Appendix A to Part 236

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 kept1,0002,000 236.2 Grounds1,0002,000 236.3 Locking of signal apparatus housings: (a) Power interlocking machine cabinet not secured against unauthorized entry2,5005,000 (b) other violations1,0002,000 236.4 Interference with normal functioning of device5,0007,500 236.5 Design of control circuits on closed circuit principle1,0002,000 236.6 Hand-operated switch equipped with switch circuit controller1,0002,000 236.7 Circuit controller operated by switch-and-lock movement1,0002,000 236.8 Operating characteristics of electro-magnetic, electronic, or electrical apparatus1,0002,000 236.9 Selection of circuits through indicating or annunciating instruments1,0002,000 236.10 Electric locks, force drop type; where required1,0002,000 236.11 Adjustment, repair, or replacement of component2,5005,000 236.12 Spring switch signal protection; where required1,0002,000 236.13 Spring switch; selection of signal control circuits through circuit controller1,0002,000 236.14 Spring switch signal protection; requirements1,0002,000 236.15 Timetable instructions1,0002,000 236.16 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, electrically2,5005,000 (b) other violations1,0002,000 236.17 Pipe for operating connections, requirements1,0002,000 236.18 Software management control plan: Failure to develop and adopt a plan$5,000$10,000 Failure to fully implement plan5,00010,000 Inadequate plan2,50010,000 Roadway Signals and Cab Signals - 236.21 Location of roadway signals1,0002,000 236.22 Semaphore signal arm; clearance to other objects1,0002,000 236.23 Aspects and indications1,0002,000 236.24 Spacing of roadway signals2,5005,000 236.26 Buffing device, maintenance1,0002,000 Track Circuits - 236.51 Track circuit requirements: (a) Shunt fouling circuit used where permissible speed through turnout greater than 45 m.p.h2,5005,000 (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 crossover2,5005,000 (c) other violations1,0002,000 236.52 Relayed cut-section1,0002,000 236.53 Track circuit feed at grade crossing1,0002,000 236.54 Minimum length of track circuit1,0002,000 236.55 Dead section; maximum length1,0002,000 236.56 Shunting sensitivity2,5005,000 236.57 Shunt and fouling wires: (a) Shunt or fouling wires do not consist of at least two discrete conductors2,5005,000 (b) other violations1,0002,000 236.58 Turnout, fouling section: (a) Rail joint in shunt fouling section not bonded2,5005,000 (b) other violations1,0002,000 236.59 Insulated rail joints1,0002,000 236.60 Switch shunting circuit; use restricted2,5005,000 Wires and Cables - 236.71 Signal wires on pole line and aerial cable1,0002,000 236.73 Open-wire transmission line; clearance to other circuits1,0002,000 236.74 Protection of insulated wire; splice in underground wire1,0002,000 236.76 Tagging of wires and interference of wires or tags with signal apparatus1,0002,000 Inspections and Tests; All Systems - 236.101 Purpose of inspection and tests; removal from service or relay or device failing to meet test requirements2,5005,000 236.102 Semaphore or search-light signal mechanism1,0002,000 236.103 Switch circuit controller or point detector1,0002,000 236.104 Shunt fouling circuit1,0002,000 236.105 Electric lock1,0002,000 236.106 Relays1,0002,000 236.107 Ground tests1,0002,000 236.108 Insulation resistance tests, wires in trunking and cables: (a) Circuit permitted to function on a conductor having insulation resistance value less than 200,000 ohms2,5005,000 (b) other violations1,0002,000 236.109 Time releases, timing relays and timing devices1,0002,000 236.110 Results of tests1,0002,000 Subpart B - Automatic Block Signal Systems 236.201 Track circuit control of signals1,0002,000 236.202 Signal governing movements over hand-operated switch1,0002,000 236.203 Hand-operated crossover between main tracks; protection1,0002,000 236.204 Track signaled for movements in both directions, requirements1,0002,000 236.205 Signal control circuits; requirements1,0002,000 236.206 Battery or power supply with respect to relay; location1,0002,000 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 position2,5005,000 (b) other violations1,0002,000 236.301 Where signals shall be provided1,0002,000 236.302 Track circuits and route locking1,0002,000 236.303 Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism1,0002,000 236.304 Mechanical locking or same protection effected by circuits1,0002,000 236.305 Approach or time locking1,0002,000 236.306 Facing point lock or switch-and-lock movement1,0002,000 236.307 Indication locking: 236.308 Mechanical or electric locking or electric circuits; requisites1,0002,000 236.309 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 derail2,5005,000 (b) Other violations1,0002,000 236.310 Signal governing approach to home signal1,0002,000 236.311 Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time releases at automatic interlocking1,0002,000 236.312 Movable bridge, interlocking of signal appliances with bridge devices: (a) Emergency bypass switch or device not locked or sealed2,5005,000 (b) other violations1,0002,000 236.314 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 position2,5005,000 (b) other violations1,0002,000 Rules and Instructions - 236.326 Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking1,0002,000 236.327 Switch, movable-point frog or split-point derail1,0002,000 236.328 Plunger of facing-point1,0002,000 236.329 Bolt lock1,0002,000 236.330 Locking dog of switch and lock movement1,0002,000 236.334 Point detector1,0002,000 236.335 Dogs, stops and trunnions of mechanical locking1,0002,000 236.336 Locking bed1,0002,000 236.337 Locking faces of mechanical locking; fit1,0002,000 236.338 Mechanical locking required in accordance with locking sheet and dog chart1,0002,000 236.339 Mechanical locking; maintenance requirements1,0002,000 236.340 Electromechanical interlocking machine; locking between electrical and mechanical levers1,0002,000 236.341 Latch shoes, rocker links, and quadrants1,0002,000 236.342 Switch circuit controller1,0002,000 Inspection and Tests - 236.376 Mechanical locking1,0002,000 236.377 Approach locking1,0002,000 236.378 Time locking1,0002,000 236.379 Route locking1,0002,000 236.380 Indication locking1,0002,000 236.381 Traffic locking1,0002,000 236.382 Switch obstruction test1,0002,000 236.383 Valve locks, valves, and valve magnets1,0002,000 236.384 Cross protection 236.386 Restoring feature on power switches 236.387 Movable bridge locking1,0002,000 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 operator1,0002,000 236.403 Signals at controlled point1,0002,000 236.404 Signals at adjacent control points1,0002,000 236.405 Track signaled for movements in both directions, change of direction of traffic1,0002,000 236.407 Approach or time locking; where required1,0002,000 236.408 Route locking1,0002,000 236.410 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 track2,5005,000 (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 siding2,5005,000 (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 position2,5005,000 (d) other violations1,0002,000 Rules and Instructions - 236.426 Interlocking rules and instructions applicable to traffic control systems1,0002,000 236.476 Interlocking inspections and tests applicable to traffic control systems1,0002,000 Subpart E - Automatic Train Stop, Train Control and Cab Signal Systems Standards 236.501 Forestalling device and speed control1,0002,000 236.502 Automatic brake application, initiation by restrictive block conditions stopping distance in advance1,0002,000 236.503 Automatic brake application; initiation when predetermined rate of speed exceeded1,0002,000 236.504 Operations interconnected with automatic block-signal system1,0002,000 236.505 Proper operative relation between parts along roadway and parts on locomotive1,0002,000 236.506 Release of brakes after automatic application1,0002,000 236.507 Brake application; full service1,0002,000 236.508 Interference with application of brakes by means of brake valve1,0002,000 236.509 Two or more locomotives coupled1,0002,000 236.511 Cab signals controlled in accordance with block conditions stopping distance in advance1,0002,000 236.512 Cab signal indication when locomotive enters blocks1,0002,000 236.513 Audible indicator1,0002,000 236.514 Interconnection of cab signal system with roadway signal system1,0002,000 236.515 Visibility of cab signals1,0002,000 236.516 Power supply1,0002,000 Rules and Instructions; Roadway - 236.526 Roadway element not functioning properly2,5005,000 236.527 Roadway element insulation resistance1,0002,000 236.528 Restrictive condition resulting from open hand-operated switch; requirement1,0002,000 236.529 Roadway element inductor; height and distance from rail1,0002,000 236.531 Trip arm; height and distance from rail1,0002,000 236.532 Strap iron inductor; use restricted1,0002,000 236.534 Rate of pressure reduction; equalizing reservoir or brake pipe1,0002,000 236.551 Power supply voltage1,0002,000 236.552 Insulation resistance1,0002,000 236.553 Seal, where required2,5005,000 236.554 Rate of pressure reduction; equalizing reservoir or brake pipe1,0002,000 236.555 Repaired or rewound receiver coil1,0002,000 236.556 Adjustment of relay1,0002,000 236.557 Receiver; location with respect to rail1,0002,000 236.560 Contact element, mechanical trip type; location with respect to rail1,0002,000 236.562 Minimum rail current required1,0002,000 236.563 Delay time1,0002,000 236.564 Acknowledging time1,0002,000 236.565 Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading clock; requirement1,0002,000 236.566 Locomotive of each train operating in train stop, train control or cab signal territory; equipped5,0007,500 236.567 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 route5,0007,500 (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 inoperative5,0007,500 (c) other violations1,0002,000 236.568 Difference between speeds authorized by roadway signal and cab signal; action1,0002,000 Inspection and Tests; Roadway - 236.576 Roadway element1,0002,000 236.577 Test, acknowledgement, and cut-in circuits1,0002,000 Inspection and Tests; Locomotive - 236.586 Daily or after trip test2,5005,000 236.587 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 territory5,0007,500 (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 territory5,0007,500 (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 period5,0007,500 (d) other violations2,5005,000 236.588 Periodic test2,5005,000 236.589 Relays2,5005,000 236.590 Pneumatic apparatus: (a) Automatic train stop, train control, or cab signal apparatus not inspected and cleaned at least once every 736 days2,5005,000 (b) other violations1,0002,000 Subpart F - Dragging Equipment and Slide Detectors and Other Similar Protective Devices; Standards 236.601 Signals controlled by devices; location1,0002,000 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 required5,0007,500 Failure to obtain FRA approval for a modification to RSPP5,0007,500 236.907 Product Safety Plan (PSP): Failure to develop a PSP5,0007,500 Failure to submit a PSP when required5,0007,500 236.909 Minimum Performance Standard: Failure to make analyses or documentation available2,5005,000 Failure to determine that the standard has been met5,0007,500 236.913 Notification to FRA of PSPs:2,5005,000 Failure to prepare a PSP or PSP amendment as required5,0007,500 Failure to submit a PSP or PSP amendment as required5,0007,500 Field testing without authorization or approval10,00020,000 236.915 Implementation and operation: (a) Operation of product without authorization or approval10,00020,000 (b) Failure to comply with PSP2,5005,000 (c) Interference with normal functioning safety-critical product7,50015,000 (d) Failure to determine cause and adjust, repair or replace without undue delay or take appropriate action pending repair5,0007,500 236.917 Retention of records: Failure to maintain records as required7,50015,000 Failure to report inconsistency10,00020,000 Failure to take prompt countermeasures10,00020,000 Failure to provide final report2,5005,000 236.919 Operations and Maintenance Manual3,0006,000 236.921 Training and qualification program, general3,0006,000 236.923 Task analysis and basic requirements: Failure to develop an acceptable training program2,5005,000 Failure to train persons as required2,5005,000 Failure to conduct evaluation of training program as required2,5005,000 Failure to maintain records as required1,5003,000 236.925 Training specific to control office personnel2,5005,000 236.927 Training specific to locomotive engineers and other operating personnel2,5005,000 236.929 Training specific to roadway workers2,5005,000 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 required16,00025,000 Commencement of revenue service prior to obtaining PTC System Certification16,00025,000 Failure of the PTC system to perform a safety-critical function required by this section5,0007,500 Operating outside the limits of an approved de minimis exception15,00025,000 Failure to integrate a hazard detector15,00025,000 Non-compliant event recorder2,5005,000 Failure of event recorder2,5005,000 Failure to provide notice, obtain approval, or follow a condition for temporary rerouting when required5,0007,500 Exceeding the allowed percentage of controlling locomotives operating out of an initial terminal after receiving a failed initialization5,0007,500 236.1006 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 apparatus15,00025,000 Operating with a PTC onboard apparatus that is not functioning in accordance with the applicable PTCSP..15,00025,000 Failure to report as prescribed by this section5,0007,500 Non-compliant operation of unequipped trains in PTC territory15,00025,000 Failure to equip locomotives in accordance with the applicable PTCIP15,00025,000 Failure to comply with conditions of a yard movement exception(²)(²) Improper arrangement of the PTC system onboard apparatus2,5005,000 Engineer performing prohibited duties5,0007,500 236.1007 Additional requirements for high-speed service: Installing or operating a PTC system without the required safety-critical functional attributes of a block signal system15,00025,000 Operation of passenger trains at speed equal to or greater than 60 mph on non-PTC-equipped territory where required15,00025,000 Operation of freight trains at speed equal to or greater than 50 mph on non-PTC-equipped territory where required15,00025,000 Failure to fully implement incursion protection where required5,0007,500 236.1009 Procedural requirements: Failure to file PTCIP when required5,0007,500 Failure to amend PTCIP when required5,0007,500 Failure to obtain Type Approval when required5,0007,500 Failure to update NPI5,0007,500 Operation of PTC system without system certification16,00025,000 Failure to comply with FRA condition or modification(²)(²) Failure to report as required5,0007,500 Failure to provide FRA access10,00016,000 236.1011 PTCIP content requirements: Failure to install a PTC system as required11,00016,000 Failure to maintain a PTCIP as required(²)(²) 236.1013 PTCDP content requirements and Type Approval: Failure to maintain quality control system5,0007,500 Inappropriate use of Type Approval5,0007,500 236.1015 PTCSP content requirements and PTC System Certification: Failure to implement PTC system in accordance with the associated PTCSP and resultant system certification16,00025,000 Failure to maintain PTC system in accordance with the associated PTCSP and resultant system certification16,00025,000 Failure to maintain required supporting documentation2,5005,000 236.1017 Independent third party Verification and Validation: Failure to conduct independent third party Verification and Validation when ordered11,00016,000 236.1019 Main line track exceptions: Operations conducted in non-compliance with the passenger terminal exception16,00025,000 Operations conducted in non-compliance with the limited operations exception16,00025,000 Failure to request modification of the PTCIP or PTCSP when required11,00016,000 Operations conducted in violation of (c)(2)16,00025,000 Operations conducted in violation of (c)(3)25,00025,000 236.1021 Discontinuances, material modifications, and amendments: Failure to update PTCDP when required5,0007,500 Failure to update PTCSP when required5,0007,500 Failure to immediately adopt and comply with approved RFA5,0007,500 Discontinuance or modification of a PTC system without approval when required11,00016,000 236.1023 Errors and malfunctions: Railroad failure to provide proper notification of PTC system error or malfunction5,0007,500 Failure to maintain PTCPVL2,5005,000 Supplier failure to provide proper notification of previously identified PTC system error or malfunction5,0007,500 Failure to provide timely notification5,0007,500 Failure to provide appropriate protective measures in the event of PTC system failure15,00025,000 236.1027 Exclusions: Integration of primary train control system with locomotive electronic system without approval5,0007,500 236.1029 PTC system use and en route failures: Failure to determine cause of PTC system component failure without undue delay5,0007,500 Failure to adjust, repair, or replace faulty PTC system component without undue delay5,0007,500 Failure to take appropriate action pending adjustment, repair, or replacement of faulty PTC system component15,00025,000 PTC territory operation with an inoperative PTC onboard apparatus5,0007,500 Interference with the normal functioning of safety-critical PTC system15,00025,000 236.1033 Communications and security requirements: Failure to provide cryptographic message integrity and authentication5,0007,500 Improper use of revoked cryptographic key5,00015,000 Failure to protect cryptographic keys from unauthorized disclosure, modification, or substitution5,00015,000 Failure to establish prioritized service restoration and mitigation plan for communication services5,0007,500 236.1035 Field testing requirements: Field testing without authorization or approval10,00020,000 Failure to comply with FRA condition(²)(²) 236.1037 Records retention: Failure to maintain records and databases as required7,50015,000 Failure to report inconsistency10,00020,000 Failure to take prompt countermeasures10,00020,000 Failure to provide final report2,5005,000 236.1039 Operations and Maintenance Manual: Failure to implement and maintain Operations and Maintenance Manual as required3,0006,000 Failure to make Operations and Maintenance Manual available to FRA when required10,00016,000 Failure to make Operations and Maintenance Manual available to persons required to performed the required tasks15,00025,000 Amends Operations and Maintenance Manual without FRA approval5,00010,000 236.1043 Task analysis and basic requirements: Failure to develop and maintain an acceptable training program10,00020,000 Failure to train persons as required2,5005,000 Failure to conduct evaluation of training program as required2,5005,000 Failure to maintain records as required1,5003,000 236.1045 Training specific to office control personnel: Failure to conduct training unique to office control personnel2,5005,000 236.1047 Training specific to locomotive engineers and other operating personnel: Failure to conduct training unique to locomotive engineers and other operating personnel2,5005,000 236.1049 Training specific to roadway workers: Failure to conduct training unique to roadway workers2,5005,000

¹ A 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 the statutory maximum amount per day for any violation where circumstances warrant. See 49 CFR part 209, Appendix A.

² Each 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.

[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998; 69 FR 30595, May 28, 2004; 70 FR 11104, Mar. 7, 2005; 73 FR 79704, Dec. 30, 2008; 75 FR 2715, Jan. 15, 2010; 77 FR 24422, Apr. 24, 2012; 81 FR 10129, Feb. 29, 2016; 81 FR 43112, July 1, 2016; 83 FR 60749, Nov. 27, 2018[Reserved]