49 CFR Part 239, Appendix A to Part 239 - Schedule of Civil Penalties 1

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View PDF at GPO Pt. 239, App. A
Appendix A to Part 239—Schedule of Civil Penalties 1
Section Violation Willful violation
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 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.
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
239.103Failure to conduct a required full-scale simulation in accordance with the frequency schedule 5,000 7,500
239.105Debriefing 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
239.107Emergency 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
(b)(2):
(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
(c):
(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:
239.201Filing and approval
(a):
(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
239.203Retention 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:
239.301Operational (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
239.303Electronic 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
[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]

Title 49 published on 2014-10-01

no entries appear in the Federal Register after this date.