Appendix A to Part 270

Penalty Schedule¹

Violation Willful violation Subpart B - System Safety Program Requirements 270.101 - System safety program; general: (a) Failure to establish a system safety program$15,000$30,000 (a) Failure to include a risk-based hazard management program in the railroad's system safety program10,00020,000 270.103 - System safety program plan: (a)(1) Failure to include and comply with any required element or any sub-element in the SSP plan7,50015,000 (a)(2) Failure to communicate and coordinate with host railroad on the SSP plan7,50015,000 270.107 - Consultation Requirements: (a)(1) Failure to consult with directly affected employees10,00020,000 Failure to consult in good faith and/or use best efforts10,00020,000 (a)(3) Failure to hold preliminary meeting7,50015,000 Failure to hold preliminary meeting within April 10, 20175,00010,000 Failure to notify directly affected employees no less than 60 days before meeting is held7,50015,000 (b) Failure to submit consultation statement with plan submission7,50015,000 Failure to include all required elements in consultation statement5,00010,000 (d) Failure to submit consultation statement with submission of plan amendment5,00010,000 Subpart C - Review, Approval, and Retention of SSP Plans 270.201 - Filing and approval: (a)(1) Failure to file an initial SSP plan10,00020,000 Failure to file a SSP plan within 90 days of commencing operations10,00020,000 (a)(3) Failure to include all required information in submission5,00010,000 (b)(3) Failure to correct identified deficiencies and amend SSP plan7,50015,000 Failure to submit amended SSP plan7,50015,000 Failure to submit amended SSP plan within 90 days5,00010,000 (c)(1)(i) Failure to submit amendment to SSP plan7,50015,000 Failure to submit amendment to SSP plan within 60 days5,00010,000 (c)(2)(iii) Failure to submit corrected amendment or notify FRA of retraction7,50015,000 Failure to submit corrected amendment within 60 days5,00010,000 270.203 - Retention of SSP plan: Failure to retain a copy of the SSP plan at the system/division headquarters10,00020,000 Failure to make records available to representatives of FRA and States participating under part 212 of this chapter7,50015,000 Subpart D - System Safety Program Internal Assessments and External Auditing 270.303 - Internal program assessment: (a) Failure to conduct an annual internal assessment10,00020,000 Failure to include all required elements in the internal assessment7,50015,000 (b) Failure to include a statement in the SSP plan describing the required elements5,00010,000 (c)(1)(i) Failure to submit to FRA the internal assessment report7,50015,000 Failure for the internal assessment report to contain all required elements and sub-elements5,00010,000 (c)(1)(ii) Failure to develop and outline improvement plans7,50015,000 Failure to comply with improvement plans7,50015,000 (c)(2) Failure of chief official responsible for safety to certify the results of the internal assessment5,00010,000 270.305 - External safety audit: (b)(1) Failure to submit improvement plans7,50015,000 Failure to submit improvement plans within 60 days5,00010,000 Failure to include all required elements in the improvement plans5,00010,000 (b)(2) Failure to amend and submit to FRA the improvement plan7,50015,000 Failure to submit amended improvement plan within 30 days5,00010,000 (b)(3) Failure to provide a report regarding the status of the implementation of the improvements set forth in the improvement plan7,50015,000

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 for any violation where circumstances warrant. See 49 CFR part 209, appendix A.

[81 FR 53896, Aug. 12, 2016, as amended at 82 FR 16135, Apr. 3, 2017[Reserved]