(a) Petitions for modification of an approved industry safety appliance standard. An industry representative may seek modification of an existing industry safety appliance standard for new construction of railroad cars, locomotives, tenders, or other rail vehicles after the petition for special approval has been approved pursuant to Sec. 231.33. The petition for modification shall include each of the elements identified in Sec. 231.33(b).
(b) Service. (1) Each petition for modification of an approved industry standard under paragraph (a) of this section shall be submitted to the FRA Docket Clerk, West Building Third Floor, Office of Chief Counsel, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(1) Each petition for modification of an approved industry standard under paragraph (a) of this section shall be submitted to the FRA Docket Clerk, West Building Third Floor, Office of Chief Counsel, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(2) Service of each petition for modification of an existing industry safety appliance standard under paragraph (a) of this section shall be made on the following:
(i) Designated representatives of the employees responsible for the equipment's operation, inspection, testing, and maintenance under this part;
(ii) Any organizations or bodies that either issued the standard incorporated in the section(s) of the rule to which the modification pertains or issued the industry standard that is proposed in the petition for modification; and
(iii) Any other person who has filed with FRA a current statement of interest in reviewing special approvals under the particular requirement of this part at least 30 days but not more than 5 years prior to the filing of the petition. If filed, a statement of interest shall be filed with FRA's Associate Administrator for Safety and shall reference the specific section(s) of this part in which the person has an interest.
(c) Federal Register document. Upon receipt of a petition for modification, FRA will publish a document in the Federal Register announcing the receipt of each petition received under paragraph (a) of this section. The document will identify the public docket number in the Federal eRulemaking Portal (FeP) where the contents of each petition can be accessed and reviewed. The FeP can be accessed 24 hours a day, seven days a week, via the Internet at the docket's Web site at http://www.regulations.gov. All documents in the FeP are available for inspection and copying on the Web site or are available for examination at the DOT Docket Management Facility, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, during regular business hours (9 a.m.-5 p.m.).
(d) Comment. Not later than 60 days from the date of publication in the Federal Register concerning a petition for modification under paragraph (a) of this section, any person may comment on the petition. Any such comment shall:
(1) Set forth specifically the basis upon which it is made, and contain a concise statement of the interest of the commenter in the proceeding; and
(2) Be submitted by mail or hand-delivery to the Docket Clerk, DOT Docket Management Facility, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, or electronically via the Internet at http://www.regulations.gov. Any comments or information sent directly to FRA will be immediately provided to the DOT FeP for inclusion in the public docket related to the petition. All comments should identify the appropriate docket number for the petition to which they are commenting.
(e) FRA Review. During the 60 days provided for public comment, FRA will review the petition. If FRA objects to the requested modification, written notification will be provided within this 60-day period to the party requesting the modification detailing FRA's objection.
(f) Disposition of petitions for modification. (1) If no comment objecting to the requested modification is received during the 60-day comment period, provided by paragraph (d) of this section, or if FRA does not issue a written objection to the requested modification, the modification will become effective fifteen (15) days after the close of the 60-day comment period.
(1) If no comment objecting to the requested modification is received during the 60-day comment period, provided by paragraph (d) of this section, or if FRA does not issue a written objection to the requested modification, the modification will become effective fifteen (15) days after the close of the 60-day comment period.
(2) If an objection is raised by an interested party, during the 60-day comment period, or if FRA issues a written objection to the requested modification, the requested modification will be treated as a petition for special approval of an existing industry safety appliance standard and handled in accordance with the procedures provided in Sec. 231.33(f).
(3) A petition for modification, once approved, may be re-opened upon good cause shown. Good cause exists where subsequent evidence demonstrates that an approved petition does not comply with the an applicable Federal statute, that an approved petition does not comply with the requirements of this section; that the existing industry safety appliance standard does not provide at least an equivalent level of safety as the corresponding FRA regulation for the nearest railcar type(s); or that further information is required to make such a determination. When a petition is re-opened for good cause shown, it shall return to pending status and shall not be considered approved or denied.
(g) Enforcement. Any modification of an industry standard approved pursuant to this section will be enforced against any person, as defined at 49 CFR 209.3, who violates any provision of the approved standard or causes the violation of any such provision. Civil penalties will be assessed under this part by using the applicable defect code contained in appendix A to this part. [76 FR 23726, Apr. 28, 2011]
Sec. Appendix A to Part 231--Schedule of Civil Penalties \1\ ------------------------------------------------------------------------
Willful
FRA safety appliance defect code section \2\ Violation violation------------------------------------------------------------------------110.A1 Hand Brake or Hand Brake Part Missing.. $5,000 $7,500110.A2 Hand Brake or Hand Brake Part Broken... 5,000 7,500110.A3 Hand Brake or Hand Brake Part Loose or 2,500 5,000
Worn.........................................110.B1 Hand Brake Inoperative................. 5,000 7,500110.B2 Hand Brake Inefficient................. 2,500 5,000110.B3 Hand Brake Improperly Applied.......... 2,500 5,000110.B4 Hand Brake Incorrectly located......... 2,500 5,000110.B5 Hand Brake Shaft Welded or Wrong 2,500 5,000
Dimension....................................110.B6 Hand Brake Shaft Not Retained in 2,500 5,000
Operating Position...........................110.B8 Hand Brake or Hand Brake Parts Wrong 2,500 5,000
Design.......................................114.B2 Hand Brake Wheel or Lever Has 2,500 5,000
Insufficient Clearance Around Rim or Handle..114.B3 Hand Brake Wheel/Lever Clearance 2,500 5,000
Insufficient to Vertical Plane Through Inside
Face of Knuckle..............................120.A1 Brake Step Missing Except by Design.... 5,000 7,500120.A2 Brake Step or Brace Broken or Decayed.. 2,500 5,000120.A3 Brake Step or Brace Loose.............. 2,500 5,000120.B1 Brake Step or Brace Bent............... 2,500 5,000120.B2 Brake Step or Wrong Dimensions......... 2,500 5,000120.C1 Brake Step Improperly Applied.......... 2,500 5,000120.C2 Brake Step Improperly Located.......... 2,500 5,000120.C3 Brake Step With Less Than 4 2,500 5,000
Clearance to Vertical Plane Through Inside
Face of Knuckle..............................120.C4 Brake Step Obstructed or Otherwise 2,500 5,000
Unsafe.......................................124.A1 Running Board Missing or Part Missing 5,000 7,500
Except By Design.............................124.A2 Running Board Broken or Decayed........ 5,000 7,500124.A3 Running Board Loose Presents a Tripping 2,500 5,000
Hazard or Other Unsafe Condition.............124.A4 Running Board Wrong Material........... 2,500 5,000124.B1 Running Board Bent to the Extent that 2,500 5,000
It is Unsafe.................................124.B2 Running Board Wrong Dimensions......... 2,500 5,000124.B3 Running Board Wrong Location........... 2,500 5,000124.C1 Running Board Improperly Applied....... 2,500 5,000124.C2 Running Board Obstructed............... 2,500 5,000126.A1 End Platform Missing or Part Except By 5,000 7,500
Design.......................................126.A2 End Platform Broken or Decayed......... 5,000 7,500126.A3 End Platform Loose..................... 2,500 5,000126.B1 End Platform or Brace Bent............. 2,500 5,000
126.B2 End Platform Wrong Dimensions.......... 2,500 5,000126.C1 End Platform Improperly Applied........ 2,500 5,000126.C2 End Platform With Less Than Required 2,500 5,000
Clearance to Vertical Plane Through Inside
Knuckle......................................126.C3 End Platform Improperly Located........ 2,500 5,000126.C4 End Platform Obstructed................ 5,000 7,500128.A1 Platform or Switching Step Missing..... 5,000 7,500128.A2 Platform or Switching Step Broken or 5,000 7,500
Decayed......................................128.A3 Platform or Switching Step Loose....... 2,500 5,000128.B1 Platform or Switching Step Bent........ 2,500 5,000128.B2 Platform or Switching Step Does Not 2,500 5,000
Meet the Required Location or Dimensions.....128.C1 Platform or Switching Step Improperly 2,500 5,000
Applied or Repaired..........................128.C2 Platform or Switching Step Obstructed.. 2,500 5,000128.D1 Switching Step Back Stop or Kick Plate 2,500 5,000
Missing......................................128.D2 Switching Step Not Illuminated When 2,500 5,000
Required.....................................128.D3 Non-Illuminated Step Not Painted 1,000 2,000
Contrasting Color............................130.A1 Sill Step or Additional Tread, Missing. 5,000 7,500130.A2 Sill Step or Additional Tread, Broken.. 5,000 7,500130.A3 Sill Step or Additional Tread, Loose... 2,500 5,000130.B1 Sill Step or Additional Tread, Bent.... 2,500 5,000130.B2 Sill Step or Additional Tread, Having 2,500 5,000
Wrong Dimensions or Improperly Located.......130.B3 Sill Step Improperly Applied........... 2,500 5,000132.A1 Side Missing Step...................... 5,000 7,500132.A2 Side Door Step Broken.................. 5,000 7,500132.A3 Side Door Step Loose................... 2,500 5,000132.B1 Side Door Step Bent.................... 2,500 5,000132.B2 Side Door Step Having Wrong Dimensions. 2,500 5,000134.A1 Ladder Missing......................... 5,000 7,500134.A2 Ladder Broken.......................... 5,000 7,500134.A3 Ladder Loose........................... 2,500 5,000134.B1 Ladder Bent............................ 2,500 5,000134.B2 Ladder Having Wrong Dimensions......... 2,500 5,000134.C1 Ladder Improperly Applied.............. 2,500 5,000134.C2 Ladder Having Insufficient Clearance or 2,500 5,000
Improperly Located...........................134.C3 Ladder Wrong Design.................... 2,500 5,000134.C4 Ladder Wrong Material.................. 2,500 5,000134.D1 End Clearance Insufficient............. 2,500 5,000136.A1 Ladder Tread or Handholds Missing...... 5,000 7,500136.A2 Ladder Tread or Handhold Broken........ 5,000 7,500136.A3 Ladder Tread or Handhold Loose Except 2,500 5,000
By Design....................................136.B1 Ladder Tread or Handhold Bent to The 2,500 5,000
Extent That It May Be Unsafe.................136.B2 Ladder Tread or Handhold Wrong 2,500 5,000
Dimensions...................................136.C1 Ladder Tread or Handhold Improperly 2,500 5,000
Applied......................................136.C2 Ladder Tread or Handhold Having Wrong 2,500 5,000
Clearance....................................136.C3 Ladder or Handhold Improperly Located.. 2,500 5,000136.C4 Ladder Tread or Handhold Obstructed.... 2,500 5,000136.C5 Ladder Tread Without Footguards........ 2,500 5,000138.A1 Hand or Safety Railing Missing......... 5,000 7,500138.A2 Hand or Safety Railing Broken.......... 5,000 7,500138.A3 Hand or Safety Railing Loose Except by 2,500 5,000
Design.......................................138.B1 Hand or Safety Railing Bent............ 2,500 5,000138.B2 Hand or Safety Railing Wrong Dimensions 2,500 5,000138.C1 Hand or Safety Railing Improperly 2,500 5,000
Applied......................................138.C2 Hand or Safety Railing Having Less Than 2,500 5,000
the Required Clearance.......................138.C3 Hand or Safety Railing Improperly 2,500 5,000
Located......................................140.A1 Uncoupling Lever Missing............... 2,500 5,000140.A2 Uncoupling Lever Broken or Disconnected 2,500 5,000140.B1 Uncoupling Lever Bent Will not Safely 2,500 5,000
and Reasonably Function As Intended..........140.C1 Uncoupling Lever Bracket Bent Lever 2,500 5,000
Will Not Function Properly...................140.C2 Uncoupling Lever Bracket Broken or 2,500 5,000
Missing......................................140.D1 Uncoupling Lever Wrong Dimension....... 2,500 5,000140.D2 Uncoupling Lever With Improper Handle 2,500 5,000
Clearance....................................144.A1 Coupler Missing........................ 5,000 7,500144.B1 Coupler Height Incorrect............... 2,500 5,000144.C1 Coupler Inoperative.................... 2,500 5,000145.A1 Kick Plates Missing.................... 2,500 5,000145.A2 Kick Plates Broken..................... 2,500 5,000145.B1 Kick Plates Wrong Dimensions........... 2,500 5,000145.B2 Kick Plates Improper Clearance......... 2,500 5,000145.B3 Kick Plates Insecure Or Improperly 2,500 5,000
Applied......................................146.A Notice or Stencil not Posted on Cabooses 1,000 2,000
with Running Boards Removed..................146.B Safe Means not Provided to Clean or 1,000 2,000
Maintain Windows of Caboose..................
231.31 Drawbars, standard height.............. 2,500 5,000------------------------------------------------------------------------\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 $105,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.\2\ This schedule uses section numbers from FRA's Safety Appliance
Defect Code, a restatement of the CFR text in a reorganized format.
For convenience, and as an exception to FRA's general policy, penalty
citations will cite the defect code rather than the CFR. FRA reserves
the right, should litigation become necessary, to substitute in its
complaint the CFR and/or statutory citation in place of the defect
code section cited in the penalty demand letter. [53 FR 52933, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998; 66 FR 4193, Jan. 17, 2001; 73 FR 79703, Dec. 30, 2008; 77 FR 24421, Apr. 24, 2012; 77 FR 26704, May 7, 2012]