49 C.F.R. Appendix A to Part 214—Schedule of Civil Penalties1
Title 49 - Transportation
[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 63 FR 11620, Mar. 10, 1998; 68 FR 44412, July 28, 2003; 69 FR 8839, Feb. 26, 2004; 69 FR 30593, May 28, 2004]
Title 49: Transportation
PART 214—RAILROAD WORKPLACE SAFETY
Subpart D—On-Track Roadway Maintenance Machines and Hi-Rail Vehicles
Appendix A to Part 214—Schedule of Civil Penalties1
------------------------------------------------------------------------ Section Violation Willful------------------------------------------------------------------------ Subpart B_Bridge Worker Safety Standards214.103 Fall protection: (i) Failure to provide fall protection...... $5,000 $10,000 (ii) Failure to use fall protection......... ........... 2,500214.105 Standards and practices: (a) General: (1) Fall protection used for other 2,500 5,000 purposes................................. (2) Failure to remove from service........ 2,500 5,000 (3) Failure to protect from deterioration. 2,500 5,000 (4) Failure to inspect and remove......... 5,000 10,000 (5) Failure to train...................... 5,000 10,000 (6) Failure to provide for prompt rescue.. 5,000 10,000 (7) Failure to prevent damage............. 2,500 5,000 (8) Failure to use proper connectors...... 2,500 5,000 (9) Failure to use proper anchorages...... 2,500 5,000 (b) Fall arrest system: (1)-(17) Failure to provide conforming 2,500 5,000 equipment................................ (c) Safety net systems: (1) Failure to install close to workplace. 2,500 5,000 (2) Failure to provide fall arrest if over 5,000 10,000 30 feet.................................. (3) Failure to provide for unobstructed 5,000 10,000 fall..................................... (4) Failure to test....................... 2,500 5,000 (5) Failure to use proper equipment....... 2,500 5,000 (6) Failure to prevent contact with 5,000 10,000 surface below............................ (7) Failure to properly install........... 5,000 10,000 (8) Failure to remove defective nets...... 5,000 10,000 (9) Failure to inspect.................... 5,000 10,000 (10) Failure to remove objects............ 1,000 2,500 (11)-(13) Failure to use conforming 2,500 10,000 equipment................................214.107 Working over water: (a)(i) Failure to provide life vest......... 5,000 10,000 (ii) Failure to use life vest............. ........... 1,500 (c) Failure to inspect...................... 2,500 5,000 (e)(i) Failure to provide ring bouys........ 5,000 10,000 (ii) Failure to use ring bouys............ ........... 1,500 (f)(i) Failure to provide skiff............. 1,000 2,500 (ii) Failure to use skiff................. ........... 1,500214.109 Scaffolding: (a)-(f) Failure to provide conforming 2,500 5,000 equipment..................................214.113 Head protection: (a)(i) Failure to provide................... 2,500 5,000 (ii) Failure to use....................... ........... 1,500 (b) or (c) Failure to provide conforming 2,500 5,000 equipment..................................214.115 Foot protection: (a)(i) Failure to require use of............ 2,500 5,000 (ii) Failure to use....................... ........... 1,500214.117 Eye and face protection: (a)(i) Failure to provide................... 2,500 5,000 (ii) Failure to use....................... ........... 1,500 (b) Failure to use conforming equipment..... 2,500 5,000 (c) Use of defective equipment.............. 2,500 5,000 (d) Failure to provide for corrective lenses 2,500 5,000 Subpart C_Roadway Worker Protection Rule214.303 Railroad on-track safety programs, generally: (a) Failure of a railroad to implement an On- 10,000 20,000 track Safety Program....................... (b) On-track Safety Program of a railroad 5,000 10,000 includes no internal monitoring procedure..214.305 Compliance Dates: Failure of a railroad to comply by the 5,000 10,000 specified dates............................214.307 Review and approval of individual on- track safety programs by FRA: (a)(i) Failure to notify FRA of adoption of 1,000 5,000 On-track Safety Program.................... (ii) Failure to designate primary person 1,000 2,000 to contact for program review............214.309 On-track safety program documents: (1) On-track Safety Manual not provided to 2,000 5,000 prescribed employees....................... (2) On-track Safety Program documents issued 2,000 5,000 in fragments...............................214.311 Responsibility of employers: (b) Roadway worker required by employer to 5,000 10,000 foul a track during an unresolved challenge (c) Roadway workers not provided with 5,000 10,000 written procedure to resolve challenges of on-track safety procedures.................214.313 Responsibility of individual roadway workers: (b) Roadway worker fouling a track when not ........... 1,000 necessary in the performance of duty....... (c) Roadway worker fouling a track without ........... 1,500 ascertaining that provision is made for on- track safety............................... (d) Roadway worker failing to notify ........... 3,000 employer of determination of improper on- track safety provisions....................214.315 Supervision and communication: (a) Failure of employer to provide job 2,000 10,000 briefing................................... (b) Incomplete job briefing................. 2,000 5,000 (c)(i) Failure to designate roadway worker 2,000 5,000 in charge of roadway work group............ (ii) Designation of more than one roadway 1,000 2,000 worker in charge of one roadway work group.................................... (iii) Designation of non-qualified roadway 3,000 6,000 worker in charge of roadway work group... (d)(i) Failure to notify roadway workers of 3,000 6,000 on-track safety procedures in effect....... (ii) Incorrect information provided to 3,000 6,000 roadway workers regarding on-track safety procedures in effect..................... (iii) Failure to notify roadway workers of 3,000 6,000 change in on-track safety procedures..... (e)(i) Failure of lone worker to communicate ........... 1,500 with designated employee for daily job briefing................................... (ii) Failure of employer to provide means 3,000 6,000 for lone worker to receive daily job briefing.................................214.317 On-track safety procedures, generally: On-track safety rules conflict with this 5,000 10,000 part.....................................214.319 Working limits, generally: (a) Non-qualified roadway worker in charge 5,000 10,000 of working limits.......................... (b) More than one roadway worker in charge 2,000 5,000 of working limits on the same track segment (c)(1) Working limits released without 5,000 10,000 notifying all affected roadway workers..... (2) Working limits released before all 5,000 10,000 affected roadway workers are otherwise protected................................214.321 Exclusive track occupancy: (b) Improper transmission of authority for 2,000 5,000 exclusive track occupancy.................. (b)(1) Failure to repeat authority for ........... 1,500 exclusive track occupancy to issuing employee................................... (2) Failure to retain possession of ........... 1,000 written authority for exclusive track occupancy................................ (3) Failure to record authority for ........... 2,000 exclusive track occupancy when issued.... (c) Limits of exclusive track occupancy not 2,000 4,000 identified by proper physical features..... (d)(1) Movement authorized into limits of 5,000 10,000 exclusive track occupancy without authority of roadway worker in charge................ (2) Movement authorized within limits of 5,000 10,000 exclusive track occupancy without authority of roadway worker in charge.... (3) Movement within limits of exclusive 5,000 10,000 track occupancy exceeding restricted speed without authority of roadway worker in charge................................214.323 Foul time: (a) Foul time authority overlapping movement 5,000 10,000 authority of train or equipment............ (b) Failure to repeat foul time authority to ........... 1,500 issuing employee...........................214.325 Train coordination: (a) Train coordination limits established 1,500 4,000 where more than one train is authorized to operate.................................... (b)(1) Train coordination established with ........... 1,500 train not visible to roadway worker at the time....................................... (2) Train coordination established with ........... 1,500 moving train............................. (3) Coordinated train moving without 2,000 5,000 authority of roadway worker in charge.... (4) Coordinated train releasing movement 3,000 6,000 authority while working limits are in effect...................................214.327 Inaccessible track: (a) Improper control of entry to 3,000 6,000 inaccessible track......................... (5) Remotely controlled switch not 3,000 6,000 properly secured by control operator..... (b) Train or equipment moving within 3,000 6,000 inaccessible track limits without permission of roadway worker in charge..... (c) Unauthorized train or equipment located 2,000 5,000 within inaccessible track limits...........214.329 Train approach warning provided by watchmen/lookouts: (a) Failure to give timely warning of ........... 5,000 approaching train.......................... (b)(1) Failure of watchman/lookout to give ........... 3,000 full attention to detecting approach of train...................................... (2) Assignment of other duties to watchman/ 3,000 5,000 lookout.................................. (c) Failure to provide proper warning signal 2,000 5,000 devices.................................... (d) Failure to maintain position to receive ........... 2,000 train approach warning signal.............. (e) Failure to communicate proper warning 1,500 3,000 signal..................................... (f)(1) Assignment of non-qualified person as 3,000 5,000 watchman/lookout........................... (2) Non-qualified person accepting ........... 1,500 assignment as watchman/lookout........... (g) Failure to properly equip a watchman/ 2,000 4,000 lookout....................................214.331 Definite train location: (a) Definite train location established 3,000 5,000 where prohibited........................... (b) Failure to phase out definite train 3,000 5,000 location by required date.................. (d)(1) Train location information issued by 2,000 5,000 unauthorized person........................ (2) Failure to include all trains operated 3,000 5,000 on train location list................... (5) Failure to clear a by ten minutes at ........... 2,000 the last station at which time is shown.. (6) Train passing station before time 3,000 5,000 shown in train location list............. (7) Non-qualified person using definite 2,000 3,000 train location to establish on- track safety...................................214.333 Informational line-ups of trains: (a) Informational line-ups of trains used 3,000 5,000 for on-track safety where prohibited....... (b) Informational line-up procedures 5,000 10,000 inadequate to protect roadway workers...... (c) Failure to discontinue informational 5,000 10,000 line-ups by required date..................214.335 On-track safety procedures for roadway work groups : (a) Failure to provide on-track safety for a 3,000 5,000 member of a roadway work group............. (b) Member of roadway work group fouling a ........... 2,000 track without authority of employee in charge..................................... (c) Failure to provide train approach 3,000 5,000 warning or working limits on adjacent track where required.............................214.337 On-track safety procedures for lone workers: (b) Failure by employer to permit individual 5,000 10,000 discretion in use of individual train detection.................................. (c)(1) Individual train detection used by 2,000 4,000 non-qualified employee..................... (2) Use of individual train detection ........... 2,000 while engaged in heavy or distracting work..................................... (3) Use of individual train detection in ........... 2,000 controlled point or manual interlocking.. (4) Use of individual train detection with ........... 2,000 insufficient visibility.................. (5) Use of individual train detection with ........... 2,000 interfering noise........................ (6) Use of individual train detection ........... 3,000 while a train is passing................. (d) Failure to maintain access to place of ........... 2,000 safety clear of live tracks................ (e) Lone worker unable to maintain vigilant ........... 2,000 lookout.................................... (f)(1) Failure to prepare written statement ........... 1,500 of on-track safety......................... (2) Incomplete written statement of on- ........... 1,000 track safety............................. (3) Failure to produce written statement ........... 1,500 of on-track safety to FRA................214.339 Audible warning from trains: (a) Failure to require audible warning from 2,000 4,000 trains..................................... (b) Failure of train to give audible warning 1,000 3,000 where required.............................214.341 Roadway maintenance machines: (a) Failure of on-track safety program to 3,000 5,000 include provisions for safety near roadway maintenance machines....................... (b) Failure to provide operating 2,000 4,000 instructions............................... (1) Assignment of non-qualified employee 2,000 5,000 to operate machine....................... (2) Operator unfamiliar with safety 2,000 5,000 instructions for machine................. (3) Roadway worker working with unfamiliar 2,000 5,000 machine.................................. (c) Roadway maintenance machine not clear of 3,000 6,000 passing trains.............................214.343 Training and qualification, general: (a)(1) Failure of railroad program to 5,000 10,000 include training provisions................ (2) Failure to provide initial training... 3,000 6,000 (b) Failure to provide annual training...... 2,500 5,000 (c) Assignment of non-qualified railroad 4,000 8,000 employees to provide on-track safety....... (d)(1) Failure to maintain records of 2,000 4,000 qualifications............................. (2) Incomplete records of qualifications.. 1,000 3,000 (3) Failure to provide records of 2,000 4,000 qualifications to FRA....................214.345 Training for all roadway workers214.347 Training and qualification for lone workers214.349 Training and qualification of watchmen/ lookouts214.351 Training and qualification of flagmen214.353 Training and qualification of roadway workers who provide on-track safety for roadway work groups214.355 Training and qualification in on-track safety for operators of roadway maintenance machines Subpart D_On-Track Roadway Maintenance Machines and Hi-Rail Vehicles214.503 Good-faith challenges; procedures for notification and resolution: (a) Failure of employee to notify employer ........... 4,000 that the machine or vehicle does not comply with this subpart or has a condition inhibiting safe operation...... (b) Roadway worker required to operate 5,000 10,000 machine or vehicle when good-faith challenge not resolved................... (c) Failure of employer to have or follow 5,000 10,000 written procedures to resolve good-faith challenges...............................214.505 Required environmental control and protection systems for new on-track roadway maintenance machines with enclosed cabs: (a) Failure to equip new machines with 5,000 10,000 required systems......................... (b) Failure of new or existing machines to 5,000 10,000 protect employees from exposure to air contaminants............................. (c) Failure of employer to maintain 2,000 4,000 required list of machines or make list available................................ (d) Removal of ``designated machine'' from 2,000 4,000 list before retired or sold.............. (e) Personal respiratory protective 5,000 10,000 equipment not provided when ventilation system fails............................. (f) Personal respiratory protective 5,000 10,000 equipment fails to meet required standards................................ (g) Other new machines with enclosed cabs 5,000 10,000 not equipped with operable heating and ventilation systems...................... (h) Non-enclosed station not equipped with 5,000 10,000 covering, where feasible.................214.507 Required safety equipment for new on- track roadway maintenance machines: (a)(1)-(5) Failure to equip new machine or 5,000 10,000 provide protection as specified in these paragraphs............................... (a)(6)-(7) Failure to equip new machine 2,500 5,000 with first-aid kit or operative and charged fire extinguisher................ (b) Position for operator to stand not 5,000 10,000 properly equipped to provide safe and secure position.......................... (c) New machine not equipped with accurate 2,500 5,000 speed indicator, as required............. (d) As-built light weight not 2,500 5,000 conspicuously displayed on new machine...214.509 Required visual illumination and 2,500 5,000 reflective devices for new on-track roadway maintenance machines.........................214.511 Required audible warning devices for 5,000 10,000 new on-track roadway maintenance machines....214.513 Retrofitting of existing on-track roadway maintenance machines; general: (a) Failure to provide safe and secure 5,000 10,000 position and protection from moving parts 2,000 4,000 inside cab for each roadway worker transported on machine............ (b) Horn or other audible warning device 2,500 5,000 is missing, inoperable, or has non- compliant triggering mechanism........... (c) Illumination device or portable light 2,500 5,000 missing, inoperable, improperly secured, or incapable of illuminating track as required.................................214.515 Overhead covers for existing on-track roadway maintenance machines: (a) Failure to repair, reinstall, or 5,000 10,000 maintain overhead cover as required...... (b) Failure to provide written response to 2,000 4,000 operator's request within 60 days........214.517 Retrofitting of existing on-track roadway maintenance machines manufactured on or after January 1, 1991: (a) Failure to equip machine with change- 5,000 10,000 of-direction alarm or rearward viewing device................................... (b) Failure to equip machine with 5,000 10,000 operative heater......................... (c) Failure to display light weight of 2,500 5,000 machine as required...................... (d) Failure to equip machine with 5,000 10,000 reflective material, reflective device, or operable brake lights................. (e) Failure to install or replace safety 5,000 10,000 glass as required........................ (f) Failure to equip machine with 5,000 10,000 turntable restraint device or warning light as required........................214.518 Safe and secure position for riders... 5,000 10,000214.519 Floors, decks, stairs, and ladders for 5,000 10,000 on-track roadway maintenance machines........214.521 Flagging equipment for on-track 2,500 5,000 roadway maintenance machines and hi-rail vehicles.....................................214.523 Hi-rail vehicles: (a) Failure to inspect hi-rail gear 5,000 10,000 annually................................. (b) Failure to maintain inspection record 2,000 4,000 or make record available to FRA.......... (c) Failure to equip new hi-rail vehicle 2,500 5,000 with alarm and light or beacon as required................................. (d)(2) Failure of operator to tag, date or 2,000 4,000 report non-complying condition........... (d)(3) Failure to repair or replace non- 2,500 5,000 complying alarms, lights or beacons as required.................................214.525 Towing with on-track roadway 5,000 10,000 maintenance machines or hi-rail vehicles.....214.527 On-track roadway maintenance machines; inspection for compliance and schedule for repairs: (a) Failure of operator to check on-track 2,000 4,000 roadway maintenance machine for compliance............................... (b) Failure of oeprator to tag, date, or 2,000 4,000 report noncomplying condition............ (c)(1)-(4) Failure to meet requirements 2,500 5,000 for operating on-track roadway maintenance machine with non-complying headlights, work lights, horn, fire extinguisher, alarm, warning light, or beacon................................... (c)(5) Failure to repair or replace 5,000 10,000 defective or missing operator's seat within required time period..............214.529 In-service failure of primary braking 5,000 10,000 system.......................................214.531 Schedule of repairs; general.......... 2,500 5,000214.533 Schedule of repairs subject to availability of parts: (a)-(c) Failure to order necessary 2,500 5,000 part(s), make repair(s), or remove on- track roadway maintenance machine or hi- rail vehicle from service as required.... (d) Failure to maintain record or make 2,000 4,000 record available to FRA..................------------------------------------------------------------------------\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.
