49 C.F.R. § Appendix A to Part 236
Current through May 31, 2024
| Section | Violation | Willful violation |
| Subpart A-Rules and Instructions-All Systems | ||
| General: | ||
| 236.0 Applicability, minimum requirements | $2,500 | $5,000 |
| 236.1 Plans, where kept | 1,000 | 2,000 |
| 236.2 Grounds | 1,000 | 2,000 |
| 236.3 Locking of signal apparatus housings: | ||
| (a) Power interlocking machine cabinet not secured against unauthorized entry | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.4 Interference with normal functioning of device | 5,000 | 7,500 |
| 236.5 Design of control circuits on closed circuit principle | 1,000 | 2,000 |
| 236.6 Hand-operated switch equipped with switch circuit controller | 1,000 | 2,000 |
| 236.7 Circuit controller operated by switch-and-lock movement | 1,000 | 2,000 |
| 236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus | 1,000 | 2,000 |
| 236.9 Selection of circuits through indicating or annunciating instruments | 1,000 | 2,000 |
| 236.10 Electric locks, force drop type; where required | 1,000 | 2,000 |
| 236.11 Adjustment, repair, or replacement of component | 2,500 | 5,000 |
| 236.12 Spring switch signal protection; where required | 1,000 | 2,000 |
| 236.13 Spring switch; selection of signal control circuits through circuit controller | 1,000 | 2,000 |
| 236.14 Spring switch signal protection; requirements | 1,000 | 2,000 |
| 236.15 Timetable instructions | 1,000 | 2,000 |
| 236.16 Electric lock, main track releasing circuit: | ||
| (a) Electric lock releasing circuit on main track extends into fouling circuit where turnout not equipped with derail at clearance point either pipe-connected to switch or independently locked, electrically | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.17 Pipe for operating connections, requirements | 1,000 | 2,000 |
| 236.18 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 | 10,000 |
| Roadway Signals and Cab Signals- | ||
| 236.21 Location of roadway signals | 1,000 | 2,000 |
| 236.22 Semaphore signal arm; clearance to other objects | 1,000 | 2,000 |
| 236.23 Aspects and indications | 1,000 | 2,000 |
| 236.24 Spacing of roadway signals | 2,500 | 5,000 |
| 236.26 Buffing device, maintenance | 1,000 | 2,000 |
| Track Circuits- | ||
| 236.51 Track circuit requirements: | ||
| (a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h | 2,500 | 5,000 |
| (b) Track relay not in de-energized 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 | 2,500 | 5,000 |
| (c) other violations | 1,000 | 2,000 |
| 236.52 Relayed cut-section | 1,000 | 2,000 |
| 236.53 Track circuit feed at grade crossing | 1,000 | 2,000 |
| 236.54 Minimum length of track circuit | 1,000 | 2,000 |
| 236.55 Dead section; maximum length | 1,000 | 2,000 |
| 236.56 Shunting sensitivity | 2,500 | 5,000 |
| 236.57 Shunt and fouling wires: | ||
| (a) Shunt or fouling wires do not consist of at least two discrete conductors | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.58 Turnout, fouling section: | ||
| (a) Rail joint in shunt fouling section not bonded | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.59 Insulated rail joints | 1,000 | 2,000 |
| 236.60 Switch shunting circuit; use restricted | 2,500 | 5,000 |
| Wires and Cables- | ||
| 236.71 Signal wires on pole line and aerial cable | 1,000 | 2,000 |
| 236.73 Open-wire transmission line; clearance to other circuits | 1,000 | 2,000 |
| 236.74 Protection of insulated wire; splice in underground wire | 1,000 | 2,000 |
| 236.76 Tagging of wires and interference of wires or tags with signal apparatus | 1,000 | 2,000 |
| Inspections and Tests; All Systems- | ||
| 236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements | 2,500 | 5,000 |
| 236.102 Semaphore or search-light signal mechanism | 1,000 | 2,000 |
| 236.103 Switch circuit controller or point detector | 1,000 | 2,000 |
| 236.104 Shunt fouling circuit | 1,000 | 2,000 |
| 236.105 Electric lock | 1,000 | 2,000 |
| 236.106 Relays | 1,000 | 2,000 |
| 236.107 Ground tests | 1,000 | 2,000 |
| 236.108 Insulation resistance tests, wires in trunking and cables: | ||
| (a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.109 Time releases, timing relays and timing devices | 1,000 | 2,000 |
| 236.110 Results of tests | 1,000 | 2,000 |
| Subpart B-Automatic Block Signal Systems | ||
| 236.201 Track circuit control of signals | 1,000 | 2,000 |
| 236.202 Signal governing movements over hand-operated switch | 1,000 | 2,000 |
| 236.203 Hand-operated crossover between main tracks; protection | 1,000 | 2,000 |
| 236.204 Track signaled for movements in both directions, requirements | 1,000 | 2,000 |
| 236.205 Signal control circuits; requirements | 1,000 | 2,000 |
| 236.206 Battery or power supply with respect to relay; location | 1,000 | 2,000 |
| Subpart C-Interlocking | ||
| 236.207 Electric lock on hand-operated switch; control: | ||
| (a) Approach or time locking of electric lock on hand-operated switch can be defeated by unauthorized use of emergency device which is not kept sealed in the non-release position | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.301 Where signals shall be provided | 1,000 | 2,000 |
| 236.302 Track circuits and route locking | 1,000 | 2,000 |
| 236.303 Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism | 1,000 | 2,000 |
| 236.304 Mechanical locking or same protection effected by circuits | 1,000 | 2,000 |
| 236.305 Approach or time locking | 1,000 | 2,000 |
| 236.306 Facing point lock or switch-and-lock movement | 1,000 | 2,000 |
| 236.307 Indication locking: | ||
| 236.308 Mechanical or electric locking or electric circuits; requisites | 1,000 | 2,000 |
| 236.309 Loss of shunt protection; where required: | ||
| (a) Loss of shunt of five seconds or less permits release of route locking of power-operated switch, movable point frog, or derail | 2,500 | 5,000 |
| (b) Other violations | 1,000 | 2,000 |
| 236.310 Signal governing approach to home signal | 1,000 | 2,000 |
| 236.311 Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking | 1,000 | 2,000 |
| 236.312 Movable bridge, interlocking of signal appliances with bridge devices: | ||
| (a) Emergency bypass switch or device not locked or sealed | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| 236.314 Electric lock for hand-operated switch or derail: | ||
| (a) Approach or time locking of electric 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 | 2,500 | 5,000 |
| (b) other violations | 1,000 | 2,000 |
| Rules and Instructions- | ||
| 236.326 Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking | 1,000 | 2,000 |
| 236.327 Switch, movable-point frog or split-point derail | 1,000 | 2,000 |
| 236.328 Plunger of facing-point | 1,000 | 2,000 |
| 236.329 Bolt lock | 1,000 | 2,000 |
| 236.330 Locking dog of switch and lock movement | 1,000 | 2,000 |
| 236.334 Point detector | 1,000 | 2,000 |
| 236.335 Dogs, stops and trunnions of mechanical locking | 1,000 | 2,000 |
| 236.336 Locking bed | 1,000 | 2,000 |
| 236.337 Locking faces of mechanical locking; fit | 1,000 | 2,000 |
| 236.338 Mechanical locking required in accordance with locking sheet and dog chart | 1,000 | 2,000 |
| 236.339 Mechanical locking; maintenance requirements | 1,000 | 2,000 |
| 236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers | 1,000 | 2,000 |
| 236.341 Latch shoes, rocker links, and quadrants | 1,000 | 2,000 |
| 236.342 Switch circuit controller | 1,000 | 2,000 |
| Inspection and Tests- | ||
| 236.376 Mechanical locking | 1,000 | 2,000 |
| 236.377 Approach locking | 1,000 | 2,000 |
| 236.378 Time locking | 1,000 | 2,000 |
| 236.379 Route locking | 1,000 | 2,000 |
| 236.380 Indication locking | 1,000 | 2,000 |
| 236.381 Traffic locking | 1,000 | 2,000 |
| 236.382 Switch obstruction test | 1,000 | 2,000 |
| 236.383 Valve locks, valves, and valve magnets | 1,000 | 2,000 |
| 236.384 Cross protection | ||
| 236.386 Restoring feature on power switches | ||
| 236.387 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 and control operator | 1,000 | 2,000 |
| 236.403 Signals at controlled point | 1,000 | 2,000 |
| 236.404 Signals at adjacent control points | 1,000 | 2,000 |
| 236.405 Track signaled for movements in both directions, change of direction of traffic | 1,000 | 2,000 |
| 236.407 Approach or time locking; where required | 1,000 | 2,000 |
| 236.408 Route locking | 1,000 | 2,000 |
| 236.410 Locking, hand-operated switch; requirements: | ||
| (a) Hand-operated switch on main track not 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 | 2,500 | 5,000 |
| (b) Hand-operated switch on signaled 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 | 2,500 | 5,000 |
| (c) Approach or time locking of electric 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 | 2,500 | 5,000 |
| (d) other violations | 1,000 | 2,000 |
| Rules and Instructions- | ||
| 236.426 Interlocking rules and instructions applicable to traffic control systems | 1,000 | 2,000 |
| 236.476 Interlocking inspections and tests applicable to traffic control systems | 1,000 | 2,000 |
| Subpart E-Automatic Train Stop, Train Control and Cab Signal Systems Standards | ||
| 236.501 Forestalling device and speed control | 1,000 | 2,000 |
| 236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance | 1,000 | 2,000 |
| 236.503 Automatic brake application; initiation when predetermined rate of speed exceeded | 1,000 | 2,000 |
| 236.504 Operations interconnected with automatic block-signal system | 1,000 | 2,000 |
| 236.505 Proper operative relation between parts along roadway and parts on locomotive | 1,000 | 2,000 |
| 236.506 Release of brakes after automatic application | 1,000 | 2,000 |
| 236.507 Brake application; full service | 1,000 | 2,000 |
| 236.508 Interference with application of brakes by means of brake valve | 1,000 | 2,000 |
| 236.509 Two or more locomotives coupled | 1,000 | 2,000 |
| 236.511 Cab signals controlled in accordance with block conditions stopping distance in advance | 1,000 | 2,000 |
| 236.512 Cab signal indication when locomotive enters blocks | 1,000 | 2,000 |
| 236.513 Audible indicator | 1,000 | 2,000 |
| 236.514 Interconnection of cab signal system with roadway signal system | 1,000 | 2,000 |
| 236.515 Visibility of cab signals | 1,000 | 2,000 |
| 236.516 Power supply | 1,000 | 2,000 |
| Rules and Instructions; Roadway- | ||
| 236.526 Roadway element not functioning properly | 2,500 | 5,000 |
| 236.527 Roadway element insulation resistance | 1,000 | 2,000 |
| 236.528 Restrictive condition resulting from open hand-operated switch; requirement | 1,000 | 2,000 |
| 236.529 Roadway element inductor; height and distance from rail | 1,000 | 2,000 |
| 236.531 Trip arm; height and distance from rail | 1,000 | 2,000 |
| 236.532 Strap iron inductor; use restricted | 1,000 | 2,000 |
| 236.534 Rate of pressure reduction; equalizing reservoir or brake pipe | 1,000 | 2,000 |
| 236.551 Power supply voltage | 1,000 | 2,000 |
| 236.552 Insulation resistance | 1,000 | 2,000 |
| 236.553 Seal, where required | 2,500 | 5,000 |
| 236.554 Rate of pressure reduction; equalizing reservoir or brake pipe | 1,000 | 2,000 |
| 236.555 Repaired or rewound receiver coil | 1,000 | 2,000 |
| 236.556 Adjustment of relay | 1,000 | 2,000 |
| 236.557 Receiver; location with respect to rail | 1,000 | 2,000 |
| 236.560 Contact element, mechanical trip type; location with respect to rail | 1,000 | 2,000 |
| 236.562 Minimum rail current required | 1,000 | 2,000 |
| 236.563 Delay time | 1,000 | 2,000 |
| 236.564 Acknowledging time | 1,000 | 2,000 |
| 236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement | 1,000 | 2,000 |
| 236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped | 5,000 | 7,500 |
| 236.567 Restrictions imposed when device fails and/or is cut out en route: | ||
| (a) Report not made to designated officer at next available point of communication after automatic train stop, train control, or cab signal device fails and/or is cut en route | 5,000 | 7,500 |
| (b) Train permitted to proceed at speed 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 | 5,000 | 7,500 |
| (c) other violations | 1,000 | 2,000 |
| 236.568 Difference between speeds authorized by roadway signal and cab signal; action | 1,000 | 2,000 |
| Inspection and Tests; Roadway- | ||
| 236.576 Roadway element | 1,000 | 2,000 |
| 236.577 Test, acknowledgement, and cut-in circuits | 1,000 | 2,000 |
| Inspection and Tests; Locomotive- | ||
| 236.586 Daily or after trip test | 2,500 | 5,000 |
| 236.587 Departure test: | ||
| (a) Test of automatic train stop, train 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 | 5,000 | 7,500 |
| (b) Test of automatic train stop, train 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 | 5,000 | 7,500 |
| (c) Automatic train stop, train control, or cab signal apparatus on locomotive making more than one trip within 24-hour period not given departure test within corresponding 24-hour period | 5,000 | 7,500 |
| (d) other violations | 2,500 | 5,000 |
| 236.588 Periodic test | 2,500 | 5,000 |
| 236.589 Relays | 2,500 | 5,000 |
| 236.590 Pneumatic apparatus: | ||
| (a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once every 736 days | 2,500 | 5,000 |
| (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; location | 1,000 | 2,000 |
| 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 required | 5,000 | 7,500 |
| Failure to obtain FRA approval for a modification to RSPP | 5,000 | 7,500 |
| 236.907 Product Safety Plan (PSP): | ||
| Failure to develop a PSP | 5,000 | 7,500 |
| Failure to submit a PSP when required | 5,000 | 7,500 |
| 236.909 Minimum Performance Standard: | ||
| Failure to make analyses or documentation available | 2,500 | 5,000 |
| Failure to determine that the standard has been met | 5,000 | 7,500 |
| 236.913 Notification to FRA of PSPs: | 2,500 | 5,000 |
| Failure to prepare a PSP or PSP amendment as required | 5,000 | 7,500 |
| Failure to submit a PSP or PSP amendment as required | 5,000 | 7,500 |
| Field testing without authorization or approval | 10,000 | 20,000 |
| 236.915 Implementation and operation: | ||
| (a) Operation of product without authorization or approval | 10,000 | 20,000 |
| (b) Failure to comply with PSP | 2,500 | 5,000 |
| (c) Interference with normal functioning safety-critical product | 7,500 | 15,000 |
| (d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair | 5,000 | 7,500 |
| 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 | 5,000 |
| 236.919 Operations and Maintenance Manual | 3,000 | 6,000 |
| 236.921 Training and qualification program, general | 3,000 | 6,000 |
| 236.923 Task analysis and basic requirements: | ||
| Failure to develop an acceptable training program | 2,500 | 5,000 |
| Failure to train persons as required | 2,500 | 5,000 |
| Failure to conduct evaluation of training program as required | 2,500 | 5,000 |
| Failure to maintain records as required | 1,500 | 3,000 |
| 236.925 Training specific to control office personnel | 2,500 | 5,000 |
| 236.927 Training specific to locomotive engineers and other operating personnel | 2,500 | 5,000 |
| 236.929 Training specific to roadway workers | 2,500 | 5,000 |
| Subpart I-Positive Train Control Systems | ||
| 236.1005 Positive Train Control System Requirements: | ||
| Failure to timely complete PTC system installation on track segment where PTC is required | 16,000 | 25,000 |
| Commencement of revenue service prior to obtaining PTC System Certification | 16,000 | 25,000 |
| Failure of the PTC system to perform a safety-critical function required by this section | 5,000 | 7,500 |
| Operating outside the limits of an approved de minimis exception | 15,000 | 25,000 |
| Failure to integrate a hazard detector | 15,000 | 25,000 |
| Non-compliant event recorder | 2,500 | 5,000 |
| Failure of event recorder | 2,500 | 5,000 |
| Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required | 5,000 | 7,500 |
| Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after receiving a failed initialization | 5,000 | 7,500 |
| 236.1006 Equipping locomotives operating in PTC territory: | ||
| Failure to adhere to a PTCIP. | (2) | (2) |
| Operating in PTC territory a controlling locomotive without a required and operative PTC onboard apparatus | 15,000 | 25,000 |
| Operating with a PTC onboard apparatus that is not functioning in accordance with the applicable PTCSP.. | 15,000 | 25,000 |
| Failure to report as prescribed by this section | 5,000 | 7,500 |
| Non-compliant operation of unequipped trains in PTC territory | 15,000 | 25,000 |
| Failure to equip locomotives in accordance with the applicable PTCIP | 15,000 | 25,000 |
| Failure to comply with conditions of a yard movement exception | (2) | (2) |
| Improper arrangement of the PTC system onboard apparatus | 2,500 | 5,000 |
| Engineer performing prohibited duties | 5,000 | 7,500 |
| 236.1007 Additional requirements for high-speed service: | ||
| Installing or operating a PTC system without the required safety-critical functional attributes of a block signal system | 15,000 | 25,000 |
| Operation of passenger trains at speed equal to or greater than 60 mph on non-PTC-equipped territory where required | 15,000 | 25,000 |
| Operation of freight trains at speed equal to or greater than 50 mph on non-PTC-equipped territory where required | 15,000 | 25,000 |
| Failure to fully implement incursion protection where required | 5,000 | 7,500 |
| 236.1009 Procedural requirements: | ||
| Failure to file PTCIP when required | 5,000 | 7,500 |
| Failure to amend PTCIP when required | 5,000 | 7,500 |
| Failure to obtain Type Approval when required | 5,000 | 7,500 |
| Failure to update NPI | 5,000 | 7,500 |
| Operation of PTC system without system certification | 16,000 | 25,000 |
| Failure to comply with FRA condition or modification | (2) | (2) |
| Failure to report as required | 5,000 | 7,500 |
| Failure to provide FRA access | 10,000 | 16,000 |
| 236.1011 PTCIP content requirements: | ||
| Failure to install a PTC system as required | 11,000 | 16,000 |
| Failure to maintain a PTCIP as required | (2) | (2) |
| 236.1013 PTCDP content requirements and Type Approval: | ||
| Failure to maintain quality control system | 5,000 | 7,500 |
| Inappropriate use of Type Approval | 5,000 | 7,500 |
| 236.1015 PTCSP content requirements and PTC System Certification: | ||
| Failure to implement PTC system in accordance with the associated PTCSP and resultant system certification | 16,000 | 25,000 |
| Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification | 16,000 | 25,000 |
| Failure to maintain required supporting documentation | 2,500 | 5,000 |
| 236.1017 Independent third party Verification and Validation: | ||
| Failure to conduct independent third party Verification and Validation when ordered | 11,000 | 16,000 |
| 236.1019 Main line track exceptions: | ||
| Operations conducted in non-compliance with the passenger terminal exception | 16,000 | 25,000 |
| Operations conducted in non-compliance with the limited operations exception | 16,000 | 25,000 |
| Failure to request modification of the PTCIP or PTCSP when required | 11,000 | 16,000 |
| Operations conducted in violation of (c)(2) | 16,000 | 25,000 |
| Operations conducted in violation of (c)(3) | 25,000 | 25,000 |
| 236.1021 Discontinuances, material modifications, and amendments: | ||
| Failure to update PTCDP when required | 5,000 | 7,500 |
| Failure to update PTCSP when required | 5,000 | 7,500 |
| Failure to immediately adopt and comply with approved RFA | 5,000 | 7,500 |
| Discontinuance or modification of a PTC system without approval when required | 11,000 | 16,000 |
| 236.1023 Errors and malfunctions: | ||
| Railroad failure to provide proper notification of PTC system error or malfunction | 5,000 | 7,500 |
| Failure to maintain PTCPVL | 2,500 | 5,000 |
| Supplier failure to provide proper notification of previously identified PTC system error or malfunction | 5,000 | 7,500 |
| Failure to provide timely notification | 5,000 | 7,500 |
| Failure to provide appropriate protective measures in the event of PTC system failure | 15,000 | 25,000 |
| 236.1027 Exclusions: | ||
| Integration of primary train control system with locomotive electronic system without approval | 5,000 | 7,500 |
| 236.1029 PTC system use and en route failures: | ||
| Failure to determine cause of PTC system component failure without undue delay | 5,000 | 7,500 |
| Failure to adjust, repair, or replace faulty PTC system component without undue delay | 5,000 | 7,500 |
| Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system component | 15,000 | 25,000 |
| PTC territory operation with an inoperative PTC onboard apparatus | 5,000 | 7,500 |
| Interference with the normal functioning of safety-critical PTC system | 15,000 | 25,000 |
| 236.1033 Communications and security requirements: | ||
| Failure to provide cryptographic message integrity and authentication | 5,000 | 7,500 |
| Improper use of revoked cryptographic key | 5,000 | 15,000 |
| Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution | 5,000 | 15,000 |
| Failure to establish prioritized service restoration and mitigation plan for communication services | 5,000 | 7,500 |
| 236.1035 Field testing requirements: | ||
| Field testing without authorization or approval | 10,000 | 20,000 |
| Failure to comply with FRA condition | (2) | (2) |
| 236.1037 Records retention: | ||
| Failure to maintain records and databases 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 | 5,000 |
| 236.1039 Operations and Maintenance Manual: | ||
| Failure to implement and maintain Operations and Maintenance Manual as required | 3,000 | 6,000 |
| Failure to make Operations and Maintenance Manual available to FRA when required | 10,000 | 16,000 |
| Failure to make Operations and Maintenance Manual available to persons required to performed the required tasks | 15,000 | 25,000 |
| Amends Operations and Maintenance Manual without FRA approval | 5,000 | 10,000 |
| 236.1043 Task analysis and basic requirements: | ||
| Failure to develop and maintain an acceptable training program | 10,000 | 20,000 |
| Failure to train persons as required | 2,500 | 5,000 |
| Failure to conduct evaluation of training program as required | 2,500 | 5,000 |
| Failure to maintain records as required | 1,500 | 3,000 |
| 236.1045 Training specific to office control personnel: | ||
| Failure to conduct training unique to office control personnel | 2,500 | 5,000 |
| 236.1047 Training specific to locomotive engineers and other operating personnel: | ||
| Failure to conduct training unique to locomotive engineers and other operating personnel | 2,500 | 5,000 |
| 236.1049 Training specific to roadway workers: | ||
| Failure to conduct training unique to roadway workers | 2,500 | 5,000 |
1A penalty may be assessed against an individual only for a willful violation. The Administrator reserves the right to assess a civil penalty of up to $105,000 per day for any violation where circumstances warrant. See 49 CFR part 209, Appendix A.
2Each plan has numerous conditions and requirements with varying degrees of importance or impact. Thus, a single recommended civil penalty amount for a violation for failure to adhere to each plan or condition is not advisable or warranted. When a violation of a plan or condition is found, FRA may consider a variety of factors to determine the appropriate civil penalty to assess, including any underlying or related violation.
49 C.F.R. §Appendix A to Part 236