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 01/19/04
-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 01/19/04
-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 01/19/04
-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 01/19/04
-EXPCITE-
TITLE 49 - TRANSPORTATION
SUBTITLE V - RAIL PROGRAMS
PART A - SAFETY
CHAPTER 213 - PENALTIES
SUBCHAPTER II - CRIMINAL PENALTIES
-HEAD-
SUBCHAPTER II - CRIMINAL PENALTIES
-End-
| File Type | application/msword |
| File Title | TITLE 49 - TRANSPORTATION |
| Author | rbrogan |
| Last Modified By | rbrogan |
| File Modified | 2006-02-22 |
| File Created | 2006-02-22 |