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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR239]

[Page 610-621]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS



                           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; 49 U.S.C. 20133; 28 U.S.C. 2461 note; and 49 CFR 1.49(c), 
(g), (m).

[[Page 611]]


    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.
---------------------------------------------------------------------------

    \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 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.
---------------------------------------------------------------------------

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.

[[Page 612]]

    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;
    (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.

[[Page 613]]

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 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. 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.

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: Secs. 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

[[Page 614]]

    (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 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

[[Page 615]]

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 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

[[Page 616]]

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;
    (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.

[[Page 617]]

    (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 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.

[[Page 618]]

    (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;
    (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

[[Page 619]]

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 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.

[[Page 620]]

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:
    (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 621]]


    (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
------------------------------------------------------------------------
<SUP>1</SUP> 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
  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.



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