1、874 49 CFR Ch. II (10110 Edition) Pt. 239 PART 239PASSENGER TRAIN EMERGENCY PREPAREDNESS Subpart AGeneral 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.
2、 Subpart BSpecific Requirements 239.101 Emergency preparedness plan. 239.103 Passenger train emergency simula-tions. 239.105 Debriefing and critique. 239.107 Emergency exits. Subpart CReview, Approval, and Reten-tion of Emergency Preparedness Plans 239.201 Emergency preparedness plan; filing and app
3、roval. 239.203 Retention of emergency prepared-ness plan. Subpart DOperational (Efficiency) Tests; Inspection of Records and Recordkeeping 239.301 Operational (efficiency) tests. 239.303 Electronic recordkeeping. APPENDIX A TO PART 239SCHEDULE OF CIVIL PENALTIES AUTHORITY: 49 U.S.C. 2010220103, 2010
4、5 20114, 20133, 21301, 21304, and 21311; 28 U.S.C. 2461, note; and 49 CFR 1.49(c), (g), (m). SOURCE: 63 FR 24676, May 4, 1998, unless otherwise noted. Subpart AGeneral 239.1 Purpose and scope. (a) The purpose of this part is to re-duce the magnitude and severity of casualties in railroad operations
5、by en-suring that railroads involved in pas-senger train operations can effectively and efficiently manage passenger train emergencies. (b) This part prescribes minimum Federal safety standards for the prepa-ration, adoption, and implementation of emergency preparedness plans by railroads connected
6、with the operation of passenger trains, and requires each affected railroad to instruct its em-ployees on the provisions of its plan. This part does not restrict railroads from adopting and enforcing additional or more stringent requirements not in-consistent with this part. 239.3 Application. (a) E
7、xcept 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 trans-portation; (2) Railroads that provide commuter or other short-haul rail
8、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 sect
9、ion. (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 trans-portation; (2) Operation of private cars, includ-ing business/office cars and circus trains; or (3) Tourist, scenic, historic, or excur-sion operations
10、, whether on or off the general railroad system. 239.5 Preemptive effect. Under 49 U.S.C. 20106 (formerly sec-tion 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, exce
11、pt a pro-vision 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. 239.7 Definitions. As used in this part Adjacent rail modes of transportation means other railroads, trol
12、leys, light rail, heavy transit, and other vehicles operating on rails or electromagnetic guideways which are expressly identi-fied in a railroads emergency pre-paredness plan. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00884 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8K
13、YBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-875 Federal Railroad Administration, DOT 239.7 Administrator means the Adminis-trator of the Federal Railroad Admin-istration or the Administrators dele-gate. Control center means a ce
14、ntral loca-tion 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 con-tractor to
15、a railroad, who is assigned to perform service subject to the Fed-eral hours of service laws during a tour of duty) or (2) On-board functions in a sleeping car or coach assigned to intercity serv-ice, other than food, beverage, or secu-rity service. Division headquarters means the loca-tion designat
16、ed 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 involv
17、ing 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 re-quiring admission to a
18、 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 dep
19、artment, or other organization involved with public safe-ty charged with providing or coordi-nating emergency services, who re-sponds to a passenger train emergency. Emergency window means that seg-ment of a side facing glazing location which has been designed to permit rapid and easy removal in an
20、emer-gency situation. FRA means the Federal Railroad Ad-ministration. Joint operations means rail operations conducted by more than one railroad on the same track, except as necessary for the purpose of interchange, regard-less of whether such operations are the result of: (1) Contractual arrangemen
21、ts be-tween the railroads; (2) Order of a governmental agency or a court of law; or (3) Any other legally binding direc-tive. Passenger train service means the transportation of persons (other than employees, contractors, or persons riding equipment to observe or monitor railroad operations) by rail
22、road in intercity passenger service or com-muter or other short-haul passenger service in a metropolitan or suburban area. Person includes all categories of enti-ties covered under 1 U.S.C. 1, including, but not limited to, a railroad; any manager, supervisor, official, or other employee or agent of
23、 a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facili-ties; any passenger; any trespasser or nontrespasser; any independent con-tractor providing goods or services to a railroad; any volunteer providing goods or services to a railroad; and any em-ployee of s
24、uch owner, manufacturer, lessor, lessee, or independent con-tractor. Private car means a rail passenger car used to transport non-revenue pas-sengers on an occasional contractual basis, and includes business or office cars and circus trains. Qualified means a status attained by an employee who has s
25、uccessfully com-pleted any required training for, has demonstrated proficiency in, and has been authorized by the employer to perform the duties of a particular posi-tion or function involving emergency preparedness. Railroad means: (1) Any form of non-highway ground transportation that runs on rail
26、s or electromagnetic guideways, includ-ing (i) Commuter or other short-haul rail passenger service in a metropolitan or suburban area and commuter railroad VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00885 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRPro
27、vided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-876 49 CFR Ch. II (10110 Edition) 239.9 service that was operated by the Con-solidated Rail Corporation on January 1, 1979, and (ii) High speed ground transportation systems that connect metropolitan areas
28、, without regard to whether those systems use new technologies not asso-ciated with traditional railroads, but does not include rapid transit oper-ations in an urban area that are not connected to the general railroad sys-tem of transportation and (2) A person that provides railroad transportation,
29、whether directly or by contracting out operation of the rail-road to another person. Railroad officer means any super-visory employee of a railroad. System headquarters means the loca-tion designated by the railroad as the general office for the railroad system. 239.9 Responsibility for compliance.
30、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. 239.11 Penalties
31、. Any person who violates any require-ment of this part or causes the viola-tion of any such requirement is subject to a civil penalty of at least $650 and not more than $25,000 per violation, ex-cept that: Penalties may be assessed against individuals only for willful vio-lations, and, where a gros
32、sly negligent violation or a pattern of repeated vio-lations has created an imminent haz-ard of death or injury to persons, or has caused death or injury, a penalty not to exceed $100,000 per violation may be assessed. Each day a violation con-tinues shall constitute a separate of-fense. Any person
33、who knowingly and willfully falsifies a record or report re-quired 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 a
34、mended at 69 FR 30595, May 28, 2004; 72 FR 51198, Sept. 6, 2007; 73 FR 79704, Dec. 30, 2008 239.13 Waivers. (a) Any person subject to a require-ment of this part may petition the Ad-ministrator for a waiver of compliance with such requirement. The filing of such a petition does not affect that perso
35、ns responsibility for compliance with that requirement while the peti-tion is being considered. (b) Each petition for waiver must be filed in the manner and contain the in-formation required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public inte
36、rest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. 239.15 Information collection. (a) The information collection re-quirements of this part have been re-viewed by the Office of Management and Budget pursuan
37、t to the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d) et seq.), and have been assigned OMB control number 21300545. (b) The information collection re-quirements are found in the following sections: 239.101, 239.103, 239.105, 239.107, 239.201, 239.203, 239.301, and 239.303. Subpart BSpecific Re
38、quirements 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 239.201. The plan shall include the following elements and procedures for implementing each plan elem
39、ent. (1) Communication(i) Initial and on- board notification. An on-board crew-member 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 appro-priate, an on-board crewmember shall i
40、nform the passengers about the nature of the emergency and indicate what corrective countermeasures are in progress. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00886 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproducti
41、on or networking permitted without license from IHS-,-,-877 Federal Railroad Administration, DOT 239.101 (ii) Notifications by control center. The control center shall promptly notify outside emergency responders, adja-cent rail modes of transportation, and appropriate railroad officials that a pass
42、enger train emergency has oc-curred. Each railroad shall designate an employee responsible for maintain-ing current emergency telephone num-bers for use in making such notifica-tions. (2) Employee training and qualifica-tion(i) On-board personnel. The rail-roads emergency preparedness plan shall add
43、ress individual employee re-sponsibilities and provide for initial training, as well as periodic training at least once every two calendar years thereafter, on the applicable plan pro-visions. As a minimum, the initial and periodic training shall include: (A) Rail equipment familiarization; (B) Situ
44、ational awareness; (C) Passenger evacuation; (D) Coordination of functions; and (E) Hands-on instruction con-cerning the location, function, and op-eration of on-board emergency equip-ment. (ii) Control center personnel. The rail-roads emergency preparedness plan shall require initial training of re
45、spon-sible control center personnel, as well as periodic training at least once every two calendar years thereafter, on ap-propriate courses of action for each po-tential emergency situation. As a min-imum, the initial and periodic training shall include: (A) Dispatch territory familiariza-tion; and
46、 (B) Protocols governing internal communications between appropriate control center personnel whenever an imminent potential emergency situa-tion exists. (iii) Initial training schedule for cur-rent employees. The railroads emer-gency preparedness plan shall provide for the completion of initial tra
47、ining of all on-board and control center em-ployees who are employed by the rail-road on the date that the plan is condi-tionally approved under 239.201(b)(1), in accordance with the following sched-ule: (A) For each railroad that provides commuter or other short-haul pas-senger train service and wh
48、ose oper-ations 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 pa
49、s-senger train service and whose oper-ations 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, re-gardless of the number of route miles or passenger miles, not more than two years after January 29, 1999, or n
