
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 49USC21301]

 
                        TITLE 49--TRANSPORTATION
 
                        SUBTITLE V--RAIL PROGRAMS
 
                             PART A--SAFETY
 
                         CHAPTER 213--PENALTIES
 
                      SUBCHAPTER I--CIVIL PENALTIES
 
Sec. 21301. Chapter 201 general violations

    (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.

(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.)

                                          Historical and Revision Notes
                                                 Pub. L. 103-272
-------------------------------------------------------------------------------
---------------------------------
           Revised  Section                    Source (U.S. Code)              
 Source (Statutes at Large)
-------------------------------------------------------------------------------
---------------------------------
21301(a)(1)...........................  45:438(a).                       Oct. 1
6, 1970, Pub. L. 91-458, Sec.
                                                                          209(a
), 84 Stat. 975; restated Jan.
                                                                          14, 1
983, Pub. L. 97-468, Sec.  706,
                                                                          96 St
at. 2581; June 22, 1988, Pub. L.
                                                                          100-3
42, 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 sentences).   Oct. 1
6, 1970, Pub. L. 91-458, Sec.
                                                                          209(c
) (1st, 3d, 5th-8th sentences),
                                                                          84 St
at. 975; June 22, 1988, Pub. L.
                                                                          100-3
42, 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 to rules,     Oct. 1
6, 1970, Pub. L. 91-458, Sec.
                                         regulations, orders, or          209(b
) (related to rules, regulations,
                                         standards issued under this      order
s, or standards issued under this
                                         subchapter).                     title
), 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 S
tat. 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.

                  Section Referred to in Other Sections

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