49 C.F.R. Appendix A to Part 240—Schedule of Civil Penalties1
Title 49 - Transportation
[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 63 FR 11624, Mar. 10, 1998; 64 FR 60995, Nov. 8, 1999; 69 FR 30595, May 28, 2004]
Title 49: Transportation
PART 240—QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS
Subpart E—Dispute Resolution Procedures
Appendix A to Part 240—Schedule of Civil Penalties1
------------------------------------------------------------------------ Willful Section Violation violation------------------------------------------------------------------------Subpart B_Component Elements240.101_Program Failures (a) Failure to have program................... $5,000 $10,000 (b) Program that fails to address a subject... 2,500 5,000240.103_Failure to: (a) follow Appendix B......................... 1,000 2,000 (d) to resubmit, when directed by FRA......... 1,000 2,000240.104_Allowing uncertified person to operate 5,000 10,000 non-traditional locomotives....................240.105_Failure to have or execute adequate 2,500 5,000 procedure for selection of supervisors.........240.107_Classes of Service (a) Failure to designate classes of service... 2,000 4,000240.109_Limitations on considering prior conduct records (a) Failure to have procedure for determining 2,500 5,000 eligibility.................................. (e) Considering excluded data................. 2,000 4,000 (f,g) Failure to provide timely review 2,000 4,000 opportunity..................................240.111_Furnishing Motor Vehicle Records: (a) Failure to action required to make 1,000 2,000 information available...................... (b) Failure to request: (1) local record........................ 1,000 2,000 (2) NDR record.......................... 1,000 2,000 (f) Failure to request additional record.... 1,000 2,000 (g) Failure to notify of absence of license. 750 1,500 (h) Failure to submit request in timely 750 1,500 manner..................................... (i) Failure to report within 48 hours or 1,000 2,000 railroad taking certification action for not reporting earlier than 48 hours........240.113_Furnishing prior employment information (a) Failure to take action required to make 1,000 2,000 information available........................ (b) Failure to request record................. 1,000 2,000240.115_Criteria for considering prior motor vehicle conduct (b) Considering excluded data................. 2,000 4,000 (c) Failure to (1) consider data........................... 5,000 7,500 (3,4) properly act in response to data...... 2,500 5,000240.117_Consideration of Operational Rules Compliance Records: (a) Failure to have program and procedures.. 5,000 10,000 (b-j) Failure to have adequate program or 2,500 5,000 procedure..................................240.119_Consideration of substance abuse /rules compliance records (a) Failure to have program and procedures.... 5,000 10,000 (b-e) Failure to have adequate program or 2,500 5,000 procedure....................................240.121_Failure to have adequate procedure for 2,500 5,000 determining acuity............................. (f) Failure of engineer to notify........... 2,500 5,000240.123_Failure to have: (b) Adequate procedures for continuing 2,500 5,000 education.................................... (c) adequate procedures for training new 2,500 5,000 engineers....................................240.125_Failure to have (a) adequate procedures for testing knowledge. 2,500 5,000 (d) adequate procedures for documenting 2,500 5,000 testing......................................240.127_Failure to have (a) adequate procedures for evaluating skill 2,500 5,000 performance.................................. (c) adequate procedures for documenting skills 2,500 5,000 testing......................................240.129_Failure to have (a-b) adequate procedures for monitoring 2,500 5,000 performance..................................Subpart C_Implementation of the Process240.201_Schedule for implementation (a) Failure to select supervisors by specified 1,000 2,000 date......................................... (b) Failure to identify grandfathered 2,000 4,000 engineers.................................... (c) Failure to issue certificate to engineer.. 1,000 2,000 (d) Allowing uncertified person to operate.... 5,000 10,000 (e-g) Certifying without complying with 2,500 5,000 subpart C.................................... (h-i) Failure to issue certificate to engineer 1,000 2,000240.203 (a) Designating a person as a supervisor without determining that (1) person knows and understands this part.. 2,500 5,000 (2) person can test and evaluate engineers.. 5,000 7,500 (3) person has experience to prescribe 2,500 5,000 remedies................................... (b) Certifying a person without determining that (1) person meets the eligibility criteria... 5,000 7,500 (2) person meets the medical criteria....... 2,500 5,000 (3) person has demonstrated knowledge....... 2,500 5,000 (4) person has demonstrated skills.......... 2,500 5,000 (c) Certifying a person without determining that (1) person has completed training program... 2,500 5,000 (2) person meets the eligibility criteria... 2,500 5,000 (3) time has elapsed........................ 2,500 5,000240.205_Procedures for determining eligibility based on prior safety conduct (a) Selecting person lacking eligibility...... 5,000 7,500 (d) Failure to have basis for taking action... 2,500 5,000240.207_Ineligibility based on medical condition (a) Selecting person lacking proper acuity.... 2,000 4,000 (b) Failure to have basis for finding of 1,000 2,000 proper acuity................................ (c) Acuity examinations performed by 1,000 2,000 unauthorized person.......................... (d) Failure to note need for device to achieve 1,000 2,000 acuity....................................... (e) Failure to use device needed for proper 1,000 2,000 acuity.......................................240.209_Demonstrating knowledge (b) Failure to properly determine knowledge... 2,500 5,000 (c) Improper test procedure................... 2,000 4,000 (d) Failure to document test results.......... 1,000 2,000 (e) Allowing person to operate despite test 2,500 5,000 failure......................................240.211_Demonstrating skills (b) Failure to properly determine knowledge... 2,500 5,000 (c) Improper test procedure................... 2,000 4,000 (d) Failure to document test results.......... 1,000 2,000 (e) Allowing person to operate despite test 2,500 5,000 failure......................................240.213_Completion of approved training program (a) Failure to properly determine............. 2,500 5,000 (b) Failure to document successful program 2,000 4,000 completion...................................240.215_Supporting information (a, f-h) Failure to have a record............. 1,000 2,000 (b) Failure to have complete record........... 500 1,000 (i) Falsification of record................... (-) 10,000240.217_Time limits for making determinations (a, c) Exceeding time limit................... 2,000 4,000240.219_Denial of certification (a) Failure to notify or provide opportunity 2,000 4,000 for comment.................................. (c) Failure to notify, provide data, or 2,000 4,000 untimely notification........................240.221_Identification of persons (a-c) Failure to have a record................ 2,000 4,000 (d) Failure to update a record................ 2,000 4,000 (e-f) Failure to make a record available...... 1,000 2,000240.223_Certificate criteria (a) Improper certificate...................... 500 1,000 (b) Failure to designate those with signatory 500 1,000 authority.................................... (d) Falsification of certificate.............. (-) 10,000240.225_Railroad Relying on Determination of Another: (a) Failure to address in program or failure 5,000 7,500 to require newly hired engineer to take entire training program.................... (1) Reliance on expired certification... 2,500 5,000 (2) Reliance on wrong class of service.. 2,500 5,000 (3) Failure to familiarize person with 2,000 4,000 new operational territory.............. (4) Failure to determine knowledge...... 2,000 4,000 (5) Failure to determine performance 2,000 4,000 skills.................................240.227_Railroad Relying on Requirements of a Different Country (a) Joint operator reliance (1) on person not employed.................. 1,000 2,000 (2) on person who fails to meet Canadian 1,000 2,000 requirements............................... (b) Canadian railroad reliance (1) on person not employed.................. 1,000 2,000 (2) on person who fails to meet Canadian 1,000 2,000 requirements...............................240.229_Requirements for Joint Operations Territory: (a) Allowing uncertified person to operate.. 2,000 4,000 (b) Certifying without making determinations 2,500 5,000 or relying on another railroad............. (c) Failure of.............................. (1) controlling railroad certifying 4,000 8,000 without determining certification status, knowledge, skills, or familiarity with physical characteristics........................ (2) employing railroad to determine 4,000 8,000 person's certified and qualified status for controlling railroad............... (3) person to notify employing railroad 4,000 8,000 of lack of qualifications.............. (d) Failure to provide qualified person..... 2,000 4,000240.231_Persons Qualified on Physical Characteristics in Other Than Joint Operations: (a) Person unqualified, no exception applies 5,000 10,000 or railroad does not adequately address in program.................................... (b) Failure to have a pilot................. (1) for engineer who has never been 4,000 8,000 qualified.............................. (2) for engineer previously qualified... 2,500 5,000Subpart D_Program Administration240.301_Failure to have system for certificate 2,000 4,000 replacement240.303_Monitoring operations (a) Failure to have program................... 5,000 10,000 (b) Failure to observe each person annually... 1,000 2,000 (c) Failure to test each person annually...... 1,000 2,000 (d) Failure to test properly.................. 1,000 2,000240.305_Prohibited Conduct: (a) Unlawful: (1) passing of stop signal.............. 2,500 5,000 (2) control of speed.................... 2,500 5,000 (3) brake tests......................... 2,500 5,000 (4) occupancy of main track............. 2,500 5,000 (5) tampering on operation with disabled 2,500 5,000 safety device.......................... (6) supervisor, pilot, or instructor 2,500 5,000 fails to take appropriate action....... (b) Failure of engineer to: (1) carry certificate................... 1,000 2,000 (2) display certificate when requested.. 1,000 2,000 (c) Failure of engineer to notify railroad 4,000 8,000 of limitations or railroad requiring engineer to exceed limitations............. (d) Failure of engineer to notify 4,000 8,000 railroad of denial or revocation.......240.307_Revocation of Certification: (a) Failure to withdraw person from service. 2,500 5,000 (b) Failure to notify, provide hearing 2,500 5,000 opportunity, or untimely procedures........ (c-h) Failure of railroad to comply with 1,000 2,000 hearing or waiver procedures............... (j) Failure of railroad to make record...... 2,500 5,000 (k) Failure of railroad to conduct 5,000 10,000 reasonable inquiry or make good faith determination..............................240.309_Oversight Responsibility Report: (a) Failure to report or to report on time.. 1,000 2,000 (b-h) Incomplete or inaccurate report....... 2,000 4,000------------------------------------------------------------------------\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.
