
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: 49USC21302]

 
                        TITLE 49--TRANSPORTATION
 
                        SUBTITLE V--RAIL PROGRAMS
 
                             PART A--SAFETY
 
                         CHAPTER 213--PENALTIES
 
                      SUBCHAPTER I--CIVIL PENALTIES
 
Sec. 21302. Chapter 201 accident and incident violations and 
        chapter 203-209 violations
        
    (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.

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

                                          Historical and Revision Notes
-------------------------------------------------------------------------------
---------------------------------
           Revised  Section                    Source (U.S. Code)              
 Source (Statutes at Large)
-------------------------------------------------------------------------------
---------------------------------
21302.................................  45:6 (1st sentence words before  Mar. 2
, 1893, ch. 196, Sec.  6 (1st
                                         23d comma and between 24th       sente
nce words before 23d comma and
                                         comma and proviso, 2d sentence   betwe
en 24th comma and proviso, 2d
                                         words before 2d comma, last      sente
nce words before 2d comma, last
                                         sentence).                       sente
nce), 27 Stat. 532; restated Apr.
                                                                          1, 18
96, 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, 1
988, 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 16th comma).  Mar. 2
, 1903, ch. 976, Sec.  1 (words
                                                                          befor
e 23d comma), 32 Stat. 943; June
                                                                          22, 1
988, Pub. L. 100-342, Sec.
                                                                          13(2)
(A), 102 Stat. 631.
                                        45:9 (last sentence).            Mar. 2
, 1903, ch. 976, 32 Stat. 943,
                                                                          Sec. 
 2 (last sentence); added Apr.
                                                                          11, 1
958, Pub. L. 85-375, Sec.
                                                                          1(b)(
3), 72 Stat. 86.
                                        45:10 (words after 19th comma).  Mar. 2
, 1903, ch. 976, Sec.  3 (last
                                                                          sente
nce words after semicolon), 32
                                                                          Stat.
 944.
                                        45:12 (1st sentence words after  Apr. 1
4, 1910, ch. 160, Sec.  3 (1st
                                         semicolon).                      sente
nce words between semicolon and
                                                                          provi
so), 36 Stat. 298.
                                        45:13 (1st sentence words        Apr. 1
4, 1910, ch. 160, Sec.  4 (1st
                                         before last comma, 2d sentence   sente
nce words before last comma, 2d
                                         words before proviso, last       sente
nce words before proviso, last
                                         sentence).                       sente
nce), 36 Stat. 299; 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 S
tat. 973, 974, 978.
                                        45:14 (words after semicolon).   Apr. 1
4, 1910, ch. 160, Sec.  5 (words
                                                                          after
 semicolon), 36 Stat. 299.
                                        45:30 (1st sentence related to   Mar. 4
, 1915, ch. 169, Sec.  2 (1st
                                         45:34).                          sente
nce related to Sec.  9 of Act of
                                                                          Feb. 
17, 1911), 38 Stat. 1192; Apr.
                                                                          22, 1
940, ch. 124, Sec.  2, 54 Stat.
                                                                          148; 
Reorg. Plan No. 3 of 1965, eff.
                                                                          July 
27, 1965, 79 Stat. 1320.
                                        45:34 (1st sentence words        Feb. 1
7, 1911, ch. 103, Sec.  9 (1st
                                         before last comma, 2d, last      sente
nce words before last comma, 2d,
                                         sentences).                      last 
sentences), 36 Stat. 916; Apr.
                                                                          22, 1
940, 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 words        May 6,
 1910, ch. 208, Sec.  7 (1st
                                         before last comma, 2d            sente
nce words before last comma, 2d
                                         sentence, 3d sentence words      sente
nce, 3d sentence words before 5th
                                         before 5th comma, last           comma
, last 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 S
tat. 634; Sept. 3, 1992, Pub. L.
                                                                          102-3
65, Secs.  4(a)(1), (c)(5),
                                                                          9(a)(
6), 106 Stat. 973, 974, 978.
                                        45:438(b) (related to 45:39).    Oct. 1
6, 1970, Pub. L. 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 sentence      Feb. 4
, 1887, ch. 104, 24 Stat. 379,
                                         words before last comma, 2d,     Sec. 
 25(h) (1st sentence words before
                                         3d sentences, 4th sentence       last 
comma, 2d, 3d sentences, 4th
                                         words before last comma, last    sente
nce words before last comma, last
                                         sentence).                       sente
nce); added Feb. 28, 1920, ch.
                                                                          91, S
ec.  441, 41 Stat. 498; restated
                                                                          Aug. 
26, 1937, ch. 818, 50 Stat. 837;
                                                                          Sept.
 18, 1940, ch. 722, Sec.  14(b),
                                                                          54 St
at. 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, 1
988, 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 App.:1655(e)(1)(A), (C), (E)- Oct. 1
5, 1966, Pub. L. 89-670, Sec.
                                         (G), (K), (6)(A).                6(e)(
1)(A), (C), (E)-(G), (K), (6)(A),
                                                                          80 St
at. 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.

                  Section Referred to in Other Sections

    This section is referred to in section 20303 of this title; title 31 
section 3711.
