(a) The employer shall order a part necessary to repair a non-complying condition on an on-track roadway maintenance machine or a hi-rail vehicle by the end of the next business day following the report of the defect.
(b) When the employer cannot repair a non-complying condition as required by Sec. 214.531 because of the temporary unavailability of a necessary part, the employer shall repair the on-track roadway maintenance machine or hi-rail vehicle within seven calendar days after receiving the necessary part. The employer may continue to use the on-track roadway maintenance machine or hi-rail vehicle with a non-complying condition until receiving the necessary part(s) for repair, subject to the requirements of Sec. 214.503. However, if a non-complying condition is not repaired within 30 days following the report of the defect, the employer shall remove the on-track roadway maintenance machine or hi-rail vehicle from on-track service until it is brought into compliance with this subpart.
(c) If the employer fails to order a part necessary to repair the reported non-complying condition, or if it fails to install an available part within the required seven calendar days, the on-track roadway maintenance machine or hi-rail vehicle shall be removed from on-track service until brought into compliance with this subpart.
(d) Each employer shall maintain records pertaining to compliance with this section. Records may be kept on forms provided by the employer or by electronic means. The employer shall retain each record for at least one year, and the records shall be made available for inspection and copying during normal business hours by representatives of FRA and States participating under part 212 of this chapter. The records may be kept on the on-track roadway maintenance machine or hi-rail vehicle or at a location designated by the employer.
Sec. Appendix A to Part 214--Schedule of Civil Penalties \1\ ------------------------------------------------------------------------
Section Violation Willful------------------------------------------------------------------------
Subpart B--Bridge Worker Safety Standards
214.103 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 Rule
214.303 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)(1) Complete failure of employer to 5,000 10,000
(1) Complete failure of employer to 5,000 10,000
provide on-track safety job briefing.......
(2)-(4) Partial failure of employer to 2,000 4,000
provide on-track safety job 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 a 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 3,000 6,000
of 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 1,500
communicate 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
(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
(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
(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
(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
(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
(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
(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.....................................214.336 On-track safety procedures for certain
roadway work groups and adjacent tracks:
(a)(1) Failure to establish on-track safety 5,000 10,000
(1) Failure to establish on-track safety 5,000 10,000
for each adjacent controlled track as
required under this section................
(2) Failure to implement the more 1,500 3,000
restrictive procedure required by
paragraph (b) during special circumstance
of concurrent movement(s) on two adjacent
controlled tracks where one movement is
authorized or permitted at a speed over
25 mph (or over 40 mph for a passenger
movement)................................
(b)(1) Failure of roadway worker to cease 5,000 10,000
(1) Failure of roadway worker to cease 5,000 10,000
work and occupy a predetermined place of
safety upon receiving a warning or
notification of train or other on-track
equipment movement(s) on an adjacent
controlled track...........................
(2) Resumption of work before trailing- 5,000 10,000
end of all applicable movements has
passed the roadway worker................
(c) Failure to maintain 25-foot spacing 2,000 4,000
between on-track, self-propelled equipment
or coupled equipment and roadway worker(s)
on the occupied track during an adjacent-
controlled-track movement at 25 mph or less
(d) Failure to implement on-track safety 2,000 4,000
procedures on an adjacent track when deemed
necessary by the roadway worker in charge
of providing on-track safety for a roadway
work group.................................
(e)......................................... (1) (1)
(f) Roadway maintenance machine component 5,000 10,000
fouling an adjacent controlled track
without working limits or with movements
permitted within working limits............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
(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
(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
(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
(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
(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
(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
(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
(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
(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
(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 $105,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A. Failure to observe any condition(s) of an
exception set forth in paragraph (e) of Sec. 214.336 deprives the
railroad or contractor of the benefit of the exception and makes the
railroad or contractor, and any responsible individuals, liable for
penalty under the particular regulatory provision(s) from which the
exception would otherwise have granted relief.\2\ The penalty schedule uses section numbers from 49 CFR part 214. If
more than one item is listed as a type of violation of a given
section, each item is also designated by a ``penalty code,'' which is
used to facilitate assessment of civil penalties, and which may or may
not correspond to any subsection designation(s). For convenience,
penalty citations will cite the CFR section and the penalty code, if
any. FRA reserves the right, should litigation become necessary, to
substitute in its complaint the CFR citation in place of the combined
CFR and penalty code citation, should they differ. [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; 73 FR 79701, Dec. 30, 2008; 77 FR 24419, Apr. 24, 2012; 76 FR 74615, Nov. 30, 2011; 79 FR 1770, Jan. 10, 2014]