49 C.F.R. Appendix A to Part 238—Schedule of Civil Penalties1
Title 49 - Transportation
[64 FR 25660, May 12, 1999, as amended at 65 FR 41310, July 3, 2000; 67 FR 19994, Apr. 23, 2002]]
Title 49: Transportation
PART 238—PASSENGER EQUIPMENT SAFETY STANDARDS
Subpart G—Specific Safety Planning Requirements for Tier II Passenger Equipment
Appendix A to Part 238—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------ SUBPART A_GENERAL238.15 Movement of power brake defects: (b) Improper movement from Class I or IA 5,000 7,500 brake test............................... (c) Improper movement of en route defect.. 2,500 5,000 (2), (3) Insufficient tag or record... 1,000 2,000 (4) Failure to determine percent 2,500 5,000 operative brake...................... (d) Failure to follow operating 5,000 7,500 restrictions............................. (e) Failure to follow restrictions for 2,500 5,000 inoperative front or rear unit...........238.17 Movement of other than power brake defects: \1\ (c)(4), (5) Insufficient tag or record.... 1,000 2,000 (d) Failure to inspect or improper use of 2,500 5,000 roller bearings.......................... (e) Improper movement of defective safety (1) appliances...............................238.19 Reporting and tracking defective equipment: (a) Failure to have reporting or tracking 7,500 11,000 system................................... (b) Failure to retain records............. 2,000 4,000 (c) Failure to make records available..... 1,000 2,000 (d) Failure to list power brake repair 2,000 4,000 points................................... SUBPART B_SAFETY PLANNING AND GENERAL REQUIREMENTS238.103 Fire protection plan/fire safety: (a) Failure to use proper materials....... 5,000 7,500 (b) Improper certification................ 1,000 2,000 (c) Failure to consider fire safety on new 5,000 7,500 equipment................................ (d) Failure to perform fire safety 5,000 7,500 analysis................................. (e) Failure to develop, adopt or comply 5,000 7,500 with procedures..........................238.105 Train electronic hardware and software safety: (a), (b), (c) Failure to develop and 7,500 11,000 maintain hardware and software safety.... (d) Failure to include required design 5,000 7,500 features................................. (e) Failure to comply with hardware and 5,000 7,500 software safety program..................238.107 Inspection, testing, and maintenance plan: (b) Failure to develop plan............... 7,500 11,000 (b)(1)-(5) Failure of plan to address 3,000 6,000 specific item............................ (d) Failure to conduct annual review...... 5,000 7,500238.109 Training, qualification, and designation program: (a) Failure to develop or adopt program... 7,500 11,000 (b)(1)-(4) Failure of plan to address 3,000 6,000 specific item............................ (b)(5)-(12) Failure to comply with 5,000 7,500 specific required provision of the program.................................. (b)(13) Failure to maintain adequate 2,500 5,000 records..................................238.111 Pre-revenue service acceptance testing plan: (a) Failure to properly test previously 7,500 11,000 used equipment........................... (b)(1) Failure to develop plan............ 7,500 11,000 (b)(2) Failure to submit plan to FRA...... 5,000 7,500 (b)(3) Failure to comply with plan........ 5,000 7,500 (b)(4) Failure to document results of 5,000 7,500 testing.................................. (b)(5) Failure to correct safety 5,000 7,500 deficiencies or impose operating limits.. (b)(6) Failure to maintain records........ 3,000 6,000 (b)(7) Failure to obtain FRA approval..... 5,000 7,500238.113 Emergency window exits................ 2,500 5,000238.115 Emergency lighting.................... 2,500 5,000238.117 Protection against personal injury.... 2,500 5,000238.119 Rim-stamped straight plate wheels..... 2,500 5,000 SUBPART C_SPECIFIC REQUIREMENTS FOR TIER I EQUIPMENT238.203 Static end strength................... 2,500 5,000238.205 Anti-climbing mechanism............... 2,500 5,000238.207 Link between coupling mechanism and 2,500 5,000 car body.....................................238.209 Forward-facing end structure of 2,500 5,000 locomotives..................................238.211 Collision posts....................... 2,500 5,000238.213 Corner posts.......................... 2,500 5,000238.215 Rollover strength..................... 2,500 5,000238.217 Side structure........................ 2,500 5,000238.219 Truck-to-car-body attachment.......... 2,500 5,000238.221 Glazing............................... 2,500 5,000238.223 Fuel tanks............................ 2,500 5,000238.225 Electrical System..................... 2,500 5,000238.227 Suspension system..................... 2,500 5,000238.231 Brake System (a)-(g), (i)-(n)......... 2,500 5,000 (h)(1), (2) Hand or parking brake missing 5,000 7,500 or inoperative........................... (h)(3) Hand or parking brake not applied 5,000 7,500 to hold equipment unattended on grade or prematurely released.....................238.233 Interior fittings and surfaces........ 2,500 7,500238.235 Doors................................. 2,500 5,000238.237 Automated monitoring.................. 2,500 5,000SUBPART D_INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT238.303 Exterior mechanical inspection of passenger equipment: (a)(1) Failure to perform mechanical \1\ 2,000 4,000 inspection............................... (a)(2) Failure to inspect secondary brake 2,500 5,000 system................................... (b) Failure to perform inspection on car \1\ 2,000 4,000 added to train........................... (c) Failure to utilize properly qualified 2,000 4,000 personnel................................ (e)(1) Products of combustion not released 2,500 5,000 outside cab.............................. (e)(2) Battery not vented or gassing 2,500 5,000 excessively.............................. (e)(3) Coupler not in proper condition.... 2,500 5,000 (e)(4) No device under drawbar pins or 2,500 5,000 connection pins.......................... (e)(5) Suspension system and spring 2,500 5,000 rigging not in proper condition.......... (e)(6) Truck not in proper condition...... 2,500 5,000 (e)(7) Side bearing not in proper 2,500 5,000 condition................................ (e)(8) Wheel not in proper condition: (i), (iv) Flat spot(s) and shelled spot(s): (A) One spot 2\1/2\[inch] or more 2,500 5,000 but less than 3[inch] in length.... (B) One spot 3[inch] or more in 5,000 7,500 length............................. (C) Two adjoining spots each of 2,500 5,000 which is 2[inch] or more in length but less than 2\1/2\[inch] in length............................. (D) Two adjoining spots each of 5,000 7,500 which are at least 2[inch] in length, if either spot is 2\1/ 2\7[inch] or more in length........ (ii) Gouge or chip in flange: (A) 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............... (B) 1\5/8\[inch] or more in length 5,000 7,500 and \5/8\[inch] or more in width... (iii) Broken rim........................ 5,000 7,500 (v) Seam in tread....................... 2,500 5,000 (vi) Flange thickness of: 2,500 5,000 (A) \7/8\[inch] or less but more than............................... (B) \13/16\[inch] or less........... 5,000 7,500 (vii) Tread worn hollow................. 2,500 5,000 (viii) Flange height of: (A) 1\1/2\[inch] or greater but less 2,500 5,000 than 1\5/8\[inch].................. (B) 1\5/8\[inch] or more............ 5,000 7,500 (ix) Rim thickness: (A) Less than 1[inch]............... 2,500 5,000 (B) \15/16\[inch] or less........... 5,000 7,500 (x) Crack or break in flange, tread, rim, plate, or hub: (A) Crack of less than 1[inch]...... 2,500 5,000 (B) Crack of 1[inch] or more........ 5,000 7,500 (C) Break........................... 5,000 7,500 (xi) Loose wheel........................ 5,000 7,500 (xii) Welded wheel...................... 5,000 7,500 (e)(10) Improper grounding or insulation.. 5,000 7,500 (e)(11) Jumpers or cable connections not 2,500 5,000 in proper condition...................... (e)(12) Door or cover plate not properly 2,500 5,000 marked................................... (e)(13) Buffer plate not properly placed.. 2,500 5,000 (e)(14) Diaphragm not properly placed or 2,500 5,000 aligned.................................. (e)(15) Secondary braking system not in 2,500 5,000 operating mode or contains known defect.. (e)(16) Roller bearings: (i) Overheated........................ 5,000 7,500 (ii) Cap screw loose or missing....... 2,500 5,000 (iii) Cap screw lock broken or missing 1,000 2,000 (iv) Seal loose, damaged, or leaks 2,500 5,000 lubricant............................ (g) Record of inspection: (1), (4) Failure to maintain record of 5,000 4,000 inspection........................... (2) Record contains insufficient 1,000 2,000 information..........................238.305 Interior mechanical inspection of passenger cars: (a) Failure to perform inspection......... \1\ 1,000 2,000 (b) Failure to utilize properly qualified 1,000 2,000 personnel................................ (c)(1) Failure to protect against personal 2,500 5,000 injury................................... (c)(2) Floors not free of condition that 2,500 5,000 creates hazard........................... (c)(3) Access to manual door release not 2,000 4,000 in place................................. (c)(4) Emergency equipment not in place... 1,000 2,000 (c)(5) Emergency brake valve not stenciled 2,500 5,000 or marked................................ (c)(6) Door or cover plates not properly 2,500 5,000 marked................................... (c)(7) Safety signage not in place or 1,000 2,000 legible.................................. (c)(8) Trap door unsafe or improperly 2,500 5,000 secured.................................. (c)(9) Vestibule steps not illuminated.... 2,000 4,000 (c)(10) Door not safely operate as 2,500 5,000 intended................................. (c)(11) Seat broken, loose, or not 2,500 5,000 properly attached........................ (e) Record of inspection: (1), (4) Failure to maintain record of 2,000 4,000 inspection........................... (2) Record contains insufficient 1,000 1,000 information.......................... (f) Record of inspection: (1), (4) Failure to maintain record of 2,000 4,000 inspection........................... (2) Record contains insufficient 1,000 2,000 information..........................238.307 Periodic mechanical inspection of passenger cars and unpowered vehicles: (a) Failure to perform periodic mechanical \1\ 2,500 5,000 inspection............................... (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c)(1) Seat or seat attachment broken or 2,500 5,000 loose.................................... (c)(2) Luggage rack broken or loose....... 2,500 5,000 (c)(3) Bed, bunks, or restraints broken or 2,500 5,000 loose.................................... (c)(4) Emergency window exit not properly 2,500 5,000 operate.................................. (c)(5) Emergency lighting not operational. 2,500 5,000 (c)(6) Switches not in proper condition... 2,500 5,000 (c)(7) Coupler not in proper condition.... 2,500 5,000 (c)(8) Truck not equipped with securing 2,500 5,000 arrangement.............................. (c)(9) Truck center casting cracked or 5,000 7,500 broken................................... (c)(10) General conditions endangering 2,500 5,000 crew, passengers......................... (d) Manual door release not operate as 2,500 5,000 intended................................. (d)(1) Seat or seat attachment broken or 2,500 5,000 loose.................................... (d)(2) Luggage rack broken or loose....... 2,500 5,000 (d)(3) Bed, bunks, or restraints broken or 2,500 5,000 loose.................................... (d)(4) Emergency window exit not properly 2,500 5,000 operate.................................. (d)(5) Coupler not in proper condition.... 2,500 5,000 (e)(1) Failure to maintain record of 2,000 4,000 inspection............................... (i)-(iv) Record contains insufficient 1,000 2,000 information.......................... (f)(1) Record of inspection: (i) Failure to maintain record of 2,000 4,000 inspection........................... (ii) Record contains insufficient 1,000 2,000 information..........................238.309 Periodic brake equipment maintenance: (b) Failure to perform on MU locomotive... 2,500 5,000 (c) Failure to perform on conventional 2,500 5,000 locomotive............................... (d) Failure to perform on passenger 2,500 5,000 coaches or other unpowered vehicle....... (e) Failure to perform on cab car......... 2,500 5,000 (f) Record of periodic maintenance: (1), (2) Failure to maintain record or 2,000 4,000 stencil.............................. 238.311 Single car tests: (a) Failure to test in accord with 2,500 5,000 required procedure....................... (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c), (e) Failure to perform single car 2,500 5,000 test..................................... (f) Improper movement of car for testing.. 2,000 4,000 (g) Failure to test after repair or 2,000 4,000 replacement of component.................238.313 Class I brake test: (a) Failure to perform on commuter or \1\ 10,000 15,000 short distance intercity passenger train. (b) Failure to perform on long-distance \1\ 10,000 15,000 intercity passenger train................ (c) Failure to perform on cars added to \1\ 5,000 7,500 passenger train.......................... (d) Failure to utilized properly qualified 5,000 7,500 personnel................................ (f) Passenger train used from Class I 5,000 7,500 brake test with less than 100% operative brakes................................... (g) Partial failure to perform inspection 5,000 7,500 on a passenger train..................... (3) Failure to adjust piston travel 2,500 5,000 (per car)............................ (h) Failure to maintain record............ 2,000 4,000238.315 Class IA brake test: (a) Failure to perform inspection......... \1\ 5,000 7,500 (d) Failure to utilize properly qualified 2,500 5,000 personnel................................ (e) Passenger train used from Class IA 5,000 7,500 brake test with improper percentage of operative brakes......................... (f) Partial failure to perform inspection 2,500 5,000 on passenger train.......................238.317 Class II brake test: (a) Failure to perform inspection......... \1\ 2,500 5,000 (b) Failure to utilize properly qualified 2,500 5,000 personnel................................ (c) Improper use of defective equipment 2,500 5,000 from Class II brake test.................238.319 Running brake tests: (a), (b) Failure to perform test.......... 2,000 4,000 SUBPART E_SPECIFIC REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.403 Crash energy management............... 2,500 5,000238.405 Longitudinal static compressive 2,500 5,000 strength.....................................238.407 Anti-climbing mechanism............... 2,500 5,000238.409 Forward end structures of power car cabs: (a) Center collision post................. 2,500 5,000 (b) Side collision posts.................. 2,500 5,000 (c) Corner posts.......................... 2,500 5,000 (d) Skin.................................. 2,500 5,000238.411 Rear end structures of power car cabs: (a) Corner posts.......................... 2,500 5,000 (b) Collision posts....................... 2,500 5,000238.413 End structures of trailer cars........ 2,500 5,000238.415 Rollover strength..................... 2,500 5,000238.417 Side loads............................ 2,500 5,000238.419 Truck-to-car-body and truck component 2,500 5,000 attachment...................................238.421 Glazing: (b) End-facing exterior glazing........... 2,500 5,000 (c) Alternate glazing requirements........ 2,500 5,000 (d) Glazing securement.................... 1,000 2,000 (e) Stenciling............................ 2,500 5,000238.423 Fuel tanks: (a) External fuel tanks................... 2,500 5,000 (b) Internal fuel tanks................... 2,500 5,000238.425 Electrical system: (a) Circuit protection.................... 2,500 5,000 (b) Main battery system................... 2,500 5,000 (c) Power dissipation resistors........... 2,500 5,000 (d) Electromagnetic interference and 2,500 5,000 compatibility............................238.427 Suspension system..................... 2,500 5,000238.429 Safety Appliances: (a) Couplers.............................. 5,000 7,500 (b) Hand/parking brakes................... 5,000 7,500 (d) Handrail and handhold missing......... 2,500 5,000 (d)(1)-(8) Handrail or handhold 2,500 5,000 improper design...................... (e) Sill step missing..................... 5,000 7,500 (e)(1)-(11) Sill step improper design. 2,500 5,000 (g) Optional safety appliances............ 2,500 5,000238.431 Brake system.......................... 2,500 5,000238.433 Draft System.......................... 2,500 5,000238.435 Interior fittings and surfaces........ 2,500 5,000238.437 Emergency communication............... 2,500 5,000238.439 Doors: (a) Exterior side doors................... 2,500 5,000 (b) Manual override feature............... 2,500 5,000 (c) Notification to crew of door status... 2,500 5,000 (d) Emergency back-up power............... 2,500 5,000 (f) End door kick-out panel or pop-out 2,500 5,000 window................................... (g) Marking and instructions.............. [Reserved]238.441 Emergency roof hatch entrance location 2,500 5,000238.443 Headlights............................ 2,500 5,000238.445 Automated monitoring.................. 2,500 5,000238.447 Train operator's controls and power 2,500 5,000 car cab layout...............................SUBPART F_INSPECTION, TESTING, AND MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.503 Inspection, testing, and maintenance requirements: (a) Failure to develop inspection, 10,000 15,000 testing, and maintenance program or obtain FRA approval...................... (b) Failure to comply with provisions of 5,000 7,500 the program.............................. (c) Failure to ensure equipment free of 2,500 5,000 conditions which endanger safety of crew, passengers, or equipment................. (d) Specific safety inspections: (1)(i) Failure to perform Class I 10,000 15,000 brake test or equivalent............. (1)(ii) Partial failure to perform 5,000 7,500 Class I brake test or equivalent..... (2)(i) Failure to perform exterior \1\ 2,000 4,000 mechanical inspection................ (2)(ii) Failure to perform interior \1\ 1,000 2,000 mechanical inspection................ (g) Failure to perform scheduled 2,500 5,000 maintenance as required in program....... (h) Failure to comply with training, 5,000 7,500 qualification and designation program.... (i) Failure to develop or comply with 2,500 5,000 standard procedures for performing inspection, tests, and maintenance....... (j) Failure to conduct annual review...... 5,000 7,500 (k) Failure to establish or utilize 5,000 7,500 quality control program.................. SUBPART G_SPECIFIC SAFETY PLANNING REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT238.603 Safety plan: (a) Failure to develop safety operating 7,500 11,000 plan..................................... (b) Failure to develop procurement plan... 7,500 11,000 (1)-(7) Failure to develop portion of 2,500 5,000 plan................................. (c) Failure to maintain documentation. 2,500 5,000------------------------------------------------------------------------\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 unit of passenger equipment that is placed or continued in service by a railroad, the appropriate penalties set forth above are aggregated up to a maximum of $10,000 per day. However, failure to perform, with respect to a particular unit of passenger equipment, any of the inspections and tests required under subparts D and F of this part will be treated as a violation separate and distinct from, and in addition to, any substantive violative conditions found on that unit of passenger equipment. 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 § 238.17 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 unit of passenger equipment at the time of movement Failure to observe any condition for the movement of passenger equipment containing defective safety appliances, other than power brakes, set forth in § 238.17(e) will deprive the railroad of the movement-for-repair provision and make the railroad and any responsible individuals liable for penalty under the particular regulatory section(s) contained in part 231 of this chapter or § 238.429 concerning the substantive defective condition. The penalties listed for failure to perform the exterior and interior mechanical inspections and tests required under § 238.303 and § 238.305 may be assessed for each unit of passenger equipment contained in a train that is not properly inspected Whereas, the penalties listed for failure to perform the brake inspections and tests under § 238.313 through § 238.319 may be assessed for each train that is not properly inspected.
