
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: 49USC21303]

 
                        TITLE 49--TRANSPORTATION
 
                        SUBTITLE V--RAIL PROGRAMS
 
                             PART A--SAFETY
 
                         CHAPTER 213--PENALTIES
 
                      SUBCHAPTER I--CIVIL PENALTIES
 
Sec. 21303. Chapter 211 violations

    (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.

(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.)

                                          Historical and Revision Notes
                                                 Pub. L. 103-272
-------------------------------------------------------------------------------
---------------------------------
           Revised  Section                    Source (U.S. Code)              
 Source (Statutes at Large)
-------------------------------------------------------------------------------
---------------------------------
21303.................................  45:63a(d) (related to 45:64a).   Mar. 4
, 1907, ch. 2939, 34 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 S
tat. 635.
                                        45:64a(a)(1) (1st sentence       Mar. 4
, 1907, ch. 2939, Sec.  5(a)(1)
                                         words before last comma, 2d-     (1st 
sentence words before last comma,
                                         4th sentences, 5th sentence      2d-4t
h sentences, 5th sentence words
                                         words before last comma, last    befor
e last comma, last sentence), 34
                                         sentence).                       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; 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 St
at. 1417; Dec. 26, 1969, Pub. L.
                                                                          91-16
9, 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''.
