Moving the Federal Railroad Administration (FRA) Civil Penalties Schedules and Guidelines From the Code of Federal Regulations (CFR) to the FRA Website, 23730-23737 [2019-09979]
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Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations
Administration at the Office of Civil Aviation
Security in Washington, DC; the FAA
regional Civil Aviation Security Divisions;
the Civil Aviation Security Division at the
Mike Monroney Aeronautical Center in
Oklahoma City, Oklahoma; the FAA Civil
Aviation Security Staff at the FAA Technical
Center in Atlantic City, New Jersey; and the
various Federal Records Centers located
throughout the country.
2. Insider Threat Program (DOT/ALL 26).
The purpose of these exemptions is to
prevent the disclosure of material authorized
to be kept secret in the interest of national
defense or foreign policy, in accordance with
5 U.S.C. 552(b)(1) and 552a(k)(1).
Issued in Washington, DC, on May 8, 2019.
Elaine L. Chao,
Secretary.
[FR Doc. 2019–10730 Filed 5–22–19; 8:45 am]
BILLING CODE 4910–9X–P
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Parts 209, 213, 214, 215, 217,
218, 219, 220, 221, 222, 223, 224, 225,
227, 228, 229, 230, 231, 232, 233, 234,
235, 236, 237, 238, 239, 240, 241, 242,
243, 270, and 272
[Docket No. FRA–2016–0090; Notice No. 1]
RIN 2130–AC63
Moving the Federal Railroad
Administration (FRA) Civil Penalties
Schedules and Guidelines From the
Code of Federal Regulations (CFR) to
the FRA Website
FRA, U.S. Department of
Transportation (DOT).
ACTION: Final rule.
AGENCY:
To eliminate unnecessary
costs and improve public access, FRA is
removing its civil penalties schedules
and guidelines from the CFR and
publishing them on the FRA website.
DATES: This final rule is effective May
23, 2019.
FOR FURTHER INFORMATION CONTACT:
Veronica Chittim, Attorney, Safety Law
Division, Office of Chief Counsel, FRA,
1200 New Jersey Avenue SE,
Washington, DC 20590 (telephone 202–
493–0273), veronica.chittim@dot.gov.
SUPPLEMENTARY INFORMATION: FRA is
authorized as the delegate of the
Secretary of Transportation (Secretary)
to enforce the Federal railroad safety
statutes, regulations, and orders,
including the civil penalty provisions
codified primarily at 49 U.S.C. ch. 213.
See 49 U.S.C. 103 and 49 CFR 1.89; 49
U.S.C. chs. 201–213. The Secretary also
authorized FRA to enforce certain
hazardous materials transportation
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SUMMARY:
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statutes, regulations, and orders,
including the civil penalty provisions,
relating to railroad transportation. See
49 CFR 1.89; 49 U.S.C. ch. 51.1 FRA
currently has safety regulations in 34
parts of the CFR that contain provisions
establishing the agency’s authority to
impose civil penalties if a person
violates any requirement in the
pertinent portion of a statute or the CFR,
and 32 CFR parts containing FRA
regulations include an appendix with a
civil penalty schedule or guidelines.
Since 1988, FRA has included the
civil penalties schedules or guidelines
as an appendix in the corresponding
CFR part. Civil penalties schedules and
guidelines are not regulations nor are
they subject to notice-and-comment
requirements. They are merely policy
statements that do not bind FRA.
Instead, FRA retains full discretion to
assess civil penalties for violations that
are between the minimum and
maximum amounts authorized by
statute and adjusted for inflation.2 Yet,
their place in the CFR has necessitated
that any changes to them, including
adjustments for inflation required by
federal law, be published in the Federal
Register.
Like other federal agencies, FRA is
charged by the page for each page in its
segment of the CFR, namely title 49,
parts 200–299. Currently, the annual
rate is $85 per page.3 FRA, like other
agencies, is also charged for each
column it prints in the Federal Register,
currently at a rate of $151 per column.4
In this final rule, FRA is removing the
civil penalties schedules and guidelines
from 49 CFR parts 200–299 and
updating references to the schedules
and guidelines to reflect their new
location on the FRA website, without
substantive change.5 This move will end
1 Civil penalties related to hazardous materials
transportation statutes, regulations, or orders
administered by other agencies, such as the
Pipeline and Hazardous Materials Safety
Administration, are not affected by this rule.
2 For railroad safety violations, the current
statutory minimum civil penalty is $870, the
ordinary maximum civil penalty is $28,474, and the
aggravated maximum civil penalty is $113,894. See
83 FR 60732 (Nov. 27, 2018). For hazardous
materials violations, the current statutory minimum
civil penalty (for violations relating to training) is
$481, the ordinary maximum civil penalty is
$79,976, and the aggravated maximum civil penalty
is $186,610. Id.
3 See GPO Circular Letter No. 1007 (June 4, 2018),
available at https://www.gpo.gov/how-to-work-withus/agency/circular-letters/open-requisitions-sf1-forfederal-register-and-code-of-federal-regulations.
4 Id.
5 This final rule redirects any references to an
appendix in the CFR that formerly contained civil
penalties schedules and guidelines to FRA’s
website at www.fra.dot.gov. FRA’s main website
(www.fra.dot.gov) will contain a link to FRA’s civil
penalties guidance website (www.fra.dot.gov/Page/
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the unnecessary costs of amending the
schedules and guidelines through the
Federal Register and printing them in
the CFR. At the same time, locating the
schedules and guidelines on the FRA
website will improve public access to
those statements of agency policy and
simplify enforcement by grouping all
schedules and guidelines into one
location. Changes for inflation to the
minimum, maximum, and aggravated
maximum penalty amounts will still be
published in the Federal Register, as
required by federal law.
Public Participation
FRA is proceeding to a final rule
without a notice of proposed
rulemaking or an opportunity for public
comment. The civil penalties schedules
and guidelines, and therefore this rule
to move those schedules and guidelines
to FRA’s website without substantive
change, are general statements of policy.
As such, the notice and comment
procedures under the Administrative
Procedure Act (APA), 5 U.S.C.
553(b)(3)(A), do not apply.
Regulatory Impact
A. Executive Orders 12866, 13771, and
DOT Regulatory Policies and Procedures
FRA evaluated this final rule
consistent with Executive Order 12866
(Regulatory Planning and Review),
Executive Order 13771 (Reducing
Regulation and Controlling Regulatory
Costs), and DOT policies and
procedures. See 44 FR 11034, Feb. 26,
1979; 76 FR 3821, Jan. 21, 2011; and 82
FR 9339, Jan. 30, 2017. In this final rule,
FRA solely replaces statements of
agency policy with references to the
statements’ new location on the FRA
website, and is not a significant
regulatory action under section 3(f) of
Executive Order 12866.
FRA will realize cost savings from not
printing the civil penalties schedules
and guidelines in the yearly CFR
revision, and therefore this rulemaking
is a deregulatory action under Executive
Order 13771. Counting the number of
pages in the current CFR (as revised Oct.
1, 2018) used by the civil penalties
schedules and guidelines, FRA
estimates 80.5 fewer pages would be
printed in each CFR revision. The
migration of the civil penalties
schedules and guidelines is a one-time
occurrence; however, the cost savings
accrue annually, and therefore FRA
P1155) linking to a tabbed workbook containing
each respective CFR part’s civil penalties table.
Language referring to either a ‘‘statement of agency
civil penalty policy’’ or ‘‘schedule of civil penalty
amounts’’ is maintained from the existing CFR. See,
e.g., 49 CFR 214.5; 49 CFR 222.11.
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accounts for them as a yearly cost
savings. Also, FRA will realize cost
savings from not publishing civil
penalty schedules in the Federal
Register associated with new
regulations and amendments to existing
regulations. As mentioned, the annual
updates for inflation only affect the
minimum, maximum, and aggravated
maximum penalties, which will
continue to be published, resulting in
no cost savings. To account for
publishing fewer civil penalty schedules
associated with new regulations, FRA
estimates it published 5 new regulations
in the Federal Register in the last 10
years, or one-half regulation per year.
Each regulation had a corresponding
civil penalty schedule occupying
approximately 3 columns in the Federal
Register, or 1.5 columns per one-half
regulation per year. In addition, FRA
estimates allocating 3 columns per year
will sufficiently cover changes to civil
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penalty schedules published for
amendments to existing regulations, for
a total Federal Register savings of 4.5
columns per year. The cost savings are
monetized using the publication costs
noted earlier, and illustrated in the table
below. FRA uses a 10-year period of
analysis in estimating future cost
savings to reflect a reasonable regulatory
cycle for new regulations and review of
existing regulations.
TABLE A–1—COST SAVINGS FROM NOT PUBLISHING CIVIL MONETARY PENALTY SCHEDULES IN THE CFR AND THE
Federal Register
CFR (80.5 pages
@$85 per page)
Year
2019
2020
2021
2022
2023
2024
2025
2026
2027
2028
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
.................................................................................................................................
$7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
7,522.00
Total Undiscounted Cost Savings, Nominal ....................................................................................................................................
Present Value (PV) of Total Cost Savings Discounted at 7% ........................................................................................................
Present Value (PV) of Total Cost Savings Discounted at 3% ........................................................................................................
Total Annualized Cost Savings Using 7% Discount Rate ...............................................................................................................
Total Annualized Cost Savings Using 3% Discount Rate ...............................................................................................................
75,220
52,831
64,164
7,522
7,522
The Regulatory Flexibility Act of 1980
(RFA), Public Law 96–354, as amended,
and codified as amended at 5 U.S.C.
601–612, and Executive Order 13272
(Proper Consideration of Small Entities
in Agency Rulemaking), require agency
review of proposed and final rules to
assess their impact on ‘‘small entities’’
for purposes of the RFA. An agency
must prepare a regulatory flexibility
analysis unless it determines and
certifies that a rule is not expected to
have a significant economic impact on
a substantial number of small entities.
FRA does not expect this final rule will
have a significant economic impact on
a substantial number of small entities.
Although this final rule will apply to
railroads, hazardous materials shippers,
and others that are considered small
entities, there is no economic impact on
any person who complies or is required
to comply with the Federal railroad
safety laws and the regulations and
orders issued under those laws, and the
Federal hazardous materials laws and
the regulations, special permits,
approvals, and orders issued under
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$6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
6,842.50
Total cost
savings
$679.50
679.50
679.50
679.50
679.50
679.50
679.50
679.50
679.50
679.50
B. Regulatory Flexibility Act and
Executive Order 13272
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Federal
Register
(4.5 columns
@$151 per
column)
those laws, because the rule does not
change any penalty to which an entity
could be subject.
In addition, FRA has determined the
RFA does not apply to this rulemaking.
FRA is not required to publish its civil
penalty schedules and guidelines in the
CFR, and the civil penalties schedules
and guidelines are general statements of
policy, thus the APA notice and
comment procedures do not apply to the
either penalty schedules themselves or
the policy decision to change their
location. The Small Business
Administration’s A Guide for
Government Agencies: How to Comply
with the Regulatory Flexibility Act
(2003), provides that:
If, under the APA or any rule of general
applicability governing federal grants to state
and local governments, the agency is
required to publish a general notice of
proposed rulemaking (NPRM), the RFA must
be considered [citing 5 U.S.C. 604(a)]. . . .If
an NPRM is not required, the RFA does not
apply.
Therefore, because FRA is not required
to publish the schedules and guidelines
in the CFR, the RFA does not apply.
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C. Federalism
Executive Order 13132, ‘‘Federalism,’’
64 FR 43255 (Aug. 10, 1999), requires
FRA to develop an accountable process
to ensure ‘‘meaningful and timely input
by State and local officials in the
development of regulatory policies that
have federalism implications.’’ ‘‘Policies
that have federalism implications’’ are
defined in the Executive Order to
include regulations that have
‘‘substantial direct effects on the States,
on the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government.’’ This final rule
will not have a substantial effect on the
States, on the relationship between the
national government and the States, or
the distribution of power and
responsibilities among the various
levels of government. Thus, consistent
with Executive Order 13132, FRA is not
required to prepare a Federalism
assessment.
D. Paperwork Reduction Act
There are no new information
collection requirements in this final rule
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circumstances present in connection
with this final rule.
to submit for OMB review under the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.).
E. Unfunded Mandates Reform Act of
1995
This final rule will not result in the
expenditure, in the aggregate, of
$100,000,000 or more, adjusted for
inflation, in any one year by State, local,
or Indian Tribal governments, or the
private sector. Thus, consistent with
Section 202 of the Unfunded Mandates
Reform Act of 1995 (Pub. L. 104–4, 2
U.S.C. 1532), FRA is not required to
prepare a written statement detailing the
effect of such an expenditure.
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F. Environmental Impact
FRA has evaluated this final rule
under the National Environmental
Policy Act (NEPA; 42 U.S.C. 4321 et
seq.), other environmental statutes,
related regulatory requirements, and its
‘‘Procedures for Considering
Environmental Impacts’’ (FRA’s NEPA
Procedures) (64 FR 28545, May 26,
1999). FRA has determined that this
final rule is categorically excluded from
detailed environmental review pursuant
to section 4(c)(20) of FRA’s NEPA
Procedures, ‘‘Promulgation of railroad
safety rules and policy statements that
do not result in significantly increased
emissions of air or water pollutants or
noise or increased traffic congestion in
any mode of transportation.’’ See 64 FR
28547, May 26, 1999. Categorical
exclusions (CEs) are actions identified
in an agency’s NEPA implementing
procedures that do not normally have a
significant impact on the environment
and therefore do not require either an
environmental assessment (EA) or
environmental impact statement (EIS).
See 40 CFR 1508.4.
In analyzing the applicability of a CE,
the agency must also consider whether
extraordinary circumstances warrant a
more detailed environmental review
through the preparation of an EA or EIS.
See id. The purpose of this rulemaking
is to make FRA-maintained civil penalty
schedules and guidelines more easily
available. Specifically, FRA is removing
civil penalty schedules and guidelines
under its authority from the CFR and
replacing references to them with
references to their new location on
FRA’s website. Under section 4(c) and
(e) of FRA’s NEPA Procedures, FRA has
concluded no extraordinary
circumstances exist with respect to this
regulation that might trigger the need for
a more detailed environmental review.
FRA does not anticipate any
environmental impacts from this final
rule and finds there are no extraordinary
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G. Executive Order 12898
(Environmental Justice)
Executive Order 12898, Federal
Actions to Address Environmental
Justice in Minority Populations and
Low-Income Populations, and DOT
Order 5610.2(a) (91 FR 27534, May 10,
2012) require DOT agencies to achieve
environmental justice as part of their
mission by identifying and addressing,
as appropriate, disproportionately high
and adverse human health or
environmental effects, including
interrelated social and economic effects,
of their programs, policies, and
activities on minority populations and
low-income populations. The DOT
Order instructs DOT agencies to address
compliance with Executive Order 12898
and requirements within the DOT Order
in rulemaking activities, as appropriate.
FRA has evaluated this final rule under
Executive Order 12898 and the DOT
Order and has determined that it would
not cause disproportionately high and
adverse human health and
environmental effects on minority
populations or low-income populations.
H. Executive Order 13175 (Tribal
Consultation)
FRA has evaluated this final rule
under the principles and criteria
contained in Executive Order 13175,
Consultation and Coordination with
Indian Tribal Governments, dated
November 6, 2000. The final rule would
not have a substantial direct effect on
one or more Indian tribes, would not
impose substantial direct compliance
costs on Indian tribal governments, and
would not preempt tribal laws.
Therefore, the funding and consultation
requirements of Executive Order 13175
do not apply, and FRA is not required
to prepare a tribal summary impact
statement.
List of Subjects
49 CFR Part 209
Administrative practice and
procedure, Hazardous materials
transportation, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 215
Freight, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Parts 217, 221, 224, 229, 230,
232, 233, and 239
Penalties, Railroad safety, Reporting
and recordkeeping requirements.
49 CFR Part 218
Occupational safety and health,
Penalties, Railroad employees, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug
testing, Penalties, Railroad safety,
Reporting and recordkeeping
requirements, Safety, Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 222
Administrative practice and
procedure, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 223
Glazing standards, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 225
Investigations, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 227
Noise control, Occupational safety
and health, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 228
Penalties, Railroad employees,
Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 234
49 CFR Part 213
Bridges, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
Highway safety, Penalties, Railroad
safety, Reporting and recordkeeping
requirements, State and local
governments.
49 CFR Part 214
Bridges, Occupational safety and
health, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 235
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Administrative practice and
procedure, Penalties, Railroad safety,
Railroad signals, Reporting and
recordkeeping requirements.
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§ 209.105
49 CFR Part 236
Penalties, Positive Train Control,
Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 237
Bridges, Penalties, Railroad safety,
Reporting and recordkeeping
requirements.
49 CFR Part 238
Appendix A to Part 209—Statement of
Agency Policy Concerning Enforcement
of the Federal Railroad Safety Laws
Fire prevention, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
*
49 CFR Part 240
Administrative practice and
procedure, Penalties, Railroad
employees, Railroad safety, Reporting
and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad
safety, Reporting and recordkeeping
requirements.
49 CFR Part 242
Administrative practice and
procedure, Penalties, Railroad
employees, Railroad safety, Reporting
and recordkeeping requirements.
49 CFR Part 243
Administrative practice and
procedure, Penalties, Railroad
employees, Railroad safety, Reporting
and recordkeeping requirements.
49 CFR Part 270
Penalties, Railroad safety, Reporting
and recordkeeping requirements,
System safety.
49 CFR Part 272
Penalties, Railroad employees,
Railroad safety, Railroads, Safety,
Transportation.
The Final Rule
In consideration of the foregoing,
parts 209, 213, 214, 215, 217, 218, 219,
220, 221, 222, 223, 224, 225, 227, 228,
229, 230, 231, 232, 233, 234, 235, 236,
237, 238, 239, 240, 241, 242, 243, 270,
and 272 of subtitle B, chapter II of title
49 of the Code of Federal Regulations
are amended as follows:
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PART 209—[AMENDED]
1. The authority citation for part 209
continues to read as follows:
■
Authority: 49 U.S.C. 5123, 5124, 20103,
20107, 20111, 20112, 20114; 28 U.S.C. 2461,
note; and 49 CFR 1.89.
2. Revise the last sentence of
§ 209.105(a) to read as follows:
■
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Notice of probable violation.
(a) * * * FRA’s website at
www.fra.dot.gov contains guidelines
used by the chief counsel in making
initial penalty assessments.
*
*
*
*
*
■ 3. In appendix A to part 209, revise
the section entitled ‘‘Penalty Schedules;
Assessment of Maximum Penalties’’ to
read as follows:
*
*
*
*
Penalty Schedules; Assessment of Maximum
Penalties
As recommended by the Department of
Transportation in its initial proposal for rail
safety legislative revisions in 1987, the RSIA
raised the maximum civil penalties for
violations of the Federal rail safety laws,
regulations, or orders. Id., secs. 3, 13–15, 17.
Pursuant to sec. 16 of RSIA, the penalty for
a violation of the Hours of Service Act was
changed from a flat $500 to a penalty of up
to $1,000, as the Secretary of Transportation
deems reasonable. Under all the other
statutes, and regulations and orders under
those statutes, the maximum penalty was
raised from $2,500 to $10,000 per violation,
except that where a grossly negligent
violation or a pattern of repeated violations
has created an imminent hazard of death or
injury to persons, or has caused death or
injury, the penalty was raised to a maximum
of $20,000 per violation (‘‘the aggravated
maximum penalty’’).
The Rail Safety Enforcement and Review
Act (RSERA), Pub. L. 102–365, 106 Stat. 972,
enacted in 1992, increased the maximum
penalty from $1,000 to $10,000, and provided
for an aggravated maximum penalty of
$20,000 for a violation of the Hours of
Service Act, making these penalty amounts
uniform with those of FRA’s other safety
laws, regulations, and orders. RSERA also
increased the minimum civil monetary
penalty from $250 to $500 for all of FRA’s
safety regulatory provisions and orders. Id.,
sec. 4(a).
The Federal Civil Penalties Inflation
Adjustment Act of 1990, Pub. L. 101–410,
104 Stat. 890, note, as amended by Section
31001(s)(1) of the Debt Collection
Improvement Act of 1996 (Pub. L. 104–134,
110 Stat. 1321–373, April 26, 1996) (Inflation
Act) required that agencies adjust by
regulation each minimum and maximum
civil monetary penalty within the agency’s
jurisdiction for inflation and make
subsequent adjustments once every four
years after the initial adjustment.
Accordingly, FRA’s minimum and maximum
civil monetary penalties have been
periodically adjusted, pursuant to the
Inflation Act, through rulemaking.
The Rail Safety Improvement Act of 2008
(‘‘RSIA of 2008’’), enacted October 16, 2008,
raised FRA’s civil monetary ordinary and
aggravated maximum penalties to $25,000
and $100,000 respectively. FRA amended the
civil penalty provisions in its regulations so
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23733
as to make $25,000 the ordinary maximum
penalty per violation and $100,000 the
aggravated maximum penalty per violation,
as authorized by the RSIA of 2008, in a final
rule published on December 30, 2008 in the
Federal Register. The December 30, 2008
final rule also adjusted the minimum civil
penalty from $550 to $650 pursuant to
Inflation Act requirements. A correcting
amendment to the civil penalty provisions in
49 CFR part 232 was published on April 6,
2009.
Effective June 25, 2012, the aggravated
maximum penalty was raised from $100,000
to $105,000 pursuant to the Inflation Act.
On November 2, 2015, President Barack
Obama signed the Federal Civil Penalties
Inflation Adjustment Act Improvements Act
of 2015 (the 2015 Inflation Act). Pub. L. 114–
74, Sec. 701. Under the 2015 Inflation Act,
agencies must make a catch-up adjustment
for civil monetary penalties with the new
penalty levels published by July 1, 2016, to
take effect no later than August 1, 2016.
Moving forward, agencies must make annual
inflationary adjustments, starting January 15,
2017, based on Office of Management and
Budget guidance. Under the 2015 Inflation
Act, effective April 3, 2017, the minimum
civil monetary penalty was raised from $839
to $853, the ordinary maximum civil
monetary penalty was raised from $27,455 to
$27,904, and the aggravated maximum civil
monetary penalty was raised from $109,819
to $111,616. Effective November 27, 2018,
the minimum civil monetary penalty was
raised from $853 to $870, the ordinary
maximum civil monetary penalty was raised
from $27,904 to $28,474, and the aggravated
maximum civil monetary penalty was raised
from $111,616 to $113,894.
FRA’s traditional practice has been to issue
penalty schedules assigning to each
particular regulation or order specific dollar
amounts for initial penalty assessments. The
schedule (except where issued after notice
and an opportunity for comment) constitutes
a statement of agency policy and was
historically issued as an appendix to the
relevant part of the Code of Federal
Regulations. Schedules are now published on
FRA’s website at www.fra.dot.gov. For each
regulation or order, the schedule shows two
amounts within the $870 to $28,474 range in
separate columns, the first for ordinary
violations, the second for willful violations
(whether committed by railroads or
individuals). In one instance—49 CFR part
231—the schedule refers to sections of the
relevant FRA defect code rather than to
sections of the CFR text. Of course, the defect
code, which is simply a reorganized version
of the CFR text used by FRA to facilitate
computerization of inspection data, is
substantively identical to the CFR text.
The schedule amounts are meant to
provide guidance as to FRA’s policy in
predictable situations, not to bind FRA from
using the full range of penalty authority
where extraordinary circumstances warrant.
The Senate report on the bill that became the
RSIA stated:
It is expected that the Secretary would act
expeditiously to set penalty levels
commensurate with the severity of the
violations, with imposition of the maximum
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penalty reserved for violation of any
regulation where warranted by exceptional
circumstances. S. Rep. No. 100–153, 10th
Cong., 2d Sess. 8 (1987).
Accordingly, under each of the schedules
(ordinarily in a footnote), and regardless of
the fact that a lesser amount might be shown
in both columns of the schedule, FRA
reserves the right to assess the statutory
maximum penalty of up to $113,894 per
violation where a pattern of repeated
violations or a grossly negligent violation has
created an imminent hazard of death or
injury or has caused death or injury. FRA
indicates in the penalty demand letter when
it uses the higher penalty amount instead of
the penalty amount listed in the schedule.
*
*
*
*
*
PART 215—[AMENDED]
11. The authority citation for part 215
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
12. Revise the last sentence of § 215.7
to read as follows:
■
§ 215.7
Prohibited acts.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix B to Part 215—[Removed and
Reserved]
13. Remove and reserve appendix B to
part 215.
■
Appendix B to Part 209—[Amended]
4. Amend appendix B to part 209 by:
a. Removing ‘‘49 CFR 172.200–.203’’
and adding in its place ‘‘49 CFR 172.200
through 172.203’’; and
■ b. Removing the heading ‘‘Civil
Penalty Assessment Guidelines’’ and the
two tables following the heading.
■
PART 217—[AMENDED]
■
PART 213—[AMENDED]
14. The authority citation for part 217
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
15. Revise the last sentence of § 217.5
to read as follows:
■
§ 217.5
5. The authority citation for part 213
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20114 and
20142; Sec. 403, Div. A, Pub. L. 110–432, 122
Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Appendix A to Part 217—[Removed]
■
16. Remove appendix A to part 217.
§ 218.57
Responsibilities of individuals.
Any individual who knowingly
operates a train, or permits it to be
operated, when the controlling
locomotive of that train is equipped
with a disabled safety device, is subject
to a civil penalty and to disqualification
from performing safety-sensitive
functions on a railroad if found to be
unfit for such duties. See appendix B to
this part for a statement of agency
enforcement policy concerning
violations of this section. See FRA’s
website at www.fra.dot.gov for a
statement of agency civil penalty policy.
■ 22. Revise § 218.59 to read as follows:
§ 218.59
Responsibilities of railroads.
Any railroad that operates a train
when the controlling locomotive of a
train is equipped with a disabled safety
device is subject to a civil penalty. See
FRA’s website at www.fra.dot.gov for a
statement of agency civil penalty policy.
Appendix A to Part 218—[Removed
and Reserved]
23. Remove and reserve appendix A to
part 218.
■
6. Revise the last sentence of
§ 213.15(a) to read as follows:
PART 218—[AMENDED]
PART 219—[AMENDED]
§ 213.15
■
17. The authority citation for part 218
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
Authority: 49 U.S.C. 20103, 20107, 20140,
21301, 21304, 21311; 28 U.S.C. 2461, note;
Sec. 412, Div. A, Pub. L. 110–432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR
1.89.
■
Penalties.
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
18. Revise the last sentence of § 218.9
to read as follows:
■
Appendix B to Part 213—[Removed and
Reserved]
§ 218.9
7. Remove and reserve appendix B to
part 213.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
■ 19. Revise § 218.41 to read as follows:
■
PART 214—[AMENDED]
Authority: 49 U.S.C. 20102–20103, 20107,
21301–21302, 31304, 28 U.S.C. 2461, note;
and 49 CFR 1.89.
9. Revise the last sentence of § 214.5
to read as follows:
■
§ 214.5
Responsibility for compliance.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 214—[Removed]
■
10. Remove appendix A to part 214.
VerDate Sep<11>2014
16:07 May 22, 2019
Jkt 247001
Civil penalty.
A person (including a railroad and
any manager, supervisor, official, or
other employee or agent of a railroad)
who fails to comply with a railroad’s
operating rule issued pursuant to
§ 218.39 is subject to a penalty. See
FRA’s website at www.fra.dot.gov for a
statement of agency civil penalty policy.
■ 20. Revise § 218.55 to read as follows:
§ 218.55
Tampering prohibited.
Any individual who willfully disables
a safety device is subject to a civil
penalty and to disqualification from
performing safety-sensitive functions on
PO 00000
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Fmt 4700
24. The authority citation for part 219
continues to read as follows:
25. Revise the last sentence of
§ 219.10 to read as follows:
■
§ 218.41 Noncompliance with hump
operations rule.
8. The authority citation for part 214
continues to read as follows:
■
khammond on DSKBBV9HB2PROD with RULES
Penalty.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
a railroad if found unfit for such duties
under the procedures provided for in 49
CFR part 209. See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
■ 21. Revise § 218.57 to read as follows:
Sfmt 4700
§ 219.10
Penalties.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 219—[Removed
and Reserved]
26. Remove and reserve appendix A to
part 219.
■
PART 220—[AMENDED]
27. The authority citation for part 220
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20103,
note, 20107, 21301–21302, 20701–20703,
21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
28. Revise the last sentence of § 220.7
to read as follows:
■
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§ 220.7
Penalty.
40. Revise the last sentence of
§ 224.11(a) to read as follows:
■
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
PART 228—[AMENDED]
49. The authority citation for part 228
is revised to read as follows:
■
§ 224.11
Penalties.
PART 221—[AMENDED]
(a) * * * FRA’s website at
www.fra.dot.gov contains a schedule of
civil penalty amounts used in
connection with this part.
*
*
*
*
*
■
30. The authority citation for part 221
continues to read as follows:
Appendix A to Part 224—[Removed
and Reserved]
■
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
■
41. Remove and reserve appendix A to
part 224.
§ 228.6
31. Revise the last sentence of § 221.7
to read as follows:
PART 225—[AMENDED]
§ 221.7
■
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy. * * *
*
*
*
*
*
Appendix C to Part 220—[Removed]
■
29. Remove appendix C to part 220.
■
42. The authority citation for part 225
is revised to read as follows:
Civil penalty.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
Authority: 49 U.S.C. 103, 322(a), 20103,
20107, 20901–20902, 21301, 21302, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Appendix C to Part 221—[Removed]
■
43. Revise the last sentence of
§ 225.12(h)(1) to read as follows:
■
32. Remove appendix C to part 221.
PART 222—[AMENDED]
33. The authority citation for part 222
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20153,
21301, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
34. Revise the section heading and last
sentence of § 222.11 to read as follows:
■
§ 222.11 What are the penalties for failure
to comply with this part?
* * * FRA’s website at
www.fra.dot.gov contains a schedule of
civil penalty amounts used in
connection with this part.
Appendix H to Part 222—[Removed]
■ 35. Remove appendix H to part 222.
PART 223—[AMENDED]
36. The authority citation for part 223
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20133,
20701–20702, 21301–21302, 21304; 28 U.S.C.
2461, note; and 49 CFR 1.89.
37. Revise the last sentence of § 223.7
to read as follows:
■
§ 223.7
Responsibility.
39. The authority citation for part 224
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20148
and 21301; 28 U.S.C. 2461, note; and 49 CFR
1.89.
Jkt 247001
§ 225.29
Penalties.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix A to Part 225—[Removed
and Reserved]
45. Remove and reserve appendix A to
part 225.
■
PART 227—[AMENDED]
46. The authority citation for part 227
continues to read as follows:
■
§ 227.9
PART 224—[AMENDED]
16:07 May 22, 2019
*
*
*
*
(h) * * *
(1) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
■ 44. Revise the third sentence of
§ 225.29 to read as follows:
47. Revise the last sentence of
§ 227.9(a) to read as follows:
38. Remove appendix B to part 223.
VerDate Sep<11>2014
*
Authority: 49 U.S.C. 103, 20103, 20107,
21101–21109; Sec. 108, Div. A, Pub. L. 110–
432, 122 Stat. 4860–4866, 4893–4894; 49
U.S.C. 21301, 21303, 21304, 21311; 28 U.S.C.
2461, note; and 49 CFR 1.89.
50. Revise the third sentence of
§ 228.6(a) to read as follows:
Penalties.
Appendix B to Part 228—[Removed and
Reserved]
51. Remove and reserve appendix B to
part 228.
■
PART 229—[AMENDED]
52. The authority citation for part 229
continues to read as follows:
■
Authority: 49 U.S.C. 103, 322(a), 20103,
20107, 20901–02, 21301, 21301, 21302,
21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
53. Revise the last sentence of
§ 229.7(b) to read as follows:
■
§ 229.7
Prohibited acts and penalties.
*
*
*
*
*
(b) * * * FRA’s website at
www.fra.dot.gov contains a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix B to Part 229—[Removed and
Reserved]
54. Remove and reserve appendix B to
part 229.
■
PART 230—[AMENDED]
55. The authority citation for part 230
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20702;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Appendix D to Part 230—[Removed]
■
56. Remove appendix D to part 230.
PART 231—[AMENDED]
■
Appendix B to Part 223—[Removed]
■
§ 225.12 Rail Equipment Accident/Incident
Reports alleging employee human factor as
cause; Employee Human Factor
Attachment; notice to employee; employee
supplement.
Authority: 49 U.S.C. 20103, 20103, note,
20701–20702; 28 U.S.C. 2461, note; and 49
CFR 1.89.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
khammond on DSKBBV9HB2PROD with RULES
23735
Penalties.
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix G to Part 227—[Removed]
■
48. Remove appendix G to part 227.
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Fmt 4700
Sfmt 4700
57. The authority citation for part 231
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20107,
20131, 20301–20303, 21301–21302, 21304;
28 U.S.C. 2461, note; and 49 CFR 1.89.
58. Revise the last sentence of
§ 231.0(f) to read as follows:
■
§ 231.0
*
E:\FR\FM\23MYR1.SGM
*
Applicability and penalties.
*
23MYR1
*
*
23736
Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations
(f) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
■ 59. Revise the last sentence of
§ 231.33(g) to read as follows:
66. The authority citation for part 233
continues to read as follows:
■
Authority: 49 U.S.C. 504, 522, 20103,
20107, 20501–20505, 21301, 21302, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
§ 231.33 Procedure for special approval of
existing industry safety appliance
standards.
■
*
*
*
*
*
(g) * * * Civil penalties will be
assessed under this part by using the
applicable defect code in the statement
of agency civil penalty policy on FRA’s
website at www.fra.dot.gov.
■ 60. Revise the last sentence of
§ 231.35(g) to read as follows:
§ 233.11
§ 231.35 Procedure for modification of an
approved industry safety appliance
standard for new railcar construction.
■
*
*
*
*
*
(g) * * * Civil penalties will be
assessed under this part by using the
applicable defect code in the statement
of agency civil penalty policy on FRA’s
website at www.fra.dot.gov.
Appendix A to Part 231—[Removed]
■
61. Remove appendix A to part 231.
67. Revise the last sentence of
§ 233.11 to read as follows:
Appendix A to Part 233—[Removed]
68. Remove appendix A to part 233.
62. The authority citation for part 232
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20107,
20133, 20141, 20301–20303, 20306, 21301–
21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
63. Revise the last sentence of
§ 232.11(a) to read as follows:
■
§ 232.11
69. The authority citation for part 234
continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20152,
20160, 21301, 21304, 21311, 22501 note; Pub.
L. 110–432, Div. A., Sec. 202, 28 U.S.C. 2461,
note; and 49 CFR 1.89.
70. Amend § 234.6 by removing
‘‘§ 234.11 of this part’’ everywhere it
appears and adding ‘‘§ 234.11’’ in its
place and revising the third sentence of
paragraph (a) to read as follows:
■
§ 232.213
Extended haul trains.
*
khammond on DSKBBV9HB2PROD with RULES
Penalties.
(a) * * * FRA’s website at
www.fra.dot.gov contains a schedule of
civil penalty amounts used in
connection with this part. * * *
*
*
*
*
*
Appendix A to Part 234—[Removed
and Reserved]
71. Remove and reserve appendix A to
part 234.
(a) * * * FRA’s website at
www.fra.dot.gov contains a schedule of
civil penalty amounts used in
connection with this part.
*
*
*
*
*
■ 64. Revise the first sentence of
§ 232.213(b) to read as follows:
PART 235—[AMENDED]
72. The authority citation for part 235
continues to read as follows:
■
Jkt 247001
Authority: 49 U.S.C. 20102–20114; Pub. L.
110–432, Div. A, Sec. 417; 28 U.S.C. 2461,
note; and 49 CFR 1.89.
79. Revise the last sentence of
§ 237.7(a) to read as follows:
■
§ 237.7
Penalties.
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix B to Part 237—[Removed]
■ 80. Remove appendix B to part 237.
PART 238—[AMENDED]
81. The authority citation for part 238
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20133,
20141, 20302–20303, 20306, 20701–20702,
21301–21302, 21304; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
82. Revise the last sentence of
§ 238.11(a) to read as follows:
■
§ 238.11
Penalties.
§ 238.229
Civil penalty.
Authority: 49 U.S.C. 20102–20103, 20107,
20133, 20141, 20157, 20301–20303, 20306,
20501–20505, 20701–20703, 21301–21302,
21304; 28 U.S.C. 2461, note; and 49 CFR
1.89.
16:07 May 22, 2019
PART 237—[AMENDED]
§ 235.9
■
Appendix A to Part 232—[Removed
and Reserved]
VerDate Sep<11>2014
Appendix A to Part 236—[Removed
and Reserved]
■ 77. Remove and reserve appendix A to
part 236.
73. Revise the last sentence of § 235.9
to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28
U.S.C. 2461, note; and 49 CFR 1.89.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
65. Remove and reserve appendix A to
part 232.
*
*
*
*
(f) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
■ 83. Revise the last sentence of
§ 238.229(d) to read as follows:
*
*
*
*
(b) Failure to comply with any of the
requirements contained in paragraph (a)
of this section will be considered an
improper movement of a designated
priority train for which appropriate civil
penalties may be assessed as outlined in
the statement of civil penalty policy on
FRA’s website at www.fra.dot.gov.
*
*
*
*
*
■
*
78. The authority citation for part 237
continues to read as follows:
■
Penalties.
§ 236.0 Applicability, minimum
requirements, and penalties.
■
PART 234—[AMENDED]
§ 234.6
PART 232—[AMENDED]
Civil penalties.
* * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
■
76. Revise the last sentence of
§ 236.0(f) to read as follows:
■
PART 233—[AMENDED]
Appendix A to Part 235—[Removed]
■
74. Remove appendix A to part 235.
PART 236—[AMENDED]
75. The authority citation for part 236
is revised to read as follows:
■
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Frm 00034
Fmt 4700
Sfmt 4700
Safety appliances—general.
*
*
*
*
*
(d) * * * When appropriate, civil
penalties for improperly using or
hauling a piece of equipment with a
defective welded safety appliance or
safety appliance bracket or support
addressed in this section will be
assessed as an improperly applied safety
appliance pursuant to the penalty
schedule on FRA’s website at
www.fra.dot.gov under the appropriate
defect code contained therein.
*
*
*
*
*
■ 84. In § 238.230, revise the last
sentence of paragraph (c) introductory
E:\FR\FM\23MYR1.SGM
23MYR1
Federal Register / Vol. 84, No. 100 / Thursday, May 23, 2019 / Rules and Regulations
text, add a heading for paragraph (e),
and revise the last sentence of paragraph
(e) to read as follows:
§ 238.230 Safety appliances—new
equipment.
*
*
*
*
*
(c) * * * When appropriate, civil
penalties for improperly using or
hauling a piece of equipment with a
defective welded safety appliance or
safety appliance bracket or support
addressed in this section will be
assessed pursuant to the penalty
schedule on FRA’s website at
www.fra.dot.gov under the appropriate
defect code contained therein.
*
*
*
*
*
(e) Civil penalties. * * * Civil
penalties will be assessed under part
231 of this chapter by using the
applicable defect code contained on
FRA’s website at www.fra.dot.gov.
Appendix A to Part 238—[Removed
and Reserved]
85. Remove and reserve appendix A to
part 238.
■
PART 239—[AMENDED]
86. The authority citation for part 239
continues to read as follows:
■
Authority: 49 U.S.C. 20102–20103, 20105–
20114, 20133, 21301, 21304, and 21311; 28
U.S.C. 2461, note; and 49 CFR 1.89.
87. Revise the last sentence of
§ 239.11 to read as follows:
■
§ 239.11
Penalties.
* * * FRA’s website at
www.fra.dot.gov contains a schedule of
civil penalty amounts used in
connection with this part.
Appendix A to Part 239—[Removed]
■
88. Remove appendix A to part 239.
PART 240—[AMENDED]
89. The authority citation for part 240
continues to read as follows:
■
khammond on DSKBBV9HB2PROD with RULES
Authority: 49 U.S.C. 20103, 20107, 20135,
21301, 21304, 21311; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
PART 241—[AMENDED]
92. The authority citation for part 241
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 21301,
21304, 21311; 28 U.S.C. 2461, note; 49 CFR
1.89.
Appendix B to Part 241—[Removed and
Reserved]
■ 93. Remove and reserve appendix B to
part 241.
PART 242—[AMENDED]
94. The authority citation for part 242
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20135,
20138, 20162, 20163, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
Authority: 49 U.S.C. 20103, 20107, 20109,
note; 28 U.S.C. 2461, note; 49 CFR 1.89; and
sec. 410, Div. A, Pub. L. 110–432, 122 Stat.
4888.
§ 242.11 Penalties and consequences for
noncompliance.
Issued in Washington, DC.
Ronald L. Batory,
Administrator.
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix A to Part 242—[Removed
and Reserved]
■ 96. Remove and reserve appendix A to
part 242.
PART 243—[AMENDED]
[FR Doc. 2019–09979 Filed 5–22–19; 8:45 am]
BILLING CODE 4910–06–P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
50 CFR Part 660
97. The authority citation for part 243
continues to read as follows:
■
Authority: 49 U.S.C. 20103, 20107, 20131–
20155, 20162, 20301–20306, 20701–20702,
21301–21304, 21311; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
[Docket No. 170831849–8404–01]
RIN 0648–XG904
■
Fisheries Off West Coast States;
Modifications of the West Coast
Recreational and Commercial Salmon
Fisheries; Inseason Actions #1
Through #5
§ 243.7 Penalties and consequences for
noncompliance.
AGENCY:
98. Revise the last sentence of
§ 243.7(a) to read as follows:
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
Appendix to Part 243—[Removed]
■ 99. Remove the appendix to part 243.
PART 270—[AMENDED]
Authority: 49 U.S.C. 20103, 20106–20107,
20118–20119, 20156, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
100. The authority citation for part
270 continues to read as follows:
101. The stay of 49 CFR part 270 is
lifted.
■ 102. Revise the last sentence of
§ 270.7(a) to read as follows:
■
Appendix A to Part 240—[Removed
and Reserved]
§ 270.7 Penalties and responsibility for
compliance.
91. Remove and reserve appendix A to
part 240.
(a) * * * FRA’s website at
www.fra.dot.gov contains a schedule of
Jkt 247001
105. The authority citation for part
272 continues to read as follows:
Appendix A to Part 272—[Removed]
■ 106. Remove appendix A to part 272.
§ 240.11 Penalties and consequences for
noncompliance.
16:07 May 22, 2019
PART 272—[AMENDED]
95. Revise the last sentence of
§ 242.11(a) to read as follows:
■
VerDate Sep<11>2014
Appendix A to Part 270—[Removed
and Reserved]
■ 103. Remove and reserve appendix A
to part 270.
■ 104. Title 49 CFR part 270 is stayed
until September 4, 2019.
■
90. Revise the last sentence of
§ 240.11(a) to read as follows:
■
civil penalty amounts used in
connection with this part.
*
*
*
*
*
■
■
(a) * * * See FRA’s website at
www.fra.dot.gov for a statement of
agency civil penalty policy.
*
*
*
*
*
23737
PO 00000
Frm 00035
Fmt 4700
Sfmt 4700
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Modification of fishing seasons.
NMFS announces five
inseason actions in the ocean salmon
fisheries. These inseason actions
modified the commercial and
recreational salmon fisheries in the area
from Cape Falcon, OR, to Pigeon Point,
CA.
DATES: The effective dates for the
inseason actions are set out in this
document under the heading Inseason
Actions.
FOR FURTHER INFORMATION CONTACT:
Peggy Mundy at 206–526–4323.
SUPPLEMENTARY INFORMATION:
SUMMARY:
Background
In the 2018 annual management
measures for ocean salmon fisheries (83
E:\FR\FM\23MYR1.SGM
23MYR1
]]>Agencies
[Federal Register Volume 84, Number 100 (Thursday, May 23, 2019)]
[Rules and Regulations]
[Pages 23730-23737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-09979]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Railroad Administration
49 CFR Parts 209, 213, 214, 215, 217, 218, 219, 220, 221, 222, 223,
224, 225, 227, 228, 229, 230, 231, 232, 233, 234, 235, 236, 237,
238, 239, 240, 241, 242, 243, 270, and 272
[Docket No. FRA-2016-0090; Notice No. 1]
RIN 2130-AC63
Moving the Federal Railroad Administration (FRA) Civil Penalties
Schedules and Guidelines From the Code of Federal Regulations (CFR) to
the FRA Website
AGENCY: FRA, U.S. Department of Transportation (DOT).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: To eliminate unnecessary costs and improve public access, FRA
is removing its civil penalties schedules and guidelines from the CFR
and publishing them on the FRA website.
DATES: This final rule is effective May 23, 2019.
FOR FURTHER INFORMATION CONTACT: Veronica Chittim, Attorney, Safety Law
Division, Office of Chief Counsel, FRA, 1200 New Jersey Avenue SE,
Washington, DC 20590 (telephone 202-493-0273),
[email protected].
SUPPLEMENTARY INFORMATION: FRA is authorized as the delegate of the
Secretary of Transportation (Secretary) to enforce the Federal railroad
safety statutes, regulations, and orders, including the civil penalty
provisions codified primarily at 49 U.S.C. ch. 213. See 49 U.S.C. 103
and 49 CFR 1.89; 49 U.S.C. chs. 201-213. The Secretary also authorized
FRA to enforce certain hazardous materials transportation statutes,
regulations, and orders, including the civil penalty provisions,
relating to railroad transportation. See 49 CFR 1.89; 49 U.S.C. ch.
51.\1\ FRA currently has safety regulations in 34 parts of the CFR that
contain provisions establishing the agency's authority to impose civil
penalties if a person violates any requirement in the pertinent portion
of a statute or the CFR, and 32 CFR parts containing FRA regulations
include an appendix with a civil penalty schedule or guidelines.
---------------------------------------------------------------------------
\1\ Civil penalties related to hazardous materials
transportation statutes, regulations, or orders administered by
other agencies, such as the Pipeline and Hazardous Materials Safety
Administration, are not affected by this rule.
---------------------------------------------------------------------------
Since 1988, FRA has included the civil penalties schedules or
guidelines as an appendix in the corresponding CFR part. Civil
penalties schedules and guidelines are not regulations nor are they
subject to notice-and-comment requirements. They are merely policy
statements that do not bind FRA. Instead, FRA retains full discretion
to assess civil penalties for violations that are between the minimum
and maximum amounts authorized by statute and adjusted for
inflation.\2\ Yet, their place in the CFR has necessitated that any
changes to them, including adjustments for inflation required by
federal law, be published in the Federal Register.
---------------------------------------------------------------------------
\2\ For railroad safety violations, the current statutory
minimum civil penalty is $870, the ordinary maximum civil penalty is
$28,474, and the aggravated maximum civil penalty is $113,894. See
83 FR 60732 (Nov. 27, 2018). For hazardous materials violations, the
current statutory minimum civil penalty (for violations relating to
training) is $481, the ordinary maximum civil penalty is $79,976,
and the aggravated maximum civil penalty is $186,610. Id.
---------------------------------------------------------------------------
Like other federal agencies, FRA is charged by the page for each
page in its segment of the CFR, namely title 49, parts 200-299.
Currently, the annual rate is $85 per page.\3\ FRA, like other
agencies, is also charged for each column it prints in the Federal
Register, currently at a rate of $151 per column.\4\
---------------------------------------------------------------------------
\3\ See GPO Circular Letter No. 1007 (June 4, 2018), available
at https://www.gpo.gov/how-to-work-with-us/agency/circular-letters/open-requisitions-sf1-for-federal-register-and-code-of-federal-regulations.
\4\ Id.
---------------------------------------------------------------------------
In this final rule, FRA is removing the civil penalties schedules
and guidelines from 49 CFR parts 200-299 and updating references to the
schedules and guidelines to reflect their new location on the FRA
website, without substantive change.\5\ This move will end the
unnecessary costs of amending the schedules and guidelines through the
Federal Register and printing them in the CFR. At the same time,
locating the schedules and guidelines on the FRA website will improve
public access to those statements of agency policy and simplify
enforcement by grouping all schedules and guidelines into one location.
Changes for inflation to the minimum, maximum, and aggravated maximum
penalty amounts will still be published in the Federal Register, as
required by federal law.
---------------------------------------------------------------------------
\5\ This final rule redirects any references to an appendix in
the CFR that formerly contained civil penalties schedules and
guidelines to FRA's website at www.fra.dot.gov. FRA's main website
(www.fra.dot.gov) will contain a link to FRA's civil penalties
guidance website (www.fra.dot.gov/Page/P1155) linking to a tabbed
workbook containing each respective CFR part's civil penalties
table. Language referring to either a ``statement of agency civil
penalty policy'' or ``schedule of civil penalty amounts'' is
maintained from the existing CFR. See, e.g., 49 CFR 214.5; 49 CFR
222.11.
---------------------------------------------------------------------------
Public Participation
FRA is proceeding to a final rule without a notice of proposed
rulemaking or an opportunity for public comment. The civil penalties
schedules and guidelines, and therefore this rule to move those
schedules and guidelines to FRA's website without substantive change,
are general statements of policy. As such, the notice and comment
procedures under the Administrative Procedure Act (APA), 5 U.S.C.
553(b)(3)(A), do not apply.
Regulatory Impact
A. Executive Orders 12866, 13771, and DOT Regulatory Policies and
Procedures
FRA evaluated this final rule consistent with Executive Order 12866
(Regulatory Planning and Review), Executive Order 13771 (Reducing
Regulation and Controlling Regulatory Costs), and DOT policies and
procedures. See 44 FR 11034, Feb. 26, 1979; 76 FR 3821, Jan. 21, 2011;
and 82 FR 9339, Jan. 30, 2017. In this final rule, FRA solely replaces
statements of agency policy with references to the statements' new
location on the FRA website, and is not a significant regulatory action
under section 3(f) of Executive Order 12866.
FRA will realize cost savings from not printing the civil penalties
schedules and guidelines in the yearly CFR revision, and therefore this
rulemaking is a deregulatory action under Executive Order 13771.
Counting the number of pages in the current CFR (as revised Oct. 1,
2018) used by the civil penalties schedules and guidelines, FRA
estimates 80.5 fewer pages would be printed in each CFR revision. The
migration of the civil penalties schedules and guidelines is a one-time
occurrence; however, the cost savings accrue annually, and therefore
FRA
[[Page 23731]]
accounts for them as a yearly cost savings. Also, FRA will realize cost
savings from not publishing civil penalty schedules in the Federal
Register associated with new regulations and amendments to existing
regulations. As mentioned, the annual updates for inflation only affect
the minimum, maximum, and aggravated maximum penalties, which will
continue to be published, resulting in no cost savings. To account for
publishing fewer civil penalty schedules associated with new
regulations, FRA estimates it published 5 new regulations in the
Federal Register in the last 10 years, or one-half regulation per year.
Each regulation had a corresponding civil penalty schedule occupying
approximately 3 columns in the Federal Register, or 1.5 columns per
one-half regulation per year. In addition, FRA estimates allocating 3
columns per year will sufficiently cover changes to civil penalty
schedules published for amendments to existing regulations, for a total
Federal Register savings of 4.5 columns per year. The cost savings are
monetized using the publication costs noted earlier, and illustrated in
the table below. FRA uses a 10-year period of analysis in estimating
future cost savings to reflect a reasonable regulatory cycle for new
regulations and review of existing regulations.
Table A-1--Cost Savings From Not Publishing Civil Monetary Penalty Schedules in the CFR and the Federal Register
----------------------------------------------------------------------------------------------------------------
Federal Register
CFR (80.5 pages (4.5 columns Total cost
Year @$85 per page) @$151 per savings
column)
----------------------------------------------------------------------------------------------------------------
2019...................................................... $6,842.50 $679.50 $7,522.00
2020...................................................... 6,842.50 679.50 7,522.00
2021...................................................... 6,842.50 679.50 7,522.00
2022...................................................... 6,842.50 679.50 7,522.00
2023...................................................... 6,842.50 679.50 7,522.00
2024...................................................... 6,842.50 679.50 7,522.00
2025...................................................... 6,842.50 679.50 7,522.00
2026...................................................... 6,842.50 679.50 7,522.00
2027...................................................... 6,842.50 679.50 7,522.00
2028...................................................... 6,842.50 679.50 7,522.00
----------------------------------------------------------------------------------------------------------------
Total Undiscounted Cost Savings, Nominal...................................................... 75,220
Present Value (PV) of Total Cost Savings Discounted at 7%..................................... 52,831
Present Value (PV) of Total Cost Savings Discounted at 3%..................................... 64,164
Total Annualized Cost Savings Using 7% Discount Rate.......................................... 7,522
Total Annualized Cost Savings Using 3% Discount Rate.......................................... 7,522
----------------------------------------------------------------------------------------------------------------
B. Regulatory Flexibility Act and Executive Order 13272
The Regulatory Flexibility Act of 1980 (RFA), Public Law 96-354, as
amended, and codified as amended at 5 U.S.C. 601-612, and Executive
Order 13272 (Proper Consideration of Small Entities in Agency
Rulemaking), require agency review of proposed and final rules to
assess their impact on ``small entities'' for purposes of the RFA. An
agency must prepare a regulatory flexibility analysis unless it
determines and certifies that a rule is not expected to have a
significant economic impact on a substantial number of small entities.
FRA does not expect this final rule will have a significant economic
impact on a substantial number of small entities. Although this final
rule will apply to railroads, hazardous materials shippers, and others
that are considered small entities, there is no economic impact on any
person who complies or is required to comply with the Federal railroad
safety laws and the regulations and orders issued under those laws, and
the Federal hazardous materials laws and the regulations, special
permits, approvals, and orders issued under those laws, because the
rule does not change any penalty to which an entity could be subject.
In addition, FRA has determined the RFA does not apply to this
rulemaking. FRA is not required to publish its civil penalty schedules
and guidelines in the CFR, and the civil penalties schedules and
guidelines are general statements of policy, thus the APA notice and
comment procedures do not apply to the either penalty schedules
themselves or the policy decision to change their location. The Small
Business Administration's A Guide for Government Agencies: How to
Comply with the Regulatory Flexibility Act (2003), provides that:
If, under the APA or any rule of general applicability governing
federal grants to state and local governments, the agency is
required to publish a general notice of proposed rulemaking (NPRM),
the RFA must be considered [citing 5 U.S.C. 604(a)]. . . .If an NPRM
is not required, the RFA does not apply.
Therefore, because FRA is not required to publish the schedules and
guidelines in the CFR, the RFA does not apply.
C. Federalism
Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 10, 1999),
requires FRA to develop an accountable process to ensure ``meaningful
and timely input by State and local officials in the development of
regulatory policies that have federalism implications.'' ``Policies
that have federalism implications'' are defined in the Executive Order
to include regulations that have ``substantial direct effects on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government.'' This final rule will not have a
substantial effect on the States, on the relationship between the
national government and the States, or the distribution of power and
responsibilities among the various levels of government. Thus,
consistent with Executive Order 13132, FRA is not required to prepare a
Federalism assessment.
D. Paperwork Reduction Act
There are no new information collection requirements in this final
rule
[[Page 23732]]
to submit for OMB review under the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.).
E. Unfunded Mandates Reform Act of 1995
This final rule will not result in the expenditure, in the
aggregate, of $100,000,000 or more, adjusted for inflation, in any one
year by State, local, or Indian Tribal governments, or the private
sector. Thus, consistent with Section 202 of the Unfunded Mandates
Reform Act of 1995 (Pub. L. 104-4, 2 U.S.C. 1532), FRA is not required
to prepare a written statement detailing the effect of such an
expenditure.
F. Environmental Impact
FRA has evaluated this final rule under the National Environmental
Policy Act (NEPA; 42 U.S.C. 4321 et seq.), other environmental
statutes, related regulatory requirements, and its ``Procedures for
Considering Environmental Impacts'' (FRA's NEPA Procedures) (64 FR
28545, May 26, 1999). FRA has determined that this final rule is
categorically excluded from detailed environmental review pursuant to
section 4(c)(20) of FRA's NEPA Procedures, ``Promulgation of railroad
safety rules and policy statements that do not result in significantly
increased emissions of air or water pollutants or noise or increased
traffic congestion in any mode of transportation.'' See 64 FR 28547,
May 26, 1999. Categorical exclusions (CEs) are actions identified in an
agency's NEPA implementing procedures that do not normally have a
significant impact on the environment and therefore do not require
either an environmental assessment (EA) or environmental impact
statement (EIS). See 40 CFR 1508.4.
In analyzing the applicability of a CE, the agency must also
consider whether extraordinary circumstances warrant a more detailed
environmental review through the preparation of an EA or EIS. See id.
The purpose of this rulemaking is to make FRA-maintained civil penalty
schedules and guidelines more easily available. Specifically, FRA is
removing civil penalty schedules and guidelines under its authority
from the CFR and replacing references to them with references to their
new location on FRA's website. Under section 4(c) and (e) of FRA's NEPA
Procedures, FRA has concluded no extraordinary circumstances exist with
respect to this regulation that might trigger the need for a more
detailed environmental review.
FRA does not anticipate any environmental impacts from this final
rule and finds there are no extraordinary circumstances present in
connection with this final rule.
G. Executive Order 12898 (Environmental Justice)
Executive Order 12898, Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations, and DOT
Order 5610.2(a) (91 FR 27534, May 10, 2012) require DOT agencies to
achieve environmental justice as part of their mission by identifying
and addressing, as appropriate, disproportionately high and adverse
human health or environmental effects, including interrelated social
and economic effects, of their programs, policies, and activities on
minority populations and low-income populations. The DOT Order
instructs DOT agencies to address compliance with Executive Order 12898
and requirements within the DOT Order in rulemaking activities, as
appropriate. FRA has evaluated this final rule under Executive Order
12898 and the DOT Order and has determined that it would not cause
disproportionately high and adverse human health and environmental
effects on minority populations or low-income populations.
H. Executive Order 13175 (Tribal Consultation)
FRA has evaluated this final rule under the principles and criteria
contained in Executive Order 13175, Consultation and Coordination with
Indian Tribal Governments, dated November 6, 2000. The final rule would
not have a substantial direct effect on one or more Indian tribes,
would not impose substantial direct compliance costs on Indian tribal
governments, and would not preempt tribal laws. Therefore, the funding
and consultation requirements of Executive Order 13175 do not apply,
and FRA is not required to prepare a tribal summary impact statement.
List of Subjects
49 CFR Part 209
Administrative practice and procedure, Hazardous materials
transportation, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 213
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 214
Bridges, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 215
Freight, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Parts 217, 221, 224, 229, 230, 232, 233, and 239
Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 218
Occupational safety and health, Penalties, Railroad employees,
Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 219
Alcohol abuse, Drug abuse, Drug testing, Penalties, Railroad
safety, Reporting and recordkeeping requirements, Safety,
Transportation.
49 CFR Part 220
Penalties, Radio, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 222
Administrative practice and procedure, Penalties, Railroad safety,
Reporting and recordkeeping requirements.
49 CFR Part 223
Glazing standards, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 225
Investigations, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 227
Noise control, Occupational safety and health, Penalties, Railroad
safety, Reporting and recordkeeping requirements.
49 CFR Part 228
Penalties, Railroad employees, Reporting and recordkeeping
requirements.
49 CFR Part 231
Penalties, Railroad safety.
49 CFR Part 234
Highway safety, Penalties, Railroad safety, Reporting and
recordkeeping requirements, State and local governments.
49 CFR Part 235
Administrative practice and procedure, Penalties, Railroad safety,
Railroad signals, Reporting and recordkeeping requirements.
[[Page 23733]]
49 CFR Part 236
Penalties, Positive Train Control, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 237
Bridges, Penalties, Railroad safety, Reporting and recordkeeping
requirements.
49 CFR Part 238
Fire prevention, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 240
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 241
Communications, Penalties, Railroad safety, Reporting and
recordkeeping requirements.
49 CFR Part 242
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 243
Administrative practice and procedure, Penalties, Railroad
employees, Railroad safety, Reporting and recordkeeping requirements.
49 CFR Part 270
Penalties, Railroad safety, Reporting and recordkeeping
requirements, System safety.
49 CFR Part 272
Penalties, Railroad employees, Railroad safety, Railroads, Safety,
Transportation.
The Final Rule
In consideration of the foregoing, parts 209, 213, 214, 215, 217,
218, 219, 220, 221, 222, 223, 224, 225, 227, 228, 229, 230, 231, 232,
233, 234, 235, 236, 237, 238, 239, 240, 241, 242, 243, 270, and 272 of
subtitle B, chapter II of title 49 of the Code of Federal Regulations
are amended as follows:
PART 209--[AMENDED]
0
1. The authority citation for part 209 continues to read as follows:
Authority: 49 U.S.C. 5123, 5124, 20103, 20107, 20111, 20112,
20114; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
2. Revise the last sentence of Sec. 209.105(a) to read as follows:
Sec. 209.105 Notice of probable violation.
(a) * * * FRA's website at www.fra.dot.gov contains guidelines used
by the chief counsel in making initial penalty assessments.
* * * * *
0
3. In appendix A to part 209, revise the section entitled ``Penalty
Schedules; Assessment of Maximum Penalties'' to read as follows:
Appendix A to Part 209--Statement of Agency Policy Concerning
Enforcement of the Federal Railroad Safety Laws
* * * * *
Penalty Schedules; Assessment of Maximum Penalties
As recommended by the Department of Transportation in its
initial proposal for rail safety legislative revisions in 1987, the
RSIA raised the maximum civil penalties for violations of the
Federal rail safety laws, regulations, or orders. Id., secs. 3, 13-
15, 17. Pursuant to sec. 16 of RSIA, the penalty for a violation of
the Hours of Service Act was changed from a flat $500 to a penalty
of up to $1,000, as the Secretary of Transportation deems
reasonable. Under all the other statutes, and regulations and orders
under those statutes, the maximum penalty was raised from $2,500 to
$10,000 per violation, except that where a grossly negligent
violation or a pattern of repeated violations has created an
imminent hazard of death or injury to persons, or has caused death
or injury, the penalty was raised to a maximum of $20,000 per
violation (``the aggravated maximum penalty'').
The Rail Safety Enforcement and Review Act (RSERA), Pub. L. 102-
365, 106 Stat. 972, enacted in 1992, increased the maximum penalty
from $1,000 to $10,000, and provided for an aggravated maximum
penalty of $20,000 for a violation of the Hours of Service Act,
making these penalty amounts uniform with those of FRA's other
safety laws, regulations, and orders. RSERA also increased the
minimum civil monetary penalty from $250 to $500 for all of FRA's
safety regulatory provisions and orders. Id., sec. 4(a).
The Federal Civil Penalties Inflation Adjustment Act of 1990,
Pub. L. 101-410, 104 Stat. 890, note, as amended by Section
31001(s)(1) of the Debt Collection Improvement Act of 1996 (Pub. L.
104-134, 110 Stat. 1321-373, April 26, 1996) (Inflation Act)
required that agencies adjust by regulation each minimum and maximum
civil monetary penalty within the agency's jurisdiction for
inflation and make subsequent adjustments once every four years
after the initial adjustment. Accordingly, FRA's minimum and maximum
civil monetary penalties have been periodically adjusted, pursuant
to the Inflation Act, through rulemaking.
The Rail Safety Improvement Act of 2008 (``RSIA of 2008''),
enacted October 16, 2008, raised FRA's civil monetary ordinary and
aggravated maximum penalties to $25,000 and $100,000 respectively.
FRA amended the civil penalty provisions in its regulations so as to
make $25,000 the ordinary maximum penalty per violation and $100,000
the aggravated maximum penalty per violation, as authorized by the
RSIA of 2008, in a final rule published on December 30, 2008 in the
Federal Register. The December 30, 2008 final rule also adjusted the
minimum civil penalty from $550 to $650 pursuant to Inflation Act
requirements. A correcting amendment to the civil penalty provisions
in 49 CFR part 232 was published on April 6, 2009.
Effective June 25, 2012, the aggravated maximum penalty was
raised from $100,000 to $105,000 pursuant to the Inflation Act.
On November 2, 2015, President Barack Obama signed the Federal
Civil Penalties Inflation Adjustment Act Improvements Act of 2015
(the 2015 Inflation Act). Pub. L. 114-74, Sec. 701. Under the 2015
Inflation Act, agencies must make a catch-up adjustment for civil
monetary penalties with the new penalty levels published by July 1,
2016, to take effect no later than August 1, 2016. Moving forward,
agencies must make annual inflationary adjustments, starting January
15, 2017, based on Office of Management and Budget guidance. Under
the 2015 Inflation Act, effective April 3, 2017, the minimum civil
monetary penalty was raised from $839 to $853, the ordinary maximum
civil monetary penalty was raised from $27,455 to $27,904, and the
aggravated maximum civil monetary penalty was raised from $109,819
to $111,616. Effective November 27, 2018, the minimum civil monetary
penalty was raised from $853 to $870, the ordinary maximum civil
monetary penalty was raised from $27,904 to $28,474, and the
aggravated maximum civil monetary penalty was raised from $111,616
to $113,894.
FRA's traditional practice has been to issue penalty schedules
assigning to each particular regulation or order specific dollar
amounts for initial penalty assessments. The schedule (except where
issued after notice and an opportunity for comment) constitutes a
statement of agency policy and was historically issued as an
appendix to the relevant part of the Code of Federal Regulations.
Schedules are now published on FRA's website at www.fra.dot.gov. For
each regulation or order, the schedule shows two amounts within the
$870 to $28,474 range in separate columns, the first for ordinary
violations, the second for willful violations (whether committed by
railroads or individuals). In one instance--49 CFR part 231--the
schedule refers to sections of the relevant FRA defect code rather
than to sections of the CFR text. Of course, the defect code, which
is simply a reorganized version of the CFR text used by FRA to
facilitate computerization of inspection data, is substantively
identical to the CFR text.
The schedule amounts are meant to provide guidance as to FRA's
policy in predictable situations, not to bind FRA from using the
full range of penalty authority where extraordinary circumstances
warrant. The Senate report on the bill that became the RSIA stated:
It is expected that the Secretary would act expeditiously to set
penalty levels commensurate with the severity of the violations,
with imposition of the maximum
[[Page 23734]]
penalty reserved for violation of any regulation where warranted by
exceptional circumstances. S. Rep. No. 100-153, 10th Cong., 2d Sess.
8 (1987).
Accordingly, under each of the schedules (ordinarily in a
footnote), and regardless of the fact that a lesser amount might be
shown in both columns of the schedule, FRA reserves the right to
assess the statutory maximum penalty of up to $113,894 per violation
where a pattern of repeated violations or a grossly negligent
violation has created an imminent hazard of death or injury or has
caused death or injury. FRA indicates in the penalty demand letter
when it uses the higher penalty amount instead of the penalty amount
listed in the schedule.
* * * * *
Appendix B to Part 209--[Amended]
0
4. Amend appendix B to part 209 by:
0
a. Removing ``49 CFR 172.200-.203'' and adding in its place ``49 CFR
172.200 through 172.203''; and
0
b. Removing the heading ``Civil Penalty Assessment Guidelines'' and the
two tables following the heading.
PART 213--[AMENDED]
0
5. The authority citation for part 213 continues to read as follows:
Authority: 49 U.S.C. 20102-20114 and 20142; Sec. 403, Div. A,
Pub. L. 110-432, 122 Stat. 4885; 28 U.S.C. 2461, note; and 49 CFR
1.89.
0
6. Revise the last sentence of Sec. 213.15(a) to read as follows:
Sec. 213.15 Penalties.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix B to Part 213--[Removed and Reserved]
0
7. Remove and reserve appendix B to part 213.
PART 214--[AMENDED]
0
8. The authority citation for part 214 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 21301-21302, 31304, 28
U.S.C. 2461, note; and 49 CFR 1.89.
0
9. Revise the last sentence of Sec. 214.5 to read as follows:
Sec. 214.5 Responsibility for compliance.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 214--[Removed]
0
10. Remove appendix A to part 214.
PART 215--[AMENDED]
0
11. The authority citation for part 215 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
12. Revise the last sentence of Sec. 215.7 to read as follows:
Sec. 215.7 Prohibited acts.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix B to Part 215--[Removed and Reserved]
0
13. Remove and reserve appendix B to part 215.
PART 217--[AMENDED]
0
14. The authority citation for part 217 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
15. Revise the last sentence of Sec. 217.5 to read as follows:
Sec. 217.5 Penalty.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 217--[Removed]
0
16. Remove appendix A to part 217.
PART 218--[AMENDED]
0
17. The authority citation for part 218 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
18. Revise the last sentence of Sec. 218.9 to read as follows:
Sec. 218.9 Civil penalty.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
0
19. Revise Sec. 218.41 to read as follows:
Sec. 218.41 Noncompliance with hump operations rule.
A person (including a railroad and any manager, supervisor,
official, or other employee or agent of a railroad) who fails to comply
with a railroad's operating rule issued pursuant to Sec. 218.39 is
subject to a penalty. See FRA's website at www.fra.dot.gov for a
statement of agency civil penalty policy.
0
20. Revise Sec. 218.55 to read as follows:
Sec. 218.55 Tampering prohibited.
Any individual who willfully disables a safety device is subject to
a civil penalty and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under
the procedures provided for in 49 CFR part 209. See FRA's website at
www.fra.dot.gov for a statement of agency civil penalty policy.
0
21. Revise Sec. 218.57 to read as follows:
Sec. 218.57 Responsibilities of individuals.
Any individual who knowingly operates a train, or permits it to be
operated, when the controlling locomotive of that train is equipped
with a disabled safety device, is subject to a civil penalty and to
disqualification from performing safety-sensitive functions on a
railroad if found to be unfit for such duties. See appendix B to this
part for a statement of agency enforcement policy concerning violations
of this section. See FRA's website at www.fra.dot.gov for a statement
of agency civil penalty policy.
0
22. Revise Sec. 218.59 to read as follows:
Sec. 218.59 Responsibilities of railroads.
Any railroad that operates a train when the controlling locomotive
of a train is equipped with a disabled safety device is subject to a
civil penalty. See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 218--[Removed and Reserved]
0
23. Remove and reserve appendix A to part 218.
PART 219--[AMENDED]
0
24. The authority citation for part 219 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311;
28 U.S.C. 2461, note; Sec. 412, Div. A, Pub. L. 110-432, 122 Stat.
4889 (49 U.S.C. 20140, note); and 49 CFR 1.89.
0
25. Revise the last sentence of Sec. 219.10 to read as follows:
Sec. 219.10 Penalties.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 219--[Removed and Reserved]
0
26. Remove and reserve appendix A to part 219.
PART 220--[AMENDED]
0
27. The authority citation for part 220 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20103, note, 20107, 21301-
21302, 20701-20703, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR
1.89.
0
28. Revise the last sentence of Sec. 220.7 to read as follows:
[[Page 23735]]
Sec. 220.7 Penalty.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix C to Part 220--[Removed]
0
29. Remove appendix C to part 220.
PART 221--[AMENDED]
0
30. The authority citation for part 221 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
31. Revise the last sentence of Sec. 221.7 to read as follows:
Sec. 221.7 Civil penalty.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix C to Part 221--[Removed]
0
32. Remove appendix C to part 221.
PART 222--[AMENDED]
0
33. The authority citation for part 222 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20153, 21301, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
0
34. Revise the section heading and last sentence of Sec. 222.11 to
read as follows:
Sec. 222.11 What are the penalties for failure to comply with this
part?
* * * FRA's website at www.fra.dot.gov contains a schedule of civil
penalty amounts used in connection with this part.
Appendix H to Part 222--[Removed]
0
35. Remove appendix H to part 222.
PART 223--[AMENDED]
0
36. The authority citation for part 223 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20133, 20701-20702, 21301-
21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
37. Revise the last sentence of Sec. 223.7 to read as follows:
Sec. 223.7 Responsibility.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix B to Part 223--[Removed]
0
38. Remove appendix B to part 223.
PART 224--[AMENDED]
0
39. The authority citation for part 224 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20148 and 21301; 28 U.S.C.
2461, note; and 49 CFR 1.89.
0
40. Revise the last sentence of Sec. 224.11(a) to read as follows:
Sec. 224.11 Penalties.
(a) * * * FRA's website at www.fra.dot.gov contains a schedule of
civil penalty amounts used in connection with this part.
* * * * *
Appendix A to Part 224--[Removed and Reserved]
0
41. Remove and reserve appendix A to part 224.
PART 225--[AMENDED]
0
42. The authority citation for part 225 is revised to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-20902,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
43. Revise the last sentence of Sec. 225.12(h)(1) to read as follows:
Sec. 225.12 Rail Equipment Accident/Incident Reports alleging
employee human factor as cause; Employee Human Factor Attachment;
notice to employee; employee supplement.
* * * * *
(h) * * *
(1) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
0
44. Revise the third sentence of Sec. 225.29 to read as follows:
Sec. 225.29 Penalties.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix A to Part 225--[Removed and Reserved]
0
45. Remove and reserve appendix A to part 225.
PART 227--[AMENDED]
0
46. The authority citation for part 227 continues to read as follows:
Authority: 49 U.S.C. 20103, 20103, note, 20701-20702; 28 U.S.C.
2461, note; and 49 CFR 1.89.
0
47. Revise the last sentence of Sec. 227.9(a) to read as follows:
Sec. 227.9 Penalties.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix G to Part 227--[Removed]
0
48. Remove appendix G to part 227.
PART 228--[AMENDED]
0
49. The authority citation for part 228 is revised to read as follows:
Authority: 49 U.S.C. 103, 20103, 20107, 21101-21109; Sec. 108,
Div. A, Pub. L. 110-432, 122 Stat. 4860-4866, 4893-4894; 49 U.S.C.
21301, 21303, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
50. Revise the third sentence of Sec. 228.6(a) to read as follows:
Sec. 228.6 Penalties.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy. * * *
* * * * *
Appendix B to Part 228--[Removed and Reserved]
0
51. Remove and reserve appendix B to part 228.
PART 229--[AMENDED]
0
52. The authority citation for part 229 continues to read as follows:
Authority: 49 U.S.C. 103, 322(a), 20103, 20107, 20901-02,
21301, 21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
53. Revise the last sentence of Sec. 229.7(b) to read as follows:
Sec. 229.7 Prohibited acts and penalties.
* * * * *
(b) * * * FRA's website at www.fra.dot.gov contains a statement of
agency civil penalty policy.
* * * * *
Appendix B to Part 229--[Removed and Reserved]
0
54. Remove and reserve appendix B to part 229.
PART 230--[AMENDED]
0
55. The authority citation for part 230 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20702; 28 U.S.C. 2461, note;
and 49 CFR 1.89.
Appendix D to Part 230--[Removed]
0
56. Remove appendix D to part 230.
PART 231--[AMENDED]
0
57. The authority citation for part 231 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20131, 20301-20303,
21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
58. Revise the last sentence of Sec. 231.0(f) to read as follows:
Sec. 231.0 Applicability and penalties.
* * * * *
[[Page 23736]]
(f) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
0
59. Revise the last sentence of Sec. 231.33(g) to read as follows:
Sec. 231.33 Procedure for special approval of existing industry
safety appliance standards.
* * * * *
(g) * * * Civil penalties will be assessed under this part by using
the applicable defect code in the statement of agency civil penalty
policy on FRA's website at www.fra.dot.gov.
0
60. Revise the last sentence of Sec. 231.35(g) to read as follows:
Sec. 231.35 Procedure for modification of an approved industry safety
appliance standard for new railcar construction.
* * * * *
(g) * * * Civil penalties will be assessed under this part by using
the applicable defect code in the statement of agency civil penalty
policy on FRA's website at www.fra.dot.gov.
Appendix A to Part 231--[Removed]
0
61. Remove appendix A to part 231.
PART 232--[AMENDED]
0
62. The authority citation for part 232 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20301-
20303, 20306, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49 CFR
1.89.
0
63. Revise the last sentence of Sec. 232.11(a) to read as follows:
Sec. 232.11 Penalties.
(a) * * * FRA's website at www.fra.dot.gov contains a schedule of
civil penalty amounts used in connection with this part.
* * * * *
0
64. Revise the first sentence of Sec. 232.213(b) to read as follows:
Sec. 232.213 Extended haul trains.
* * * * *
(b) Failure to comply with any of the requirements contained in
paragraph (a) of this section will be considered an improper movement
of a designated priority train for which appropriate civil penalties
may be assessed as outlined in the statement of civil penalty policy on
FRA's website at www.fra.dot.gov.
* * * * *
Appendix A to Part 232--[Removed and Reserved]
0
65. Remove and reserve appendix A to part 232.
PART 233--[AMENDED]
0
66. The authority citation for part 233 continues to read as follows:
Authority: 49 U.S.C. 504, 522, 20103, 20107, 20501-20505,
21301, 21302, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
67. Revise the last sentence of Sec. 233.11 to read as follows:
Sec. 233.11 Civil penalties.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 233--[Removed]
0
68. Remove appendix A to part 233.
PART 234--[AMENDED]
0
69. The authority citation for part 234 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20152, 20160, 21301, 21304,
21311, 22501 note; Pub. L. 110-432, Div. A., Sec. 202, 28 U.S.C.
2461, note; and 49 CFR 1.89.
0
70. Amend Sec. 234.6 by removing ``Sec. 234.11 of this part''
everywhere it appears and adding ``Sec. 234.11'' in its place and
revising the third sentence of paragraph (a) to read as follows:
Sec. 234.6 Penalties.
(a) * * * FRA's website at www.fra.dot.gov contains a schedule of
civil penalty amounts used in connection with this part. * * *
* * * * *
Appendix A to Part 234--[Removed and Reserved]
0
71. Remove and reserve appendix A to part 234.
PART 235--[AMENDED]
0
72. The authority citation for part 235 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
73. Revise the last sentence of Sec. 235.9 to read as follows:
Sec. 235.9 Civil penalty.
* * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
Appendix A to Part 235--[Removed]
0
74. Remove appendix A to part 235.
PART 236--[AMENDED]
0
75. The authority citation for part 236 is revised to read as follows:
Authority: 49 U.S.C. 20102-20103, 20107, 20133, 20141, 20157,
20301-20303, 20306, 20501-20505, 20701-20703, 21301-21302, 21304; 28
U.S.C. 2461, note; and 49 CFR 1.89.
0
76. Revise the last sentence of Sec. 236.0(f) to read as follows:
Sec. 236.0 Applicability, minimum requirements, and penalties.
* * * * *
(f) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix A to Part 236--[Removed and Reserved]
0
77. Remove and reserve appendix A to part 236.
PART 237--[AMENDED]
0
78. The authority citation for part 237 continues to read as follows:
Authority: 49 U.S.C. 20102-20114; Pub. L. 110-432, Div. A, Sec.
417; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
79. Revise the last sentence of Sec. 237.7(a) to read as follows:
Sec. 237.7 Penalties.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix B to Part 237--[Removed]
0
80. Remove appendix B to part 237.
PART 238--[AMENDED]
0
81. The authority citation for part 238 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-20303,
20306, 20701-20702, 21301-21302, 21304; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
82. Revise the last sentence of Sec. 238.11(a) to read as follows:
Sec. 238.11 Penalties.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
0
83. Revise the last sentence of Sec. 238.229(d) to read as follows:
Sec. 238.229 Safety appliances--general.
* * * * *
(d) * * * When appropriate, civil penalties for improperly using or
hauling a piece of equipment with a defective welded safety appliance
or safety appliance bracket or support addressed in this section will
be assessed as an improperly applied safety appliance pursuant to the
penalty schedule on FRA's website at www.fra.dot.gov under the
appropriate defect code contained therein.
* * * * *
0
84. In Sec. 238.230, revise the last sentence of paragraph (c)
introductory
[[Page 23737]]
text, add a heading for paragraph (e), and revise the last sentence of
paragraph (e) to read as follows:
Sec. 238.230 Safety appliances--new equipment.
* * * * *
(c) * * * When appropriate, civil penalties for improperly using or
hauling a piece of equipment with a defective welded safety appliance
or safety appliance bracket or support addressed in this section will
be assessed pursuant to the penalty schedule on FRA's website at
www.fra.dot.gov under the appropriate defect code contained therein.
* * * * *
(e) Civil penalties. * * * Civil penalties will be assessed under
part 231 of this chapter by using the applicable defect code contained
on FRA's website at www.fra.dot.gov.
Appendix A to Part 238--[Removed and Reserved]
0
85. Remove and reserve appendix A to part 238.
PART 239--[AMENDED]
0
86. The authority citation for part 239 continues to read as follows:
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301,
21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
87. Revise the last sentence of Sec. 239.11 to read as follows:
Sec. 239.11 Penalties.
* * * FRA's website at www.fra.dot.gov contains a schedule of civil
penalty amounts used in connection with this part.
Appendix A to Part 239--[Removed]
0
88. Remove appendix A to part 239.
PART 240--[AMENDED]
0
89. The authority citation for part 240 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 21301, 21304, 21311;
28 U.S.C. 2461, note; and 49 CFR 1.89.
0
90. Revise the last sentence of Sec. 240.11(a) to read as follows:
Sec. 240.11 Penalties and consequences for noncompliance.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix A to Part 240--[Removed and Reserved]
0
91. Remove and reserve appendix A to part 240.
PART 241--[AMENDED]
0
92. The authority citation for part 241 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311; 28
U.S.C. 2461, note; 49 CFR 1.89.
Appendix B to Part 241--[Removed and Reserved]
0
93. Remove and reserve appendix B to part 241.
PART 242--[AMENDED]
0
94. The authority citation for part 242 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20135, 20138, 20162, 20163,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
95. Revise the last sentence of Sec. 242.11(a) to read as follows:
Sec. 242.11 Penalties and consequences for noncompliance.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix A to Part 242--[Removed and Reserved]
0
96. Remove and reserve appendix A to part 242.
PART 243--[AMENDED]
0
97. The authority citation for part 243 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20131-20155, 20162, 20301-
20306, 20701-20702, 21301-21304, 21311; 28 U.S.C. 2461, note; and 49
CFR 1.89.
0
98. Revise the last sentence of Sec. 243.7(a) to read as follows:
Sec. 243.7 Penalties and consequences for noncompliance.
(a) * * * See FRA's website at www.fra.dot.gov for a statement of
agency civil penalty policy.
* * * * *
Appendix to Part 243--[Removed]
0
99. Remove the appendix to part 243.
PART 270--[AMENDED]
0
100. The authority citation for part 270 continues to read as follows:
Authority: 49 U.S.C. 20103, 20106-20107, 20118-20119, 20156,
21301, 21304, 21311; 28 U.S.C. 2461, note; and 49 CFR 1.89.
0
101. The stay of 49 CFR part 270 is lifted.
0
102. Revise the last sentence of Sec. 270.7(a) to read as follows:
Sec. 270.7 Penalties and responsibility for compliance.
(a) * * * FRA's website at www.fra.dot.gov contains a schedule of
civil penalty amounts used in connection with this part.
* * * * *
Appendix A to Part 270--[Removed and Reserved]
0
103. Remove and reserve appendix A to part 270.
0
104. Title 49 CFR part 270 is stayed until September 4, 2019.
PART 272--[AMENDED]
0
105. The authority citation for part 272 continues to read as follows:
Authority: 49 U.S.C. 20103, 20107, 20109, note; 28 U.S.C. 2461,
note; 49 CFR 1.89; and sec. 410, Div. A, Pub. L. 110-432, 122 Stat.
4888.
Appendix A to Part 272--[Removed]
0
106. Remove appendix A to part 272.
Issued in Washington, DC.
Ronald L. Batory,
Administrator.
[FR Doc. 2019-09979 Filed 5-22-19; 8:45 am]
BILLING CODE 4910-06-P
