Appendix A to Part 234

Section Violation Willful violation Subpart B - Reports 234.7 Accidents involving grade crossing signal failure$5,000$7,500 234.9 Grade crossing signal system failure reports2,5005,000 Subpart C - Response to Reports of Warning System Malfunction Sec. 234.101 Employee notification rules2,5005,000 234.103 Timely response to report of malfunction2,5005,000 234.105 Activation failure (a) Failure to notify - train crews5,0007,500 Other railroads5,0007,500 (b) Failure to notify law enforcement agency2,5005,000 (c) Failure to comply with - flagging requirements5,0005,000 Speed restrictions5,0007,500 (d) Failure to activate horn or whistle5,0007,500 234.106 Partial activation (a) Failure to notify - train crews5,0007,500 Other railroads5,0007,500 (b) Failure to notify law enforcement agency2,5005,000 (c) Failure to comply with - flagging requirements speed restrictions5,0007,500 (d) Failure to activate horn or whistle5,0007,500 234.107 False activation (a) Failure to notify - train crews5,0007,500 Other railroads5,0007,500 (b) Failure to notify law enforcement agency2,5005,000 (c) Failure to comply with - flagging requirements5,0007,500 Speed restrictions5,0007,500 (d) Failure to activate horn or whistle5,0007,500 234.109 Recordkeeping1,0002,000 Subpart D - Maintenance, Inspection, and Testing Maintenance Standards: 234.201 Location of plans1,0002,000 234.203 Control circuits1,0002,000 234.205 Operating characteristics of warning system apparatus2,5005,000 234.207 Adjustment, repair, or replacement of component2,5005,000 234.209 Interference with normal functioning of system5,0007,500 234.211 Locking of warning system apparatus1,0002,000 234.213 Grounds1,0002,000 234.215 Standby power system5,0007,500 234.217 Flashing light units1,0002,000 234.219 Gate arm lights and light cable1,0002,000 234.221 Lamp voltage1,0002,000 234.223 Gate arm1,0002,000 234.225 Activation of warning system5,0007,500 234.227 Train detection apparatus2,5005,000 234.229 Shunting sensitivity2,5005,000 234.231 Fouling wires1,0002,000 234.233 Rail joints1,0002,000 234.235 Insulated rail joints1,0002,000 234.237 Switch equipped with circuit controller1,0002,000 234.239 Tagging of wires and interference of wires or tags with signal apparatus1,0002,000 234.241 Protection of insulated wire; splice in underground wire1,0002,000 234.243 Wire on pole line and aerial cable1,0002,000 234.245 Signs1,0002,000 Inspections and Tests: 234.247 Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements2,5005,000 234.249 Ground tests2,5005,000 234.251 Standby power5,0007,500 234.253 Flashing light units and lamp voltage1,0002,000 234.255 Gate arm and gate mechanism1,0002,000 234.257 Warning system operation2,5005,000 234.259 Warning time1,0002,000 234.261 Highway traffic signal pre-emption1,0002,000 234.263 Relays1,0002,000 234.265 Timing relays and timing devices1,0002,000 234.267 Insulation resistance tests, wires in trunking and cables2,5005,000 234.269 Cut-out circuits1,0002,000 234.271 Insulated rail joints, bond wires, and track connections2,5005,000 234.273 Results of tests1,0002,000 234.275 Processor-Based Systems$5,000$7,500 Subpart E - Emergency Notification Systems for Telephonic Reporting of Unsafe Conditions at Highway-Rail and Pathway Grade Crossings 234.303 Emergency notification systems (ENS) for telephonic reporting of unsafe conditions at highway-rail and pathway grade crossings: (a) Dispatching railroad fails to establish and maintain a toll-free telephone service by which the railroad can directly and promptly receive telephone calls (calls) from the public of reports of unsafe conditions at crossings15,00025,000 (a)(1) Dispatching railroad fails to have either a live person answer calls directly and promptly, or use an automated answering system or third-party telephone service for receiving calls from the public of reports of unsafe conditions at crossings10,00015,000 (a)(2) Dispatching railroad improperly uses an automated answering system10,00015,000 (b)(1)-(2) Excepted dispatching railroad improperly uses answering machine to receive calls of unsafe conditions at crossings5,0007,500 (b)(2) Excepted dispatching railroad fails to use proper method to receive calls of unsafe conditions at crossings during either operational or non-operational hours5,0007,500 (e) Dispatching railroad improperly uses local telephone number to receive calls of unsafe conditions at crossings5,0007,500 234.305 Remedial actions in response to reports of unsafe conditions at highway-rail and pathway grade crossings: Response to credible report of warning system malfunction at a highway-rail grade crossing. (a)(1) Maintaining railroad fails under subpart C to follow subpart C of this part² 5,0007,500 (a)(2)(i) Dispatching railroad fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction5,0007,500 (ii) Dispatching railroad fails to promptly contact the maintaining railroad and inform it of the reported malfunction5,0007,500 Response to public report of warning system malfunction at a highway-rail grade crossing. (b)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction5,0007,500 (ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported malfunction5,0007,500 (iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the malfunction, and take the appropriate remedial action5,0007,500 (b)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported malfunction5,0007,500 (ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported malfunction5,0007,500 (iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported malfunction5,0007,500 (iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the malfunction, and take the appropriate remedial action5,0007,500 Response to report of warning system failure at a pathway grade crossing. (c)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported failure5,0007,500 (ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported failure5,0007,500 (iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the failure, and without undue delay repair the active warning system if necessary5,0007,500 (c)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported failure5,0007,500 (ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported failure5,0007,500 (iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported failure5,0007,500 (iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the failure, and without undue delay repair the active warning system if necessary5,0007,500 Response to report of a disabled vehicle or other obstruction blocking a railroad track at a highway-rail or pathway grade crossing. (d)(1)(i) Railroad with both maintaining and dispatching responsibilities fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported obstruction5,0007,500 (ii) Railroad with both maintaining and dispatching responsibilities fails to promptly contact the appropriate law enforcement agency and inform it of the reported obstruction5,0007,500 (iii) Railroad with both maintaining and dispatching responsibilities fails to promptly investigate the report, determine the nature of the obstruction, and without undue delay take the necessary action to have the obstruction removed5,0007,500 (d)(2)(i) Railroad with only dispatching responsibility fails to promptly contact all trains authorized to operate through the crossing and inform them of the reported obstruction5,0007,500 (ii) Railroad with only dispatching responsibility fails to promptly contact the appropriate law enforcement agency and inform it of the reported obstruction5,0007,500 (iii) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad and inform it of the reported obstruction5,0007,500 (iv) Maintaining railroad fails to promptly investigate the report, determine the nature of the obstruction, and without undue delay take the necessary action to have the obstruction removed5,0007,500 Special rule on contacting a train that is not required to have communication equipment. (e) Having received a report pursuant to § 234.303(c)(1), (c)(2), (d)(1), or (d)(2), railroad fails to promptly contact the occupied controlling locomotive of the train by the quickest means available consistent with § 220.13(a) of this chapter5,0007,500 Response to report of an obstruction of view at a highway-rail or pathway grade crossing. (f)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report and remove the obstruction if it is lawful and feasible to do so5,0007,500 (f)(2)(i) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad5,0007,500 (ii) Maintaining railroad fails to timely investigate the report and remove the obstruction if it is lawful and feasible to do so5,0007,500 Response to report of other unsafe condition at a highway-rail or pathway grade crossing. (g)(1) Railroad with both maintaining and dispatching responsibilities fails to timely investigate the report, and timely correct the unsafe condition if it is lawful and feasible to do so5,0007,500 (g)(2) Railroad with only dispatching responsibility fails to promptly contact the maintaining railroad5,0007,500 (g)(3) Maintaining railroad fails to timely investigate the report, and timely correct the unsafe condition if it is lawful and feasible to do so5,0007,500 Maintaining railroad's responsibilities for receiving reports of unsafe conditions at highway-rail and pathway grade crossings. (h)(1)(i) Maintaining railroad fails to provide sufficient contact information to dispatching railroad, by which the dispatching railroad may timely contact the maintaining railroad upon receipt of a report5,0007,500 (ii) Maintaining railroad fails either to have a live person answer calls directly and promptly, or to use an automated answering system for receiving calls from the dispatching railroad of a report of an unsafe condition10,00015,000 (iii) Dispatching railroad improperly uses an automated answering system10,00015,000 (h)(2)(i)-(ii) Excepted maintaining railroad fails to use proper method to receive calls of unsafe conditions at crossings during operational or non-operational hours5,0007,500 234.306 Multiple dispatching or maintaining railroads with respect to the same highway-rail or pathway grade crossing; appointment of responsible railroad: (a)(1) Each of the dispatching railroads for the crossing fails to appoint a primary dispatching railroad for the crossing10,00015,000 (a)(1)(i)-(iv) The primary dispatching railroad for the crossing fails to carry out one of the prescribed duties5,0007,500 (a)(2) Another pertinent dispatching railroad for the crossing fails to carry out remedial action as required by § 234.3055,0007,500 (b)(1) Each of the maintaining railroads for the crossing fails to appoint one maintaining railroad responsible for the placement and maintenance of the ENS sign(s)5,0007,500 (b)(2) The assigned maintaining railroad in § 234.306(b)(1) fails to display on the ENS sign(s) the emergency telephone number of the dispatching railroad or primary dispatching railroad for the crossing5,0007,500 (c)(1) The dispatching railroad or primary dispatching railroad fails to promptly contact and inform the appropriate maintaining railroad(s) for the crossing of the reported problem5,0007,500 (c)(2) The maintaining railroad fails to carry out remedial action as required by § 234.30510,00015,000 234.307 Use of third-party telephone service by dispatching and maintaining railroads³: (a)(1) Dispatching railroad improperly uses third-party telephone service10,00015,000 (a)(2) Dispatching railroad fails to ensure third-party telephone service compliance with § 234.30710,00015,000 (b)(1) Maintaining railroad improperly uses third-party telephone service10,00015,000 (b)(2) Maintaining railroad fails to ensure third-party telephone service compliance with § 234.30710,00015,000 (d)(1) Railroad fails to provide sufficient contact information to third-party telephone service2,5005,000 (d)(2)(i) Railroad fails to inform FRA in writing before the implementation of a third-party telephone service2,5005,000 (ii) Railroad fails to provide FRA with contact information for the third-party telephone service2,5005,000 (iii) Railroad fails to provide FRA with information identifying the crossings about which the third-party telephone service will receive reports2,5005,000 (d)(3) Railroad fails to inform FRA in writing within 30 days following any changes in the use of, or the discontinuance of, third-party telephone service2,5005,000 (d)(4)⁴ Dispatching or maintaining railroad fails to take appropriate action required by § 234.305. (e)⁵ Railroad fails to ensure third-party telephone service compliance with § 234.313 or § 234.315, as applicable. 234.309 ENS signs in general: (a) Dispatching railroad fails to provide ENS telephone number to the maintaining railroad a minimum of 180 days prior to the required implementation date of the ENS2,5005,000 (b)(1)-(3)⁶ Responsible railroad fails to display minimum required information on ENS sign5,0007,500 (c)(1)-(4)⁷ Responsible railroad fails to display ENS sign that meets size and other physical requirements5,0007,500 234.311 ENS sign placement and maintenance: (a)(1)-(2) Responsible railroad fails to place and maintain required number of sign(s) at the crossing or entrance(s) to facility5,0007,500 (b)(1)-(2) Responsible railroad fails to properly locate and maintain the sign(s) at the crossing5,0007,500 234.313 Recordkeeping: (a)(1)-(9) Railroad fails to maintain in its records the minimum information required for each ENS report received2,5005,000 (c)(1)-(2) Responsible railroad(s) fail(s) to record in writing an appointment of a railroad, pursuant to § 234.306, or properly retain a copy of the document2,5005,000 (d)(1) Railroad fails to properly retain records2,5005,000 (d)(2) Railroad fails to provide FRA access to records2,5005,000 234.315 Electronic recordkeeping: (a)-(b) Railroad fails to comply with electronic recordkeeping requirements2,5005,000 Subpart F - Highway-Rail and Pathway Crossing Inventory Reporting § 234.403 Submission of data to the Crossing Inventory: (b) Failure to complete Inventory Form (or electronic equivalent) in accordance with the Inventory Guide$1,000$2,000 (c) Class I railroad failure to submit crossing data to the Crossing Inventory electronically1,0002,000 § 234.405 Submission of initial data to the Crossing Inventory for previously unreported crossings (a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic equivalent) to the Crossing Inventory for previously unreported crossing2,5005,000 (b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for previously unreported crossing2,5005,000 (c) Operating railroad failure to provide written notification to FRA that the primary operating railroad failed to timely report previously unreported crossing1,0002,000 § 234.407 Submission of initial data to the Crossing Inventory for new crossings: (a) Primary operating railroad failure to timely submit an accurate Inventory Form (or electronic equivalent) to the Crossing Inventory for new crossing2,5005,000 (b) Operating railroad failure to timely submit accurate partial crossing data to the Crossing Inventory for new crossing2,5005,000 (c) Operating railroad failure to provide written notification to FRA that the primary operating railroad failed to timely report new crossing1,0002,000 § 234.409 Submission of periodic updates to the Crossing Inventory: (a) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the Crossing Inventory for highway-rail or pathway crossing2,5005,000 (b) Operating railroad failure to timely submit up-to-date and accurate partial crossing data to the Crossing Inventory for highway-rail or pathway crossing2,5005,000 § 234.411 Changes requiring submission of updated information to the Crossing Inventory: (a) Failure to timely report crossing sale to the Crossing Inventory2,5005,000 (b) Primary operating railroad failure to timely report crossing closure to the Crossing Inventory2,5005,000 (c) Primary operating railroad failure to timely submit up-to-date and accurate crossing data to the Crossing Inventory after change in crossing characteristics2,5005,000 § 234.413 Recordkeeping1,0002,000 § 234.415 Electronic Recordkeeping1,0002,000

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 the statutory maximum amount for any violation where circumstances warrant. See 49 CFR part 209, appendix A. To facilitate the assessment of penalty amounts, the specific types of violations of a given section are sometimes designated by the paragraph of the section (e.g., “(a)”) and a code not corresponding to the legal citation for the violation (e.g., “(1)”), so that the complete citation in the penalty schedule is e.g., “(a)(1).” FRA reserves the right to revise the citation of the violation in the Summary of Alleged Violations issued by FRA in the event of litigation.

² Either this section or the parallel section of subpart C of this part may be cited, but not both.

³ FRA does not plan to assess civil penalties against a third-party telephone service, under § 234.307(c) or (e). However, FRA plans to assess violations against the dispatching and maintaining railroads for failing to ensure that the third-party telephone service complies with the requirements of §§ 234.307, 234.313, or 234.315, if applicable. See § 234.307(a), (b), (e).

⁴ For a violation of § 234.307(d)(4), a penalty should be assessed for the specific type of violation according to the penalty schedule for a violation of § 234.305.

⁵ For a violation of § 234.307(e) pertaining to recordkeeping, a penalty should be assessed for the specific type of violation in the penalty schedule for a violation of §§ 234.313 or 234.315, as applicable.

⁶ FRA reserves the right to cite a violation for each item of required information omitted from a sign.

⁷ FRA reserves the right to cite a violation for each physical characteristic that is nonconforming.

[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11094, Mar. 7, 2005; 73 FR 76704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 80 FR 786, Jan. 6, 2015; 80 FR 30364, May 28, 2015; 81 FR 37534, June 10, 2016; 81 FR 43111, July 1, 2016; 83 FR 60749, Nov. 27, 2018[Reserved]