-CITE-

49 USC CHAPTER 213 - PENALTIES 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

-HEAD-

CHAPTER 213 - PENALTIES

-MISC1-

SUBCHAPTER I - CIVIL PENALTIES

Sec.

21301. Chapter 201 general violations.

21302. Chapter 201 accident and incident violations and

chapter 203-209 violations.

21303. Chapter 211 violations.

21304. Willfulness requirement for penalties against

individuals.

SUBCHAPTER II - CRIMINAL PENALTIES

21311. Records and reports.

-SECREF-

CHAPTER REFERRED TO IN OTHER SECTIONS

This chapter is referred to in sections 103, 501, 20105 of this

title.

-End-

-CITE-

49 USC SUBCHAPTER I - CIVIL PENALTIES 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER I - CIVIL PENALTIES

-HEAD-

SUBCHAPTER I - CIVIL PENALTIES

-End-

-CITE-

49 USC Sec. 21301 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER I - CIVIL PENALTIES

-HEAD-

Sec. 21301. Chapter 201 general violations

-STATUTE-

(a) Penalty. - (1) A person may not fail to comply with a

regulation prescribed or order issued by the Secretary of

Transportation under chapter 201 of this title. Subject to section

21304 of this title, a person violating a regulation prescribed or

order issued by the Secretary under chapter 201 is liable to the

United States Government for a civil penalty. The Secretary shall

impose the penalty applicable under paragraph (2) of this

subsection. A separate violation occurs for each day the violation

continues.

(2) The Secretary shall include in, or make applicable to, each

regulation prescribed and order issued under chapter 201 of this

title a civil penalty for a violation. The amount of the penalty

shall be at least $500 but not more than $10,000. However, when a

grossly negligent violation or a pattern of repeated violations has

caused an imminent hazard of death or injury to individuals, or has

caused death or injury, the amount may be not more than $20,000.

(3) The Secretary may compromise the amount of a civil penalty

imposed under this subsection to not less than $500 before

referring the matter to the Attorney General for collection. In

determining the amount of a compromise, the Secretary shall

consider -

(A) the nature, circumstances, extent, and gravity of the

violation;

(B) with respect to the violator, the degree of culpability,

any history of violations, the ability to pay, and any effect on

the ability to continue to do business; and

(C) other matters that justice requires.

(b) Setoff. - The Government may deduct the amount of a civil

penalty imposed or compromised under this section from amounts it

owes the person liable for the penalty.

(c) Deposit in Treasury. - A civil penalty collected under this

section or section 20113(b) of this title shall be deposited in the

Treasury as miscellaneous receipts.

-SOURCE-

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 891; Pub. L.

104-287, Sec. 5(53), Oct. 11, 1996, 110 Stat. 3393.)

-MISC1-

HISTORICAL AND REVISION NOTES

PUB. L. 103-272

--------------------------------------------------------------------

Revised Source (U.S. Code) Source (Statutes at Large)

Section

--------------------------------------------------------------------

21301(a)(1) 45:438(a). Oct. 16, 1970, Pub. L.

91-458, Sec. 209(a), 84

Stat. 975; restated Jan. 14,

1983, Pub. L. 97-468, Sec.

706, 96 Stat. 2581; June 22,

1988, Pub. L. 100-342, Sec.

3(a)(1), 102 Stat. 624;

Sept. 3, 1992, Pub. L.

102-365, Sec. 9(a)(1), 106

Stat. 977.

45:438(c) (1st, 3d Oct. 16, 1970, Pub. L.

sentences). 91-458, Sec. 209(c) (1st,

3d, 5th-8th sentences), 84

Stat. 975; June 22, 1988,

Pub. L. 100-342, Sec.

3(a)(3)(A), (C), 102 Stat.

624; Sept. 3, 1992, Pub. L.

102-365, Sec. 4(c)(1), 106

Stat. 974.

21301(a)(2) 45:438(b) (related Oct. 16, 1970, Pub. L.

to rules, 91-458, Sec. 209(b) (related

regulations, to rules, regulations,

orders, or orders, or standards issued

standards issued under this title), 84 Stat.

under this 975; Jan. 3, 1975, Pub. L.

subchapter). 93-633, Sec. 204(a), 88

Stat. 2165; June 22, 1988,

Pub. L. 100-342, Sec.

3(a)(2), 102 Stat. 624;

Sept. 3, 1992, Pub. L.

102-365, Sec. 4(a)(1), 106

Stat. 973.

21301(a)(3) 45:438(c) (5th, 6th

sentences).

21301(b) 45:438(c) (7th

sentence).

21301(c) 45:438(c) (8th

sentence).

--------------------------------------------------------------------

In subsection (a), the words "impose" and "imposed" are

substituted for "assessed", for consistency in the revised title.

In subsection (a)(1), the first 2 sentences are substituted for

45:438(a) and (c) (1st sentence) for consistency in the revised

title and to eliminate unnecessary words. The words "(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

independent contractor providing goods or services to a railroad;

and any employee of such owner, manufacturer, lessor, lessee, or

independent contractor)" are omitted as surplus because of the

definition of "person" in 1:1 and because the provision being

violated indicates to whom it applies. The word "shall" in

45:438(c) (1st sentence) is retained from the source provisions.

For a discussion of whether the authority of the Secretary of

Transportation to impose a penalty is mandatory or permissive, see

Railway Labor Executives' Ass'n v. Dole, 760 F.2d 1021, 1024, 1025

(9th Cir. 1985); H.R. Conf. Rept. No. 100-637, 100th Cong., 2d

Sess., p. 20; 134 Cong. Rec. H3470, May 23, 1988 (daily ed.); 134

Cong. Rec. S7510, June 9, 1988 (daily ed.). See also 134 Cong. Rec.

E1946, June 10, 1988 (daily ed.). For an extended discussion of

FRA's prosecutorial discretion, see Nationwide Rail Safety: Hearing

Before the Subcommittee on Transportation, Tourism, and Hazardous

Materials of the House Energy and Commerce Committee, 100th Cong.,

1st Sess., pp. 54-65 (1987). See also section 6 of this bill that

provides that this bill restates, without substantive change, the

provisions of law replaced by this bill, and that this bill may not

be construed as making a substantive change in the law restated.

Therefore, the word "shall" in this subsection has the same meaning

it has under existing law. The words "A separate violation" are

substituted for "a separate offense" for consistency.

In subsection (a)(3), the words "may compromise the amount . . .

to not less than $500" are substituted for "may, however, be

compromised . . . for any amount, but in no event for an amount

less than the minimum provided in subsection (b) of this section"

for clarity and to eliminate unnecessary words. In clause (B), the

words "prior or subsequent" are omitted as unnecessary.

In subsection (c), the words "deposited in" are substituted for

"covered into" for consistency in the revised title and with other

titles of the United States Code.

PUB. L. 104-287

This amends 49:21301(a)(1) to clarify the restatement of

45:438(a) by section 1 of the Act of July 5, 1994 (Public Law

103-272, 108 Stat. 891).

AMENDMENTS

1996 - Subsec. (a)(1). Pub. L. 104-287, Sec. 5(53)(B),

substituted "Secretary under chapter 201 is liable" for "Secretary

of Transportation under chapter 201 of this title is liable".

Pub. L. 104-287, Sec. 5(53)(A), inserted "A person may not fail

to comply with a regulation prescribed or order issued by the

Secretary of Transportation under chapter 201 of this title."

before "Subject to".

EFFECTIVE DATE OF 1996 AMENDMENT

Amendment by Pub. L. 104-287 effective July 5, 1994, see section

8(1) of Pub. L. 104-287, set out as a note under section 5303 of

this title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 20112, 20138 of this

title.

-End-

-CITE-

49 USC Sec. 21302 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER I - CIVIL PENALTIES

-HEAD-

Sec. 21302. Chapter 201 accident and incident violations and

chapter 203-209 violations

-STATUTE-

(a) Penalty. - (1) Subject to section 21304 of this title, a

person violating a regulation prescribed or order issued under

chapter 201 of this title related to accident and incident

reporting or investigation, or violating chapters 203-209 of this

title or a regulation or requirement prescribed or order issued

under chapters 203-209, is liable to the United States Government

for a civil penalty. An act by an individual that causes a railroad

carrier to be in violation is a violation. A separate violation

occurs for each day the violation continues.

(2) The Secretary of Transportation imposes a civil penalty under

this subsection. The amount of the penalty shall be at least $500

but not more than $10,000. However, when a grossly negligent

violation or a pattern of repeated violations has caused an

imminent hazard of death or injury to individuals, or has caused

death or injury, the amount may be not more than $20,000.

(3) The Secretary may compromise the amount of the civil penalty

under section 3711 of title 31. In determining the amount of a

compromise, the Secretary shall consider -

(A) the nature, circumstances, extent, and gravity of the

violation;

(B) with respect to the violator, the degree of culpability,

any history of violations, the ability to pay, and any effect on

the ability to continue to do business; and

(C) other matters that justice requires.

(4) If the Secretary does not compromise the amount of the civil

penalty, the Secretary shall refer the matter to the Attorney

General for collection.

(b) Civil Actions To Collect. - The Attorney General shall bring

a civil action in a district court of the United States to collect

a civil penalty that is referred to the Attorney General for

collection under subsection (a) of this section. The action may be

brought in the judicial district in which the violation occurred or

the defendant has its principal executive office. If the action is

against an individual, the action also may be brought in the

judicial district in which the individual resides.

-SOURCE-

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 892.)

-MISC1-

HISTORICAL AND REVISION NOTES

--------------------------------------------------------------------

Revised Source (U.S. Code) Source (Statutes at Large)

Section

--------------------------------------------------------------------

21302 45:6 (1st sentence Mar. 2, 1893, ch. 196, Sec.

words before 23d 6 (1st sentence words before

comma and between 23d comma and between 24th

24th comma and comma and proviso, 2d

proviso, 2d sentence words before 2d

sentence words comma, last sentence), 27

before 2d comma, Stat. 532; restated Apr. 1,

last sentence). 1896, ch. 87, 29 Stat. 85;

Aug. 14, 1957, Pub. L.

85-135, Sec. 1(1), 71 Stat.

352; July 8, 1976, Pub. L.

94-348, Sec. 3(a), 90 Stat.

818; Nov. 2, 1978, Pub. L.

95-574, Sec. 7(a), 92 Stat.

2461; Oct. 10, 1980, Pub. L.

96-423, Sec. 8(b), 94 Stat.

1814; June 22, 1988, Pub. L.

100-342, Sec. 13(1)(F), 102

Stat. 630; Sept. 3, 1992,

Pub. L. 102-365, Secs.

4(a)(1), (c)(3), 9(a)(3),

106 Stat. 973, 974, 977.

45:8 (words before Mar. 2, 1903, ch. 976, Sec.

16th comma). 1 (words before 23d comma),

32 Stat. 943; June 22, 1988,

Pub. L. 100-342, Sec.

13(2)(A), 102 Stat. 631.

45:9 (last Mar. 2, 1903, ch. 976, 32

sentence). Stat. 943, Sec. 2 (last

sentence); added Apr. 11,

1958, Pub. L. 85-375, Sec.

1(b)(3), 72 Stat. 86.

45:10 (words after Mar. 2, 1903, ch. 976, Sec.

19th comma). 3 (last sentence words after

semicolon), 32 Stat. 944.

45:12 (1st sentence Apr. 14, 1910, ch. 160, Sec.

words after 3 (1st sentence words

semicolon). between semicolon and

proviso), 36 Stat. 298.

45:13 (1st sentence Apr. 14, 1910, ch. 160, Sec.

words before last 4 (1st sentence words before

comma, 2d sentence last comma, 2d sentence

words before words before proviso, last

proviso, last sentence), 36 Stat. 299;

sentence). Aug. 14, 1957, Pub. L.

85-135, Sec. 1(2), 71 Stat.

352; July 8, 1976, Pub. L.

94-348, Sec. 3(b), 90 Stat.

818; Nov. 2, 1978, Pub. L.

95-574, Sec. 7(b), 92 Stat.

2461; June 22, 1988, Pub. L.

100-342, Sec. 13(3)

(C)(i)-(iv), 102 Stat. 632;

Sept. 3, 1992, Pub. L.

102-365, Secs. 4(a)(1),

(c)(4), 9(a)(5), 106 Stat.

973, 974, 978.

45:14 (words after Apr. 14, 1910, ch. 160, Sec.

semicolon). 5 (words after semicolon),

36 Stat. 299.

45:30 (1st sentence Mar. 4, 1915, ch. 169, Sec.

related to 45:34). 2 (1st sentence related to

Sec. 9 of Act of Feb. 17,

1911), 38 Stat. 1192; Apr.

22, 1940, ch. 124, Sec. 2,

54 Stat. 148; Reorg. Plan

No. 3 of 1965, eff. July 27,

1965, 79 Stat. 1320.

45:34 (1st sentence Feb. 17, 1911, ch. 103, Sec.

words before last 9 (1st sentence words before

comma, 2d, last last comma, 2d, last

sentences). sentences), 36 Stat. 916;

Apr. 22, 1940, ch. 124, Sec.

1 (related to Sec. 9 of Act

of Feb. 17, 1911), 54 Stat.

148; Aug. 14, 1957, Pub. L.

85-135, Sec. 3, 71 Stat.

352; Reorg. Plan No. 3 of

1965, eff. July 27, 1965, 79

Stat. 1320; July 8, 1976,

Pub. L. 94-348, Sec. 3(c),

90 Stat. 818; Nov. 2, 1978,

Pub. L. 95-574, Sec. 7(c),

92 Stat. 2461; Oct. 10,

1980, Pub. L. 96-423, Sec.

8(c), 94 Stat. 1814; June

22, 1988, Pub. L. 100-342,

Sec. 14(7)(A), 102 Stat.

633; Sept. 3, 1992, Pub. L,.

102-365, Secs. 4(a)(1),

(c)(7), 9(a)(8), 106 Stat.

973, 975, 978.

45:43 (1st sentence May 6, 1910, ch. 208, Sec. 7

words before last (1st sentence words before

comma, 2d sentence, last comma, 2d sentence, 3d

3d sentence words sentence words before 5th

before 5th comma, comma, last sentence), 36

last sentence). Stat. 351; Sept. 13, 1960,

Pub. L. 86-762, Sec. 3, 74

Stat. 904; restated June 22,

1988, Pub. L. 100-342, Sec.

15(4), 102 Stat. 634; Sept.

3, 1992, Pub. L. 102-365,

Secs. 4(a)(1), (c)(5),

9(a)(6), 106 Stat. 973, 974,

978.

45:438(b) (related Oct. 16, 1970, Pub. L.

to 45:39). 91-458, Sec. 209(b) (related

to Sec. 2 of Act of May 6,

1910), 84 Stat. 975; Jan. 3,

1975, Pub. L. 93-633, Sec.

204(a), 88 Stat. 2165; June

22, 1988, Pub. L. 100-342,

Sec. 3(a)(2), 102 Stat. 624;

Sept. 3, 1992, Pub. L.

102-365, Sec. 4(a)(1), 106

Stat. 973.

49 App.:26(h) (1st Feb. 4, 1887, ch. 104, 24

sentence words Stat. 379, Sec. 25(h) (1st

before last comma, sentence words before last

2d, 3d sentences, comma, 2d, 3d sentences, 4th

4th sentence words sentence words before last

before last comma, comma, last sentence); added

last sentence). Feb. 28, 1920, ch. 91, Sec.

441, 41 Stat. 498; restated

Aug. 26, 1937, ch. 818, 50

Stat. 837; Sept. 18, 1940,

ch. 722, Sec. 14(b), 54

Stat. 919; July 8, 1976,

Pub. L. 94-348, Sec. 3(d),

90 Stat 818; Nov. 2, 1978,

Pub. L. 95-574, Sec. 7(d),

92 Stat. 2461; Oct. 10,

1980, Pub. L. 96-423, Sec.

8(d), 94 Stat. 1814; June

22, 1988, Pub. L. 100-342,

Sec. 17(7), (8), 102 Stat.

636; Sept. 3, 1992, Pub. L.

102-365, Secs. 4(a)(1),

(c)(6), 9(a)(7), 106 Stat.

973, 974, 978.

49 Oct. 15, 1966, Pub. L.

App.:1655(e)(1)(A), 89-670, Sec. 6(e)(1)(A),

(C), (E)-(G), (K), (C), (E)-(G), (K), (6)(A),

(6)(A). 80 Stat. 939.

--------------------------------------------------------------------

In subsection (a)(1), the words "(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 independent

contractor providing goods or services to a railroad; and any

employee of such owner, manufacturer, lessor, lessee, or

independent contractor)" are omitted as surplus because of the

definition of "person" in 1:1 and because the provision being

violated indicates to whom it applies. The words "violating a

regulation prescribed or order issued under chapter 201 of this

title related to accident and incident reporting or investigation"

are substituted for "violating . . . any rule, regulation, order,

or standard issued under . . . the Federal Railroad Safety Act of

1970 [45 U.S.C. 431 et seq.] pertaining to accident reporting or

investigations" in 45:43, and the words "violating chapters 203-209

of this title or a regulation or requirement prescribed or order

issued under chapters 203-209" are substituted for various language

in the source provisions, for clarity, for consistency in this

section, and to eliminate unnecessary words. The words "liable to

the United States Government for a civil penalty" are substituted

for "liable to a penalty" for clarity. The text of 45:438(b)

(related to 45:39) is omitted as covered by 45:43.

In subsection (a)(2), the words "The Secretary of Transportation

imposes a civil penalty under this subsection" are substituted for

"to be assessed by the Secretary of Transportation" in 45:6, "Such

penalty shall be assessed by the Secretary of Transportation" in

45:13, the text of 45:10 (words after 7th comma) and 14 (words

after semicolon), and "in such amount . . . as the Secretary of

Transportation deems reasonable" in 45:34 and 43 and 49 App.:26(h)

for clarity and to eliminate unnecessary words. The words "per

violation" are omitted as surplus.

In subsections (a)(3) and (b), the words "Attorney General" are

substituted for "United States attorney", "such attorneys, subject

to the direction of the Attorney General", "proper United States

attorney" and "proper United States attorneys" because of 28:509.

In subsection (a)(3), the words "section 3711 of title 31" are

substituted for "the Federal Claims Collection Act of 1966" and

"sections 3711 and 3716 to 3718 of title 31" because the Federal

Claims Collection Act of 1966 has been repealed and reenacted as

part of title 31 and penalties are compromised under 31:3711. In

clause (B), the words "prior or subsequent" are omitted as

unnecessary.

In subsection (a)(4), the words "the Secretary shall refer the

matter to the Attorney General for collection" are substituted for

"recovered in a suit or suits to be brought by" for clarity. The

words "and it shall also be the duty of the Secretary of

Transportation to lodge with . . . information of any such

violations as may come to his knowledge" and "and it shall be the

duty of the director of locomotive inspection to give information .

. . of all violations coming to his knowledge" are omitted as

obsolete.

In subsection (b), the words "The Attorney General shall bring a

civil action in a district court of the United States to collect a

civil penalty that is referred to the Attorney General for

collection under subsection (a) of this section" are substituted

for "and it shall be the duty of such United States attorney to

bring such suits upon duly verified information being lodged with

him of such violation having occurred" in 45:6, and for "It shall

be the duty of such attorneys to bring such suits upon duly

verified information being lodged with them showing such violations

having occurred" in 49 App.:26, for clarity and consistency in this

section and with other provisions of the revised title.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 20303 of this title; title

31 section 3711.

-End-

-CITE-

49 USC Sec. 21303 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER I - CIVIL PENALTIES

-HEAD-

Sec. 21303. Chapter 211 violations

-STATUTE-

(a) Penalty. - (1) Subject to section 21304 of this title, a

person violating chapter 211 of this title, or violating any

provision of a waiver applicable to that person that has been

granted under section 21108 of this title, is liable to the United

States Government for a civil penalty. An act by an individual that

causes a railroad carrier to be in violation is a violation. For a

violation of section 21106 of this title, a separate violation

occurs for each day a facility is not in compliance.

(2) The Secretary of Transportation imposes a civil penalty under

this subsection. The amount of the penalty shall be at least $500

but not more than $10,000. However, when a grossly negligent

violation or a pattern of repeated violations has caused an

imminent hazard of death or injury to individuals, or has caused

death or injury, the amount may be not more than $20,000.

(3) The Secretary may compromise the amount of the civil penalty

under section 3711 of title 31. In determining the amount of a

compromise, the Secretary shall consider -

(A) the nature, circumstances, extent, and gravity of the

violation;

(B) with respect to the violator, the degree of culpability,

any history of violations, the ability to pay, and any effect on

the ability to continue to do business; and

(C) other matters that justice requires.

(4) If the Secretary does not compromise the amount of the civil

penalty, the Secretary shall refer the matter to the Attorney

General for collection.

(b) Civil Actions To Collect. - (1) The Attorney General shall

bring a civil action in a district court of the United States to

collect a civil penalty that is referred to the Attorney General

for collection under subsection (a) of this section after

satisfactory information is presented to the Attorney General. The

action may be brought in the judicial district in which the

violation occurred or the defendant has its principal executive

office. If the action is against an individual, the action also may

be brought in the judicial district in which the individual

resides.

(2) A civil action under this subsection must be brought not

later than 2 years after the date of the violation unless

administrative notification under section 3711 of title 31 is given

within that 2-year period to the person committing the violation.

However, even if notification is given, the action must be brought

within the period specified in section 2462 of title 28.

(c) Imputation of Knowledge. - In any proceeding under this

section, a railroad carrier is deemed to know the acts of its

officers and agents.

-SOURCE-

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 892; Pub. L.

103-440, title II, Sec. 204, Nov. 2, 1994, 108 Stat. 4620; Pub. L.

104-287, Sec. 5(54), Oct. 11, 1996, 110 Stat. 3393.)

-MISC1-

HISTORICAL AND REVISION NOTES

PUB. L. 103-272

--------------------------------------------------------------------

Revised Source (U.S. Code) Source (Statutes at Large)

Section

--------------------------------------------------------------------

21303 45:63a(d) (related Mar. 4, 1907, ch. 2939, 34

to 45:64a). Stat. 1415, Sec. 3A(d)

(related to Sec. 5); added

July 8, 1976, Pub. L.

94-348, Sec. 4(d), 90 Stat.

819; June 22, 1988, Pub. L.

100-342, Sec. 16(4), 102

Stat. 635.

45:64a(a)(1) (1st Mar. 4, 1907, ch. 2939, Sec.

sentence words 5(a)(1) (1st sentence words

before last comma, before last comma, 2d-4th

2d-4th sentences, sentences, 5th sentence

5th sentence words words before last comma,

before last comma, last sentence), 34 Stat.

last sentence). 1417; Dec. 26, 1969, Pub. L.

91-169, Sec. 1, 83 Stat.

464; July 8, 1976, Pub. L.

94-348, Sec. 4(e), 90 Stat.

819; Oct. 10, 1980, Pub. L.

96-423, Sec. 12, 94 Stat.

1816; restated June 22,

1988, Pub. L. 100-342, Sec.

16(6)(A), 102 Stat. 635;

Sept. 3, 1992, Pub. L,.

102-365, Secs. 4(a)(2),

(c)(2), 9(a)(2), 106 Stat.

973, 974, 977.

45:64a(a)(2). Mar. 4, 1907, ch. 2939, Sec.

5(a)(2), 34 Stat. 1417; Dec.

26, 1969, Pub. L. 91-169,

Sec. 1, 83 Stat. 464; July

8, 1976, Pub. L. 94-348,

Sec. 4(e), 90 Stat. 819;

restated Oct. 10, 1980, Pub.

L. 96-423, Sec. 12, 94 Stat.

1816; June 22, 1988, Pub. L.

100-342, Sec. 16(6)(B), 102

Stat. 635.

45:64a(b). Mar. 4, 1907, ch. 2939, Sec.

5(b), 34 Stat. 1417;

restated Dec. 26, 1969, Pub.

L. 91-169, Sec. 1, 83 Stat.

464.

45:64a(c). Mar. 4, 1907, ch. 2939, Sec.

5(c), 34 Stat. 1417;

restated Dec. 26, 1969, Pub.

L. 91-169, Sec. 1, 83 Stat.

464; June 22, 1988, Pub. L.

100-342, Sec. 16(6)(C), 102

Stat. 635.

--------------------------------------------------------------------

In this section, the words "Attorney General" are substituted for

"United States attorney" because of 28:509. The words "civil

action" are substituted for "suit or suits", "action", and

"prosecutions" for consistency with rule 2 of the Federal Rules of

Civil Procedure (28 App. U.S.C.).

In subsection (a)(1), the words "(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 independent

contractor providing goods or services to a railroad; and any

employee of such owner, manufacturer, lessor, lessee, or

independent contractor)" are omitted as surplus because of the

definition of "person" in 1:1 and because the provision being

violated indicates to whom it applies. The words "violating chapter

211 of this title" are substituted for "that requires or permits

any employee to go, be, or remain on duty in violation of section

62, section 63, or section 63a of this title, or that violates any

other provision of this chapter" to eliminate unnecessary words.

The words "to the United States Government for a civil penalty" are

substituted for "for a penalty" for consistency in the revised

title and with other titles of the United States Code.

In subsection (a)(2), the words "The Secretary of Transportation

imposes a civil penalty under this subsection" are substituted for

"as the Secretary of Transportation deems reasonable" for clarity

and consistency.

In subsection (a)(3), the words "section 3711 of title 31" are

substituted for "sections 3711 and 3716 to 3718 of title 31"

because penalties are compromised under 31:3711. In clause (B), the

words "prior or subsequent" are omitted as unnecessary.

In subsection (a)(4), the words "the Secretary shall refer the

matter to the Attorney General for collection" are substituted for

"recovered in a suit or suits to be brought by" for clarity. The

text of 45:64a(b) is omitted as obsolete.

In subsection (b)(1), the words "The Attorney General shall bring

a civil action in a district court of the United States to collect

a civil penalty that is referred to the Attorney General for

collection under subsection (a) of this section after satisfactory

information is presented to the Attorney General" are substituted

for "It shall be the duty of the United States attorney to bring

such an action upon satisfactory information being lodged with him"

for clarity and consistency in this section and with other

provisions of the revised title.

In subsection (c), the words "any proceeding" are substituted for

"all prosecutions" for consistency in the revised title.

PUB. L. 104-287

This amends 49:21303(a)(1) to correct a grammatical error.

AMENDMENTS

1996 - Subsec. (a)(1). Pub. L. 104-287 inserted a comma after

"chapter 211 of this title".

1994 - Subsec. (a)(1). Pub. L. 103-440 inserted "or violating any

provision of a waiver applicable to that person that has been

granted under section 21108 of this title," after "chapter 211 of

this title".

-End-

-CITE-

49 USC Sec. 21304 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER I - CIVIL PENALTIES

-HEAD-

Sec. 21304. Willfulness requirement for penalties against

individuals

-STATUTE-

A civil penalty under this subchapter may be imposed against an

individual only for a willful violation. An individual is deemed

not to have committed a willful violation if the individual was

following the direct order of a railroad carrier official or

supervisor under protest communicated to the official or

supervisor. The individual is entitled to document the protest.

-SOURCE-

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 893.)

-MISC1-

HISTORICAL AND REVISION NOTES

--------------------------------------------------------------------

Revised Source (U.S. Code) Source (Statutes at Large)

Section

--------------------------------------------------------------------

21304 45:6 (1st sentence Mar. 2, 1893, ch. 196, Sec.

words between 23d 6 (1st sentence words

and 24th commas, 2d between 23d and 24th commas,

sentence words 2d sentence words after 2d

after 2d comma, 3d comma, 3d sentence), 27

sentence). Stat. 532; restated June 22,

1988, Pub. L. 100-342, Sec.

13(1)(F), 102 Stat. 630;

Sept. 3, 1992, Pub. L.

102-365, Sec. 9(a)(3), 106

Stat. 977.

45:13 (1st sentence Apr. 14, 1910, ch. 160, Sec.

words after last 4 (1st sentence words after

comma, 3d, 4th last comma, 3d, 4th

sentences). sentences), 36 Stat. 299;

June 22, 1988, Pub. L.

100-342, Sec. 13(3)(C)(iii),

(v), 102 Stat. 632.

45:34 (1st sentence Feb. 17, 1911, ch. 103, Sec.

words after last 9 (1st sentence words after

comma, 3d, 4th last comma, 3d, 4th

sentences). sentences), 36 Stat. 916;

June 22, 1988, Pub. L.

100-342, Sec. 14(7), 102

Stat. 633.

45:43 (1st sentence May 6, 1910, ch. 208, Sec. 7

words after last (1st sentence words after

comma, 3d sentence last comma, 3d sentence

words after 5th words after 5th comma, 4th

comma, 4th sentence), 36 Stat. 351;

sentence). Sept. 13, 1960, Pub. L.

86-762, Sec. 3, 74 Stat.

904; restated June 22, 1988,

Pub. L. 100-342, Sec. 15(4),

102 Stat. 634.

45:64a(a)(1) (1st Mar. 4, 1907, ch. 2939, Sec.

sentence words 5(a)(1) (1st sentence words

after last comma, after last comma, 5th

5th sentence words sentence words after last

after last comma, comma, 6th sentence), 34

6th sentence). Stat. 1417; restated June

22, 1988, Pub. L. 100-342,

Sec. 16(6)(A), 102 Stat. 635.

45:438(c) (2d, 9th, Oct. 16, 1970, Pub. L.

last sentences). 91-458, Sec. 209(c) (2d,

8th, last sentences), 84

Stat. 975; June 22, 1988,

Pub. L. 100-342, Sec.

3(a)(3)(A), (C), 102 Stat.

624; Sept. 3, 1992, Pub. L.

102-365, Sec. 4(c)(1), 106

Stat. 974.

49 App.:26(h) (1st Feb. 4, 1887, ch. 104, 24

sentence words Stat. 379, Sec. 25(h) (1st

after last comma, sentence words after last

4th sentence words comma, 4th sentence words

after last comma, after last comma, 5th

5th sentence). sentence); added Feb. 28,

1920, ch. 91, Sec. 441, 41

Stat. 498; restated Aug. 26,

1937, ch. 818, 50 Stat. 837;

Sept. 18, 1940, ch. 722,

Sec. 14(b), 54 Stat. 919;

June 22, 1988, Pub. L.

100-342, Sec. 17(7), 102

Stat. 636.

--------------------------------------------------------------------

The word "official" is added the 2d time it appears for

consistency in this section.

-SECREF-

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in sections 21301, 21302, 21303 of

this title.

-End-

-CITE-

49 USC SUBCHAPTER II - CRIMINAL PENALTIES 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER II - CRIMINAL PENALTIES

-HEAD-

SUBCHAPTER II - CRIMINAL PENALTIES

-End-

-CITE-

49 USC Sec. 21311 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART A - SAFETY

CHAPTER 213 - PENALTIES

SUBCHAPTER II - CRIMINAL PENALTIES

-HEAD-

Sec. 21311. Records and reports

-STATUTE-

(a) Records and Reports Under Chapter 201. - A person shall be

fined under title 18, imprisoned for not more than 2 years, or

both, if the person knowingly and willfully -

(1) makes a false entry in a record or report required to be

made or preserved under chapter 201 of this title;

(2) destroys, mutilates, changes, or by another means falsifies

such a record or report;

(3) does not enter required specified facts and transactions in

such a record or report;

(4) makes or preserves such a record or report in violation of

a regulation prescribed or order issued under chapter 201 of this

title; or

(5) files a false record or report with the Secretary of

Transportation.

(b) Accident and Incident Reports. - A railroad carrier not

filing the report required by section 20901 of this title shall be

fined not more than $500 for each violation and not more than $500

for each day during which the report is overdue.

-SOURCE-

(Pub. L. 103-272, Sec. 1(e), July 5, 1994, 108 Stat. 893.)

-MISC1-

HISTORICAL AND REVISION NOTES

--------------------------------------------------------------------

Revised Source (U.S. Code) Source (Statutes at Large)

Section

--------------------------------------------------------------------

21311(a) 45:438(e). Oct. 16, 1970, Pub. L.

91-458, 84 Stat. 971, Sec.

209(e); added Oct. 10, 1980,

Pub. L. 96-423, Sec. 7, 94

Stat. 1814.

21311(b) 45:39 (related to May 6, 1910, ch. 208, Sec. 2

fine). (related to fine), 36 Stat.

351; Jan. 3, 1975, Pub. L.

93-633, Sec. 204(b), 88

Stat. 2166; June 22, 1988,

Pub. L. 100-342, Sec. 15(2),

102 Stat. 634; Sept. 3,

1992, Pub. L. 102-365, Sec.

4(a)(3), 106 Stat. 973.

--------------------------------------------------------------------

In subsection (a), before clause (1), the words "fined under

title 18" are substituted for "fined not more than $5,000" for

consistency with title 18. In clause (1), the word "prepared" is

omitted as surplus. In clause (4), the word "prepares" is omitted

as surplus.

In subsection (b), the words "shall be deemed guilty of a

misdemeanor" are omitted for consistency with title 18. The words

"upon conviction thereof by a court of competent jurisdiction" and

"punished by a" are omitted as surplus.

-End-

-CITE-

49 USC PART B - ASSISTANCE 01/06/03

-EXPCITE-

TITLE 49 - TRANSPORTATION

SUBTITLE V - RAIL PROGRAMS

PART B - ASSISTANCE

-HEAD-

PART B - ASSISTANCE

-End-