49 C.F.R. Subpart D—Operational (Efficiency) Tests; Inspection of Records and Recordkeeping
Title 49 - Transportation
(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. Each railroad to which this part applies is authorized to retain by electronic recordkeeping the information prescribed in §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. [63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004]
Title 49: Transportation
PART 239—PASSENGER TRAIN EMERGENCY PREPAREDNESS
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 Penalties1
------------------------------------------------------------------------ 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 (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.
