523 
quires criminal history background checks, immigration status checks, or 
other background checks of covered individuals. 
(h) STATUTORY CONSTRUCTION.—Nothing in this section shall be con-
strued to affect the process for review established under section 70105(c) 
of title 46, including regulations issued under that section. 
§ 40512. Limitation on fines and civil penalties 
(a) INSPECTORS.—Surface transportation inspectors shall be prohibited 
from issuing fines to public transportation agencies for violations of the De-
partment’s regulations or orders except through the process described in 
subsection (b) 
(b) CIVIL PENALTIES.—The Secretary shall be prohibited from assessing 
civil penalties against public transportation agencies for violations of the 
Department’s regulations or orders, except in accordance with the following: 
(1) VIOLATION OF REGULATION OR ORDER.—In the case of a public 
transportation agency that is found to be in violation of a regulation 
or order issued by the Secretary, the Secretary shall seek correction of 
the violation through a written notice to the public transportation agen-
cy and shall give the public transportation agency reasonable oppor-
tunity to correct the violation or propose an alternative means of com-
pliance acceptable to the Secretary. 
(2) NO CORRECTION OR PROPOSED ALTERNATIVE COMPLIANCE.—If 
the public transportation agency does not correct the violation or pro-
pose an alternative means of compliance acceptable to the Secretary 
within a reasonable time period that is specified in the written notice, 
the Secretary may take an action authorized in chapter 113 of this 
title. 
(c) LIMITATION ON SECRETARY.—The Secretary shall not initiate civil 
enforcement actions for violations of administrative and procedural require-
ments pertaining to the application for and expenditure of funds awarded 
under transportation security grant programs under this chapter. 
Chapter 407—Surface Transportation 
Security 
Sec. 
Subchapter I—General 
40701.
Definitions. 
40702.
Oversight and grant procedures. 
40703.
Public awareness and outreach. 
Subchapter II—Railroad Security 
40711.
Railroad transportation security risk assessment and National Strategy. 
40712.
Railroad carrier assessments and plans. 
40713.
Railroad security assistance. 
40714.
Systemwide Amtrak security upgrades. 
40715.
Railroad carrier exercises. 
40716.
Railroad security training program. 
40717.
Railroad security research and development. 
40718.
Railroad tank car security testing. 
40719.
Security background checks of covered individuals. 
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40720.
International railroad security program. 
Subchapter III—Over-the-Road Bus Security 
40731.
Assessments and plans. 
40732.
Assistance. 
40733.
Exercises. 
40734.
Training program. 
40735.
Research and development. 
Subchapter IV—Hazardous Material and Pipeline Security 
40741.
Railroad routing of security-sensitive materials. 
40742.
Railroad security-sensitive material tracking. 
40743.
Motor carrier security-sensitive material tracking. 
40744.
Use of transportation security card in hazmat licensing. 
40745.
Pipeline security inspections and enforcement. 
40746.
Pipeline security and incident recovery plan. 
Subchapter I—General 
§ 40701. Definitions 
In this chapter: 
(1) AMTRAK.—The term ‘‘Amtrak’’ means the National Railroad 
Passenger Corporation. 
(2) APPROPRIATE CONGRESSIONAL COMMITTEE.—The term ‘‘appro-
priate congressional committee’’ means the Committee on Commerce, 
Science, and Transportation and the Committee on Homeland Security 
and Governmental Affairs of the Senate and the Committee on Home-
land Security and the Committee on Transportation and Infrastructure 
of the House. 
(3) DISADVANTAGED
BUSINESS
CONCERN.—The term ‘‘disadvan-
taged business concern’’ means a small business that is owned and con-
trolled by socially and economically disadvantaged individuals as de-
fined in part 124, title 13, Code of Federal Regulations. 
(4) OVER-THE-ROAD BUS.—The term ‘‘over-the-road bus’’ means a 
bus characterized by an elevated passenger deck located over a baggage 
compartment. 
(5) OVER-THE-ROAD BUS FRONTLINE EMPLOYEE.—The term ‘‘over- 
the-road bus frontline employee’’ means an over-the-road bus driver, se-
curity employee, dispatcher, maintenance or maintenance support em-
ployee, ticket agent, other terminal employee, or any other employee of 
an over-the-road bus operator or terminal owner or operator that the 
Secretary determines should receive security training under this title. 
(6) RAILROAD.—The term ‘‘railroad’’ has the meaning given the 
term in section 20102 of title 49. 
(7) RAILROAD CARRIER.—The term ‘‘railroad carrier’’ has the mean-
ing given the term in section 20102 of title 49. 
(8) RAILROAD FRONTLINE EMPLOYEE.—The term ‘‘railroad frontline 
employee’’ means a security employee, dispatcher, locomotive engineer, 
conductor, trainman, other onboard employee, maintenance or mainte-
nance support employee, bridge tender, or any other employee of a rail-
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road carrier that the Secretary determines should receive security 
training under this chapter. 
(9) SECURITY-SENSITIVE MATERIAL.—The term ‘‘security-sensitive 
material’’ means a material, or a group or class of material, in a par-
ticular amount and form that the Secretary, in consultation with the 
Secretary of Transportation, determines, through a rulemaking with 
opportunity for public comment, poses a significant risk to national se-
curity while being transported in commerce due to the potential use of 
the material in an act of terrorism. In making a designation, the Sec-
retary shall, at a minimum, consider the following: 
(A) Class 7 radioactive materials. 
(B) Division 1.1, 1.2, or 1.3 explosives. 
(C) Materials poisonous or toxic by inhalation, including Divi-
sion 2.3 gases and Division 6.1 materials. 
(D) A select agent or toxin regulated by the Centers for Disease 
Control and Prevention under part 73 of title 42, Code of Federal 
Regulations. 
(10) STATE.—The term ‘‘State’’ means a State, the District of Co-
lumbia, Puerto Rico, the Northern Mariana Islands, the Virgin Islands, 
Guam, American Samoa, and any other territory (including a posses-
sion) of the United States. 
(11) TERRORISM.—The term ‘‘terrorism’’ has the meaning given the 
term in section 10101 of this title. 
(12) TRANSPORTATION.—The term ‘‘transportation’’, as used with 
respect to an over-the-road bus, means the movement of passengers or 
property by an over-the-road bus— 
(A) in the jurisdiction of the United States between a place in 
a State and a place outside the State (including a place outside 
the United States); or 
(B) in a State that affects trade, traffic, and transportation de-
scribed in subparagraph (A). 
(13) UNITED STATES.—The term ‘‘United States’’ means the States, 
the District of Columbia, Puerto Rico, the Northern Mariana Islands, 
the Virgin Islands, Guam, American Samoa, and any other territory 
(including a possession) of the United States. 
§ 40702. Oversight and grant procedures 
(a) SECRETARIAL OVERSIGHT.—The Secretary, in coordination with the 
Secretary of Transportation for grants awarded to Amtrak, shall establish 
necessary procedures, including monitoring and audits, to ensure that 
grants made under this chapter are expended in accordance with the pur-
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poses of this chapter and the priorities and other criteria developed by the 
Secretary. 
(b) ADDITIONAL AUDITS AND REVIEWS.—The Secretary, and the Sec-
retary of Transportation for grants awarded to Amtrak, may award con-
tracts to undertake additional audits and reviews of the safety, security, 
procurement, management, and financial compliance of a recipient of 
amounts under this chapter. 
(c) PROCEDURES FOR GRANT AWARD.—The Secretary shall prescribe 
procedures and schedules for the awarding of grants under this chapter, in-
cluding application and qualification procedures, and a record of decision on 
applicant eligibility. The procedures shall include the execution of a grant 
agreement between the grant recipient and the Secretary and shall be con-
sistent, to the extent practicable, with the grant procedures established 
under section 70107(i) and (j) of title 46. 
(d) ADDITIONAL AUTHORITY.— 
(1) ISSUANCE.—The Secretary may issue non-binding letters of in-
tent to recipients of a grant under this chapter, to commit funding 
from future budget authority of an amount, not more than the Federal 
Government’s share of the project’s cost, for a capital improvement 
project. 
(2) SCHEDULE.—The letter of intent under this subsection shall es-
tablish a schedule under which the Secretary will reimburse the recipi-
ent for the Government’s share of the project’s costs, as amounts be-
come available, if the recipient, after the Secretary issues that letter, 
carries out the project without receiving amounts under a grant issued 
under this chapter. 
(3) NOTICE TO SECRETARY.—A recipient that has been issued a let-
ter of intent under this section shall notify the Secretary of the recipi-
ent’s intent to carry out a project before the project begins. 
(4) NOTICE TO CONGRESS.—The Secretary shall transmit to the ap-
propriate congressional committees a written notification at least 5 
days before the issuance of a letter of intent under this subsection. 
(5) LIMITATIONS.—A letter of intent issued under this subsection is 
not an obligation of the Federal Government under section 1501 of 
title 31, and the letter is not deemed to be an administrative commit-
ment for financing. An obligation or administrative commitment may 
be made only as amounts are provided in authorization and appropria-
tions laws. 
(e) RETURN OF MISSPENT GRANT FUNDS.—As part of the grant agree-
ment under subsection (c), the Secretary shall require grant applicants to 
return misspent grant funds received under this chapter that the Secretary 
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