train with 2,500 5,000 excess air flow or gradient........ (n) Securement of unattended .............. .............. equipment: (1) Failure to apply sufficient 5,000 7,500 number of hand brakes; failure to develop or implement procedure to verify number applied........................ (2) Failure to initiate 2,500 5,000 emergency...................... (3) Failure to apply hand brakes 2,500 5,000 on locomotives................. (4) Failure to adopt or comply 5,000 7,500 with procedures for securing unattended locomotive.......... (o) Improper adjustment of air 2,500 5,000 regulating devices................. (p) Failure to hold supervisors 2,500 5,000 jointly responsible................232.105 Locomotives: (a) Air brakes not in safe and 1,000-5,000 2,000-7,500 suitable condition................. (b) Not equipped with proper hand or 5,000 7,500 parking brake...................... (c)(1) Failure to inspect/repair 2,500 5,000 hand or parking brake.............. (2) Failure to properly stencil, 2,000 4,000 tag, or record................. (d) Excess leakage from equalizing 2,500 5,000 reservoir.......................... (e) Improper use of feed or 2,500 5,000 regulating valve braking........... (f) Improper use of passenger 2,500 5,000 position........................... (g) Brakes in operative condition... 2,500 5,000232.107 Air sources/cold weather operations: (a)(1), (2) Failure to adopt or 5,000 7,500 comply with monitoring program for yard air sources................... (3) Failure to maintain records. 2,500 5,000 (b) Failure to blow condensation.... 2,500 5,000 (c) Use of improper chemicals....... 5,000 7,500 (d) Failure to equip or drain yard 2,500 5,000 air reservoirs..................... (e) Failure to adopt or comply cold 5,000 7,500 weather operating procedures.......232.109 Dynamic brakes: (a) Failure to provide information.. 5,000 7,500 (b) Failure to make repairs......... 5,000 7,500 (c) Failure to properly tag......... 2,500 5,000 (d) Failure to maintain record of 2,000 4,000 repair............................. (e) Improper deactivation........... 2,500 5,000 (f) Improper use of locomotive as 2,500 5,000 controlling unit................... (g) Locomotive not properly equipped 2,500 5,000 with indicator..................... (h) Rebuilt locomotive not properly 2,500 5,000 equipped........................... (j) Failure to adopt or comply with 5,000 7,500 dynamic brake operating rules...... (k) Failure to adopt or comply with 5,000 7,500 training on operating procedures...232.111 Train handling information: (a) Failure to adopt and comply with 5,000 7,500 procedures......................... (b) Failure to provide specific 2,500 5,000 information........................ Subpart C_Inspection and Testing Requirements232.203 Training requirements: (a) Failure to develop or adopt 7,500 11,000 program............................ (b)(1)-(9) Failure to address or 5,000 7,500 comply with specific required item or provision of program............ (c) Failure to adopt or comply with 5,000 7,500 two-way EOT program................ (d) Failure to adopt or comply with 5,000 7,500 retaining valve program............ (e) Failure to maintain adequate 5,000 7,500 records............................ (f) Failure to adopt and comply with 7,500 11,000 periodic assessment plan...........232.205 Class I brake test_initial terminal inspection: (a) Complete failure to perform (\1\)10,000 15,000 inspection......................... (c)(1)-(4), (6)-(8) Partial failure 5,000 7,500 to perform inspection.............. (c)(5) Failure to properly adjust 2,500 5,000 piston travel (per car)............ (d) Failure to use carman when 5,000 7,500 required........................... (e) Failure to provide proper 2,500 5,000 notification....................... (f) Failure to void compressed air.. 2,500 5,000232.207 Class IA brake tests_1,000-mile inspection: (a) Complete failure to perform (\1\)5,000 7,500 inspection......................... (b)(1)-(6) Partial failure to 2,500 5,000 perform inspection................. (c) Failure to properly designate 5,000 7,500 location........................... (c)(1) Failure to perform at 5,000 7,500 designated location................ (c)(2) Failure to provide 2,500 5,000 notification.......................232.209 Class II brake tests_intermediate inspection: (a) Complete failure to perform (\1\)5,000 7,500 inspection......................... (b)(1)-(5), (c) Partial failure to 2,500 5,000 perform inspection................. (d) Failure to conduct Class I after (\1\) (\1\) Class II pick-up...................232.211 Class III brake tests_trainline continuity inspection: (a) Complete failure to perform 5,000 7,500 inspection......................... (b)(1)-(4), (c) Partial failure to 2,500 5,000 perform inspection................. (d) Failure to restore air pressure 2,500 2,500 at rear............................232.213 Extended haul trains: (a)(1) Failure to properly designate 5,000 7,500 an extended haul train............. (a)(2)-(3), (5)(i), (8) Failure to (\1\) (\1\) perform inspections................ (a)(4) Failure to remove defective 2,000 4,000 car (per car)...................... (a)(5)(ii), (6) Failure to conduct 5,000 7,500 inbound inspection................. (a)(7) Failure to maintain record of 2,000 4,000 defects (per car).................. (b) Improper movement or use of 5,000 7,500 extended haul train................232.215 Transfer train brake tests: (a) Failure to perform inspection... 5,000 7,500 (b) Failure to perform on cars added 2,500 5,000232.217 Train brake system tests conducted using yard air: (a) Failure to use suitable device.. 2,500 5,000 (b) Improper connection of air test 5,000 7,500 device............................. (c) Failure to properly perform (\1\) (\1\) inspection......................... (d) Failure to calibrate test device 2,500 5,000 (e) Failure to use accurate device.. 2,500 5,000232.219 Double heading and helper service: (a) Failure to perform inspection or 2,500 5,000 inability to control brakes........ (b) Failure to make visual 2,500 5,000 inspection......................... (c) Use of improper helper link 2,500 5,000 device............................. Subpart D_Periodic Maintenance and Testing Requirements232.303 General requirements: (b)-(d) Failure to conduct 2,500 5,000 inspection or test when car on repair track....................... (e) Improper movement of equipment 2,500 5,000 for testing........................ (e)(1) Failure to properly tag 2,000 5,000 equipment for movement............. (e)(2)-(4) Failure to retain record 2,000 4,000 or improper removal of tag or card. (f) Failure to stencil or track test 2,500 5,000 information........................232.305 Repair track air brake tests: (a) Failure to test in accord with 2,500 5,000 required procedure................. (b)-(d) Failure to perform test..... 2,500 5,000232.307 Single car tests: (a) Failure to test in accord with 2,500 5,000 required procedure................. (b)-(c) Failure to perform test..... 2,500 5,000232.309 Repair track air brake test and single car test equipment and devices: (a)-(f) Failure to properly test or 2,500 5,000 calibrate.......................... Subpart E_End-of-Train Devices232.403 Design standards for one-way devices: (a)-(g) Failure to meet standards... 2,500 5,000232.405 Design standards for two-way devices: (a)-(i) Failure to meet standards... 2,500 5,000232.407 Operating requirements for two- way devices: (b) Failure to equip a train........ 5,000 7,500 (c) Improper purchase............... 2,500 5,000 (f)(1) Failure of device to be armed 5,000 7,500 and operable....................... (f)(2) Insufficient battery charge.. 2,500 5,000 (f)(3) Failure to activate the 2,500 5,000 device............................. (g) Improper handling of en route 5,000 7,500 failure, freight or other non- passenger.......................... (h) Improper handling of en route 5,000 7,500 failure, passenger.................232.409 Inspection and testing of devices: (a) Failure to have unique code..... 2,500 5,000 (b) Failure to compare quantitative 2,500 5,000 values............................. (c) Failure to test emergency 5,000 7,500 capability......................... (d) Failure to properly calibrate... 2,500 5,000 Subpart F_Introduction of New Brake System Technology232.503 Process to introduce new technology: (b) Failure to obtain FRA approval.. 10,000 15,000232.505 Pre-revenue service acceptance testing plan: (a) Failure to obtain FRA approval.. 5,000 7,500 (b) Failure to comply with plan..... 2,500 5,000 (f) Failure to test previously used 5,000 7,500 technology.........................------------------------------------------------------------------------\1\ A penalty may be assessed against an individual only for a willful violation. Generally, when two or more violations of these regulations are discovered with respect to a single unit of equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $11,000 per day. An exception to this rule is the $15,000 penalty for willful violation of § 232.503 (failure to get FRA approval before introducing new technology) with respect to a single unit of equipment; if the unit has additional violative conditions, the penalty may routinely be aggregated to $15,000. Although the penalties listed for failure to perform the brake inspections and tests under § 232.205 through § 232.209 may be assessed for each train that is not properly inspected, failure to perform any of the inspections and tests required under those sections will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on the equipment contained in the train consist. Moreover, the Administrator reserves the right to assess a penalty of up to $27,000 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.Failure to observe any condition for movement of defective equipment set forth in § 232.15(a) will deprive the railroad of the benefit of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) concerning the substantive defect(s) present on the equipment at the time of movement.Failure to provide any of the records or plans required by this part pursuant to § 232.19 will be considered a failure to maintain or develop the record or plan and will make the railroad liable for penalty under the particular regulatory section(s) concerning the retention or creation of the document involved.Failure to properly perform any of the inspections specifically referenced in § 232.209, § 232.213, and § 232.217 may be assessed under each section of this part or this chapter, or both, that contains the requirements for performing the referenced inspection.
