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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR233]

[Page 483-484]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS--Table of Contents


Sec.
233.1 Scope.
233.3 Application.
233.5 Accidents resulting from signal failure.
233.7 Signal failure reports.
233.9 Reports.
233.11 Civil penalties.
233.13 Criminal penalty.

Appendix A to Part 233--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 49 FR 3379, Jan. 26, 1984, unless otherwise noted.

Sec. 233.1  Scope.

    This part prescribed reporting requirements with respect to methods 
of train operation, block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, and cab signal systems, or 
other similar appliances, methods, and systems.

Sec. 233.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.

Sec. 233.5  Accidents resulting from signal failure.

    Each carrier shall report within 24 hours to the Federal Railroad 
Administration by toll free telephone, number 800-424-0201, whenever it 
learns of the occurrence of an accident/incident arising from the 
failure of an appliance, device, method or system to function or 
indicate as required by part 236 of this title that results in a more 
favorable aspect than intended or other condition hazardous to the 
movement of a train.

    Effective Date Note: At 49 FR 3379, Jan. 26, 1984, part 233 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

Sec. 233.7  Signal failure reports.

    Each carrier shall report within 15 days each failure of an 
appliance, device, method, or system to function or indicate as required 
by part 236 of this title that results in a more favorable aspect than 
intended or other condition hazardous to the movement of a train. Form 
FRA F6180-14, ``Signal Failure Report,'' shall be used for this purpose 
and completed in accordance with instructions printed on the form.

(Approved by the Office of Management and Budget under control number 
2130-0007)

Sec. 233.9  Reports.

    Not later than April 1, 1997 and every 5 years thereafter, each 
carrier shall file with FRA a signal system status report ``Signal 
System Five-year Report'' on a form to be provided by FRA in accordance 
with instructions and definitions provided on the report.

[61 FR 33872, July 1, 1996]

Sec. 233.11  Civil penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but

[[Page 484]]

not limited to the following: a railroad; a manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, 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, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]

Sec. 233.13  Criminal penalty.

    Whoever knowingly and willfully--
    (a) Makes, causes to be made, or participates in the making of a 
false entry in reports required to be filed by this part; or
    (b) Files a false report or other document required to be filed by 
this part is subject to a $5,000 fine and 2 years imprisonment as 
prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal 
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).

         Appendix A to Part 233--Schedule of Civil Penalties\1\
---------------------------------------------------------------------------

    \1\ A penalty may be assessed against an individual only for a 
willful violation. The Administrator reserves the right to assess a 
penalty of up to $22,000 for any violation where circumstances warrant. 
See 49 CFR part 209, appendix A.

------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
233.5 Accidents resulting from signal failure.       $2,500       $5,000
233.7 Signal failure reports..................        5,000        7,500
233.9 Annual reports..........................        1,000        2,000
------------------------------------------------------------------------


[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998]