49 C.F.R. Appendix A to Part 236—Civil Penalties1
Title 49 - Transportation
[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005]
Title 49: Transportation
PART 236—RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND TRAIN CONTROL SYSTEMS, DEVICES, AND APPLIANCES
Subpart H—Standards for Processor-Based Signal and Train Control Systems
Appendix A to Part 236—Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ Subpart A_Rules and Instructions_All Systems ------------------------------------------------------------------------General:236.0 Applicability, minimum requirements..... $2,500 $5,000236.1 Plans, where kept....................... 1,000 2,000236.2 Grounds................................. 1,000 2,000236.3 Locking of signal apparatus housings: (a) Power interlocking machine cabinet not 2,500 5,000 secured against unauthorized entry....... (b) other violations...................... 1,000 2,000236.4 Interference with normal functioning of 5,000 7,500 device.......................................236.5 Design of control circuits on closed 1,000 2,000 circuit principle............................236.6 Hand-operated switch equipped with 1,000 2,000 switch circuit controller....................236.7 Circuit controller operated by switch- 1,000 2,000 and-lock movement............................236.8 Operating characteristics of electro- 1,000 2,000 magnetic, electronic, or electrical apparatus236.9 Selection of circuits through indicating 1,000 2,000 or annunciating instruments..................236.10 Electric locks, force drop type; where 1,000 2,000 required.....................................236.11 Adjustment, repair, or replacement of 2,500 5,000 component....................................236.12 Spring switch signal protection; where 1,000 2,000 required.....................................236.13 Spring switch; selection of signal 1,000 2,000 control circuits through circuit controller..236.14 Spring switch signal protection; 1,000 2,000 requirements.................................236.15 Timetable instructions................. 1,000 2,000236.16 Electric lock, main track releasing circuit:..................................... (a) Electric lock releasing circuit on 2,500 5,000 main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically............................. (b) other violations...................... 1,000 2,000236.17 Pipe for operating connections, 1,000 2,000 requirements236.18 Software management control plan:...... Failure to develop and adopt a plan....... $5,000 $10,000 Failure to fully implement plan........... 5,000 10,000 Inadequate plan........................... 2,500 10,000Roadway Signals and Cab Signals_236.21 Location of roadway signals............ 1,000 2,000236.22 Semaphore signal arm; clearance to 1,000 2,000 other objects................................236.23 Aspects and indications................ 1,000 2,000236.24 Spacing of roadway signals............. 2,500 5,000236.26 Buffing device, maintenance............ 1,000 2,000Track Circuits_236.51 Track circuit requirements: (a) Shunt fouling circuit used where 2,500 5,000 permissible speed through turnout greater than 45 m.p.h............................ (b) Track relay not in de-energized 2,500 5,000 position or device that functions as track relay not in its most restrictive state when train, locomotive, or car occupies any part of track circuit, except fouling section of turnout of hand- operated main-track crossover............ (c) other violations...................... 1,000 2,000236.52 Relayed cut-section.................... 1,000 2,000236.53 Track circuit feed at grade crossing... 1,000 2,000236.54 Minimum length of track circuit........ 1,000 2,000236.55 Dead section; maximum length........... 1,000 2,000236.56 Shunting sensitivity................... 2,500 5,000236.57 Shunt and fouling wires: (a) Shunt or fouling wires do not consist 2,500 5,000 of at least two discrete conductors...... (b) other violations...................... 1,000 2,000236.58 Turnout, fouling section: (a) Rail joint in shunt fouling section 2,500 5,000 not bonded............................... (b) other violations...................... 1,000 2,000236.59 Insulated rail joints.................. 1,000 2,000236.60 Switch shunting circuit; use restricted 2,500 5,000Wires and Cables_236.71 Signal wires on pole line and aerial 1,000 2,000 cable........................................236.73 Open-wire transmission line; clearance 1,000 2,000 to other circuits............................236.74 Protection of insulated wire; splice in 1,000 2,000 underground wire.............................236.76 Tagging of wires and interference of 1,000 2,000 wires or tags with signal apparatus..........Inspections and Tests; All Systems_236.101 Purpose of inspection and tests; 2,500 5,000 removal from service or relay or device failing to meet test requirements............236.102 Semaphore or search-light signal 1,000 2,000 mechanism....................................236.103 Switch circuit controller or point 1,000 2,000 detector.....................................236.104 Shunt fouling circuit................. 1,000 2,000236.105 Electric lock......................... 1,000 2,000236.106 Relays................................ 1,000 2,000236.107 Ground tests.......................... 1,000 2,000236.108 Insulation resistance tests, wires in trunking and cables: (a) Circuit permitted to function on a 2,500 5,000 conductor having insulation resistance value less than 200,000 ohms............. (b) other violations...................... 1,000 2,000236.109 Time releases, timing relays and 1,000 2,000 timing devices...............................236.110 Results of tests...................... 1,000 2,000------------------------------------------------------------------------ Subpart B_Automatic Block Signal Systems ------------------------------------------------------------------------236.201 Track circuit control of signals...... 1,000 2,000236.202 Signal governing movements over hand- 1,000 2,000 operated switch..............................236.203 Hand-operated crossover between main 1,000 2,000 tracks; protection...........................236.204 Track signaled for movements in both 1,000 2,000 directions, requirements.....................236.205 Signal control circuits; requirements. 1,000 2,000236.206 Battery or power supply with respect 1,000 2,000 to relay; location...........................------------------------------------------------------------------------ Subpart C_Interlocking ------------------------------------------------------------------------236.207 Electric lock on hand-operated switch; control: (a) Approach or time locking of electric 2,500 5,000 lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position..................... (b) other violations...................... 1,000 2,000236.301 Where signals shall be provided....... 1,000 2,000236.302 Track circuits and route locking...... 1,000 2,000236.303 Control circuits for signals, 1,000 2,000 selection through circuit controller operated by switch points or by switch locking mechanism....................................236.304 Mechanical locking or same protection 1,000 2,000 effected by circuits.........................236.305 Approach or time locking.............. 1,000 2,000236.306 Facing point lock or switch-and-lock 1,000 2,000 movement.....................................236.307 Indication locking:236.308 Mechanical or electric locking or 1,000 2,000 electric circuits; requisites................236.309 Loss of shunt protection; where required: (a) Loss of shunt of five seconds or less 2,500 5,000 permits release of route locking of power- operated switch, movable point frog, or derail................................... (b) Other violations...................... 1,000 2,000236.310 Signal governing approach to home 1,000 2,000 signal.......................................236.311 Signal control circuits, selection 1,000 2,000 through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking.................................236.312 Movable bridge, interlocking of signal appliances with bridge devices: (a) Emergency bypass switch or device not 2,500 5,000 locked or sealed......................... (b) other violations...................... 1,000 2,000236.314 Electric lock for hand-operated switch or derail: (a) Approach or time locking of electric 2,500 5,000 lock at hand-operated switch or derail can be defeated by unauthorized use of emergency device which is not kept sealed in non-release position.................. (b) other violations...................... 1,000 2,000Rules and Instructions_236.326 Mechanical locking removed or 1,000 2,000 disarranged; requirement for permitting train movements through interlocking...............236.327 Switch, movable-point frog or split- 1,000 2,000 point derail.................................236.328 Plunger of facing-point............... 1,000 2,000236.329 Bolt lock............................. 1,000 2,000236.330 Locking dog of switch and lock 1,000 2,000 movement.....................................236.334 Point detector........................ 1,000 2,000236.335 Dogs, stops and trunnions of 1,000 2,000 mechanical locking...........................236.336 Locking bed........................... 1,000 2,000236.337 Locking faces of mechanical locking; 1,000 2,000 fit..........................................236.338 Mechanical locking required in 1,000 2,000 accordance with locking sheet and dog chart..236.339 Mechanical locking; maintenance 1,000 2,000 requirements.................................236.340 Electromechanical interlocking 1,000 2,000 machine; locking between electrical and mechanical levers............................236.341 Latch shoes, rocker links, and 1,000 2,000 quadrants....................................236.342 Switch circuit controller............. 1,000 2,000Inspection and Tests_236.376 Mechanical locking.................... 1,000 2,000236.377 Approach locking...................... 1,000 2,000236.378 Time locking.......................... 1,000 2,000236.379 Route locking......................... 1,000 2,000236.380 Indication locking.................... 1,000 2,000236.381 Traffic locking....................... 1,000 2,000236.382 Switch obstruction test............... 1,000 2,000236.383 Valve locks, valves, and valve magnets 1,000 2,000236.384 Cross protection236.386 Restoring feature on power switches236.387 Movable bridge locking................ 1,000 2,000------------------------------------------------------------------------ Subpart D_Traffic Control Systems Standards ------------------------------------------------------------------------236.401 Automatic block signal system and interlocking standards applicable to traffic control systems:236.402 Signals controlled by track circuits 1,000 2,000 and control operator.........................236.403 Signals at controlled point........... 1,000 2,000236.404 Signals at adjacent control points.... 1,000 2,000236.405 Track signaled for movements in both 1,000 2,000 directions, change of direction of traffic...236.407 Approach or time locking; where 1,000 2,000 required.....................................236.408 Route locking......................... 1,000 2,000236.410 Locking, hand-operated switch; requirements: (a) Hand-operated switch on main track not 2,500 5,000 electrically or mechanically locked in normal position where signal not provided to govern movement to main track, movements made at speeds in excess of 20 m.p.h., and train or engine movements may clear main track......................... (b) Hand-operated switch on signaled 2,500 5,000 siding not electrically or mechanically locked in normal position where signal not provided to govern movements to signaled siding, train movements made at speeds in excess of 30 m.p.h., and train or engine movements may clear signaled siding................................... (c) Approach or time locking of electric 2,500 5,000 lock at hand-operated switch can be defeated by use of emergency release device of electric lock which is not kept sealed in non-release position........... (d) other violations...................... 1,000 2,000Rules and Instructions_236.426 Interlocking rules and instructions 1,000 2,000 applicable to traffic control systems........236.476 Interlocking inspections and tests 1,000 2,000 applicable to traffic control systems........------------------------------------------------------------------------ Subpart E_Automatic Train Stop, Train Control and Cab Signal Systems Standards ------------------------------------------------------------------------236.501 Forestalling device and speed control. 1,000 2,000236.502 Automatic brake application, 1,000 2,000 initiation by restrictive block conditions stopping distance in advance.................236.503 Automatic brake application; 1,000 2,000 initiation when predetermined rate of speed exceeded.....................................236.504 Operations interconnected with 1,000 2,000 automatic block-signal system................236.505 Proper operative relation between 1,000 2,000 parts along roadway and parts on locomotive..236.506 Release of brakes after automatic 1,000 2,000 application..................................236.507 Brake application; full service....... 1,000 2,000236.508 Interference with application of 1,000 2,000 brakes by means of brake valve...............236.509 Two or more locomotives coupled....... 1,000 2,000236.511 Cab signals controlled in accordance 1,000 2,000 with block conditions stopping distance in advance......................................236.512 Cab signal indication when locomotive 1,000 2,000 enters blocks................................236.513 Audible indicator..................... 1,000 2,000236.514 Interconnection of cab signal system 1,000 2,000 with roadway signal system...................236.515 Visibility of cab signals............. 1,000 2,000236.516 Power supply.......................... 1,000 2,000Rules and Instructions; Roadway_236.526 Roadway element not functioning 2,500 5,000 properly.....................................236.527 Roadway element insulation resistance. 1,000 2,000236.528 Restrictive condition resulting from 1,000 2,000 open hand-operated switch; requirement.......236.529 Roadway element inductor; height and 1,000 2,000 distance from rail...........................236.531 Trip arm; height and distance from 1,000 2,000 rail.........................................236.532 Strap iron inductor; use restricted... 1,000 2,000236.534 Rate of pressure reduction; equalizing 1,000 2,000 reservoir or brake pipe......................236.551 Power supply voltage.................. 1,000 2,000236.552 Insulation resistance................. 1,000 2,000236.553 Seal, where required.................. 2,500 5,000236.554 Rate of pressure reduction; equalizing 1,000 2,000 reservoir or brake pipe......................236.555 Repaired or rewound receiver coil..... 1,000 2,000236.556 Adjustment of relay................... 1,000 2,000236.557 Receiver; location with respect to 1,000 2,000 rail.........................................236.560 Contact element, mechanical trip type; 1,000 2,000 location with respect to rail................236.562 Minimum rail current required......... 1,000 2,000236.563 Delay time............................ 1,000 2,000236.564 Acknowledging time.................... 1,000 2,000236.565 Provision made for preventing 1,000 2,000 operation of pneumatic brake-applying apparatus by double-heading clock; requirement..................................236.566 Locomotive of each train operating in 5,000 7,500 train stop, train control or cab signal territory; equipped..........................236.567 Restrictions imposed when device fails and/or is cut out en route: (a) Report not made to designated officer 5,000 7,500 at next available point of communication after automatic train stop, train control, or cab signal device fails and/ or is cut en route....................... (b) Train permitted to proceed at speed 5,000 7,500 exceeding 79 m.p.h. where automatic train stop, train control, or cab signal device fails and/or is cut out en route when absolute block established in advance of train on which device is inoperative..... (c) other violations...................... 1,000 2,000236.568 Difference between speeds authorized 1,000 2,000 by roadway signal and cab signal; action.....Inspection and Tests; Roadway_236.576 Roadway element....................... 1,000 2,000236.577 Test, acknowledgement, and cut-in 1,000 2,000 circuits.....................................Inspection and Tests; Locomotive_236.586 Daily or after trip test.............. 2,500 5,000236.587 Departure test: (a) Test of automatic train stop, train 5,000 7,500 control, or cab signal apparatus on locomotive not made on departure of locomotive from initial terminal if equipment on locomotive not cut out between initial terminal and equipped territory................................ (b) Test of automatic train stop, train 5,000 7,500 control, or cab signal apparatus on locomotive not made immediately on entering equipped territory, if equipment on locomotive cut out between initial terminal and equipped territory.......... (c) Automatic train stop, train control, 5,000 7,500 or cab signal apparatus on locomotive making more than one trip within 24-hour period not given departure test within corresponding 24-hour period............. (d) other violations...................... 2,500 5,000236.588 Periodic test......................... 2,500 5,000236.589 Relays................................ 2,500 5,000236.590 Pneumatic apparatus: (a) Automatic train stop, train control, 2,500 5,000 or cab signal apparatus not inspected and cleaned at least once every 736 days..... (b) other violations...................... 1,000 2,000------------------------------------------------------------------------ Subpart F_Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards ------------------------------------------------------------------------236.601 Signals controlled by devices; 1,000 2,000 location.....................................Subpart H_Standards for Processor-Based Signal and Train Control Systems ------------------------------------------------------------------------236.905 Railroad Safety Program Plan (RSPP): Failure to develop and submit RSPP when 5,000 7,500 required................................. Failure to obtain FRA approval for a 5,000 7,500 modification to RSPP.....................236.907 Product Safety Plan (PSP): Failure to develop a PSP.................. 5,000 7,500 Failure to submit a PSP when required..... 5,000 7,500236.909 Minimum Performance Standard: Failure to make analyses or documentation 2,500 5,000 available................................ Failure to determine that the standard has 5,000 7,500 been met.................................236.913 Notification to FRA of PSPs: 2,500 5,000 Failure to prepare a PSP or PSP amendment 5,000 7,500 as required.............................. Failure to submit a PSP or PSP amendment 5,000 7,500 as required.............................. Field testing without authorization or 10,000 20,000 approval.................................236.915 Implementation and operation: (a) Operation of product without 10,000 20,000 authorization or approval................ (b) Failure to comply with PSP............ 2,500 5,000 (c) Interference with normal functioning 7,500 15,000 safety-critical product.................. (d) Failure to determine cause and adjust, 5,000 7,500 repair or replace without undue delay or take appropriate action pending repair...236.917 Retention of records: Failure to maintain records as required... 7,500 15,000 Failure to report inconsistency........... 10,000 20,000 Failure to take prompt countermeasures.... 10,000 20,000 Failure to provide final report........... 2,500 5,000236.919 Operations and Maintenance Manual..... 3,000 6,000236.921 Training and qualification program, 3,000 6,000 general......................................236.923 Task analysis and basic requirements: Failure to develop an acceptable training 2,500 5,000 program.................................. Failure to train persons as required...... 2,500 5,000 Failure to conduct evaluation of training 2,500 5,000 program as required...................... Failure to maintain records as required... 1,500 3,000236.925 Training specific to control office 2,500 5,000 personnel....................................236.927 Training specific to locomotive 2,500 5,000 engineers and other operating personnel......236.929 Training specific to roadway workers.. 2,500 5,000------------------------------------------------------------------------\1\ The Administrator reserves the right to assess a civil penalty of up to $27,000 per day for any violation where circumstances warrant. See 49 CFR part 209, appendix A.\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.
