[Title 49 CFR 239]
[Code of Federal Regulations (annual edition) - October 1, 2006 Edition]
[Title 49 - TRANSPORTATION]
[Subtitle B - Other Regulations Relating to Transportation (Continued)]
[Chapter II - FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF]
[Part 239 - PASSENGER TRAIN EMERGENCY PREPAREDNESS]
[From the U.S. Government Publishing Office]
49TRANSPORTATION42006-10-012006-10-01falsePASSENGER TRAIN EMERGENCY PREPAREDNESS239PART 239TRANSPORTATIONOther Regulations Relating to Transportation (Continued)FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF
PART 239_PASSENGER TRAIN EMERGENCY PREPAREDNESS--Table of Contents
Subpart A_General
Sec.
239.1 Purpose and scope.
239.3 Application.
239.5 Preemptive effect.
239.7 Definitions.
239.9 Responsibility for compliance.
239.11 Penalties.
239.13 Waivers.
239.15 Information collection.
Subpart B_Specific Requirements
239.101 Emergency preparedness plan.
239.103 Passenger train emergency simulations.
239.105 Debriefing and critique.
239.107 Emergency exits.
Subpart C_Review, Approval, and Retention of Emergency Preparedness
Plans
239.201 Emergency preparedness plan; filing and approval.
239.203 Retention of emergency preparedness plan.
Subpart D_Operational (Efficiency) Tests; Inspection of Records and
Recordkeeping
239.301 Operational (efficiency) tests.
239.303 Electronic recordkeeping.
Appendix A to Part 239--Schedule of Civil Penalties
Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 21304,
and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(c), (g), (m).
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Source: 63 FR 24676, May 4, 1998, unless otherwise noted.
Subpart A_General
Sec. 239.1 Purpose and scope.
(a) The purpose of this part is to reduce the magnitude and severity
of casualties in railroad operations by ensuring that railroads involved
in passenger train operations can effectively and efficiently manage
passenger train emergencies.
(b) This part prescribes minimum Federal safety standards for the
preparation, adoption, and implementation of emergency preparedness
plans by railroads connected with the operation of passenger trains, and
requires each affected railroad to instruct its employees on the
provisions of its plan. This part does not restrict railroads from
adopting and enforcing additional or more stringent requirements not
inconsistent with this part.
Sec. 239.3 Application.
(a) Except as provided in paragraph (b) of this section, this part
applies to all:
(1) Railroads that operate intercity or commuter passenger train
service on standard gage track which is part of the general railroad
system of transportation;
(2) Railroads that provide commuter or other short-haul rail
passenger train service in a metropolitan or suburban area (as described
by 49 U.S.C. 20102(1)), including public authorities operating passenger
train service; and
(3) Passenger or freight railroads hosting the operation of
passenger train service described in paragraph (a)(1) or (a)(2) of this
section.
(b) This part does not apply to:
(1) Rapid transit operations in an urban area that are not connected
with the general railroad system of transportation;
(2) Operation of private cars, including business/office cars and
circus trains; or
(3) Tourist, scenic, historic, or excursion operations, whether on
or off the general railroad system.
Sec. 239.5 Preemptive effect.
Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad
Safety Act of 1970 (45 U.S.C. 434)), issuance of this part preempts any
State law, rule, regulation, order, or standard covering the same
subject matter, except a provision necessary to eliminate or reduce an
essentially local safety hazard, that is not incompatible with Federal
law or regulation and does not unreasonably burden interstate commerce.
Sec. 239.7 Definitions.
As used in this part--
Adjacent rail modes of transportation means other railroads,
trolleys, light rail, heavy transit, and other vehicles operating on
rails or electromagnetic guideways which are expressly identified in a
railroad's emergency preparedness plan.
Administrator means the Administrator of the Federal Railroad
Administration or the Administrator's delegate.
Control center means a central location on a railroad with
responsibility for directing the safe movement of trains.
Crewmember means a person, other than a passenger, who is assigned
to perform either:
(1) On-board functions connected with the movement of the train
(i.e., an employee of a railroad, or of a contractor to a railroad, who
is assigned to perform service subject to the Federal hours of service
laws during a tour of duty) or
(2) On-board functions in a sleeping car or coach assigned to
intercity service, other than food, beverage, or security service.
Division headquarters means the location designated by the railroad
where a high-level operating manager (e.g., a superintendent, division
manager, or equivalent), who has jurisdiction over a portion of the
railroad, has an office.
Emergency or emergency situation means an unexpected event related
to the operation of passenger train service involving a significant
threat to the safety or health of one or more persons requiring
immediate action, including:
(1) A derailment;
(2) A fatality at a grade crossing;
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(3) A passenger or employee fatality, or a serious illness or injury
to one or more passengers or crewmembers requiring admission to a
hospital;
(4) An evacuation of a passenger train; and
(5) A security situation (e.g., a bomb threat).
Emergency preparedness plan means one or more documents focusing on
preparedness and response in dealing with a passenger train emergency.
Emergency responder means a member of a police or fire department,
or other organization involved with public safety charged with providing
or coordinating emergency services, who responds to a passenger train
emergency.
Emergency window means that segment of a side facing glazing
location which has been designed to permit rapid and easy removal in an
emergency situation.
FRA means the Federal Railroad Administration.
Joint operations means rail operations conducted by more than one
railroad on the same track, except as necessary for the purpose of
interchange, regardless of whether such operations are the result of:
(1) Contractual arrangements between the railroads;
(2) Order of a governmental agency or a court of law; or
(3) Any other legally binding directive.
Passenger train service means the transportation of persons (other
than employees, contractors, or persons riding equipment to observe or
monitor railroad operations) by railroad in intercity passenger service
or commuter or other short-haul passenger service in a metropolitan or
suburban area.
Person includes all categories of entities covered under 1 U.S.C. 1,
including, but not limited to, a railroad; any manager, supervisor,
official, or other employee or agent of a railroad; any owner,
manufacturer, lessor, or lessee of railroad equipment, track, or
facilities; any passenger; any trespasser or nontrespasser; any
independent contractor providing goods or services to a railroad; any
volunteer providing goods or services to a railroad; and any employee of
such owner, manufacturer, lessor, lessee, or independent contractor.
Private car means a rail passenger car used to transport non-revenue
passengers on an occasional contractual basis, and includes business or
office cars and circus trains.
Qualified means a status attained by an employee who has
successfully completed any required training for, has demonstrated
proficiency in, and has been authorized by the employer to perform the
duties of a particular position or function involving emergency
preparedness.
Railroad means:
(1) Any form of non-highway ground transportation that runs on rails
or electromagnetic guideways, including--
(i) Commuter or other short-haul rail passenger service in a
metropolitan or suburban area and commuter railroad service that was
operated by the Consolidated Rail Corporation on January 1, 1979, and
(ii) High speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems use new
technologies not associated with traditional railroads, but does not
include rapid transit operations in an urban area that are not connected
to the general railroad system of transportation and
(2) A person that provides railroad transportation, whether directly
or by contracting out operation of the railroad to another person.
Railroad officer means any supervisory employee of a railroad.
System headquarters means the location designated by the railroad as
the general office for the railroad system.
Sec. 239.9 Responsibility for compliance.
Although the requirements of this part are stated in terms of the
duty of a railroad, when any person, including a contractor to a
railroad, performs any function required by this part, that person
(whether or not a railroad) shall perform that function in accordance
with this part.
Sec. 239.11 Penalties.
Any person who violates any requirement of this part or causes the
violation of any such requirement is subject
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to a civil penalty of at least $550 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 $27,000 per violation may be assessed. Each day a violation
continues shall constitute a separate offense. Any person who knowingly
and willfully falsifies a record or report required by this part may be
subject to criminal penalties under 49 U.S.C. 21311 (formerly codified
in 45 U.S.C. 438(e)). Appendix A contains a schedule of civil penalty
amounts used in connection with this part.
[63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004]
Sec. 239.13 Waivers.
(a) Any person subject to a requirement of this part may petition
the Administrator for a waiver of compliance with such requirement. The
filing of such a petition does not affect that person's responsibility
for compliance with that requirement while the petition is being
considered.
(b) Each petition for waiver must be filed in the manner and contain
the information required by part 211 of this chapter.
(c) If the Administrator finds that a waiver of compliance is in the
public interest and is consistent with railroad safety, the
Administrator may grant the waiver subject to any conditions the
Administrator deems necessary.
Sec. 239.15 Information collection.
(a) The information collection requirements of this part have been
reviewed by the Office of Management and Budget pursuant to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d) et seq.), and have
been assigned OMB control number 2130-0545.
(b) The information collection requirements are found in the
following sections: Sec. Sec. 239.101, 239.103, 239.105, 239.107,
239.201, 239.203, 239.301, and 239.303.
Subpart B_Specific Requirements
Sec. 239.101 Emergency preparedness plan.
(a) Each railroad to which this part applies shall adopt and comply
with a written emergency preparedness plan approved by FRA under the
procedures of Sec. 239.201. The plan shall include the following
elements and procedures for implementing each plan element.
(1) Communication. (i) Initial and on-board notification. An on-
board crewmember shall quickly and accurately assess the passenger train
emergency situation and then notify the control center as soon as
practicable by the quickest available means. As appropriate, an on-board
crewmember shall inform the passengers about the nature of the emergency
and indicate what corrective countermeasures are in progress.
(ii) Notifications by control center. The control center shall
promptly notify outside emergency responders, adjacent rail modes of
transportation, and appropriate railroad officials that a passenger
train emergency has occurred. Each railroad shall designate an employee
responsible for maintaining current emergency telephone numbers for use
in making such notifications.
(2) Employee training and qualification. (i) On-board personnel. The
railroad's emergency preparedness plan shall address individual employee
responsibilities and provide for initial training, as well as periodic
training at least once every two calendar years thereafter, on the
applicable plan provisions. As a minimum, the initial and periodic
training shall include:
(A) Rail equipment familiarization;
(B) Situational awareness;
(C) Passenger evacuation;
(D) Coordination of functions; and
(E) ``Hands-on'' instruction concerning the location, function, and
operation of on-board emergency equipment.
(ii) Control center personnel. The railroad's emergency preparedness
plan shall require initial training of responsible control center
personnel, as well as periodic training at least once every
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two calendar years thereafter, on appropriate courses of action for each
potential emergency situation. As a minimum, the initial and periodic
training shall include:
(A) Dispatch territory familiarization; and
(B) Protocols governing internal communications between appropriate
control center personnel whenever an imminent potential emergency
situation exists.
(iii) Initial training schedule for current employees. The
railroad's emergency preparedness plan shall provide for the completion
of initial training of all on-board and control center employees who are
employed by the railroad on the date that the plan is conditionally
approved under Sec. 239.201(b)(1), in accordance with the following
schedule:
(A) For each railroad that provides commuter or other short-haul
passenger train service and whose operations include less than 150 route
miles and less than 200 million passenger miles annually, not more than
one year after January 29, 1999, or not more than 90 days after
commencing passenger operations, whichever is later.
(B) For each railroad that provides commuter or other short-haul
passenger train service and whose operations include at least 150 route
miles or at least 200 million passenger miles annually, not more than
two years after January 29, 1999, or not more than 180 days after
commencing passenger operations, whichever is later.
(C) For each railroad that provides intercity passenger train
service, regardless of the number of route miles or passenger miles, not
more than two years after January 29, 1999, or not more than 180 days
after commencing passenger operations, whichever is later.
(D) For each freight railroad that hosts passenger train service,
regardless of the number of route miles or passenger miles of that
service, not more than one year after January 29, 1999, or not more than
90 days after the hosting begins, whichever is later.
(iv) Initial training schedule for new employees. The railroad's
emergency preparedness plan shall provide for the completion of initial
training of all on-board and control center employees who are hired by
the railroad after the date on which the plan is conditionally approved
under Sec. 239.201(b)(1). Each employee shall receive initial training
within 90 days after the employee's initial date of service.
(v) Testing of on-board and control center personnel. A railroad
shall have procedures for testing a person being evaluated for
qualification under the emergency preparedness plan. The types of
testing selected by the railroad shall be:
(A) Designed to accurately measure an individual employee's
knowledge of his or her responsibilities under the plan;
(B) Objective in nature;
(C) Administered in written form; and
(D) Conducted without reference by the person being tested to open
reference books or other materials, except to the degree the person is
being tested on his or her ability to use such reference books or
materials.
(vi) On-board staffing. (A) Except as provided in paragraph
(a)(2)(vi)(B), all crewmembers on board a passenger train shall be
qualified to perform the functions for which they are responsible under
the provisions of the applicable emergency preparedness plan.
(B) A freight train crew relieving an expired passenger train crew
en route is not required to be qualified under the emergency
preparedness plan, provided that at least one member of the expired
passenger train crew remains on board and is available to perform excess
service under the Federal hours of service laws in the event of an
emergency.
(3) Joint operations. (i) Each railroad hosting passenger train
service shall address its specific responsibilities consistent with this
part.
(ii) In order to achieve an optimum level of emergency preparedness,
each railroad hosting passenger train service shall communicate with
each railroad that provides or operates such service and coordinate
applicable portions of the emergency preparedness plan. All of the
railroads involved in hosting, providing, and operating a passenger
train service operation shall
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jointly adopt one emergency preparedness plan that addresses each
entity's specific responsibilities consistent with this part. Nothing in
this paragraph shall restrict the ability of the railroads to provide
for an appropriate assignment of responsibility for compliance with this
part among those railroads through a joint operating agreement or other
binding contract. However, the assignor shall not be relieved of
responsibility for compliance with this part.
(4) Special circumstances. (i) Tunnels. When applicable, the
railroad's emergency preparedness plan shall reflect readiness
procedures designed to ensure passenger safety in an emergency situation
occurring in a tunnel of 1,000 feet or more in length. The railroad's
emergency preparedness plan shall address, as a minimum, availability of
emergency lighting, access to emergency evacuation exits, benchwall
readiness, ladders for detraining, effective radio or other
communication between on-board crewmembers and the control center, and
options for assistance from other trains.
(ii) Other operating considerations. When applicable, the railroad's
emergency preparedness plan shall address passenger train emergency
procedures involving operations on elevated structures, including
drawbridges, and in electrified territory.
(iii) Parallel operations. When applicable, the railroad's emergency
preparedness plan shall require reasonable and prudent action to
coordinate emergency efforts where adjacent rail modes of transportation
run parallel to either the passenger railroad or the railroad hosting
passenger operations.
(5) Liaison with emergency responders. Each railroad to which this
part applies shall establish and maintain a working relationship with
the on-line emergency responders by, as a minimum:
(i) Developing and making available a training program for all on-
line emergency responders who could reasonably be expected to respond
during an emergency situation. The training program shall include an
emphasis on access to railroad equipment, location of railroad
facilities, and communications interface, and provide information to
emergency responders who may not have the opportunity to participate in
an emergency simulation. Each affected railroad shall either offer the
training directly or provide the program information and materials to
state training institutes, firefighter organizations, or police
academies;
(ii) Inviting emergency responders to participate in emergency
simulations; and
(iii) Distributing applicable portions of its current emergency
preparedness plan at least once every three years, or whenever the
railroad materially changes its plan in a manner that could reasonably
be expected to affect the railroad's interface with the on-line
emergency responders, whichever occurs earlier, including documentation
concerning the railroad's equipment and the physical characteristics of
its line, necessary maps, and the position titles and telephone numbers
of relevant railroad officers to contact.
(6) On-board emergency equipment. (i) General. Each railroad's
emergency preparedness plan shall state the types of emergency equipment
to be kept on board and indicate their location(s) on each passenger car
that is in service. Effective May 4, 1999, or not more than 120 days
after commencing passenger operations, whichever is later, this
equipment shall include, at a minimum:
(A) One fire extinguisher per passenger car;
(B) One pry bar per passenger car; and
(C) One flashlight per on-board crewmember.
(ii) Effective May 4, 1999, or not more than 120 days after
commencing passenger operations, whichever is later, each railroad that
provides intercity passenger train service shall also equip each
passenger train that is in service with at least one first-aid kit
accessible to crewmembers that contains, at a minimum:
(A) Two small gauze pads (at least 4x4 inches);
(B) Two large gauze pads (at least 8x10 inches);
(C) Two adhesive bandages;
(D) Two triangular bandages;
(E) One package of gauge roller bandage that is at least two inches
wide;
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(F) Wound cleaning agent, such as sealed moistened towelettes;
(G) One pair of scissors;
(H) One set of tweezers;
(I) One roll of adhesive tape;
(J) Two pairs of latex gloves; and
(K) One resuscitation mask.
(iii) On-board emergency lighting. Consistent with the requirements
of part 238 of this chapter, auxiliary portable lighting (e.g., a
handheld flashlight) must be accessible and provide, at a minimum:
(A) Brilliant illumination during the first 15 minutes after the
onset of an emergency situation; and
(B) Continuous or intermittent illumination during the next 60
minutes after the onset of an emergency situation.
(iv) Maintenance. Each railroad's emergency preparedness plan shall
provide for scheduled maintenance and replacement of first-aid kits, on-
board emergency equipment, and on-board emergency lighting.
(7) Passenger safety information. (i) General. Each railroad's
emergency preparedness plan shall provide for passenger awareness of
emergency procedures, to enable passengers to respond properly during an
emergency.
(ii) Passenger awareness program activities. Each railroad shall
conspicuously and legibly post emergency instructions inside all
passenger cars (e.g., on car bulkhead signs, seatback decals, or seat
cards) and shall utilize one or more additional methods to provide
safety awareness information including, but not limited to, one of the
following:
(A) On-board announcements;
(B) Laminated wallet cards;
(C) Ticket envelopes;
(D) Timetables;
(E) Station signs or video monitors;
(F) Public service announcements; or
(G) Seat drops.
(b) [Reserved]
Sec. 239.103 Passenger train emergency simulations.
(a) General. Each railroad operating passenger train service shall
conduct full-scale emergency simulations, in order to determine its
capability to execute the emergency preparedness plan under the variety
of scenarios that could reasonably be expected to occur on its
operation, and ensure coordination with all emergency responders who
voluntarily agree to participate in the emergency simulations.
(b) Frequency of the emergency simulations. Except as provided in
paragraph (c) of this section:
(1) Each railroad that provides commuter or other short-haul
passenger train service and whose operations include less than 150 route
miles and less than 200 million passenger miles annually, shall conduct
a minimum of one full-scale emergency simulation during every two
calendar years.
(2) Each railroad that provides commuter or other short-haul
passenger train service and whose operations include at least 150 route
miles or at least 200 million passenger miles annually, shall conduct a
minimum of one full-scale emergency simulation during each calendar
year.
(3) Each railroad that provides intercity passenger train service,
shall conduct a minimum of one full-scale emergency simulation during
each calendar year, regardless of the number of route miles or passenger
miles.
(c) Actual emergency situations. Neither a tabletop exercise nor the
activation of its emergency preparedness plan during an actual emergency
situation may be credited toward the minimum number of full-scale
emergency simulations required under paragraph (b) of this section.
However, a railroad that has activated its emergency preparedness plan
in response to a major emergency may elect to postpone a scheduled full-
scale simulation for up to 180 calendar days beyond the applicable
calendar year completion date in order to evaluate the effectiveness of
its plan during that major emergency and, as appropriate, modify the
rescheduled simulation.
(d) Definition. As used in this section, major emergency means an
unexpected event related to the operation of passenger train service
that results in serious injury or death to one or more persons and
property damage greater than the current reporting threshold of part 225
of this chapter to railroad on-track equipment, signals, tracks, track
structures, or roadbeds, including labor
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costs and the costs for acquiring new equipment and material.
Sec. 239.105 Debriefing and critique.
(a) General. Except as provided in paragraph (b) of this section,
each railroad operating passenger train service shall conduct a
debriefing and critique session after each passenger train emergency
situation or full-scale simulation to determine the effectiveness of its
emergency preparedness plan, and shall improve or amend its plan, or
both, as appropriate, in accordance with the information developed. The
debriefing and critique session shall be conducted within 60 days of the
date of the passenger train emergency situation or full-scale
simulation.
(b) Exceptions. (1) No debriefing and critique session shall be
required in the case of an emergency situation involving only a
collision between passenger railroad rolling stock and: a pedestrian; a
trespasser; or a motor vehicle or other highway conveyance at a highway-
rail grade crossing, provided that the collision does not result in: a
passenger or employee fatality, or an injury to one or more crewmembers
or passengers requiring admission to a hospital; or the evacuation of a
passenger train. (2) For purposes of this section, highway-rail grade
crossing means a location where a public highway, road, street, or
private roadway, including associated sidewalks and pathways, crosses
one or more railroad tracks at grade, and trespasser means a person who
is on that part of railroad property used in railroad operation and
whose presence is prohibited, forbidden, or unlawful.
(c) Purpose of debriefing and critique. The debriefing and critique
session shall be designed to determine, at a minimum:
(1) Whether the on-board communications equipment functioned
properly;
(2) How much time elapsed between the occurrence of the emergency
situation or full-scale simulation and notification to the emergency
responders involved;
(3) Whether the control center promptly initiated the required
notifications;
(4) How quickly and effectively the emergency responders responded
after notification; and
(5) How efficiently the passengers exited from the car through the
emergency exits.
(d) Records. (1) Each railroad shall maintain records of its
debriefing and critique sessions at its system headquarters and
applicable division headquarters for two calendar years after the end of
the calendar year to which they relate, including the following
information:
(i) Date and location of the passenger train emergency situation or
full-scale simulation;
(ii) Date and location of the debriefing and critique session; and
(iii) Names of all participants in the debriefing and critique
session.
(2) These records shall be made available to representatives of FRA
and States participating under part 212 of this chapter for inspection
and copying during normal business hours.
Sec. 239.107 Emergency exits.
For additional requirements related to emergency window exits, see
part 223 of this chapter.
(a) Marking. Each railroad operating passenger train service shall
determine for each passenger car that is in service, except for self-
propelled cars designed to carry baggage, mail, or express:
(1) That all door exits intended for emergency egress are either
lighted or conspicuously and legibly marked with luminescent material on
the inside of the car and that clear and understandable instructions are
posted at or near such exits.
(2) That all door exits intended for emergency access by emergency
responders for extrication of passengers are marked with retroreflective
material and that clear and understandable instructions are posted at
each such door.
(b) Inspection, maintenance, and repair. Consistent with the
requirements of part 223 of this chapter, each railroad operating
passenger train service shall:
(1) Provide for scheduled inspection, maintenance, and repair of
emergency window and door exits;
[[Page 740]]
(2) Test a representative sample of emergency window exits on its
cars at least once every 180 days to verify that they are operating
properly; and
(3) Repair each inoperative emergency window and door exit on a car
before returning the car to service.
(c) Records. Each railroad operating passenger service shall
maintain records of its inspection, maintenance, and repair of emergency
window and door exits at its system headquarters and applicable division
headquarters for two calendar years after the end of the calendar year
to which they relate. These records shall be made available to
representatives of FRA and States participating under part 212 of this
chapter for inspection and copying during normal business hours.
(d) Electronic recordkeeping. Each railroad to which this part
applies is authorized to retain by electronic recordkeeping the
information prescribed in paragraph (b) of this section, provided that
all of the following conditions are met:
(1) The railroad adequately limits and controls accessibility to
such information retained in its database system and identifies those
individuals who have such access;
(2) The railroad has a terminal at the system headquarters and at
each division headquarters;
(3) Each such terminal has a desk-top computer (i.e., monitor,
central processing unit, and keyboard) and either a facsimile machine or
a printer connected to the computer to retrieve and produce information
in a usable format for immediate review by representatives of FRA and
States participating under part 212 of this chapter;
(4) The railroad has a designated representative who is authorized
to authenticate retrieved information from the electronic system as true
and accurate copies of the electronically kept records; and
(5) The railroad provides representatives of FRA and States
participating under part 212 of this chapter with immediate access to
these records for inspection and copying during normal business hours
and provides printouts of such records upon request.
Subpart C_Review, Approval, and Retention of Emergency Preparedness
Plans
Sec. 239.201 Emergency preparedness plan; filing and approval.
(a) Filing. Each passenger railroad to which this part applies and
all railroads hosting its passenger train service (if applicable) shall
jointly adopt a single emergency preparedness plan for that service and
the passenger railroad shall file one copy of that plan with the
Associate Administrator for Safety, Federal Railroad Administration,
Mail Stop 25, 400 Seventh Street, S.W., Washington, D.C. 20590, not more
than 180 days after May 4, 1998, or not less than 45 days prior to
commencing passenger operations, whichever is later. The emergency
preparedness plan shall include the name, title, address, and telephone
number of the primary person on each affected railroad to be contacted
with regard to review of the plan, and shall include a summary of each
railroad's analysis supporting each plan element and describing how
every condition on the railroad's property that is likely to affect
emergency response is addressed in the plan. Each subsequent amendment
to a railroad's emergency preparedness plan shall be filed with FRA by
the passenger railroad not less than 60 days prior to the proposed
effective date.
(b) Approval--(1) Preliminary review. (i) Within 90 days of receipt
of each proposed emergency preparedness plan, and within 45 days of
receipt of each plan for passenger operations to be commenced after the
initial deadline for plan submissions, FRA will conduct a preliminary
review of the proposed plan to determine if the elements prescribed in
Sec. 239.101 are sufficiently addressed and discussed in the railroad's
plan submission. FRA will then notify the primary contact person of each
affected railroad in writing of the results of the review, whether the
proposed plan has been conditionally approved by FRA, and if not
conditionally approved, the specific points in which the plan is
deficient.
(ii) If a proposed emergency preparedness plan is not conditionally
approved by FRA, the affected railroad or railroads shall amend the
proposed
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plan to correct all deficiencies identified by FRA (and provide FRA with
a corrected copy) not later than 30 days following receipt of FRA's
written notice that the proposed plan was not conditionally approved.
(2) Final review. (i) Within 18 months of receipt of each proposed
plan, and within 180 days of receipt of each proposed plan for passenger
operations to be commenced after the initial deadline for plan
submissions, FRA will conduct a comprehensive review of the
conditionally approved plan to evaluate implementation of the elements
included. This review will include ongoing dialogues with rail
management and labor representatives, and field analysis and
verification. FRA will then notify the primary contact person of each
affected railroad in writing of the results of the review, whether the
conditionally approved plan has been finally approved by FRA, and if not
approved, the specific points in which the plan is deficient.
(ii) If an emergency preparedness plan of a railroad or railroads is
not finally approved by FRA, the affected railroad or railroads shall
amend the plan to correct all deficiencies (and provide FRA with a
corrected copy) not later than 30 days following receipt of FRA's
written notice that the plan was not finally approved.
(3) Review of amendments. (i) FRA will review each proposed plan
amendment within 45 days of receipt. FRA will then notify the primary
contact person of each affected railroad of the results of the review,
whether the proposed amendment has been approved by FRA, and if not
approved, the specific points in which the proposed amendment is
deficient.
(ii) If the amendment is not approved, the railroad shall correct
any deficiencies identified by FRA and file the corrected amendment
prior to implementing the amendment.
(4) Reopened review. Following initial approval of a plan, or
amendment, FRA may reopen consideration of the plan, or amendment, for
cause stated.
Sec. 239.203 Retention of emergency preparedness plan.
Each passenger railroad to which this part applies, and all
railroads hosting its passenger train service (if applicable), shall
each retain one copy of the emergency preparedness plan required by
Sec. 239.201 and one copy of each subsequent amendment to that plan at
the system and division headquarters of each, and shall make such
records available to representatives of FRA and States participating
under part 212 of this chapter for inspection and copying during normal
business hours.
Subpart D_Operational (Efficiency) Tests; Inspection of Records and
Recordkeeping
Sec. 239.301 Operational (efficiency) tests.
(a) Each railroad to which this part applies shall periodically
conduct operational (efficiency) tests of its on-board and control
center employees to determine the extent of compliance with its
emergency preparedness plan.
(b) Each railroad to which this part applies shall maintain a
written record of the date, time, place, and result of each operational
(efficiency) test that was performed in accordance with paragraph (a) of
this section. Each record shall also specify the name of the railroad
officer who administered the test, the name of each employee tested, and
sufficient information to identify the relevant facts relied on for
evaluation purposes.
(c) Each record required by paragraph (a) of this section shall be
retained at the system headquarters of the railroad and at the division
headquarters for the division where the test was conducted for one
calendar year after the end of the calendar year to which the test
relates. Each such record shall be made available to representatives of
FRA and States participating under part 212 of this chapter for
inspection and copying during normal business hours.
Sec. 239.303 Electronic recordkeeping.
Each railroad to which this part applies is authorized to retain by
electronic recordkeeping the information prescribed in Sec. 239.301,
provided that all of the following conditions are met:
[[Page 742]]
(a) The railroad adequately limits and controls accessibility to
such information retained in its database system and identifies those
individuals who have such access;
(b) The railroad has a terminal at the system headquarters and at
each division headquarters;
(c) Each such terminal has a desk-top computer (i.e., monitor,
central processing unit, and keyboard) and either a facsimile machine or
a printer connected to the computer to retrieve and produce information
in a usable format for immediate review by representatives of FRA and
States participating under part 212 of this chapter;
(d) The railroad has a designated representative who is authorized
to authenticate retrieved information from the electronic system as true
and accurate copies of the electronically kept records; and
(e) The railroad provides representatives of FRA and States
participating under part 212 of this chapter with immediate access to
these records for inspection and copying during normal business hours
and provides printouts of such records upon request.
Appendix A to Part 239--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
Willful
Section Violation violation
------------------------------------------------------------------------
Subpart B--Specific Requirements:
239.101(a) Failure of a railroad to $7,500 $11,000
adopt a written emergency preparedness
plan...................................
(a)(1) Failure of the plan to
provide for:
(i) Initial or on-board 2,500 5,000
notifications by an on-board
crewmember.....................
(ii) Notification of outside 2,500 5,000
emergency responders by control
center.........................
(a)(2) Failure of the plan to
provide for:
(i) Initial or periodic training 2,500 5,000
of on-board personnel..........
(ii) Initial or periodic 2,500 5,000
training of control center
personnel......................
(iii) Completion of initial 2,500 5,000
training of all on-board and
control center personnel by the
specified date.................
(iv) Completion of initial 2,500 5,000
training of all newly hired on-
board and control center
personnel by the specified date
(v) Adequate procedures to 2,500 5,000
evaluate and test on-board and
control center personnel for
qualification under the
emergency preparedness plan....
(vi) Adequate on-board staffing. 2,500 5,000
(a)(3) Failure of a host railroad 3,000 6,000
involved in joint operations to
coordinate applicable portions of
the emergency preparedness plan
with the railroad or railroads
providing or operating a passenger
train service operation............
(a)(4) Failure of the plan to
address:
(i) Readiness procedures for 2,500 5,000
emergencies in tunnels.........
(ii) Readiness procedures for 2,500 5,000
emergencies on an elevated
structure or in electrified
territory......................
(iii) Coordination efforts 2,500 5,000
involving adjacent rail modes
of transportation..............
(a)(5) Failure of the plan to
address relationships with on-line
emergency responders by providing
for:
(i) The development and 3,000 6,000
availability of training
programs.......................
(ii) Invitations to emergency 3,000 6,000
responders to participate in
emergency simulations..........
(iii) Distribution of applicable 3,000 6,000
portions of the current
emergency preparedness plan....
(a)(6) Failure of the plan to
provide for, or the railroad to
include on board each train and
maintain and replace:
(i) Emergency equipment......... 2,500 5,000
(ii) First-aid kits............. 2,500 5,000
(iii) Emergency lighting........ 2,500 5,000
(a)(7) Failure of the plan to 3,500 7,000
provide for emergency instructions
inside each passenger car or to
include additional safety awareness
information........................
239.103 Failure to conduct a required 5,000 7,500
full-scale simulation in accordance
with the frequency schedule............
239.105 Debriefing and critique
(a) Failure to conduct a debriefing 4,000 7,500
and critique session after an
emergency or full-scale simulation.
(d)(1) Failure to maintain a record. 2,500 5,000
(i) Failure to include date or 1,000 2,000
location of the emergency or
simulation.....................
(ii) Failure to include date or 1,000 2,000
location of the debriefing and
critique session...............
(iii) Failure to include names 1,000 2,000
of participants in the
debriefing and critique session
(d)(2) Failure to make record 1,000 2,000
available..........................
239.107 Emergency exits
[[Page 743]]
(a)(1), (a)(2):
(i) Door not marked or 2,500 5,000
instructions not posted........
(ii) Door improperly marked or 2,500 5,000
instructions 1,000-2,000-
improperly posted..............
(b)(1) Failure to provide for 5,000 7,500
scheduled inspection, maintenance,
and repair of emergency windows and
doors..............................
(b)(2):
(i) Failure to test a 3,000 6,000
representative sample of
emergency windows..............
(ii) Emergency windows tested 1,500 3,000
too infrequently...............
(b)(3) Failure to repair an 3,500 7,000
inoperative emergency window or
door exit..........................
(c):
(i) Failure to maintain a record 2,500 5,000
(ii) Failure to make record 1,000 2,000
available......................
(d)(1) Insufficient limits or 2,500 5,000
controls on accessibility to
records............................
(d)(2) Missing terminal............. 1,000 2,000
(d)(3) Inability of railroad to 1,000 2,000
produce information in a usable
format for immediate review........
(d)(4) Failure by railroad to 1,000 2,000
designate an authorized
representative.....................
(d)(5) Failure to make record 1,000 2,000
available..........................
Subpart C--Review, Approval, and
Retention of Emergency Preparedness
Plans:
239.201 Filing and approval
(a):
(i) Failure of a railroad to 5,000 7,500
file a written emergency
preparedness plan..............
(ii) Failure to designate a 1,000 2,000
primary person to contact for
plan review....................
(iii) Failure of a railroad to 2,500 5,000
file an amendment to its plan..
(b)(1), (b)(2):
(i) Failure of a railroad to 2,500 5,000
correct a plan deficiency......
(ii) Failure to provide FRA with 1,000 2,000
a corrected copy of the plan...
(b)(3):
(i) Failure of a railroad to 2,500 5,000
correct an amendment deficiency
(ii) Failure to file a corrected 1,000 1,000
plan amendment with FRA........
239.203 Retention of emergency
preparedness plan
(1) Failure to retain a copy of 2,500 5,000
the plan or an amendment to the
plan...........................
(2) Failure to make record 1,000 2,000
available......................
Subpart D--Operational (efficiency)
tests; Inspection of Records and
Recordkeeping:
239.301 Operational (efficiency) tests
(a) Testing Program................. 5,000 7,500
(b)(1) Failure to maintain a record. 2,500 5,000
(b)(2) Record improperly completed.. 1,000 1,000
(c)(1) Failure to retain a copy of 2,500 5,000
the record.........................
(c)(2) Failure to make record 1,000 2,000
available..........................
239.303 Electronic recordkeeping
(a) Insufficient limits or controls 2,500 5,000
on accessibility to records........
(b) Missing terminal................ 1,000 2,000
(c) Inability of railroad to produce 1,000 2,000
information in a usable format for
immediate review...................
(d) Failure by railroad to designate 1,000 2,000
an authorized representative.......
(e) Failure to make record available 1,000 2,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
violation. The Administrator reserves the right to assess a penalty of
up to $27,000 for any violation where circumstances warrant. See 49
U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further
designations, not found in the CFR citation for certain provisions,
are FRA Office of Chief Counsel computer codes added as a suffix to
the CFR citation and used to expedite imposition of civil penalties
for violations. FRA reserves the right, should litigation become
necessary, to substitute in its complaint the CFR citation in place of
the combined designation cited in the penalty demand letter.
[63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004]