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.
Sec. 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 or electronic emergency
preparedness plan......................
(a)(1) Failure of the plan to
(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 or ERCC.................
(iii) Failure to designate 2,500 5,000
employee responsible for
maintaining current emergency
telephone numbers for use in
notifications..................
(a)(2) Failure of the plan to
(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 and
ERCC personnel.................
(iii) Completion of initial 2,500 5,000
training of each on-board,
control center, and ERCC
personnel by the specified date
(iv) Completion of initial 2,500 5,000
training of each newly-hired on-
board, control center, and ERCC
personnel by the specified date
(v) Adequate procedures to 2,500 5,000
evaluate and test on-board,
control center, and ERCC
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
(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
(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
(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
(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
(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........................
(a)(8) Failure of the plan to 2,500 5,000
(8) Failure of the plan to 2,500 5,000
include procedures promoting the
safety of passengers with
disabilities.......................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.
(c) Failure to design the debrief 2,500 5,000
and critique session to determine
the five items specified...........
(d)(1) Failure to maintain a record. 2,500 5,000
(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
(2) 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..
(iv) Failure of a railroad to 1,000 2,000
file a summary of an amendment
to its plan....................
(b)(1), (b)(2):
(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):
(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 Tests and
Inspections; Records, Recordkeeping,
and Availability of Records239.301 Operational tests and
inspections
(a) Failure to periodically conduct 2,500 5,000
operational tests and inspections
of applicable personnel in
accordance with program of
operational tests and inspections..
(a)(1) Failure to adopt a program of 5,000 7,500
(1) Failure to adopt a program of 5,000 7,500
operational tests and inspections
that meets the minimum requirements
within 30 days of commencing rail
operations.........................
(a)(1)(vi) Failure to train or 2,500 5,000
(1)(vi) Failure to train or 2,500 5,000
(vi) Failure to train or 2,500 5,000
qualify each railroad officer who
conducts operational tests and
inspections on aspects of the e-
prep plan and program procedures
relevant to the operational tests
and inspections that the officer
conducts...........................
(b)(1) Failure to maintain a record. 2,500 5,000
(1) Failure to maintain a record. 2,500 5,000
(b)(2) Record improperly completed.. 1,000 1,000
(2) Record improperly completed.. 1,000 1,000
(c)(1), (d)(1), (e)(2), (f)(1): 2,500 5,000
(1), (d)(1), (e)(2), (f)(1): 2,500 5,000
Failure to retain a copy of the
record.............................
(c)(2), (d)(2), (e)(3), (f)(2): 1,000 2,000
(2), (d)(2), (e)(3), (f)(2): 1,000 2,000
Failure to make record available...
(e)(1) Failure to conduct six-month 4,000 7,500
(1) Failure to conduct six-month 4,000 7,500
review and analysis of required
data and make any necessary or
appropriate adjustments to the
program of operational tests and
inspections........................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 $105,000 for any violation where circumstances warrant. See 49
CFR part 209, appendix A.
\2\ The penalty schedule uses section numbers from 49 CFR part 239. If
more than one item is listed as a type of violation of a given
section, each item is also designated by a ``penalty code,'' which is
used to facilitate assessment of civil penalties, and which may or may
not correspond to any subsection designation(s). For convenience,
penalty citations will cite the CFR section and the penalty code, if
any. FRA reserves the right, should litigation become necessary, to
substitute in its complaint the CFR citation in place of the combined
CFR and penalty code citation, should they differ. [63 FR 24676, May 4, 1998, as amended at 69 FR 30595, May 28, 2004; 73 FR 79704, Dec. 30, 2008; 77 FR 24422, Apr. 24, 2012; 78 FR 71816, Nov. 29, 2013; 79 FR 18150, Mar. 31, 2014]