Source: http://thefela.com/49-CFR-239.html
Timestamp: 2018-01-16 09:22:45
Document Index: 448827659

Matched Legal Cases: ['§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', '§ 239', 'art 239', '§239', '§239', 'art 223', 'art 223', 'art 212', 'art 212', 'art 212', '§239', 'art 212', 'art 212', 'art 209']

§ 239.1 Purpose and scope.
§ 239.3 Application.
§ 239.5 Preemptive effect.
§ 239.9 Responsibility for compliance.
§ 239.11 Penalties.
§ 239.103 Passenger train emergency simulations.
§ 239.107 Emergency exits.
§ 239.301 Operational (efficiency) tests.
Appendix A to Part 239—Schedule of Civil Penalties1
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).
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.
Any person who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least $550 and not more than $16,000 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; 72 FR 51198, Sept. 6, 2007]
(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.
(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.
(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 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 §239.201(b)(1), in accordance with the following schedule:
(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 §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;
(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.
(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) Two small gauze pads (at least 4×4 inches);
(B) Two large gauze pads (at least 8×10 inches);
(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.
(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.
(3) Whether the control center promptly initiated the required notifications;
(5) How efficiently the passengers exited from the car through the 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;
(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;
(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;
(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.
(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 §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.
(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.
(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.
(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;
Subpart B—Specific Requirements:
239.101(a) Failure of a railroad to adopt a written emergency preparedness plan $7,500 $11,000
(a)(1) Failure of the plan to provide for:
(i) Initial or on-board notifications by an on-board crewmember 2,500 5,000
(ii) Notification of outside emergency responders by control center 2,500 5,000
(a)(2) Failure of the plan to provide for:
(i) Initial or periodic training of on-board personnel 2,500 5,000
(ii) Initial or periodic training of control center personnel 2,500 5,000
(iii) Completion of initial training of all on-board and control center personnel by the specified date 2,500 5,000
(iv) Completion of initial training of all newly hired on-board and control center personnel by the specified date 2,500 5,000
(v) Adequate procedures to evaluate and test on-board and control center personnel for qualification under the emergency preparedness plan 2,500 5,000
(vi) Adequate on-board staffing 2,500 5,000
(a)(3) Failure of a host railroad 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 3,000 6,000
(a)(4) Failure of the plan to address:
(i) Readiness procedures for emergencies in tunnels 2,500 5,000
(ii) Readiness procedures for emergencies on an elevated structure or in electrified territory 2,500 5,000
(iii) Coordination efforts involving adjacent rail modes of transportation 2,500 5,000
(a)(5) Failure of the plan to address relationships with on-line emergency responders by providing for:
(i) The development and availability of training programs 3,000 6,000
(ii) Invitations to emergency responders to participate in emergency simulations 3,000 6,000
(iii) Distribution of applicable portions of the current emergency preparedness plan 3,000 6,000
(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 provide for emergency instructions inside each passenger car or to include additional safety awareness information 3,500 7,000
239.103 Failure to conduct a required full-scale simulation in accordance with the frequency schedule 5,000 7,500
239.105 Debriefing and critique
(a) Failure to conduct a debriefing and critique session after an emergency or full-scale simulation 4,000 7,500
(d)(1) Failure to maintain a record 2,500 5,000
(i) Failure to include date or location of the emergency or simulation 1,000 2,000
(ii) Failure to include date or location of the debriefing and critique session 1,000 2,000
(iii) Failure to include names of participants in the debriefing and critique session 1,000 2,000
(d)(2) Failure to make record available 1,000 2,000
239.107 Emergency exits
(a)(1), (a)(2):
(i) Door not marked or instructions not posted 2,500 5,000
(ii) Door improperly marked or instructions 1,000-2,000-improperly posted 2,500 5,000
(b)(1) Failure to provide for scheduled inspection, maintenance, and repair of emergency windows and doors 5,000 7,500
(i) Failure to test a representative sample of emergency windows 3,000 6,000
(ii) Emergency windows tested too infrequently 1,500 3,000
(b)(3) Failure to repair an inoperative emergency window or door exit 3,500 7,000
(i) Failure to maintain a record 2,500 5,000
(ii) Failure to make record available 1,000 2,000
(d)(1) Insufficient limits or controls on accessibility to records 2,500 5,000
(d)(2) Missing terminal 1,000 2,000
(d)(3) Inability of railroad to produce information in a usable format for immediate review 1,000 2,000
(d)(4) Failure by railroad to designate an authorized representative 1,000 2,000
(d)(5) Failure to make record available 1,000 2,000
Subpart C—Review, Approval, and Retention of Emergency Preparedness Plans:
239.201 Filing and approval
(i) Failure of a railroad to file a written emergency preparedness plan 5,000 7,500
(ii) Failure to designate a primary person to contact for plan review 1,000 2,000
(iii) Failure of a railroad to file an amendment to its plan 2,500 5,000
(b)(1), (b)(2):
(i) Failure of a railroad to correct a plan deficiency 2,500 5,000
(ii) Failure to provide FRA with a corrected copy of the plan 1,000 2,000
(b)(3):
(i) Failure of a railroad to correct an amendment deficiency 2,500 5,000
(ii) Failure to file a corrected plan amendment with FRA 1,000 1,000
239.203 Retention of emergency preparedness plan
(1) Failure to retain a copy of the plan or an amendment to the plan 2,500 5,000
(2) Failure to make record available 1,000 2,000
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 the record 2,500 5,000
(c)(2) Failure to make record available 1,000 2,000
239.303 Electronic recordkeeping
(a) Insufficient limits or controls on accessibility to records 2,500 5,000
(b) Missing terminal 1,000 2,000
(c) Inability of railroad to produce information in a usable format for immediate review 1,000 2,000
(d) Failure by railroad to designate an authorized representative 1,000 2,000
(e) Failure to make record available 1,000 2,000
1A 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]