128
5568.
Authorization of appropriations.
SUBCHAPTER I—GENERAL
§ 5501. National Intermodal Transportation System policy
(a) GENERAL.—It is the policy of the United States Government to de-
velop a National Intermodal Transportation System that is economically ef-
ficient and environmentally sound, provides the foundation for the United
States to compete in the global economy, and will move individuals and
property in an energy efficient way.
(b) SYSTEM CHARACTERISTICS.—(1) The National Intermodal Transpor-
tation System shall consist of all forms of transportation in a unified, inter-
connected manner, including the transportation systems of the future, to re-
duce energy consumption and air pollution while promoting economic devel-
opment and supporting the United States’ preeminent position in inter-
national commerce.
(2) The National Intermodal Transportation System shall include a Na-
tional Highway System consisting of the Dwight D. Eisenhower System of
Interstate and Defense Highways and those principal arterial roads that are
essential for interstate and regional commerce and travel, national defense,
intermodal transfer facilities, and international commerce and border cross-
ings.
(3) The National Intermodal Transportation System shall include signifi-
cant improvements in public transportation necessary to achieve national
goals for improved air quality, energy conservation, international competi-
tiveness, and mobility for elderly individuals, individuals with disabilities,
and economically disadvantaged individuals in urban and rural areas of the
United States.
(4) The National Intermodal Transportation System shall provide im-
proved access to ports and airports, the Nation’s link to commerce.
(5) The National Intermodal Transportation System shall give special
emphasis to the contributions of the transportation sectors to increased pro-
ductivity growth. Social benefits must be considered with particular atten-
tion to the external benefits of reduced air pollution, reduced traffic conges-
tion, and other aspects of the quality of life in the United States.
(6) The National Intermodal Transportation System must be operated
and maintained with insistent attention to the concepts of innovation, com-
petition, energy efficiency, productivity, growth, and accountability. Prac-
tices that resulted in the lengthy and overly costly construction of the
Dwight D. Eisenhower System of Interstate and Defense Highways must
be confronted and stopped.
(7) The National Intermodal Transportation System shall be adapted to
‘‘intelligent vehicles’’, ‘‘magnetic levitation systems’’, and other new tech-
129
nologies, wherever feasible and economical, with benefit cost estimates given
special emphasis on safety considerations and techniques for cost allocation.
(8) When appropriate, the National Intermodal Transportation System
will be financed, as regards Government apportionments and reimburse-
ments, by the Highway Trust Fund. Financial assistance will be provided
to State and local governments and their instrumentalities to help carry out
national goals related to mobility for elderly individuals, individuals with dis-
abilities, and economically disadvantaged individuals.
(9) The National Intermodal Transportation System must be the center-
piece of a national investment commitment to create the new wealth of the
United States for the 21st century.
(c) DISTRIBUTION AND POSTING.—The Secretary of Transportation shall
distribute copies of the policy in subsections (a) and (b) of this section to
each employee of the Department of Transportation and ensure that the
policy is posted in all offices of the Department.
§ 5502. Intermodal Transportation Advisory Board
(a) ORGANIZATION.—The Intermodal Transportation Advisory Board is a
board in the Office of the Secretary of Transportation.
(b) MEMBERSHIP.—The Board consists of the Secretary, who serves as
chairman, and the Administrator, or the Administrator’s designee, of—
(1) the Federal Highway Administration;
(2) the Federal Aviation Administration;
(3) the Maritime Administration;
(4) the Federal Railroad Administration; and
(5) the Federal Transit Administration.
(c) DUTIES AND POWERS.—The Board shall provide recommendations for
carrying out the duties of the Secretary described in section 301(3) of this
title.
§ 5503. Office of Intermodalism
(a) ESTABLISHMENT.—The Secretary of Transportation shall establish in
the Office of the Secretary an Office of Intermodalism.
(b) DIRECTOR.—The head of the Office is a Director who shall be ap-
pointed by the Secretary.
(c) DUTIES AND POWERS.—The Director shall carry out the duties of the
Secretary described in section 301(3) of this title.
(d) INTERMODAL TRANSPORTATION DATA BASE.—(1) The Director shall
develop, maintain, and disseminate intermodal transportation data through
the Bureau of Transportation Statistics. The Director shall coordinate the
collection of data for the data base with the States and metropolitan plan-
ning organizations. The data base shall include information on—
130
(A) the volume of property and number of individuals carried in
intermodal transportation by relevant classification;
(B) patterns of movement of property and individuals in intermodal
transportation by relevant classification by origin and destination; and
(C) public and private investment in intermodal transportation facili-
ties and services.
(2) The Director shall make information from the data base available to
the public.
(e) RESEARCH.—The Director shall—
(1) coordinate United States Government research on intermodal
transportation as provided in the plan developed under section 6009(b)
of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub-
lic Law 102–240, 105 Stat. 2177); and
(2) carry out additional research needs identified by the Director.
(f) TECHNICAL ASSISTANCE.—The Director shall provide technical assist-
ance to States and to metropolitan planning organizations for urban areas
having a population of at least 1,000,000 in collecting data related to inter-
modal transportation to facilitate the collection of the data by States and
metropolitan planning organizations.
(g) ADMINISTRATIVE AND CLERICAL SUPPORT.—The Director shall pro-
vide administrative and clerical support to the Intermodal Transportation
Advisory Board.
§ 5504. Model intermodal transportation plans
(a) GRANTS.—The Secretary of Transportation shall make grants to
States to develop model State intermodal transportation plans that are con-
sistent with the policy set forth in section 302(e) of this title. The model
plans shall include systems for collecting data related to intermodal trans-
portation.
(b) DISTRIBUTION.—The Secretary shall award grants to States under
this section that represent a variety of geographic regions and transpor-
tation needs, patterns, and modes.
(c) PLAN SUBMISSION.—As a condition to a State receiving a grant
under this section, the Secretary shall require that the State provide assur-
ances that the State will submit to the Secretary a State intermodal trans-
portation plan not later than 18 months after the date of receipt of the
grant.
(d) GRANT AMOUNTS.—The Secretary shall reserve, from amounts de-
ducted under section 104(a) of title 23, $3,000,000 to make grants under
this section. The total amount that a State may receive in grants under this
section may not be more than $500,000.
131
SUBCHAPTER II—TERMINALS
§ 5561. Definition
In this chapter, ‘‘civic and cultural activities’’ includes libraries, musical
and dramatic presentations, art exhibits, adult education programs, public
meeting places, and other facilities for carrying on an activity any part of
which is supported under a law of the United States.
§ 5562. Assistance projects
(a) REQUIREMENTS TO PROVIDE ASSISTANCE.—The Secretary of Trans-
portation shall provide financial, technical, and advisory assistance under
this chapter to—
(1) promote, on a feasibility demonstration basis, the conversion of
at least 3 rail passenger terminals into intermodal transportation ter-
minals;
(2) preserve rail passenger terminals that reasonably are likely to be
converted or maintained pending preparation of plans for their reuse;
(3) acquire and use space in suitable buildings of historic or architec-
tural significance but only if use of the space is feasible and prudent
when compared to available alternatives; and
(4) encourage State and local governments, local and regional trans-
portation authorities, common carriers, philanthropic organizations,
and other responsible persons to develop plans to convert rail passenger
terminals into intermodal transportation terminals and civic and cul-
tural activity centers.
(b) EFFECT ON ELIGIBILITY.—This chapter does not affect the eligibility
of any rail passenger terminal for preservation or reuse assistance under an-
other program or law.
(c) ACQUIRING SPACE.—The Secretary may acquire space under sub-
section (a)(3) of this section only after consulting with the Advisory Council
on Historic Preservation and the Chairman of the National Endowment for
the Arts.
§ 5563. Conversion of certain rail passenger terminals
(a) AUTHORITY TO PROVIDE ASSISTANCE.—The Secretary of Transpor-
tation may provide financial assistance to convert a rail passenger terminal
to an intermodal transportation terminal under section 5562(a)(1) of this
title only if—
(1) the terminal can be converted to accommodate other modes of
transportation the Secretary of Transportation decides are appropriate,
including—
(A) motorbus transportation;
(B) mass transit (rail or rubber tire); and
132
(C) airline ticket offices and passenger terminals providing di-
rect transportation to area airports;
(2) the terminal is listed on the National Register of Historic Places
maintained by the Secretary of the Interior;
(3) the architectural integrity of the terminal will be preserved;
(4) to the extent practicable, the use of the terminal facilities for
transportation may be combined with use of those facilities for other
civic and cultural activities, especially when another activity is rec-
ommended by—
(A) the Advisory Council on Historic Preservation;
(B) the Chairman of the National Endowment for the Arts; or
(C) consultants retained under subsection (b) of this section;
and
(5) the terminal and the conversion project meet other criteria pre-
scribed by the Secretary of Transportation after consultation with the
Council and Chairman.
(b) ARCHITECTURAL INTEGRITY.—The Secretary of Transportation must
employ consultants on whether the architectural integrity of the rail pas-
senger terminal will be preserved under subsection (a)(3) of this section.
The Secretary may decide that the architectural integrity will be preserved
only if the consultants concur. The Council and Chairman shall recommend
consultants to be employed by the Secretary. The consultants also may
make recommendations referred to in subsection (a)(4) of this section.
(c) GOVERNMENT’S SHARE OF COSTS.—The Secretary of Transportation
may not make a grant under this section for more than 80 percent of the
total cost of converting a rail passenger terminal into an intermodal trans-
portation terminal.
§ 5564. Interim preservation of certain rail passenger termi-
nals
(a) GENERAL GRANT AUTHORITY.—Subject to subsection (b) of this sec-
tion, the Secretary of Transportation may make a grant of financial assist-
ance to a responsible person (including a governmental authority) to pre-
serve a rail passenger terminal under section 5562(a)(2) of this title. To
receive assistance under this section, the person must be qualified, prepared,
committed, and authorized by law to maintain (and prevent the demolition,
dismantling, or further deterioration of) the terminal until plans for its
reuse are prepared.
(b) GRANT REQUIREMENTS.—The Secretary of Transportation may make
a grant of financial assistance under this section only if—
(1) the Secretary decides the rail passenger terminal has a reason-
able likelihood of being converted to, or conditioned for reuse as, an
133
intermodal transportation terminal, a civic or cultural activities center,
or both; and
(2) planning activity directed toward conversion or reuse has begun
and is proceeding in a competent way.
(c) MAXIMIZING PRESERVATION OF TERMINALS.—(1) Amounts appro-
priated to carry out this section and section 5562(a)(2) of this title shall
be expended in the way most likely to maximize the preservation of rail pas-
senger terminals that are—
(A) reasonably capable of conversion to intermodal transportation
terminals;
(B) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(C) recommended (on the basis of architectural integrity and quality)
by the Advisory Council on Historic Preservation or the Chairman of
the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this
section for more than 80 percent of the total cost of maintaining the termi-
nal for an interim period of not more than 5 years.
§ 5565. Encouraging the development of plans for convert-
ing rail passenger terminals
(a) GENERAL GRANT AUTHORITY.—The Secretary of Transportation may
make a grant of financial assistance to a qualified person (including a gov-
ernmental authority) to encourage the development of plans for converting
a rail passenger terminal under section 5562(a)(4) of this title. To receive
assistance under this section, the person must—
(1) be prepared to develop practicable plans that meet zoning, land
use, and other requirements of the applicable State and local jurisdic-
tions in which the terminal is located;
(2) incorporate into the designs and plans proposed for converting
the terminal, features that reasonably appear likely to attract private
investors willing to carry out the planned conversion and its subsequent
maintenance and operation; and
(3) complete the designs and plans for the conversion within the pe-
riod of time prescribed by the Secretary.
(b) PREFERENCE.—In making a grant under this section, the Secretary
of Transportation shall give preferential consideration to an applicant whose
completed designs and plans will be carried out within 3 years after their
completion.
(c) MAXIMIZING
CONVERSION
AND
CONTINUED
PUBLIC
USE.—(1)
Amounts appropriated to carry out this section and section 5562(a)(4) of
134
this title shall be expended in the way most likely to maximize the conver-
sion and continued public use of rail passenger terminals that are—
(A) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(B) recommended (on the basis of architectural integrity and qual-
ity) by the Advisory Council on Historic Preservation or the Chairman
of the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this
section for more than 80 percent of the total cost of the project for which
the financial assistance is provided.
§ 5566. Records and audits
(a) RECORD REQUIREMENTS.—Each recipient of financial assistance
under this chapter shall keep records required by the Secretary of Transpor-
tation. The records shall disclose—
(1) the amount, and disposition by the recipient, of the proceeds of
the assistance;
(2) the total cost of the project for which the assistance was given
or used;
(3) the amount of that part of the cost of the project supplied by
other sources; and
(4) any other records that will make an effective audit easier.
(b) AUDITS AND INSPECTIONS.—For 3 years after a project is completed,
the Secretary and the Comptroller General may audit and inspect records
of a recipient that the Secretary or Comptroller General decides may be re-
lated or pertinent to the financial assistance.
§ 5567. Preference for preserving buildings of historic or ar-
chitectural significance
Amtrak shall give preference to the use of rail passenger terminal facili-
ties that will preserve buildings of historic or architectural significance.
§ 5568. Authorization of appropriations
(a) GENERAL.—The following amounts may be appropriated to the Sec-
retary of Transportation:
(1) not more than $15,000,000 to carry out section 5562(a)(1) and
(3) of this title.
(2) not more than $2,500,000 to carry out section 5562(a)(2) of this
title.
(3) not more than $2,500,000 to carry out section 5562(a)(4) of this
title.
(b) AVAILABILITY OF AMOUNTS.—Amounts appropriated to carry out this
chapter remain available until expended.
135
CHAPTER 57—SANITARY FOOD TRANSPORTATION
Sec.
5701.
Findings.
5702.
Definitions.
5703.
General regulation.
5704.
Tank trucks, rail tank cars, and cargo tanks.
5705.
Motor and rail transportation of nonfood products.
5706.
Dedicated vehicles.
5707.
Waiver authority.
5708.
Food transportation inspections.
5709.
Consultation.
5710.
Administrative.
5711.
Enforcement and penalties.
5712.
Relationship to other laws.
5713.
Application of sections 5711 and 5712.
5714.
Coordination procedures.
§ 5701. Findings
Congress finds that—
(1) the United States public is entitled to receive food and other
consumer products that are not made unsafe because of certain trans-
portation practices;
(2) the United States public is threatened by the transportation of
products potentially harmful to consumers in motor vehicles and rail
vehicles that are used to transport food and other consumer products;
and
(3) the risks to consumers by those transportation practices are un-
necessary and those practices must be ended.
§ 5702. Definitions
In this chapter—
(1) ‘‘cosmetic’’, ‘‘device’’, ‘‘drug’’, ‘‘food’’, and ‘‘food additive’’ have
the same meanings given those terms in section 201 of the Federal
Food, Drug, and Cosmetic Act (21 U.S.C. 321).
(2) ‘‘nonfood product’’ means (individually or by class) a material,
substance, or product that is not a cosmetic, device, drug, food, or food
additive, or is deemed a nonfood product under section 5703(a)(2) of
this title, including refuse and solid waste (as defined in section 1004
of the Solid Waste Disposal Act (42 U.S.C. 6903)).
(3) ‘‘refuse’’ means discarded material that is, or is required by law,
to be transported to or disposed of in a landfill or incinerator.
(4) ‘‘State’’ means a State of the United States, the District of Co-
lumbia, Puerto Rico, the Northern Mariana Islands, the Virgin Islands,
American Samoa, Guam, and any other territory or possession of the
United States.
(5) ‘‘transports’’ and ‘‘transportation’’ mean any movement of prop-
erty in commerce (including intrastate commerce) by motor vehicle or
rail vehicle.
(6) ‘‘United States’’ means all of the States.
136
§ 5703. General regulation
(a) GENERAL REQUIREMENTS.—(1) Not later than July 31, 1991, the
Secretary of Transportation, after consultation required by section 5709 of
this title, shall prescribe regulations on the transportation of cosmetics, de-
vices, drugs, food, and food additives in motor vehicles and rail vehicles that
are used to transport nonfood products that would make the cosmetics, de-
vices, drugs, food, or food additives unsafe to humans or animals.
(2) The Secretary shall deem a cosmetic, device, or drug to be a nonfood
product if—
(A) the cosmetic, device, or drug is transported in a motor vehicle
or rail vehicle before, or at the same time as, a food or food additive;
and
(B) transportation of the cosmetic, device, or drug would make the
food or food additive unsafe to humans or animals.
(b) SPECIAL REQUIREMENTS.—In prescribing regulations under sub-
section (a)(1) of this section, the Secretary, after consultation required by
section 5709 of this title, shall establish requirements for appropriate—
(1) recordkeeping, identification, marking, certification, or other
means of verification to comply with sections 5704–5706 of this title;
(2) decontamination, removal, disposal, and isolation to comply with
regulations carrying out sections 5704 and 5705 of this title; and
(3) material for the construction of tank trucks, rail tank cars, cargo
tanks, and accessory equipment to comply with regulations carrying out
section 5704 of this title.
(c) CONSIDERATIONS AND ADDITIONAL REQUIREMENTS.—In prescribing
regulations under subsection (a)(1) of this section, the Secretary, after con-
sultation required by section 5709 of this title, shall consider, and may es-
tablish requirements related to, each of the following:
(1) the extent to which packaging or similar means of protecting and
isolating commodities are adequate to eliminate or ameliorate the po-
tential risks of transporting cosmetics, devices, drugs, food, or food ad-
ditives in motor vehicles or rail vehicles used to transport nonfood
products.
(2) appropriate compliance and enforcement measures to carry out
this chapter.
(3) appropriate minimum insurance or other liability requirements
for a person to whom this chapter applies.
(d) PACKAGES MEETING PACKAGING STANDARDS.—If the Secretary finds
packaging standards to be adequate, regulations under subsection (a)(1) of
this section may not apply to cosmetics, devices, drugs, food, food additives,
or nonfood products packaged in packages that meet the standards.
139
§ 5707. Waiver authority
(a) GENERAL AUTHORITY.—After consultation required by section 5709
of this title, the Secretary of Transportation may waive any part of this
chapter or regulations prescribed under this chapter for a class of persons,
motor vehicles, rail vehicles, cosmetics, devices, drugs, food, food additives,
or nonfood products, if the Secretary decides that the waiver—
(1) would not result in the transportation of cosmetics, devices,
drugs, food, or food additives that would be unsafe to humans or ani-
mals; and
(2) would not be contrary to the public interest and this chapter.
(b) PUBLICATION OF WAIVERS.—The Secretary shall publish in the Fed-
eral Register any waiver and the reasons for the waiver.
§ 5708. Food transportation inspections
(a) GENERAL AUTHORITY.—For commercial motor vehicles, the Secretary
of Transportation may carry out this chapter and assist in carrying out
compatible State laws and regulations through means that include inspec-
tions conducted by State employees that are paid for with money authorized
under section 31104 of this title, if the recipient State agrees to assist in
the enforcement of this chapter or is enforcing compatible State laws and
regulations.
(b) PROVIDING ASSISTANCE.—On the request of the Secretary of Trans-
portation, the Secretaries of Agriculture and Health and Human Services,
the Administrator of the Environmental Protection Agency, and the heads
of other appropriate departments, agencies, and instrumentalities of the
United States Government shall provide assistance, to the extent available,
to the Secretary of Transportation to carry out this chapter, including as-
sistance in the training of personnel under a program established under sub-
section (c) of this section.
(c) TRAINING PROGRAM.—After consultation required by section 5709 of
this title and consultation with the heads of appropriate State transpor-
tation and food safety authorities, the Secretary of Transportation shall de-
velop and carry out a training program for inspectors to conduct vigorous
enforcement of this chapter and regulations prescribed under this chapter
or compatible State laws and regulations. As part of the training program,
the inspectors, including State inspectors or personnel paid with money au-
thorized under section 31104 of this title, shall be trained in the recognition
of adulteration problems associated with the transportation of cosmetics, de-
vices, drugs, food, and food additives and in the procedures for obtaining
assistance of the appropriate departments, agencies, and instrumentalities
of the Government and State authorities to support the enforcement.
140
§ 5709. Consultation
As provided by sections 5703–5708 of this title, the Secretary of Trans-
portation shall consult with the Secretaries of Agriculture and Health and
Human Services and the Administrator of the Environmental Protection
Agency.
§ 5710. Administrative
The Secretary of Transportation has the same duties and powers in regu-
lating transportation under this chapter as the Secretary has under section
5121(a)–(c) (except subsection (c)(1)(A)) of this title in regulating trans-
portation under chapter 51 of this title.
§ 5711. Enforcement and penalties
(a) ACTIONS.—The Secretary of Transportation shall request that a civil
action be brought and take action to eliminate or ameliorate an imminent
hazard related to a violation of a regulation prescribed or order issued under
this chapter in the same way and to the same extent as authorized by sec-
tion 5122 of this title.
(b) APPLICABLE PENALTIES AND PROCEDURES.—The penalties and pro-
cedures in sections 5123 and 5124 of this title apply to a violation of a reg-
ulation prescribed or order issued under this chapter.
§ 5712. Relationship to other laws
Section 5125 of this title applies to the relationship between this chapter
and a requirement of a State, a political subdivision of a State, or an Indian
tribe.
§ 5713. Application of sections 5711 and 5712
Sections 5711 and 5712 of this title apply only to transportation occur-
ring on or after the date that regulations prescribed under section
5703(a)(1) of this title are effective.
§ 5714. Coordination procedures
Not later than November 3, 1991, the Secretary of Transportation, after
consultation with appropriate State officials, shall establish procedures to
promote more effective coordination between the departments, agencies, and
instrumentalities of the United States Government and State authorities
with regulatory authority over motor carrier safety and railroad safety in
carrying out and enforcing this chapter.
CHAPTER 59—INTERMODAL SAFE CONTAINER
TRANSPORTATION
Sec.
5901.
Definitions.
5902.
Notifications and certifications.
5903.
Prohibitions.
5904.
State enforcement.
5905.
Liens.
5906.
Perishable agricultural commodities.
5907.
Regulations and effective date.
141
§ 5901. Definitions
In this chapter—
(1) the definitions in section 10102 of this title apply.
(2) ‘‘beneficial owner’’ means a person not having title to property
but having ownership rights in the property, including a trustee of
property in transit from an overseas place of origin that is domiciled
or doing business in the United States, except that a carrier, agent of
a carrier, broker, customs broker, freight forwarder, warehouser, or ter-
minal operator is not a beneficial owner only because of providing or
arranging for any part of the intermodal transportation of property.
(3) ‘‘carrier’’ means—
(A) a motor carrier, water carrier, and rail carrier providing
transportation of property in commerce; and
(B) an ocean common carrier (as defined in section 3 of the
Shipping Act of 1984 (46 App. U.S.C. 1702)) providing transpor-
tation of property in commerce.
(4) ‘‘container’’ has the meaning given the term ‘‘freight container’’
by the International Standards Organization in Series 1, Freight Con-
tainers, 3d Edition (reference number ISO668–1979(E)), including
successive revisions, and similar containers that are used in providing
transportation in interstate commerce.
(5) ‘‘first carrier’’ means the first carrier transporting a loaded con-
tainer or trailer in intermodal transportation.
(6) ‘‘intermodal transportation’’ means the successive transportation
of a loaded container or trailer from its place of origin to its place of
destination by more than one mode of transportation in interstate or
foreign commerce, whether under a single bill of lading or under sepa-
rate bills of lading.
(7) ‘‘trailer’’ means a nonpower, property-carrying, trailing unit that
is designed for use in combination with a truck tractor.
§ 5902. Notifications and certifications
(a) PRIOR NOTIFICATION.—Before a person tenders to a first carrier for
intermodal transportation a loaded container or trailer having a projected
gross cargo weight of more than 10,000 pounds (including packing material
and pallets), the person shall give the carrier a written notification of the
gross cargo weight and a reasonable description of the contents of the con-
tainer or trailer. The notification may be transmitted electronically.
(b) CERTIFICATION.—Not later than when a person tenders to a first car-
rier for intermodal transportation a container or trailer to which subsection
(a) of this section applies or a loaded container or trailer having an actual
gross cargo weight of more than 10,000 pounds (including packing material
142
and pallets), the person shall certify to the carrier in writing the actual
gross cargo weight and a reasonable description of the contents of the con-
tainer or trailer.
(c) FORWARDING CERTIFICATIONS TO SUBSEQUENT CARRIERS.—A car-
rier, agent of a carrier, broker, customs broker, freight forwarder,
warehouser, or terminal operator shall forward the certification provided
under subsection (b) of this section to a subsequent carrier transporting the
container or trailer in intermodal transportation. The act of forwarding the
certification may not be construed as a verification or affirmation of the ac-
curacy or completeness of the information in the certification.
(d) NONAPPLICATION.—(1) Subsections (a) and (b) of this section and
section 5903(c) of this title do not apply to a carrier when the carrier is
transferring a loaded container or trailer to another carrier during inter-
modal transportation, unless the carrier is also the person tendering the
loaded container or trailer to the first carrier.
(2) A carrier, agent of a carrier, broker, customs broker, freight for-
warder, warehouser, or terminal operator is deemed not to be a person ten-
dering a loaded container or trailer to a first carrier under this section, un-
less the carrier, agent, broker, customs broker, freight forwarder,
warehouser, or terminal operator assumes legal responsibility for loading
property into the container or trailer.
§ 5903. Prohibitions
(a) PROVIDING ERRONEOUS INFORMATION.—A person tendering a loaded
container or trailer may not provide erroneous information in a certification
required by section 5902(b) of this title.
(b) TRANSPORTING PRIOR TO RECEIVING CERTIFICATION.—A motor car-
rier may not transport a loaded container or trailer to which section
5902(b) of this title applies before receiving the certification required by
section 5902(b).
(c) UNLAWFUL COERCION.—(1) A person may not coerce or attempt to
coerce a person participating in intermodal transportation to transport a
loaded container or trailer having an actual gross cargo weight of more than
10,000 pounds (including packing materials and pallets) before the certifi-
cation required by section 5902(b) of this title is provided.
(2) A person, knowing that the weight of a loaded container or trailer
or the weight of a tractor-trailer combination carrying the container or trail-
er is more than the weight allowed by applicable State law, may not coerce
or attempt to coerce a carrier to transport the container or trailer or to op-
erate the tractor-trailer combination in violation of that State law.
143
§ 5904. State enforcement
(a) GENERAL.—A State may enact a law to permit the State or a politi-
cal subdivision of the State—
(1) to impose a fine or penalty, for a violation of a State highway
weight law or regulation by a tractor-trailer combination carrying a
loaded container or trailer for which a certification is required by sec-
tion 5902(b) of this title, against the person tendering the loaded con-
tainer or trailer to the first carrier if the violation results from the per-
son’s having provided erroneous information in the certification in vio-
lation of section 5903(a) of this title; and
(2) to impound the container or trailer until the fine or penalty has
been paid by the owner or beneficial owner of the contents of the con-
tainer or trailer or the person tendering the loaded container or trailer
to the first carrier.
(b) LIMITATION.—This chapter does not require a person tendering a
loaded container or trailer to a first carrier to ensure that the first carrier
or any other carrier involved in the intermodal transportation will comply
with any State highway weight law or regulation, other than as required by
this chapter.
§ 5905. Liens
(a) GENERAL.—If a person involved in the intermodal transportation of
a loaded container or trailer for which a certification is required by section
5902(b) of this title is required under State law to post a bond or pay any
fine, penalty, cost, or interest resulting from providing erroneous informa-
tion in the certification to the first carrier in violation of section 5903(a)
of this title, the person has a lien against the contents equal to the amount
of the bond, fine, penalty, cost, or interest incurred, until the person re-
ceives a payment of that amount from the owner or beneficial owner of the
contents or from the person responsible for making the certification.
(b) LIMITATIONS.—(1) A lien under this section does not authorize a per-
son to dispose of the contents of a loaded container or trailer until the per-
son who tendered the container or trailer to the first carrier is given a rea-
sonable opportunity to establish responsibility for the bond, fine, penalty,
cost, or interest.
(2) In this section, an owner or beneficial owner of the contents of a con-
tainer or trailer or a person tendering a container or trailer to the first car-
rier is deemed not to be a person involved in the intermodal transportation
of the container or trailer.
§ 5906. Perishable agricultural commodities
Sections 5904(a)(2) and 5905 of this title do not apply to a container
or trailer the contents of which are perishable agricultural commodities (as
145
20132.
Visible markers for rear cars.
20133.
Passenger equipment.
20134.
Grade crossings and railroad rights of way.
20135.
Licensing or certification of locomotive operators.
20136.
Automatic train control and related systems.
20137.
Event recorders.
20138.
Tampering with safety and operational monitoring devices.
20139.
Maintenance-of-way operations on railroad bridges.
20140.
Alcohol and controlled substances testing.
20141.
Power brake safety.
20142.
Track safety.
20143.
Locomotive visibility.
20144.
Blue signal protection for on-track vehicles.
SUBCHAPTER I—GENERAL
§ 20101. Purpose
The purpose of this chapter is to promote safety in every area of railroad
operations and reduce railroad-related accidents and incidents.
§ 20102. Definitions
In this part—
(1) ‘‘railroad’’—
(A) means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways, including—
(i) commuter or other short-haul railroad passenger service
in a metropolitan or suburban area and commuter railroad
service that was operated by the Consolidated Rail Corpora-
tion on January 1, 1979; and
(ii) high speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems
use new technologies not associated with traditional railroads;
but
(B) does not include rapid transit operations in an urban area
that are not connected to the general railroad system of transpor-
tation.
(2) ‘‘railroad carrier’’ means a person providing railroad transpor-
tation.
§ 20103. General authority
(a) REGULATIONS AND ORDERS.—The Secretary of Transportation, as
necessary, shall prescribe regulations and issue orders for every area of rail-
road safety supplementing laws and regulations in effect on October 16,
1970.
(b) REGULATIONS
OF PRACTICE
FOR PROCEEDINGS.—The Secretary
shall prescribe regulations of practice applicable to each proceeding under
this chapter. The regulations shall reflect the varying nature of the proceed-
ings and include time limits for disposition of the proceedings. The time
limit for disposition of a proceeding may not be more than 12 months after
the date it begins.
146
(c) CONSIDERATION OF INFORMATION AND STANDARDS.—In prescribing
regulations and issuing orders under this section, the Secretary shall con-
sider existing relevant safety information and standards.
(d) WAIVERS.—The Secretary may waive compliance with any part of a
regulation prescribed or order issued under this chapter if the waiver is in
the public interest and consistent with railroad safety. The Secretary shall
make public the reasons for granting the waiver.
(e) HEARINGS.—The Secretary shall conduct a hearing as provided by
section 553 of title 5 when prescribing a regulation or issuing an order
under this chapter, including a regulation or order establishing, amending,
or waiving compliance with a railroad safety regulation prescribed or order
issued under this chapter. An opportunity for an oral presentation shall be
provided.
§ 20104. Emergency authority
(a) ORDERING RESTRICTIONS AND PROHIBITIONS.—(1) If, through test-
ing, inspection, investigation, or research carried out under this chapter, the
Secretary of Transportation decides that an unsafe condition or practice, or
a combination of unsafe conditions and practices, causes an emergency situ-
ation involving a hazard of death or personal injury, the Secretary imme-
diately may order restrictions and prohibitions, without regard to section
20103(e) of this title, that may be necessary to abate the situation.
(2) The order shall describe the condition or practice, or a combination
of conditions and practices, that causes the emergency situation and pre-
scribe standards and procedures for obtaining relief from the order. This
paragraph does not affect the Secretary’s discretion under this section to
maintain the order in effect for as long as the emergency situation exists.
(b) REVIEW OF ORDERS.—After issuing an order under this section, the
Secretary shall provide an opportunity for review of the order under section
554 of title 5. If a petition for review is filed and the review is not com-
pleted by the end of the 30-day period beginning on the date the order was
issued, the order stops being effective at the end of that period unless the
Secretary decides in writing that the emergency situation still exists.
(c) CIVIL ACTIONS TO COMPEL ISSUANCE OF ORDERS.—An employee of
a railroad carrier engaged in interstate or foreign commerce who may be
exposed to imminent physical injury during that employment because of the
Secretary’s failure, without any reasonable basis, to issue an order under
subsection (a) of this section, or the employee’s authorized representative,
may bring a civil action against the Secretary in a district court of the Unit-
ed States to compel the Secretary to issue an order. The action must be
brought in the judicial district in which the emergency situation is alleged
to exist, in which that employing carrier has its principal executive office,
147
or for the District of Columbia. The Secretary’s failure to issue an order
under subsection (a) of this section may be reviewed only under section 706
of title 5.
§ 20105. State participation
(a) INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—The Secretary of
Transportation may prescribe investigative and surveillance activities nec-
essary to enforce the safety regulations prescribed and orders issued by the
Secretary that apply to railroad equipment, facilities, rolling stock, and op-
erations in a State. The State may participate in those activities when the
safety practices for railroad equipment, facilities, rolling stock, and oper-
ations in the State are regulated by a State authority and the authority sub-
mits to the Secretary an annual certification as provided in subsection (b)
of this section.
(b) ANNUAL CERTIFICATION.—(1) A State authority’s annual certifi-
cation must include—
(A) a certification that the authority—
(i) has regulatory jurisdiction over the safety practices for rail-
road equipment, facilities, rolling stock, and operations in the
State;
(ii) was given a copy of each safety regulation prescribed and
order issued by the Secretary, that applies to the equipment, facili-
ties, rolling stock, or operations, as of the date of certification; and
(iii) is conducting the investigative and surveillance activities
prescribed by the Secretary under subsection (a) of this section;
and
(B) a report, in the form the Secretary prescribes by regulation, that
includes—
(i) the name and address of each railroad carrier subject to the
safety jurisdiction of the authority;
(ii) each accident or incident reported during the prior 12
months by a railroad carrier involving a fatality, personal injury
requiring hospitalization, or property damage of more than $750
(or a higher amount prescribed by the Secretary), and a summary
of the authority’s investigation of the cause and circumstances
surrounding the accident or incident;
(iii) the record maintenance, reporting, and inspection practices
conducted by the authority to aid the Secretary in enforcing rail-
road safety regulations prescribed and orders issued by the Sec-
retary, including the number of inspections made of railroad
equipment, facilities, rolling stock, and operations by the authority
during the prior 12 months; and
148
(iv) other information the Secretary requires.
(2) An annual certification applies to a safety regulation prescribed or
order issued after the date of the certification only if the State authority
submits an appropriate certification to provide the necessary investigative
and surveillance activities.
(3) If, after receipt of an annual certification, the Secretary decides the
State authority is not complying satisfactorily with the investigative and
surveillance activities prescribed under subsection (a) of this section, the
Secretary may reject any part of the certification or take other appropriate
action to achieve adequate enforcement. The Secretary must give the au-
thority notice and an opportunity for a hearing before taking action under
this paragraph. When the Secretary gives notice, the burden of proof is on
the authority to show that it is complying satisfactorily with the investiga-
tive and surveillance activities prescribed by the Secretary.
(c) AGREEMENT WHEN CERTIFICATION NOT RECEIVED.—(1) If the Sec-
retary does not receive an annual certification under subsection (a) of this
section related to any railroad equipment, facility, rolling stock, or oper-
ation, the Secretary may make an agreement with a State authority for the
authority to provide any part of the investigative and surveillance activities
prescribed by the Secretary as necessary to enforce the safety regulations
and orders applicable to the equipment, facility, rolling stock, or operation.
(2) The Secretary may terminate any part of an agreement made under
this subsection on finding that the authority has not provided every part
of the investigative and surveillance activities to which the agreement re-
lates. The Secretary must give the authority notice and an opportunity for
a hearing before making such a finding. The finding and termination shall
be published in the Federal Register and may not become effective for at
least 15 days after the date of publication.
(d) AGREEMENT FOR INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—
In addition to providing for State participation under this section, the Sec-
retary may make an agreement with a State to provide investigative and
surveillance activities related to the Secretary’s duties under chapters 203–
213 of this title.
(e) PAYMENT.—On application by a State authority that has submitted
a certification under subsections (a) and (b) of this section or made an
agreement under subsection (c) or (d) of this section, the Secretary shall
pay not more than 50 percent of the cost of the personnel, equipment, and
activities of the authority needed, during the next fiscal year, to carry out
a safety program under the certification or agreement. However, the Sec-
retary may pay an authority only when the authority assures the Secretary
that it will provide the remaining cost of the safety program and that the
149
total State money expended for the safety program, excluding grants of the
United States Government, will be at least as much as the average amount
expended for the fiscal years that ended June 30, 1969, and June 30, 1970.
(f) MONITORING.—The Secretary may monitor State investigative and
surveillance practices and carry out other inspections and investigations nec-
essary to help enforce this chapter.
§ 20106. National uniformity of regulation
Laws, regulations, and orders related to railroad safety shall be nationally
uniform to the extent practicable. A State may adopt or continue in force
a law, regulation, or order related to railroad safety until the Secretary of
Transportation prescribes a regulation or issues an order covering the sub-
ject matter of the State requirement. A State may adopt or continue in
force an additional or more stringent law, regulation, or order related to
railroad safety when the law, regulation, or order—
(1) is necessary to eliminate or reduce an essentially local safety haz-
ard;
(2) is not incompatible with a law, regulation, or order of the United
States Government; and
(3) does not unreasonably burden interstate commerce.
§ 20107. Inspection and investigation
(a) GENERAL.—To carry out this part, the Secretary of Transportation
may take actions the Secretary considers necessary, including—
(1) conduct investigations, make reports, issue subpenas, require the
production of documents, take depositions, and prescribe recordkeeping
and reporting requirements; and
(2) delegate to a public entity or qualified person the inspection, ex-
amination, and testing of railroad equipment, facilities, rolling stock,
operations, and persons.
(b) ENTRY AND INSPECTION.—In carrying out this part, an officer, em-
ployee, or agent of the Secretary, at reasonable times and in a reasonable
way, may enter and inspect railroad equipment, facilities, rolling stock, op-
erations, and relevant records. When requested, the officer, employee, or
agent shall display proper credentials. During an inspection, the officer, em-
ployee, or agent is an employee of the United States Government under
chapter 171 of title 28.
§ 20108. Research, development, testing, and training
(a) GENERAL.—The Secretary of Transportation shall carry out, as nec-
essary, research, development, testing, evaluation, and training for every
area of railroad safety.
(b) CONTRACTS.—To carry out this part, the Secretary may make con-
tracts for, and carry out, research, development, testing, evaluation, and
150
training (particularly for those areas of railroad safety found to need
prompt attention).
(c) AMOUNTS FROM NON-GOVERNMENT SOURCES FOR TRAINING SAFE-
TY EMPLOYEES.—The Secretary may request, receive, and expend amounts
received from non-United States Government sources for expenses incurred
in training safety employees of private industry, State and local authorities,
or other public authorities, except State rail safety inspectors participating
in training under section 20105 of this title.
§ 20109. Employee protections
(a) FILING COMPLAINTS AND TESTIFYING.—A railroad carrier engaged
in interstate or foreign commerce may not discharge or in any way discrimi-
nate against an employee because the employee, whether acting for the em-
ployee or as a representative, has—
(1) filed a complaint or brought or caused to be brought a proceed-
ing related to the enforcement of this part or, as applicable to railroad
safety, chapter 51 or 57 of this title; or
(2) testified or will testify in that proceeding.
(b) REFUSING TO WORK BECAUSE OF HAZARDOUS CONDITIONS.—(1) A
railroad carrier engaged in interstate or foreign commerce may not dis-
charge or in any way discriminate against an employee for refusing to work
when confronted by a hazardous condition related to the performance of the
employee’s duties, if—
(A) the refusal is made in good faith and no reasonable alternative
to the refusal is available to the employee;
(B) a reasonable individual in the circumstances then confronting
the employee would conclude that—
(i) the hazardous condition presents an imminent danger of
death or serious injury; and
(ii) the urgency of the situation does not allow sufficient time
to eliminate the danger through regular statutory means; and
(C) the employee, where possible, has notified the carrier of the haz-
ardous condition and the intention not to perform further work unless
the condition is corrected immediately.
(2) This subsection does not apply to security personnel employed by a
carrier to protect individuals and property transported by railroad.
(c) DISPUTE RESOLUTION.—A dispute, grievance, or claim arising under
this section is subject to resolution under section 3 of the Railway Labor
Act (45 U.S.C. 153). In a proceeding by the National Railroad Adjustment
Board, a division or delegate of the Board, or another board of adjustment
established under section 3 to resolve the dispute, grievance, or claim, the
proceeding shall be expedited and the dispute, grievance, or claim shall be
151
resolved not later than 180 days after it is filed. If the violation is a form
of discrimination that does not involve discharge, suspension, or another ac-
tion affecting pay, and no other remedy is available under this subsection,
the Board, division, delegate, or other board of adjustment may award the
employee reasonable damages, including punitive damages, of not more than
$20,000.
(d) ELECTION OF REMEDIES.—An employee of a railroad carrier may not
seek protection under both this section and another provision of law for the
same allegedly unlawful act of the carrier.
(e) DISCLOSURE OF IDENTITY.—(1) Except as provided in paragraph (2)
of this subsection, or with the written consent of the employee, the Sec-
retary of Transportation may not disclose the name of an employee of a
railroad carrier who has provided information about an alleged violation of
this part or, as applicable to railroad safety, chapter 51 or 57 of this title
or a regulation prescribed or order issued under any of those provisions.
(2) The Secretary shall disclose to the Attorney General the name of an
employee described in paragraph (1) of this subsection if the matter is re-
ferred to the Attorney General for enforcement.
§ 20110. Effect on employee qualifications and collective
bargaining
This chapter does not—
(1) authorize the Secretary of Transportation to prescribe regula-
tions and issue orders related to qualifications of employees, except
qualifications specifically related to safety; or
(2) prohibit the bargaining representatives of railroad carriers and
their employees from making collective bargaining agreements under
the Railway Labor Act (45 U.S.C. 151 et seq.), including agreements
related to qualifications of employees, that are not inconsistent with
regulations prescribed and orders issued under this chapter.
§ 20111. Enforcement by the Secretary of Transportation
(a) EXCLUSIVE AUTHORITY.—The Secretary of Transportation has exclu-
sive authority—
(1) to impose and compromise a civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary;
(2) except as provided in section 20113 of this title, to request an
injunction for a violation of a railroad safety regulation prescribed or
order issued by the Secretary; and
(3) to recommend appropriate action be taken under section
20112(a) of this title.
152
(b) COMPLIANCE ORDERS.—The Secretary may issue an order directing
compliance with this part or with a railroad safety regulation prescribed or
order issued under this part.
(c) ORDERS PROHIBITING INDIVIDUALS FROM PERFORMING SAFETY-
SENSITIVE FUNCTIONS.—If an individual’s violation of a regulation pre-
scribed or order issued by the Secretary under this chapter is shown to
make that individual unfit for the performance of safety-sensitive functions,
the Secretary, after notice and opportunity for a hearing, may issue an
order prohibiting the individual from performing safety-sensitive functions
in the railroad industry for a specified period of time or until specified con-
ditions are met. This subsection does not affect the Secretary’s authority
under section 20104 of this title to act on an emergency basis.
(d) REGULATIONS REQUIRING REPORTING OF REMEDIAL ACTIONS.—(1)
The Secretary shall prescribe regulations to require that a railroad carrier
notified by the Secretary that imposition of a civil penalty will be rec-
ommended for a failure to comply with this part, chapter 51 or 57 of this
title, or a regulation prescribed or order issued under any of those provi-
sions, shall report to the Secretary, not later than the 30th day after the
end of the month in which the notification is received—
(A) actions taken to remedy the failure; or
(B) if appropriate remedial actions cannot be taken by that 30th
day, an explanation of the reasons for the delay.
(2) The Secretary—
(A) not later than June 3, 1993, shall issue a notice of a regulatory
proceeding for proposed regulations to carry out this subsection; and
(B) not later than September 3, 1994, shall prescribe final regula-
tions to carry out this subsection.
§ 20112. Enforcement by the Attorney General
(a) CIVIL ACTIONS.—At the request of the Secretary of Transportation,
the Attorney General may bring a civil action in a district court of the Unit-
ed States—
(1) to enjoin a violation of, or to enforce, a railroad safety regulation
prescribed or order issued by the Secretary;
(2) to collect a civil penalty imposed or an amount agreed on in com-
promise under section 21301 of this title; or
(3) to enforce a subpena issued by the Secretary under this chapter.
(b) VENUE.—(1) Except as provided in paragraph (2) of this subsection,
a civil action under this section may be brought in the judicial district in
which the violation occurred or the defendant has its principal executive of-
fice. If an action to collect a penalty is against an individual, the action also
may be brought in the judicial district in which the individual resides.
153
(2) A civil action to enforce a subpena issued by the Secretary or a com-
pliance order issued under section 20111(b) of this title may be brought in
the judicial district in which the defendant resides, does business, or is
found.
§ 20113.
Enforcement by the States
(a) INJUNCTIVE RELIEF.—If the Secretary of Transportation does not
begin a civil action under section 20112 of this title to enjoin the violation
of a railroad safety regulation prescribed or order issued by the Secretary
not later than 15 days after the date the Secretary receives notice of the
violation and a request from a State authority participating in investigative
and surveillance activities under section 20105 of this title that the action
be brought, the authority may bring a civil action in a district court of the
United States to enjoin the violation. This subsection does not apply if the
Secretary makes an affirmative written finding that the violation did not
occur or that the action is not necessary because of other enforcement ac-
tion taken by the Secretary related to the violation.
(b) IMPOSITION AND COLLECTION OF CIVIL PENALTIES.—If the Sec-
retary does not impose the applicable civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary not later
than 60 days after the date of receiving notice from a State authority par-
ticipating in investigative and surveillance activities under section 20105 of
this title, the authority may bring a civil action in a district court of the
United States to impose and collect the penalty. This paragraph does not
apply if the Secretary makes an affirmative written finding that the viola-
tion did not occur.
(c) VENUE.—A civil action under this section may be brought in the judi-
cial district in which the violation occurred or the defendant has its prin-
cipal executive office. However, a State authority may not bring an action
under this section outside the State.
§ 20114. Judicial procedures
(a) CRIMINAL CONTEMPT.—In a trial for criminal contempt for violating
an injunction or restraining order issued under this chapter, the violation
of which is also a violation of this chapter, the defendant may demand a
jury trial. The defendant shall be tried as provided in rule 42(b) of the Fed-
eral Rules of Criminal Procedure (18 App. U.S.C.).
(b) SUBPENAS FOR WITNESSES.—A subpena for a witness required to at-
tend a district court of the United States in an action brought under this
chapter may be served in any judicial district.
(c) REVIEW
OF
AGENCY
ACTION.—Except as provided in section
20104(c) of this title, a proceeding to review a final action of the Secretary
of Transportation under this part or, as applicable to railroad safety, chap-
154
ter 51 or 57 of this title shall be brought in the appropriate court of appeals
as provided in chapter 158 of title 28.
§ 20115. User fees
(a) SCHEDULE OF FEES.—The Secretary of Transportation shall pre-
scribe by regulation a schedule of fees for railroad carriers subject to this
chapter. The fees—
(1) shall cover the costs of carrying out this chapter (except section
20108(a));
(2) shall be imposed fairly on the railroad carriers, in reasonable re-
lationship to an appropriate combination of criteria such as revenue
ton-miles, track miles, passenger miles, or other relevant factors; and
(3) may not be based on that part of industry revenues attributable
to a railroad carrier or class of railroad carriers.
(b) COLLECTION PROCEDURES.—The Secretary shall prescribe proce-
dures to collect the fees. The Secretary may use the services of a depart-
ment, agency, or instrumentality of the United States Government or of a
State or local authority to collect the fees, and may reimburse the depart-
ment, agency, or instrumentality a reasonable amount for its services.
(c) COLLECTION, DEPOSIT, AND USE.—(1) The Secretary shall impose
and collect fees under this section for each fiscal year before the end of the
fiscal year.
(2) Fees collected under this section shall be deposited in the general
fund of the Treasury as offsetting receipts. The fees may be used, to the
extent provided in advance in an appropriation law, only to carry out this
chapter.
(3) Fees prescribed under this section shall be imposed in an amount suf-
ficient to pay for the costs of activities under this chapter. However, the
total fees received for a fiscal year may not be more than 105 percent of
the total amount of the appropriations for the fiscal year for activities to
be financed by the fees.
(d) ANNUAL REPORT.—(1) Not later than 90 days after the end of each
fiscal year in which fees are collected under this section, the Secretary shall
report to Congress on—
(A) the amount of fees collected during that fiscal year;
(B) the impact of the fees on the financial health of the railroad in-
dustry and its competitive position relative to each competing mode of
transportation; and
(C) the total cost of Government safety activities for each other com-
peting mode of transportation, including any part of that total cost de-
frayed by Government user fees.
155
(2) Not later than 90 days after submitting a report for a fiscal year,
the Secretary shall submit to Congress recommendations for corrective legis-
lation if the report includes a finding that—
(A) there has been an impact from the fees on the financial health
of the railroad industry or its competitive position relative to each com-
peting mode of transportation; or
(B) there is a significant difference in the burden of Government
user fees on the railroad industry and other competing modes of trans-
portation.
(e) EXPIRATION.—This section expires on September 30, 1995.
§ 20116. Annual report
The Secretary of Transportation shall submit to the President for sub-
mission to Congress not later than July 1 of each year a report on carrying
out this chapter for the prior calendar year. The report shall include the
following information about the prior year:
(1) a thorough statistical compilation of railroad accidents, incidents,
and casualties by cause.
(2) a list of railroad safety regulations and orders prescribed, issued,
or in effect under this chapter.
(3) a summary of the reasons for each waiver granted under section
20103(d) of this title.
(4) an evaluation of the degree of compliance with railroad safety
regulations prescribed and orders issued under this chapter.
(5) a summary of outstanding problems in carrying out railroad safe-
ty regulations prescribed and orders issued under this chapter, in order
of priority.
(6) an analysis and evaluation of research and related activities com-
pleted, including their policy implications, and technological progress
achieved.
(7) a list, with a brief statement of the issues, of completed or pend-
ing civil actions to enforce railroad safety regulations prescribed and
orders issued under this chapter.
(8) the extent to which technical information was distributed to the
scientific community and consumer-oriented information was made
available to the public.
(9) a compilation of certifications filed under section 20105(a) of
this title that were—
(A) in effect; or
(B) rejected in any part by the Secretary, and a summary of
the reasons for each rejection.
156
(10) a compilation of agreements made under section 20105(c) of
this title that were—
(A) in effect; or
(B) terminated in any part by the Secretary, and a summary
of the reasons for each termination.
(11) recommendations for legislation the Secretary considers nec-
essary to strengthen the national railroad safety program.
§ 20117. Authorization of appropriations
(a) GENERAL.—(1) Not more than the following amounts may be appro-
priated to the Secretary of Transportation to carry out this chapter:
(A) $68,283,000 for the fiscal year ending September 30, 1993.
(B) $71,690,000 for the fiscal year ending September 30, 1994.
(2) Not more than $5,000,000 may be appropriated to the Secretary for
the fiscal year ending September 30, 1993, to carry out section 20105 of
this title.
(b) GRADE CROSSING SAFETY.—Not more than $1,000,000 may be ap-
propriated to the Secretary for improvements in grade crossing safety, ex-
cept demonstration projects under section 20134(c) of this title. Amounts
appropriated under this subsection remain available until expended.
(c) RESEARCH AND DEVELOPMENT, AUTOMATED TRACK INSPECTION,
AND STATE PARTICIPATION GRANTS.—Amounts appropriated under this
section for research and development, automated track inspection, and
grants under section 20105(e) of this title remain available until expended.
(d) MINIMUM AVAILABLE FOR CERTAIN PURPOSES.—At least 50 percent
of the amounts appropriated to the Secretary for a fiscal year to carry out
railroad research and development programs under this chapter or another
law shall be available for safety research, improved track inspection and in-
formation acquisition technology, improved railroad freight transportation,
and improved railroad passenger systems.
SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY
§ 20131. Restricted access to rolling equipment
The Secretary of Transportation shall prescribe regulations and issue or-
ders that may be necessary to require that when railroad carrier employees
(except train or yard crews) assigned to inspect, test, repair, or service roll-
ing equipment have to work on, under, or between that equipment, every
manually operated switch, including each crossover switch, providing access
to the track on which the equipment is located is lined against movement
to that track and secured by an effective locking device that can be removed
only by the class or craft of employees performing the inspection, testing,
repair, or service.
157
§ 20132. Visible markers for rear cars
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders that may be necessary to require that—
(1) the rear car of each passenger and commuter train has at least
one highly visible marker that is lighted during darkness and when
weather conditions restrict clear visibility; and
(2) the rear car of each freight train has highly visible markers dur-
ing darkness and when weather conditions restrict clear visibility.
(b) PREEMPTION.—Notwithstanding section 20106 of this title, sub-
section (a) of this section does not prohibit a State from continuing in force
a law, regulation, or order in effect on July 8, 1976, related to lighted
markers on the rear car of a freight train except to the extent it would
cause the car to be in violation of this section.
§ 20133. Passenger equipment
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders that may be necessary to ensure that the construc-
tion, maintenance, and operation of railroad equipment used to transport
railroad passengers, whether in commuter or intercity service, maximize the
safety of those passengers. The Secretary periodically shall review the regu-
lations and orders and make amendments that may be necessary.
(b) CONSIDERATIONS AND AREAS OF CONCENTRATION.—In prescribing
regulations, issuing orders, and making amendments under this section, the
Secretary shall—
(1) consider comparable regulations and procedures of the United
States Government that apply to other modes of transportation, espe-
cially those regulations and procedures carried out by the Adminis-
trator of the Federal Aviation Administration;
(2) consider relevant differences between commuter and intercity
passenger service;
(3) concentrate on those areas that the Secretary believes present the
greatest opportunity for enhancing the safety of the equipment; and
(4) give significant weight to the expenditures that would be nec-
essary to retrofit existing equipment and to change specifications for
equipment on order.
(c) CONSULTATION.—In prescribing regulations, issuing orders, and mak-
ing amendments under this section, the Secretary may consult with Amtrak,
public authorities operating railroad passenger service, other railroad car-
riers transporting passengers, organizations of passengers, and organiza-
tions of employees. A consultation is not subject to the Federal Advisory
Committee Act (5 App. U.S.C.), but minutes of the consultation shall be
placed in the public docket of the regulatory proceeding.
158
§ 20134. Grade crossings and railroad rights of way
(a) GENERAL.—To the extent practicable, the Secretary of Transpor-
tation shall maintain a coordinated effort to develop and carry out solutions
to the railroad grade crossing problem and measures to protect pedestrians
in densely populated areas along railroad rights of way. To carry out this
subsection, the Secretary may use the authority of the Secretary under this
chapter and over highway, traffic, and motor vehicle safety and over high-
way construction.
(b) SIGNAL SYSTEMS AND OTHER DEVICES.—Not later than June 22,
1989, the Secretary shall prescribe regulations and issue orders to ensure
the safe maintenance, inspection, and testing of signal systems and devices
at railroad highway grade crossings.
(c) DEMONSTRATION PROJECTS.—(1) The Secretary shall establish dem-
onstration projects to evaluate whether accidents and incidents involving
trains would be reduced by—
(A) reflective markers installed on the road surface or on a signal
post at railroad grade crossings;
(B) stop signs or yield signs installed at grade crossings; and
(C) speed bumps or rumble strips installed on the road surfaces at
the approaches to grade crossings.
(2) Not later than June 22, 1990, the Secretary shall submit a report
on the results of the demonstration projects to the Committee on Energy
and Commerce of the House of Representatives and the Committee on Com-
merce, Science, and Transportation of the Senate.
§ 20135. Licensing or certification of locomotive operators
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders to establish a program requiring the licensing or cer-
tification, after one year after the program is established, of any operator
of a locomotive.
(b) PROGRAM REQUIREMENTS.—The program established under sub-
section (a) of this section—
(1) shall be carried out through review and approval of each railroad
carrier’s operator qualification standards;
(2) shall provide minimum training requirements;
(3) shall require comprehensive knowledge of applicable railroad car-
rier operating practices and rules;
(4) except as provided in subsection (c)(1) of this section, shall re-
quire consideration, to the extent the information is available, of the
motor vehicle driving record of each individual seeking licensing or cer-
tification, including—
160
ing under section 20103(e) of this title to decide whether the license has
been properly denied or conditioned.
(e) OPPORTUNITY TO EXAMINE AND COMMENT ON INFORMATION.—The
Secretary, employer, or prospective employer, as appropriate, shall make in-
formation obtained under subsection (b)(6) of this section available to the
individual. The individual shall be given an opportunity to comment in writ-
ing about the information. Any comment shall be included in any record or
file maintained by the Secretary, employer, or prospective employer that
contains information to which the comment is related.
§ 20136. Automatic train control and related systems
The Secretary of Transportation shall prescribe regulations and issue or-
ders to require that—
(1) an individual performing a test of an automatic train stop, train
control, or cab signal apparatus required by the Secretary to be per-
formed before entering territory where the apparatus will be used shall
certify in writing that the test was performed properly; and
(2) the certification required under clause (1) of this subsection shall
be maintained in the same way and place as the daily inspection report
for the locomotive.
§ 20137. Event recorders
(a) DEFINITION.—In this section, ‘‘event recorder’’ means a device that—
(1) records train speed, hot box detection, throttle position, brake
application, brake operations, and any other function the Secretary of
Transportation considers necessary to record to assist in monitoring
the safety of train operation, such as time and signal indication; and
(2) is designed to resist tampering.
(b) REGULATIONS AND ORDERS.—Not later than December 22, 1989, the
Secretary shall prescribe regulations and issue orders that may be necessary
to enhance safety by requiring that a train be equipped with an event re-
corder not later than one year after the regulations are prescribed and the
orders are issued. However, if the Secretary finds it is impracticable to
equip trains within that one-year period, the Secretary may extend the pe-
riod to a date that is not later than 18 months after the regulations are
prescribed and the orders are issued.
§ 20138. Tampering with safety and operational monitoring
devices
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders to prohibit the willful tampering with, or disabling
of, any specified railroad safety or operational monitoring device.
(b) PENALTIES.—(1) A railroad carrier operating a train on which a safe-
ty or operational monitoring device is tampered with or disabled in violation
161
of a regulation prescribed or order issued under subsection (a) of this sec-
tion is liable to the United States Government for a civil penalty under sec-
tion 21301 of this title.
(2) An individual tampering with or disabling a safety or operational
monitoring device in violation of a regulation prescribed or order issued
under subsection (a) of this section, or knowingly operating or allowing to
be operated a train on which such a device has been tampered with or dis-
abled, is liable for penalties established by the Secretary. The penalties may
include—
(A) a civil penalty under section 21301 of this title;
(B) suspension from work; and
(C) suspension or loss of a license or certification issued under sec-
tion 20135 of this title.
§ 20139. Maintenance-of-way operations on railroad bridges
Not later than June 22, 1989, the Secretary of Transportation shall pre-
scribe regulations and issue orders for the safety of maintenance-of-way em-
ployees on railroad bridges. The Secretary at least shall provide in those
regulations standards for bridge safety equipment, including nets, walkways,
handrails, and safety lines, and requirements for the use of vessels when
work is performed on bridges located over bodies of water.
§ 20140. Alcohol and controlled substances testing
(a) DEFINITION.—In this section, ‘‘controlled substance’’ means any sub-
stance under section 102 of the Comprehensive Drug Abuse Prevention and
Control Act of 1970 (21 U.S.C. 802) specified by the Secretary of Trans-
portation.
(b) GENERAL.—(1) In the interest of safety, the Secretary of Transpor-
tation shall prescribe regulations and issue orders, not later than October
28, 1992, related to alcohol and controlled substances use in railroad oper-
ations. The regulations shall establish a program requiring—
(A) a railroad carrier to conduct preemployment, reasonable sus-
picion, random, and post-accident testing of all railroad employees re-
sponsible for safety-sensitive functions (as decided by the Secretary) for
the use of alcohol or a controlled substance in violation of law or a
United States Government regulation; and
(B) when the Secretary considers it appropriate, disqualification for
an established period of time or dismissal of any employee found—
(i) to have used or been impaired by alcohol when on duty; or
(ii) to have used a controlled substance, whether or not on duty,
except as allowed for medical purposes by law or a regulation or
order under this chapter.
162
(2) When the Secretary of Transportation considers it appropriate in the
interest of safety, the Secretary may prescribe regulations and issue orders
requiring railroad carriers to conduct periodic recurring testing of railroad
employees responsible for safety-sensitive functions (as decided by the Sec-
retary) for the use of alcohol or a controlled substance in violation of law
or a Government regulation.
(c) TESTING AND LABORATORY REQUIREMENTS.—In carrying out this
section, the Secretary of Transportation shall develop requirements that
shall—
(1) promote, to the maximum extent practicable, individual privacy
in the collection of specimens;
(2) for laboratories and testing procedures for controlled substances,
incorporate the Department of Health and Human Services scientific
and technical guidelines dated April 11, 1988, and any amendments to
those guidelines, including mandatory guidelines establishing—
(A) comprehensive standards for every aspect of laboratory con-
trolled substances testing and laboratory procedures to be applied
in carrying out this section, including standards requiring the use
of the best available technology to ensure the complete reliability
and accuracy of controlled substances tests and strict procedures
governing the chain of custody of specimens collected for con-
trolled substances testing;
(B) the minimum list of controlled substances for which individ-
uals may be tested; and
(C) appropriate standards and procedures for periodic review of
laboratories and criteria for certification and revocation of certifi-
cation of laboratories to perform controlled substances testing in
carrying out this section;
(3) require that a laboratory involved in controlled substances testing
under this section have the capability and facility, at the laboratory,
of performing screening and confirmation tests;
(4) provide that all tests indicating the use of alcohol or a controlled
substance in violation of law or a Government regulation be confirmed
by a scientifically recognized method of testing capable of providing
quantitative information about alcohol or a controlled substance;
(5) provide that each specimen be subdivided, secured, and labeled
in the presence of the tested individual and that a part of the specimen
be retained in a secure manner to prevent the possibility of tampering,
so that if the individual’s confirmation test results are positive the indi-
vidual has an opportunity to have the retained part tested by a 2d con-
firmation test done independently at another certified laboratory if the
163
individual requests the 2d confirmation test not later than 3 days after
being advised of the results of the first confirmation test;
(6) ensure appropriate safeguards for testing to detect and quantify
alcohol in breath and body fluid samples, including urine and blood,
through the development of regulations that may be necessary and in
consultation with the Secretary of Health and Human Services;
(7) provide for the confidentiality of test results and medical infor-
mation (other than information about alcohol or a controlled substance)
of employees, except that this clause does not prevent the use of test
results for the orderly imposition of appropriate sanctions under this
section; and
(8) ensure that employees are selected for tests by nondiscriminatory
and impartial methods, so that no employee is harassed by being treat-
ed differently from other employees in similar circumstances.
(d) REHABILITATION.—The Secretary of Transportation shall prescribe
regulations or issue orders establishing requirements for rehabilitation pro-
grams that at least provide for the identification and opportunity for treat-
ment of railroad employees responsible for safety-sensitive functions (as de-
cided by the Secretary) in need of assistance in resolving problems with the
use of alcohol or a controlled substance in violation of law or a Government
regulation. The Secretary shall decide on the circumstances under which
employees shall be required to participate in a program. Each railroad car-
rier is encouraged to make such a program available to all of its employees
in addition to employees responsible for safety-sensitive functions. This sub-
section does not prevent a railroad carrier from establishing a program
under this subsection in cooperation with another railroad carrier.
(e) INTERNATIONAL OBLIGATIONS AND FOREIGN LAWS AND REGULA-
TIONS.—In carrying out this section, the Secretary of Transportation—
(1) shall establish only requirements that are consistent with inter-
national obligations of the United States; and
(2) shall consider applicable laws and regulations of foreign coun-
tries.
(f) OTHER REGULATIONS ALLOWED.—This section does not prevent the
Secretary of Transportation from continuing in effect, amending, or further
supplementing a regulation prescribed or order issued before October 28,
1991, governing the use of alcohol or a controlled substance in railroad op-
erations.
§ 20141. Power brake safety
(a) REVIEW AND REVISION OF EXISTING REGULATIONS.—The Secretary
of Transportation shall review existing regulations on railroad power brakes
and, not later than December 31, 1993, revise the regulations based on
164
safety information presented during the review. Where applicable, the Sec-
retary shall prescribe regulations that establish standards on dynamic brak-
ing equipment.
(b) 2-WAY END-OF-TRAIN DEVICES.—(1) The Secretary shall require 2-
way end-of-train devices (or devices able to perform the same function) on
road trains, except locals, road switchers, or work trains, to enable the initi-
ation of emergency braking from the rear of a train. The Secretary shall
prescribe regulations as soon as possible, but not later than December 31,
1993, requiring the 2-way end-of-train devices. The regulations at least
shall—
(A) establish standards for the devices based on performance;
(B) prohibit a railroad carrier, on or after the date that is one year
after the regulations are prescribed, from acquiring any end-of-train
device for use on trains that is not a 2-way device meeting the stand-
ards established under clause (A) of this paragraph;
(C) require that the trains be equipped with 2-way end-of-train de-
vices meeting those standards not later than 4 years after the regula-
tions are prescribed; and
(D) provide that any 2-way end-of-train device acquired for use on
trains before the regulations are prescribed shall be deemed to meet the
standards.
(2) The Secretary may consider petitions to amend the regulations pre-
scribed under paragraph (1) of this subsection to allow the use of alter-
native technologies that meet the same basic performance requirements es-
tablished by the regulations.
(3) In developing the regulations required by paragraph (1) of this sub-
section, the Secretary shall consider information presented under subsection
(a) of this section.
(c) EXCLUSIONS.—The Secretary may exclude from regulations pre-
scribed under subsections (a) and (b) of this section any category of trains
or rail operations if the Secretary decides that the exclusion is in the public
interest and is consistent with railroad safety. The Secretary shall make
public the reasons for the exclusion. The Secretary at least shall exclude
from the regulations prescribed under subsection (b)—
(1) trains that have manned cabooses;
(2) passenger trains with emergency brakes;
(3) trains that operate only on track that is not part of the general
railroad system;
(4) trains that do not exceed 30 miles an hour and do not operate
on heavy grades, except for any categories of trains specifically des-
ignated by the Secretary; and
165
(5) trains that operate in a push mode.
§ 20142. Track safety
(a) REVIEW
OF EXISTING REGULATIONS.—Not later than March 3,
1993, the Secretary of Transportation shall begin a review of Department
of Transportation regulations related to track safety standards. The review
at least shall include an evaluation of—
(1) procedures associated with maintaining and installing continuous
welded rail and its attendant structure;
(2) the need for revisions to regulations on track excepted from track
safety standards; and
(3) employee safety.
(b) REVISION OF REGULATIONS.—Not later than September 3, 1994, the
Secretary shall prescribe regulations and issue orders to revise track safety
standards, considering safety information presented during the review under
subsection (a) of this section and the report of the Comptroller General sub-
mitted under subsection (c) of this section.
(c) COMPTROLLER GENERAL’S STUDY AND REPORT.—The Comptroller
General shall study the effectiveness of the Secretary’s enforcement of track
safety standards, with particular attention to recent relevant railroad acci-
dent experience and information. Not later than September 3, 1993, the
Comptroller General shall submit a report to Congress and the Secretary
on the results of the study, with recommendations for improving enforce-
ment of those standards.
§ 20143. Locomotive visibility
(a) DEFINITION.—In this section, ‘‘locomotive visibility’’ means the en-
hancement of day and night visibility of the front end unit of a train, con-
sidering in particular the visibility and perspective of a driver of a motor
vehicle at a grade crossing.
(b) INTERIM REGULATIONS.—Not later than December 31, 1992, the
Secretary of Transportation shall prescribe temporary regulations identify-
ing ditch, crossing, strobe, and oscillating lights as temporary locomotive
visibility measures and authorizing and encouraging the installation and use
of those lights. Subchapter II of chapter 5 of title 5 does not apply to a
temporary regulation or to an amendment to a temporary regulation.
(c) REVIEW
OF REGULATIONS.—The Secretary shall review the Sec-
retary’s regulations on locomotive visibility. Not later than December 31,
1993, the Secretary shall complete the current research of the Department
of Transportation on locomotive visibility. In conducting the review, the Sec-
retary shall collect relevant information from operational experience by rail
carriers using enhanced visibility measures.
166
(d) REGULATORY PROCEEDING.—Not later than June 30, 1994, the Sec-
retary shall begin a regulatory proceeding to prescribe final regulations re-
quiring substantially enhanced locomotive visibility measures. In the pro-
ceeding, the Secretary shall consider at least—
(1) revisions to the existing locomotive headlight standards, including
standards for placement and intensity;
(2) requiring the use of reflective material to enhance locomotive vis-
ibility;
(3) requiring the use of additional alerting lights, including ditch,
crossing, strobe, and oscillating lights;
(4) requiring the use of auxiliary lights to enhance locomotive visi-
bility when viewed from the side;
(5) the effect of an enhanced visibility measure on the vision, health,
and safety of train crew members; and
(6) separate standards for self-propelled, push-pull, and multi-unit
passenger operations without a dedicated head end locomotive.
(e) FINAL REGULATIONS.—(1) Not later than June 30, 1995, the Sec-
retary shall prescribe final regulations requiring enhanced locomotive visi-
bility measures. The Secretary shall require that not later than December
31, 1997, a locomotive not excluded from the regulations be equipped with
temporary visibility measures under subsection (b) of this section or the visi-
bility measures the final regulations require.
(2) In prescribing regulations under paragraph (1) of this subsection, the
Secretary may exclude a category of trains or rail operations from a specific
visibility requirement if the Secretary decides the exclusion is in the public
interest and is consistent with rail safety, including grade-crossing safety.
(3) A locomotive equipped with temporary visibility measures prescribed
under subsection (b) of this section when final regulations are prescribed
under paragraph (1) of this subsection is deemed to be complying with the
final regulations for 4 years after the final regulations are prescribed.
§ 20144. Blue signal protection for on-track vehicles
The Secretary of Transportation shall prescribe regulations applying blue
signal protection to on-track vehicles where rest is provided.
CHAPTER 203—SAFETY APPLIANCES
Sec.
20301.
Definition and nonapplication.
20302.
General requirements.
20303.
Moving defective and insecure vehicles needing repairs.
20304.
Assumption of risk by employees.
20305.
Inspection of mail cars.
20306.
Exemption for technological improvements.
§ 20301. Definition and nonapplication
(a) DEFINITION.—In this chapter, ‘‘vehicle’’ means a car, locomotive, ten-
der, or similar vehicle.
167
(b) NONAPPLICATION.—This chapter does not apply to the following:
(1) a train of 4-wheel coal cars.
(2) a train of 8-wheel standard logging cars if the height of each car
from the top of the rail to the center of the coupling is not more than
25 inches.
(3) a locomotive used in hauling a train referred to in clause (2) of
this subsection when the locomotive and cars of the train are used only
to transport logs.
§ 20302. General requirements
(a) GENERAL.—Except as provided in subsection (c) of this section and
section 20303 of this title, a railroad carrier may use or allow to be used
on any of its railroad lines—
(1) a vehicle only if it is equipped with—
(A) couplers coupling automatically by impact, and capable of
being uncoupled, without the necessity of individuals going be-
tween the ends of the vehicles;
(B) secure sill steps and efficient hand brakes; and
(C) secure ladders and running boards when required by the
Secretary of Transportation, and, if ladders are required, secure
handholds or grab irons on its roof at the top of each ladder;
(2) except as otherwise ordered by the Secretary, a vehicle only if
it is equipped with secure grab irons or handholds on its ends and sides
for greater security to individuals in coupling and uncoupling vehicles;
(3) a vehicle only if it complies with the standard height of drawbars
required by regulations prescribed by the Secretary;
(4) a locomotive only if it is equipped with a power-driving wheel
brake and appliances for operating the train-brake system; and
(5) a train only if—
(A) enough of the vehicles in the train are equipped with power
or train brakes so that the engineer on the locomotive hauling the
train can control the train’s speed without the necessity of brake
operators using the common hand brakes for that purpose; and
(B) at least 50 percent of the vehicles in the train are equipped
with power or train brakes and the engineer is using the power
or train brakes on those vehicles and on all other vehicles equipped
with them that are associated with those vehicles in the train.
(b) REFUSAL TO RECEIVE VEHICLES NOT PROPERLY EQUIPPED.—A
railroad carrier complying with subsection (a)(5)(A) of this section may
refuse to receive from a railroad line of a connecting railroad carrier or a
shipper a vehicle that is not equipped with power or train brakes that will
168
work and readily interchange with the power or train brakes in use on the
vehicles of the complying railroad carrier.
(c) COMBINED VEHICLES LOADING
AND HAULING LONG COMMOD-
ITIES.—Notwithstanding subsection (a)(1)(B) of this section, when vehicles
are combined to load and haul long commodities, only one of the vehicles
must have hand brakes during the loading and hauling.
(d) AUTHORITY TO CHANGE REQUIREMENTS.—The Secretary may—
(1) change the number, dimensions, locations, and manner of appli-
cation prescribed by the Secretary for safety appliances required by
subsection (a)(1)(B) and (C) and (2) of this section only for good cause
and after providing an opportunity for a full hearing;
(2) amend regulations for installing, inspecting, maintaining, and re-
pairing power and train brakes only for the purpose of achieving safety;
and
(3) increase, after an opportunity for a full hearing, the minimum
percentage of vehicles in a train that are required by subsection
(a)(5)(B) of this section to be equipped and used with power or train
brakes.
(e) SERVICES OF ASSOCIATION OF AMERICAN RAILROADS.—In carrying
out subsection (d)(2) and (3) of this section, the Secretary may use the
services of the Association of American Railroads.
§ 20303. Moving defective and insecure vehicles needing re-
pairs
(a) GENERAL.—A vehicle that is equipped in compliance with this chapter
whose equipment becomes defective or insecure nevertheless may be moved
when necessary to make repairs, without a penalty being imposed under sec-
tion 21302 of this title, from the place at which the defect or insecurity was
first discovered to the nearest available place at which the repairs can be
made—
(1) on the railroad line on which the defect or insecurity was discov-
ered; or
(2) at the option of a connecting railroad carrier, on the railroad line
of the connecting carrier, if not farther than the place of repair de-
scribed in clause (1) of this subsection.
(b) USE OF CHAINS INSTEAD OF DRAWBARS.—A vehicle in a revenue
train or in association with commercially-used vehicles may be moved under
this section with chains instead of drawbars only when the vehicle contains
livestock or perishable freight.
(c) LIABILITY.—The movement of a vehicle under this section is at the
risk only of the railroad carrier doing the moving. This section does not re-
lieve a carrier from liability in a proceeding to recover damages for death
169
or injury of a railroad employee arising from the movement of a vehicle with
equipment that is defective, insecure, or not maintained in compliance with
this chapter.
§ 20304. Assumption of risk by employees
An employee of a railroad carrier injured by a vehicle or train used in
violation of section 20302(a)(1)(A), (2), (4), or (5)(A) of this title does not
assume the risk of injury resulting from the violation, even if the employee
continues to be employed by the carrier after learning of the violation.
§ 20305. Inspection of mail cars
The Secretary of Transportation shall inspect the construction, adapt-
ability, design, and condition of mail cars used on railroads in the United
States. The Secretary shall make a report on the inspection and submit a
copy of the report to the United States Postal Service.
§ 20306. Exemption for technological improvements
(a) GENERAL.—Subject to subsection (b) of this section, the Secretary of
Transportation may exempt from the requirements of this chapter railroad
equipment or equipment that will be operated on rails, when those require-
ments preclude the development or implementation of more efficient railroad
transportation equipment or other transportation innovations under existing
law.
(b) CONDITIONS FOR EXEMPTION.—The Secretary may grant an exemp-
tion under subsection (a) of this section only on the basis of—
(1) findings based on evidence developed at a hearing; or
(2) an agreement between national railroad labor representatives and
the developer of the new equipment or technology.
CHAPTER 205—SIGNAL SYSTEMS
Sec.
20501.
Definition.
20502.
Requirements for installation and use.
20503.
Amending regulations and changing requirements.
20504.
Inspection, testing, and investigation.
20505.
Reports of malfunctions and accidents.
§ 20501. Definition
In this chapter, ‘‘signal system’’ means a block signal system, an inter-
locking, automatic train stop, train control, or cab-signal device, or a similar
appliance, method, device, or system intended to promote safety in railroad
operations.
§ 20502. Requirements for installation and use
(a) INSTALLATION.—(1) When the Secretary of Transportation decides
after an investigation that it is necessary in the public interest, the Sec-
retary may order a railroad carrier to install, on any part of its railroad
line, a signal system that complies with requirements of the Secretary. The
order must allow the carrier a reasonable time to complete the installation.
170
A carrier may discontinue or materially alter a signal system required under
this paragraph only with the approval of the Secretary.
(2) A railroad carrier ordered under paragraph (1) of this subsection to
install a signal system on one part of its railroad line may not be held neg-
ligent for not installing the system on any part of its line that was not in-
cluded in the order. If an accident or incident occurs on a part of the line
on which the signal system was not required to be installed and was not
installed, the use of the system on another part of the line may not be con-
sidered in a civil action brought because of the accident or incident.
(b) USE.—A railroad carrier may allow a signal system to be used on its
railroad line only when the system, including its controlling and operating
appurtenances—
(1) may be operated safely without unnecessary risk of personal in-
jury; and
(2) has been inspected and can meet any test prescribed under this
chapter.
§ 20503. Amending regulations and changing requirements
The Secretary of Transportation may amend a regulation or change a re-
quirement applicable to a railroad carrier for installing, maintaining, in-
specting, or repairing a signal system under this chapter—
(1) when the carrier files with the Secretary a request for the
amendment or change and the Secretary approves the request; or
(2) on the Secretary’s own initiative for good cause shown.
§ 20504. Inspection, testing, and investigation
(a) SYSTEMS IN USE.—(1) The Secretary of Transportation may—
(A) inspect and test a signal system used by a railroad carrier; and
(B) decide whether the system is in safe operating condition.
(2) In carrying out this subsection, the Secretary may employ only an in-
dividual who—
(A) has no interest in a patented article required to be used on or
with a signal system; and
(B) has no financial interest in a railroad carrier or in a concern
dealing in railroad supplies.
(b) SYSTEMS SUBMITTED FOR INVESTIGATION AND TESTING.—The Sec-
retary may investigate, test, and report on the use of and need for a signal
system, without cost to the United States Government, when the system is
submitted in completed shape for investigation and testing.
§ 20505. Reports of malfunctions and accidents
In the way and to the extent required by the Secretary of Transportation,
a railroad carrier shall report to the Secretary a failure of a signal system
to function as intended. If the failure results in an accident or incident
171
causing injury to an individual or property that is required to be reported
under regulations prescribed by the Secretary, the carrier owning or main-
taining the signal system shall report to the Secretary immediately in writ-
ing the fact of the accident or incident.
CHAPTER 207—LOCOMOTIVES
Sec.
20701.
Requirements for use.
20702.
Inspections, repairs, and inspection and repair reports.
20703.
Accident reports and investigations.
§ 20701. Requirements for use
A railroad carrier may use or allow to be used a locomotive or tender on
its railroad line only when the locomotive or tender and its parts and appur-
tenances—
(1) are in proper condition and safe to operate without unnecessary
danger of personal injury;
(2) have been inspected as required under this chapter and regula-
tions prescribed by the Secretary of Transportation under this chapter;
and
(3) can withstand every test prescribed by the Secretary under this
chapter.
§ 20702. Inspections, repairs, and inspection and repair re-
ports
(a) GENERAL.—The Secretary of Transportation shall—
(1) become familiar, so far as practicable, with the condition of every
locomotive and tender and its parts and appurtenances;
(2) inspect every locomotive and tender and its parts and appur-
tenances as necessary to carry out this chapter, but not necessarily at
stated times or at regular intervals; and
(3) ensure that every railroad carrier makes inspections of loco-
motives and tenders and their parts and appurtenances as required by
regulations prescribed by the Secretary and repairs every defect that
is disclosed by an inspection before a defective locomotive, tender, part,
or appurtenance is used again.
(b) NONCOMPLYING LOCOMOTIVES, TENDERS, AND PARTS.—(1) When
the Secretary finds that a locomotive, tender, or locomotive or tender part
or appurtenance owned or operated by a railroad carrier does not comply
with this chapter or a regulation prescribed under this chapter, the Sec-
retary shall give the carrier written notice describing any defect resulting
in noncompliance. Not later than 5 days after receiving the notice of non-
compliance, the carrier may submit a written request for a reinspection. On
receiving the request, the Secretary shall provide for the reinspection by an
officer or employee of the Department of Transportation who did not make
172
the original inspection. The reinspection shall be made not later than 15
days after the date the Secretary gives the notice of noncompliance.
(2) Immediately after the reinspection is completed, the Secretary shall
give written notice to the railroad carrier stating whether the locomotive,
tender, part, or appurtenance is in compliance. If the original finding of
noncompliance is sustained, the carrier has 30 days after receipt of the no-
tice to file an appeal with the Secretary. If the carrier files an appeal, the
Secretary, after providing an opportunity for a proceeding, may revise or
set aside the finding of noncompliance.
(3) A locomotive, tender, part, or appurtenance found not in compliance
under this subsection may be used only after it is—
(A) repaired to comply with this chapter and regulations prescribed
under this chapter; or
(B) found on reinspection or appeal to be in compliance.
(c) REPORTS.—A railroad carrier shall make and keep, in the way the
Secretary prescribes by regulation, a report of every—
(1) inspection made under regulations prescribed by the Secretary;
and
(2) repair made of a defect disclosed by such an inspection.
(d) CHANGES
IN INSPECTION PROCEDURES.—A railroad carrier may
change a rule or instruction of the carrier governing the inspection by the
carrier of the locomotives and tenders and locomotive and tender parts and
appurtenances of the carrier when the Secretary approves a request filed by
the carrier to make the change.
§ 20703. Accident reports and investigations
(a) ACCIDENT REPORTS AND SCENE PRESERVATION.—When the failure
of a locomotive, tender, or locomotive or tender part or appurtenance results
in an accident or incident causing serious personal injury or death, the rail-
road carrier owning or operating the locomotive or tender—
(1) immediately shall file with the Secretary of Transportation a
written statement of the fact of the accident or incident; and
(2) when the locomotive is disabled to the extent it cannot be oper-
ated under its own power, shall preserve intact all parts affected by the
accident or incident, if possible without interfering with traffic, until
an investigation of the accident or incident is completed.
(b) INVESTIGATIONS.—The Secretary shall—
(1) investigate each accident and incident reported under subsection
(a) of this section;
(2) inspect each part affected by the accident or incident; and
(3) make a complete and detailed report on the cause of the accident
or incident.
173
(c) PUBLICATION AND USE OF INVESTIGATION REPORTS.—When the
Secretary considers publication to be in the public interest, the Secretary
may publish a report of an investigation made under this section, stating
the cause of the accident or incident and making appropriate recommenda-
tions. No part of a report may be admitted into evidence or used in a civil
action for damages resulting from a matter mentioned in the report.
CHAPTER 209—ACCIDENTS AND INCIDENTS
Sec.
20901.
Reports.
20902.
Investigations.
20903.
Reports not evidence in civil actions for damages.
§ 20901. Reports
(a) GENERAL REQUIREMENTS.—Not later than 30 days after the end of
each month, a railroad carrier shall file a report with the Secretary of
Transportation on all accidents and incidents resulting in injury or death
to an individual or damage to equipment or a roadbed arising from the car-
rier’s operations during the month. The report shall be under oath and shall
state the nature, cause, and circumstances of each reported accident or inci-
dent. If a railroad carrier assigns human error as a cause, the report shall
include, at the option of each employee whose error is alleged, a statement
by the employee explaining any factors the employee alleges contributed to
the accident or incident.
(b) MONETARY THRESHOLD FOR REPORTING.—(1) In establishing or
changing a monetary threshold for the reporting of a railroad accident or
incident, the Secretary shall base damage cost calculations only on publicly
available information obtained from—
(A) the Bureau of Labor Statistics; or
(B) another department, agency, or instrumentality of the United
States Government if the information has been collected through objec-
tive, statistically sound survey methods or has been previously subject
to a public notice and comment process in a proceeding of a Govern-
ment department, agency, or instrumentality.
(2) If information is not available as provided in paragraph (1)(A) or (B)
of this subsection, the Secretary may use any other source to obtain the in-
formation. However, use of the information shall be subject to public notice
and an opportunity for written comment.
§ 20902. Investigations
(a) GENERAL AUTHORITY.—The Secretary of Transportation, or an im-
partial investigator authorized by the Secretary, may investigate—
(1) an accident or incident resulting in serious injury to an individ-
ual or to railroad property, occurring on the railroad line of a railroad
carrier; and
174
(2) an accident or incident reported under section 20505 of this title.
(b) OTHER DUTIES AND POWERS.—In carrying out an investigation, the
Secretary or authorized investigator may subpena witnesses, require the pro-
duction of records, exhibits, and other evidence, administer oaths, and take
testimony. If the accident or incident is investigated by a commission of the
State in which it occurred, the Secretary, if convenient, shall carry out the
investigation at the same time as, and in coordination with, the commis-
sion’s investigation. The railroad carrier on whose railroad line the accident
or incident occurred shall provide reasonable facilities to the Secretary for
the investigation.
(c) REPORTS.—When in the public interest, the Secretary shall make a
report of the investigation, stating the cause of the accident or incident and
making recommendations the Secretary considers appropriate. The Sec-
retary shall publish the report in a way the Secretary considers appropriate.
§ 20903. Reports not evidence in civil actions for damages
No part of an accident or incident report filed by a railroad carrier under
section 20901 of this title or made by the Secretary of Transportation
under section 20902 of this title may be used in a civil action for damages
resulting from a matter mentioned in the report.
CHAPTER 211—HOURS OF SERVICE
Sec.
21101.
Definitions.
21102.
Nonapplication and exemption.
21103.
Limitations on duty hours of train employees.
21104.
Limitations on duty hours of signal employees.
21105.
Limitations on duty hours of dispatching service employees.
21106.
Limitations on employee sleeping quarters.
21107.
Maximum duty hours and subjects of collective bargaining.
§ 21101. Definitions
In this chapter—
(1) ‘‘designated terminal’’ means the home or away-from-home ter-
minal for the assignment of a particular crew.
(2) ‘‘dispatching service employee’’ means an operator, train dis-
patcher, or other train employee who by the use of an electrical or me-
chanical device dispatches, reports, transmits, receives, or delivers or-
ders related to or affecting train movements.
(3) ‘‘employee’’ means a dispatching service employee, a signal em-
ployee, or a train employee.
(4) ‘‘signal employee’’ means an individual employed by a railroad
carrier who is engaged in installing, repairing, or maintaining signal
systems.
(5) ‘‘train employee’’ means an individual engaged in or connected
with the movement of a train, including a hostler.
177
(1) Time on duty begins when the employee reports for duty and
ends when the employee is finally released from duty.
(2) Time spent performing any other service for the railroad carrier
during a 24-hour period in which the employee is engaged in installing,
repairing, or maintaining signal systems is time on duty.
(3) Time spent returning from a trouble call, whether the employee
goes directly to the employee’s residence or by way of the employee’s
headquarters, is neither time on duty nor time off duty, except that
up to one hour of that time spent returning from the final trouble call
of a period of continuous or broken service is time off duty.
(4) If, at the end of scheduled duty hours, an employee has not com-
pleted the trip from the final outlying worksite of the duty period to
the employee’s headquarters or directly to the employee’s residence, the
time after the scheduled duty hours necessarily spent in completing the
trip to the residence or headquarters is neither time on duty nor time
off duty.
(5) If an employee is released from duty at an outlying worksite be-
fore the end of the employee’s scheduled duty hours to comply with this
section, the time necessary for the trip from the worksite to the em-
ployee’s headquarters or directly to the employee’s residence is neither
time on duty nor time off duty.
(6) Time spent in transportation on an ontrack vehicle, including
time referred to in paragraphs (3)–(5) of this subsection, is time on
duty.
(7) A regularly scheduled meal period or another release period of
at least 30 minutes but not more than one hour is time off duty and
does not break the continuity of service of the employee under this sec-
tion, but a release period of more than one hour is time off duty and
does break the continuity of service.
(c) EMERGENCIES.—A signal employee may be allowed to remain or go
on duty for not more than 4 additional hours in any period of 24 consecu-
tive hours when an emergency exists and the work of that employee is relat-
ed to the emergency. In this subsection, an emergency ends when the signal
system is restored to service.
§ 21105. Limitations on duty hours of dispatching service
employees
(a) APPLICATION.—This section applies, rather than section 21103 or
21104 of this title, to a train employee or signal employee during any period
of time the employee is performing duties of a dispatching service employee.
178
(b) GENERAL.—Except as provided in subsection (d) of this section, a
dispatching service employee may not be required or allowed to remain or
go on duty for more than—
(1) a total of 9 hours during a 24-hour period in a tower, office, sta-
tion, or place at which at least 2 shifts are employed; or
(2) a total of 12 hours during a 24-hour period in a tower, office,
station, or place at which only one shift is employed.
(c) DETERMINING TIME ON DUTY.—Under subsection (b) of this section,
time spent performing any other service for the railroad carrier during a
24-hour period in which the employee is on duty in a tower, office, station,
or other place is time on duty in that tower, office, station, or place.
(d) EMERGENCIES.—When an emergency exists, a dispatching service em-
ployee may be allowed to remain or go on duty for not more than 4 addi-
tional hours during a period of 24 consecutive hours for not more than 3
days during a period of 7 consecutive days.
§ 21106. Limitations on employee sleeping quarters
A railroad carrier and its officers and agents—
(1) may provide sleeping quarters (including crew quarters, camp or
bunk cars, and trailers) for employees, and any individuals employed
to maintain the right of way of a railroad carrier, only if the sleeping
quarters are clean, safe, and sanitary and give those employees and in-
dividuals an opportunity for rest free from the interruptions caused by
noise under the control of the carrier; and
(2) may not begin, after July 7, 1976, construction or reconstruction
of sleeping quarters referred to in clause (1) of this section in an area
or in the immediate vicinity of an area, as determined under regula-
tions prescribed by the Secretary of Transportation, in which railroad
switching or humping operations are performed.
§ 21107. Maximum duty hours and subjects of collective bar-
gaining
The number of hours established by this chapter that an employee may
be required or allowed to be on duty is the maximum number of hours con-
sistent with safety. Shorter hours of service and time on duty of an em-
ployee are proper subjects for collective bargaining between a railroad car-
rier and its employees.
CHAPTER 213—PENALTIES
SUBCHAPTER I—CIVIL PENALTIES
Sec.
21301.
Chapter 201 general violations.
21302.
Chapter 201 accident and incident violations and chapter 203–209 violations.
21303.
Chapter 211 violations.
21304.
Willfulness requirement for penalties against individuals.
179
SUBCHAPTER II—CRIMINAL PENALTIES
21311.
Records and reports.
SUBCHAPTER I—CIVIL PENALTIES
§ 21301. Chapter 201 general violations
(a) PENALTY.—(1) Subject to section 21304 of this title, a person violat-
ing a regulation prescribed or order issued by the Secretary of Transpor-
tation under chapter 201 of this title is liable to the United States Govern-
ment 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 pat-
tern of repeated violations has caused an imminent hazard of death or in-
jury 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 com-
promise, 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 con-
tinue 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 mis-
cellaneous receipts.
§ 21302. Chapter 201 accident and incident violations and
chapter 203–209 violations
(a) PENALTY.—(1) Subject to section 21304 of this title, a person violat-
ing a regulation prescribed or order issued under chapter 201 of this title
related to accident and incident reporting or investigation, or violating chap-
ters 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.
180
(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 in-
dividuals, 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 con-
tinue 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.
§ 21303. Chapter 211 violations
(a) PENALTY.—(1) Subject to section 21304 of this title, a person violat-
ing chapter 211 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 in-
dividuals, 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;
181
(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 con-
tinue 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 vio-
lation occurred or the defendant has its principal executive office. If the ac-
tion 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 per-
son committing the violation. However, even if notification is given, the ac-
tion 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.
§ 21304. Willfulness requirement for penalties against indi-
viduals
A civil penalty under this subchapter may be imposed against an individ-
ual only for a willful violation. An individual is deemed not to have commit-
ted a willful violation if the individual was following the direct order of a
railroad carrier official or supervisor under protest communicated to the of-
ficial or supervisor. The individual is entitled to document the protest.
SUBCHAPTER II—CRIMINAL PENALTIES
§ 21311. Records and reports
(a) RECORDS AND REPORTS UNDER CHAPTER 201.—A person shall be
fined under title 18, imprisoned for not more than 2 years, or both, if the
person knowingly and willfully—
(1) makes a false entry in a record or report required to be made
or preserved under chapter 201 of this title;
(2) destroys, mutilates, changes, or by another means falsifies such
a record or report;
(3) does not enter required specified facts and transactions in such
a record or report;
(4) makes or preserves such a record or report in violation of a regu-
lation prescribed or order issued under chapter 201 of this title; or
182
(5) files a false record or report with the Secretary of Transpor-
tation.
(b) ACCIDENT AND INCIDENT REPORTS.—A railroad carrier not filing the
report required by section 20901 of this title shall be fined not more than
$500 for each violation and not more than $500 for each day during which
the report is overdue.
PART B—ASSISTANCE
CHAPTER 221—LOCAL RAIL FREIGHT ASSISTANCE
Sec.
22101.
Financial assistance for State projects.
22102.
Eligibility.
22103.
Applications.
22104.
State rail plan financing.
22105.
Sharing project costs.
22106.
Limitations on financial assistance.
22107.
Records, audits, and information.
22108.
Authorization of appropriations.
§ 22101. Financial assistance for State projects
(a) GENERAL.—The Secretary of Transportation shall provide financial
assistance to a State, as provided under this chapter, for a rail freight as-
sistance project of the State when a rail carrier subject to subchapter I of
chapter 105 of this title maintains a rail line in the State. The assistance
is for the cost of—
(1) acquiring, in any way the State considers appropriate, an interest
in a rail line or rail property to maintain existing, or to provide future,
rail freight transportation, but only if the Interstate Commerce Com-
mission has authorized, or exempted from the requirements of that au-
thorization, the abandonment of, or the discontinuance of rail transpor-
tation on, the rail line related to the project;
(2) improving and rehabilitating rail property on a rail line to the
extent necessary to allow adequate and efficient rail freight transpor-
tation on the line, but only if the rail carrier certifies that the rail line
related to the project carried not more than 5,000,000 gross ton-miles
of freight a mile in the prior year; and
(3) building rail or rail-related facilities (including new connections
between at least 2 existing rail lines, intermodal freight terminals, sid-
ings, bridges, and relocation of existing lines) to improve the quality
and efficiency of the rail freight transportation, but only if the rail car-
rier certifies that the rail line related to the project carried not more
than 5,000,000 gross ton-miles of freight a mile in the prior year.
(b) CALCULATING COST-BENEFIT RATIO.—The Secretary shall establish
a methodology for calculating the ratio of benefits to costs of projects pro-
posed under this chapter. In establishing the methodology, the Secretary
shall consider the need for equitable treatment of different regions of the
183
United States and different commodities transported by rail. The establish-
ment of the methodology is committed to the discretion of the Secretary.
(c) CONDITIONS.—(1) Assistance for a project shall be provided under
this chapter only if—
(A) a rail carrier certifies that the rail line related to the project car-
ried more than 20 carloads a mile during the most recent year during
which transportation was provided by the carrier on the line; and
(B) the ratio of benefits to costs for the project, as calculated using
the methodology established under subsection (b) of this section, is
more than 1.0.
(2) If the rail carrier that provided the transportation on the rail line is
no longer in existence, the applicant for the project shall provide the infor-
mation required by the certification under paragraph (1)(A) of this sub-
section in the way the Secretary prescribes.
(3) The Secretary may waive the requirement of paragraph (1)(A) or (2)
of this subsection if the Secretary—
(A) decides that the rail line has contractual guarantees of at least
40 carloads a mile for each of the first 2 years of operation of the pro-
posed project; and
(B) finds that there is a reasonable expectation that the contractual
guarantees will be fulfilled.
(d) LIMITATIONS ON AMOUNTS.—A State may not receive more than 15
percent of the amounts provided in a fiscal year under this chapter. Not
more than 20 percent of the amounts available under this chapter may be
provided in a fiscal year for any one project.
§ 22102. Eligibility
A State is eligible to receive financial assistance under this chapter only
when the State complies with regulations the Secretary of Transportation
prescribes under this chapter and the Secretary decides that—
(1) the State has an adequate plan for rail transportation in the
State and a suitable process for updating, revising, and modifying the
plan;
(2) the State plan is administered or coordinated by a designated
State authority and provides for a fair distribution of resources;
(3) the State authority—
(A) is authorized to develop, promote, supervise, and support
safe, adequate, and efficient rail transportation;
(B) employs or will employ sufficient qualified and trained per-
sonnel;
184
(C) maintains or will maintain adequate programs of investiga-
tion, research, promotion, and development with opportunity for
public participation; and
(D) is designated and directed to take all practicable steps (by
itself or with other State authorities) to improve rail transpor-
tation safety and reduce energy use and pollution related to trans-
portation; and
(4) the State has ensured that it maintains or will maintain adequate
procedures for financial control, accounting, and performance evalua-
tion for the proper use of assistance provided by the United States
Government.
§ 22103. Applications
(a) FILING.—A State must file an application with the Secretary of
Transportation for financial assistance for a project described under section
22101(a) of this title not later than January 1 of the fiscal year for which
amounts have been appropriated. However, for a fiscal year for which the
authorization of appropriations for assistance under this chapter has not
been enacted by the first day of the fiscal year, the State must file the ap-
plication not later than 90 days after the date of enactment of a law author-
izing the appropriations for that fiscal year. The Secretary shall prescribe
the form of the application.
(b) CONSIDERATIONS.—In considering an application under this sub-
section, the Secretary shall consider the following:
(1) the percentage of rail lines that rail carriers have identified to
the Interstate Commerce Commission for abandonment or potential
abandonment in the State.
(2) the likelihood of future abandonments in the State.
(3) the ratio of benefits to costs for a proposed project calculated
using the methodology established under section 22101(b) of this title.
(4) the likelihood that the rail line will continue operating with as-
sistance.
(5) the impact of rail bankruptcies, rail restructuring, and rail merg-
ers on the State.
§ 22104. State rail plan financing
(a) ENTITLEMENT AND USES.—On the first day of each fiscal year, each
State is entitled to $36,000 of the amounts made available under section
22108 of this title during that fiscal year to be used—
(1) to establish, update, revise, and modify the State plan required
by section 22102 of this title; or
185
(2) to carry out projects described in section 22101(a)(1), (2), or (3)
of this title, as designated by the State, if those projects meet the re-
quirements of section 22101(c)(1)(B) of this title.
(b) APPLICATIONS.—Each State must apply for amounts under this sec-
tion not later than the first day of the fiscal year for which the amounts
are available. However, for any fiscal year for which the authorization of
appropriations for financial assistance under this chapter has not been en-
acted by the first day of the fiscal year, the State must apply for amounts
under this section not later than 60 days after the date of enactment of
a law authorizing the appropriations for that fiscal year. Not later than 60
days after receiving an application, the Secretary of Transportation shall
consider the application and notify the State of the approval or disapproval
of the application.
(c) AVAILABILITY OF AMOUNTS.—Amounts provided under this section
remain available to a State for obligation for the first 3 months after the
end of the fiscal year for which the amounts were made available. Amounts
not applied for under this section or that remain unobligated after the first
3 months after the end of the fiscal year for which the amounts were made
available are available to the Secretary for projects meeting the require-
ments of this chapter.
§ 22105. Sharing project costs
(a) GENERAL.—(1) The United States Government’s share of the costs
of financial assistance for a project under this chapter is 50 percent, except
that for assistance provided under section 22101(a)(2) of this title, the Gov-
ernment’s share is 70 percent. The State may pay its share of the costs
in cash or through the following benefits, to the extent that the benefits oth-
erwise would not be provided:
(A) forgiveness of taxes imposed on a rail carrier or its property.
(B) real and tangible personal property (provided by the State or a
person for the State) necessary for the safe and efficient operation of
rail freight transportation.
(C) track rights secured by the State for a rail carrier.
(D) the cash equivalent of State salaries for State employees working
on the State project, except overhead and general administrative costs.
(2) A State may pay more than its required percentage share of the costs
of a project under this chapter. When a State, or a person acting for a
State, pays more than the State share of the costs of its projects during
a fiscal year, the excess amount shall be applied to the State share for the
costs of the State projects for later fiscal years.
186
(b) AGREEMENTS TO COMBINE AMOUNTS.—States may agree to combine
any part of the amounts made available under this chapter to carry out a
project that is eligible for assistance under this chapter when—
(1) the project will benefit each State making the agreement; and
(2) the agreement is not a violation of State law.
§ 22106. Limitations on financial assistance
(a) GRANTS
AND LOANS.—A State shall use financial assistance for
projects under this chapter to make a grant or lend money to the owner
of rail property, or a rail carrier providing rail transportation, related to a
project being assisted. The State shall decide on the financial terms of the
grant or loan, except that the time for making grant advances shall comply
with regulations of the Secretary of the Treasury.
(b) HOLDING AND USE OF GOVERNMENT’S SHARE.—The State shall
place the United States Government’s share of money that is repaid in an
interest-bearing account. However, the Secretary of Transportation may
allow a borrower to place that money, for the benefit of the State, in a bank
designated by the Secretary of the Treasury under section 10 of the Act
of June 11, 1942 (12 U.S.C. 265). The State shall use the money and accu-
mulated interest to make other grants and loans under this chapter.
(c) PAYMENT OF UNUSED MONEY AND ACCUMULATED INTEREST.—The
State may pay the Secretary of Transportation the Government’s share of
unused money and accumulated interest at any time. However, the State
must pay the unused money and accumulated interest to the Secretary when
the State ends its participation under this chapter.
(d) ENCOURAGING PARTICIPATION.—To the maximum extent possible,
the State shall encourage the participation of shippers, rail carriers, and
local communities in paying the State share of assistance costs.
(e) RETENTION OF CONTINGENT INTEREST.—Each State shall retain a
contingent interest (redeemable preference shares) for the Government’s
share of amounts in a rail line receiving assistance under this chapter. The
State may collect its share of the amounts used for the rail line if—
(1) an application for abandonment of the rail line is filed under
chapter 109 of this title; or
(2) the rail line is sold or disposed of after it has received assistance
under this chapter.
§ 22107. Records, audits, and information
(a) RECORDS.—Each recipient of financial assistance through an arrange-
ment under this chapter shall keep records required by the Secretary of
Transportation. The records shall be kept for 3 years after a project is com-
pleted and shall disclose—
(1) the amount of, and disposition by the recipient, of the assistance;
187
(2) the total costs of the project for which the assistance was given
or used;
(3) the amount of that part of the costs of the project paid by other
sources; and
(4) any other records that will make an effective audit easier.
(b) AUDITS.—The Secretary and the Comptroller General shall make reg-
ular financial and performance audits, as provided under chapter 75 of title
31, of activities and transactions assisted under this chapter.
(c) INFORMATION.—The Interstate Commerce Commission shall provide
the Secretary with information the Secretary requests to assist in carrying
out this chapter. The Commission shall provide the information not later
than 30 days after receiving a request from the Secretary.
(d) LIST OF RAIL LINES.—Not later than August 1 of each year, each
rail carrier subject to subchapter I of chapter 105 of this title shall submit
to the Secretary a list of the rail lines of the carrier that carried not more
than 5,000,000 gross ton-miles of freight a mile in the prior year.
§ 22108. Authorization of appropriations
(a) GENERAL.—(1) Not more than the following amounts may be appro-
priated to the Secretary of Transportation to carry out this chapter:
(A) $25,000,000 for the fiscal year ending September 30, 1993.
(B) $30,000,000 for the fiscal year ending September 30, 1994.
(2) Amounts appropriated under paragraph (1) of this subsection remain
available until expended.
(3) No amount may be appropriated to the Secretary for any period after
September 30, 1994, to carry out this chapter.
(b) DISTRIBUTION OF AMOUNTS.—The Secretary shall establish proce-
dures necessary to ensure that amounts available to the Secretary for
projects under this chapter are distributed not later than April 1 of the fis-
cal year for which the amounts are appropriated. If any amounts are not
distributed by April 1, the Secretary shall report to the Committee on En-
ergy and Commerce of the House of Representatives and the Committee on
Commerce, Science, and Transportation of the Senate on the status of those
amounts and the reasons for the delay in distribution.
(c) AVAILABILITY OF OTHER AMOUNTS.—Amounts appropriated to carry
out section 5(i) of the Department of Transportation Act for fiscal year
1990 that are not applied for or that remain unobligated on January 1,
1991, are available to the Secretary for projects under this chapter.
PART C—PASSENGER TRANSPORTATION
CHAPTER 241—GENERAL
Sec.
24101.
Findings, purpose, and goals.
24102.
Definitions.
188
24103.
Enforcement.
24104.
Authorization of appropriations.
§ 24101. Findings, purpose, and goals
(a) FINDINGS.—(1) Public convenience and necessity require that Am-
trak, to the extent its budget allows, provide modern, cost-efficient, and en-
ergy-efficient intercity rail passenger transportation between crowded urban
areas and in other areas of the United States.
(2) Rail passenger transportation can help alleviate overcrowding of air-
ways and airports and on highways.
(3) A traveler in the United States should have the greatest possible
choice of transportation most convenient to the needs of the traveler.
(4) A greater degree of cooperation is necessary among Amtrak, other rail
carriers, State, regional, and local governments, the private sector, labor or-
ganizations, and suppliers of services and equipment to Amtrak to achieve
a performance level sufficient to justify expending public money.
(5) Modern and efficient commuter rail passenger transportation is im-
portant to the viability and well-being of major urban areas and to the en-
ergy conservation and self-sufficiency goals of the United States.
(6) As a rail passenger transportation entity, Amtrak should be available
to operate commuter rail passenger transportation through its subsidiary,
Amtrak Commuter, under contract with commuter authorities that do not
provide the transportation themselves as part of the governmental function
of the State.
(7) The Northeast Corridor is a valuable resource of the United States
used by intercity and commuter rail passenger transportation and freight
transportation.
(8) Greater coordination between intercity and commuter rail passenger
transportation is required.
(b) PURPOSE.—By using innovative operating and marketing concepts,
Amtrak shall provide intercity and commuter rail passenger transportation
that completely develops the potential of modern rail transportation to meet
the intercity and commuter passenger transportation needs of the United
States.
(c) GOALS.—Amtrak shall—
(1) use its best business judgment in acting to minimize United
States Government subsidies, including—
(A) increasing fares;
(B) increasing revenue from the transportation of mail and ex-
press;
(C) reducing losses on food service;
(D) improving its contracts with operating rail carriers;
(E) reducing management costs; and
189
(F) increasing employee productivity;
(2) minimize Government subsidies by encouraging State, regional,
and local governments and the private sector to share the cost of pro-
viding rail passenger transportation, including the cost of operating fa-
cilities;
(3) carry out strategies to achieve immediately maximum productiv-
ity and efficiency consistent with safe and efficient transportation;
(4) operate Amtrak trains, to the maximum extent feasible, to all
station stops within 15 minutes of the time established in public time-
tables;
(5) develop transportation on rail corridors subsidized by States and
private parties;
(6) implement schedules based on a systemwide average speed of at
least 60 miles an hour that can be achieved with a degree of reliability
and passenger comfort;
(7) encourage rail carriers to assist in improving intercity rail pas-
senger transportation;
(8) improve generally the performance of Amtrak through com-
prehensive and systematic operational programs and employee incen-
tives;
(9) carry out policies that ensure equitable access to the Northeast
Corridor by intercity and commuter rail passenger transportation;
(10) coordinate the uses of the Northeast Corridor, particularly
intercity and commuter rail passenger transportation; and
(11) maximize the use of its resources, including the most cost-effec-
tive use of employees, facilities, and real property.
(d) MINIMIZING GOVERNMENT SUBSIDIES.—To carry out subsection
(c)(11) of this section, Amtrak is encouraged to make agreements with the
private sector and undertake initiatives that are consistent with good busi-
ness judgment and designed to maximize its revenues and minimize Govern-
ment subsidies.
§ 24102. Definitions
In this part—
(1) ‘‘auto-ferry transportation’’ means intercity rail passenger trans-
portation—
(A) of automobiles or recreational vehicles and their occupants;
and
(B) when space is available, of used unoccupied vehicles.
(2) ‘‘avoidable loss’’ means the avoidable costs of providing rail pas-
senger transportation, less revenue attributable to the transportation,
190
as determined by the Interstate Commerce Commission under section
553 of title 5.
(3) ‘‘basic system’’ means the system of intercity rail passenger
transportation designated by the Secretary of Transportation under
section 4 of the Amtrak Improvement Act of 1978 and approved by
Congress, and transportation required to be provided under section
24705(a) of this title and section 4(g) of the Act, including changes
in the system or transportation that Amtrak makes using the route and
service criteria.
(4) ‘‘commuter authority’’ means a State, local, or regional entity es-
tablished to provide, or make a contract providing for, commuter rail
passenger transportation.
(5) ‘‘commuter rail passenger transportation’’ means short-haul rail
passenger transportation in metropolitan and suburban areas usually
having reduced fare, multiple-ride, and commuter tickets and morning
and evening peak period operations.
(6) ‘‘intercity rail passenger transportation’’ means rail passenger
transportation, except commuter rail passenger transportation.
(7) ‘‘Northeast Corridor’’ means Connecticut, Delaware, the District
of Columbia, Maryland, Massachusetts, New Jersey, New York, Penn-
sylvania, and Rhode Island.
(8) ‘‘rail carrier’’ means a person providing rail transportation for
compensation.
(9) ‘‘rate’’ means a rate, fare, or charge for rail transportation.
(10) ‘‘regional transportation authority’’ means an entity established
to provide passenger transportation in a region.
(11) ‘‘route and service criteria’’ means the criteria and procedures
for making route and service decisions established under section
404(c)(1)-(3)(A) of the Rail Passenger Service Act.
§ 24103. Enforcement
(a) GENERAL.—(1) Except as provided in paragraph (2) of this sub-
section, only the Attorney General may bring a civil action for equitable re-
lief in a district court of the United States when Amtrak or a rail carrier—
(A) engages in or adheres to an action, practice, or policy inconsist-
ent with this part;
(B) obstructs or interferes with an activity authorized under this
part;
(C) refuses, fails, or neglects to discharge its duties and responsibil-
ities under this part; or
(D) threatens—
191
(i) to engage in or adhere to an action, practice, or policy incon-
sistent with this part;
(ii) to obstruct or interfere with an activity authorized by this
part; or
(iii) to refuse, fail, or neglect to discharge its duties and respon-
sibilities under this part.
(2) An employee affected by any conduct or threat referred to in para-
graph (1) of this subsection, or an authorized employee representative, may
bring the civil action if the conduct or threat involves a labor agreement.
(b) REVIEW OF DISCONTINUANCE OR REDUCTION.—A discontinuance of
a route, a train, or transportation, or a reduction in the frequency of trans-
portation, by Amtrak is reviewable only in a civil action for equitable relief
brought by the Attorney General.
(c) VENUE.—Except as otherwise prohibited by law, a civil action under
this section may be brought in the judicial district in which Amtrak or the
rail carrier resides or is found.
§ 24104. Authorization of appropriations
(a) CAPITAL ACQUISITION
AND CORRIDOR DEVELOPMENT.—(1) Not
more than $250,000,000 may be appropriated to the Secretary of Transpor-
tation for each of the fiscal years ending September 30, 1993, and Septem-
ber 30, 1994, for the benefit of Amtrak to make capital expenditures under
chapters 243–247 of this title.
(2) In addition to amounts that may be appropriated under section 24909
of this title, not more than the following amounts may be appropriated to
the Secretary for the benefit of Amtrak to make capital expenditures under
chapter 249 of this title:
(A) $220,000,000 for the fiscal year ending September 30, 1993.
(B) $250,000,000 for the fiscal year ending September 30, 1994.
(3)(A) Not more than 15 percent of each of the amounts appropriated
under paragraphs (1) and (2) of this subsection is available for transpor-
tation described in subparagraphs (B) and (C) of this paragraph.
(B) Amounts made available under subparagraph (A) of this paragraph
shall be used to develop new intercity rail passenger transportation on cor-
ridors between cities undergoing significant population growth and in which
the transportation reasonably can be expected to provide travel times com-
parable with other surface transportation modes. An amount may be ex-
pended for the transportation only if a State requests the transportation
and the State and Amtrak agree that—
(i) Amtrak will pay at least 90 percent of the cost of acquiring roll-
ing stock for the transportation; and
192
(ii) the State will pay at least 90 percent of the cost of improving
the right of way, including track structure, signal systems, passenger
station facilities, highway and pedestrian grade crossings, and other
safety equipment and facilities.
(C) Amounts made available under subparagraph (A) of this paragraph
shall be used to begin new long distance intercity rail passenger transpor-
tation. An amount may be expended for the transportation only if a State
requests the transportation and the State and Amtrak agree that—
(i) Amtrak will pay at least 75 percent of the cost of acquiring roll-
ing stock for the transportation; and
(ii) the State will pay at least 90 percent of the cost of improving
the right of way, including track structure, signal systems, passenger
station facilities, highway and pedestrian grade crossings, and other
safety equipment and facilities.
(D) Section 24704 of this title applies to the operating expenses of trans-
portation described in subparagraphs (B) and (C) of this paragraph.
(b) OPERATING EXPENSES.—(1) Not more than $381,000,000 may be
appropriated to the Secretary for each of the fiscal years ending September
30, 1993, and September 30, 1994, for the benefit of Amtrak for operating
expenses. Not more than 5 percent of the amounts appropriated for each
fiscal year shall be used to pay operating expenses under section 24704 of
this title for transportation in operation on September 30, 1992.
(2)(A) Not more than the following amounts may be appropriated to the
Secretary for the benefit of Amtrak for operating losses under section
24704 of this title for transportation beginning after September 30, 1992:
(i) $7,500,000 for the fiscal year ending September 30, 1993.
(ii) $9,500,000 for the fiscal year ending September 30, 1994.
(B) The expenditure by Amtrak of an amount appropriated under sub-
paragraph (A) of this paragraph is deemed not to be an operating expense
when calculating the revenue-to-operating expense ratio of Amtrak.
(c) MANDATORY PAYMENTS.—(1) Not more than $150,000,000 for the
fiscal year ending September 30, 1993, and amounts that may be necessary
for the fiscal year ending September 30, 1994, may be appropriated to the
Secretary to pay—
(A) tax liabilities under section 3221 of the Internal Revenue Code
of 1986 (26 U.S.C. 3221) due in those fiscal years that are more than
the amount needed for benefits for individuals who retire from Amtrak
and for their beneficiaries;
(B) obligations of Amtrak under section 8(a) of the Railroad Unem-
ployment Insurance Act (45 U.S.C. 358(a)) due in those fiscal years
193
that are more than obligations of Amtrak calculated on an experience-
related basis; and
(C) obligations of Amtrak due under section 3321 of the Code (26
U.S.C. 3321).
(2) Amounts appropriated under this subsection are not a United States
Government subsidy of Amtrak.
(d) PAYMENT TO AMTRAK.—Amounts appropriated under this section
shall be paid to Amtrak under the budget request of the Secretary as ap-
proved or modified by Congress when the amounts are appropriated. A pay-
ment may not be made more frequently than once every 90 days, unless
Amtrak, for good cause, requests more frequent payment before a 90-day
period ends. In each fiscal year in which amounts are authorized to be ap-
propriated under this section, amounts appropriated shall be paid to Amtrak
as follows:
(1) 50 percent on October 1.
(2) 25 percent on January 1.
(3) 25 percent on April 1.
(e) AVAILABILITY
OF AMOUNTS
AND EARLY APPROPRIATIONS.—(1)
Amounts appropriated under this section remain available until expended.
(2) Amounts for capital acquisitions and improvements may be appro-
priated in a fiscal year before the fiscal year in which the amounts will be
obligated.
(f) LIMITATIONS ON USE.—Amounts appropriated under this section may
not be used to subsidize operating losses of commuter rail passenger or rail
freight transportation.
CHAPTER 243—AMTRAK
Sec.
24301.
Status and applicable laws.
24302.
Board of directors.
24303.
Officers.
24304.
Capitalization.
24305.
General authority.
24306.
Mail, express, and auto-ferry transportation.
24307.
Special transportation.
24308.
Use of facilities and providing services to Amtrak.
24309.
Retaining and maintaining facilities.
24310.
Assistance for upgrading facilities.
24311.
Acquiring interests in property by eminent domain.
24312.
Labor standards.
24313.
Rail safety system program.
24314.
Demonstration of new technology.
24315.
Reports and audits.
§ 24301. Status and applicable laws
(a) STATUS.—Amtrak—
(1) is a rail carrier under section 10102 of this title;
(2) shall be operated and managed as a for-profit corporation; and
194
(3) is not a department, agency, or instrumentality of the United
States Government.
(b) PRINCIPAL OFFICE AND PLACE OF BUSINESS.—The principal office
and place of business of Amtrak are in the District of Columbia. Amtrak
is qualified to do business in each State in which Amtrak carries out an
activity authorized under this part. Amtrak shall accept service of process
by certified mail addressed to the secretary of Amtrak at its principal office
and place of business. Amtrak is a citizen only of the District of Columbia
when deciding original jurisdiction of the district courts of the United States
in a civil action.
(c) APPLICATION OF SUBTITLE IV.—(1) Subtitle IV of this title applies
to Amtrak, except for provisions related to the—
(A) regulation of rates;
(B) abandonment or extension of rail lines used only for passenger
transportation and the abandonment or extension of operations over
those lines;
(C) regulation of routes and service;
(D) discontinuance or change of rail passenger transportation oper-
ations; and
(E) issuance of securities or the assumption of an obligation or li-
ability related to the securities of others.
(2) Notwithstanding this subsection—
(A) sections 10721–10724 of this title apply to Amtrak; and
(B) on application of an adversely affected motor carrier, the Inter-
state Commerce Commission under any provision of subtitle IV of this
title applicable to a carrier subject to subchapter I of chapter 105 of
this title may hear a complaint about an unfair or predatory rate or
marketing practice of Amtrak for a route or service operating at a loss.
(d) APPLICATION OF SAFETY AND EMPLOYEE RELATIONS LAWS AND
REGULATIONS.—Laws and regulations governing safety, employee represen-
tation for collective bargaining purposes, the handling of disputes between
carriers and employees, employee retirement, annuity, and unemployment
systems, and other dealings with employees that apply to a common carrier
subject to subchapter I of chapter 105 of this title apply to Amtrak.
(e) APPLICATION OF CERTAIN ADDITIONAL LAWS.—Section 552 of title
5, this part, and, to the extent consistent with this part, the District of Co-
lumbia Business Corporation Act (D.C. Code § 29–301 et seq.) apply to
Amtrak.
(f) LAWS GOVERNING LEASES AND CONTRACTS.—The laws of the Dis-
trict of Columbia govern leases and contracts of Amtrak, regardless of
where they are executed.
195
(g) NONAPPLICATION OF RATE, ROUTE, AND SERVICE LAWS.—A State
or other law related to rates, routes, or service does not apply to Amtrak
in connection with rail passenger transportation.
(h) NONAPPLICATION OF PAY PERIOD LAWS.—A State or local law relat-
ed to pay periods or days for payment of employees does not apply to Am-
trak. Except when otherwise provided under a collective bargaining agree-
ment, an employee of Amtrak shall be paid at least as frequently as the
employee was paid on October 1, 1979.
(i) PREEMPTION RELATED TO EMPLOYEE WORK REQUIREMENTS.—A
State may not adopt or continue in force a law, rule, regulation, order, or
standard requiring Amtrak to employ a specified number of individuals to
perform a particular task, function, or operation.
(j) NONAPPLICATION OF LAWS ON JOINT USE OR OPERATION OF FACILI-
TIES AND EQUIPMENT.—Prohibitions of law applicable to an agreement for
the joint use or operation of facilities and equipment necessary to provide
quick and efficient rail passenger transportation do not apply to a person
making an agreement with Amtrak to the extent necessary to allow the per-
son to make and carry out obligations under the agreement.
(k) EXEMPTION FROM ADDITIONAL TAXES.—(1) In this subsection—
(A) ‘‘additional tax’’ means a tax or fee—
(i) on the acquisition, improvement, ownership, or operation of
personal property by Amtrak; and
(ii) on real property, except a tax or fee on the acquisition of
real property or on the value of real property not attributable to
improvements made, or the operation of those improvements, by
Amtrak.
(B) ‘‘Amtrak’’ includes a rail carrier subsidiary of Amtrak and a les-
sor or lessee of Amtrak or one of its rail carrier subsidiaries.
(2) Amtrak is not required to pay an additional tax because of an expend-
iture to acquire or improve real property, equipment, a facility, or right-of-
way material or structures used in providing rail passenger transportation,
even if that use is indirect.
(l) EXEMPTION FROM TAXES LEVIED AFTER SEPTEMBER 30, 1981.—
(1) Amtrak or a rail carrier subsidiary of Amtrak is exempt from a tax or
fee imposed by a State, a political subdivision of a State, or a local taxing
authority and levied on it after September 30, 1981. However, Amtrak is
not exempt under this subsection from a tax or fee that it was required to
pay as of September 10, 1982.
(2) The district courts of the United States have original jurisdiction over
a civil action Amtrak brings to enforce this subsection and may grant equi-
table or declaratory relief requested by Amtrak.
196
(m) WASTE DISPOSAL.—(1) An intercity rail passenger car manufactured
after October 14, 1990, shall be built to provide for the discharge of human
waste only at a servicing facility. Amtrak shall retrofit each of its intercity
rail passenger cars that was manufactured after May 1, 1971, and before
October 15, 1990, with a human waste disposal system that provides for
the discharge of human waste only at a servicing facility. Subject to appro-
priations—
(A) the retrofit program shall be completed not later than October
15, 1996; and
(B) a car that does not provide for the discharge of human waste
only at a servicing facility shall be removed from service after that
date.
(2) Section 361 of the Public Health Service Act (42 U.S.C. 264) and
other laws of the United States, States, and local governments do not apply
to waste disposal from rail carrier vehicles operated in intercity rail pas-
senger transportation. The district courts of the United States have original
jurisdiction over a civil action Amtrak brings to enforce this paragraph and
may grant equitable or declaratory relief requested by Amtrak.
(n) RAIL TRANSPORTATION TREATED EQUALLY.—When authorizing
transportation in the continental United States for an officer, employee, or
member of the uniformed services of a department, agency, or instrumental-
ity of the Government, the head of that department, agency, or instrumen-
tality shall consider rail transportation (including transportation by extra-
fare trains) the same as transportation by another authorized mode. The
Administrator of General Services shall include Amtrak in the contract air
program of the Administrator in markets in which transportation provided
by Amtrak is competitive with other carriers on fares and total trip times.
§ 24302. Board of directors
(a) COMPOSITION AND TERMS.—(1) The board of directors of Amtrak is
composed of the following 9 directors, each of whom must be a citizen of
the United States:
(A) the Secretary of Transportation.
(B) the President of Amtrak.
(C) 3 individuals appointed by the President of the United States,
by and with the advice and consent of the Senate, as follows:
(i) one individual selected from a list of 3 qualified individuals
submitted by the Railway Labor Executives Association.
(ii) one chief executive officer of a State selected from among
the chief executive officers of States with an interest in rail trans-
portation. The chief executive officer may select an individual to
act as the officer’s representative at board meetings.
197
(iii) one individual selected as a representative of business with
an interest in rail transportation.
(D) 2 individuals selected by the President of the United States from
a list of names consisting of one individual nominated by each com-
muter authority for which Amtrak Commuter provides commuter rail
passenger transportation under section 24505 of this title and one indi-
vidual nominated by each commuter authority in the region (as defined
in section 102 of the Regional Rail Reorganization Act of 1973 (45
U.S.C. 702)) that provides its own commuter rail passenger transpor-
tation or makes a contract with an operator (except Amtrak Com-
muter), except that—
(i) one of the individuals selected must have been nominated by
a commuter authority for which Amtrak Commuter provides com-
muter rail transportation; or
(ii) if Amtrak Commuter does not provide commuter rail pas-
senger transportation for any authority, the 2 individuals shall be
selected from a list of 5 individuals submitted by commuter au-
thorities providing transportation over rail property of Amtrak.
(E) 2 individuals selected by the holders of the preferred stock of
Amtrak.
(2) An individual appointed under paragraph (1)(C) of this subsection
serves for 4 years or until the individual’s successor is appointed and quali-
fied. Not more than 2 individuals appointed under paragraph (1)(C) may
be members of the same political party.
(3) An individual selected under paragraph (1)(D) of this subsection
serves for 2 years or until the individual’s successor is selected.
(4) An individual selected under paragraph (1)(E) of this subsection
serves for one year or until the individual’s successor is selected.
(5) The President of Amtrak serves as Chairman of the board.
(6) The Secretary may be represented at a meeting of the board only by
the Deputy Secretary of Transportation, the Administrator of the Federal
Railroad Administration, or the General Counsel of the Department of
Transportation.
(b) CUMULATIVE VOTING.—The articles of incorporation of Amtrak shall
provide for cumulative voting for all stockholders.
(c) CONFLICTS OF INTEREST.—When serving on the board, a director ap-
pointed by the President of the United States may not have—
(1) a financial or employment relationship with a rail carrier; and
(2) a significant financial relationship or an employment relationship
with a person competing with Amtrak in providing passenger transpor-
tation.
198
(d) PAY AND EXPENSES.—Each director not employed by the United
States Government is entitled to $300 a day when performing board duties
and powers. Each director is entitled to reimbursement for necessary travel,
reasonable secretarial and professional staff support, and subsistence ex-
penses incurred in attending board meetings.
(e) VACANCIES.—A vacancy on the board is filled in the same way as the
original selection, except that an individual appointed by the President of
the United States under subsection (a)(1)(C) of this section to fill a vacancy
occurring before the end of the term for which the predecessor of that indi-
vidual was appointed is appointed for the remainder of that term. A vacancy
required to be filled by appointment under subsection (a)(1)(C) must be
filled not later than 120 days after the vacancy occurs.
(f) BYLAWS.—The board may adopt and amend bylaws governing the op-
eration of Amtrak. The bylaws shall be consistent with this part and the
articles of incorporation.
§ 24303. Officers
(a) APPOINTMENT AND TERMS.—Amtrak has a President and other offi-
cers that are named and appointed by the board of directors of Amtrak.
An officer of Amtrak must be a citizen of the United States. Officers of
Amtrak serve at the pleasure of the board.
(b) PAY.—The board may fix the pay of the officers of Amtrak. An offi-
cer may not be paid more than the general level of pay for officers of rail
carriers with comparable responsibility.
(c) CONFLICTS OF INTEREST.—When employed by Amtrak, an officer
may not have a financial or employment relationship with another rail car-
rier, except that holding securities issued by a rail carrier is not deemed
to be a violation of this subsection if the officer holding the securities makes
a complete public disclosure of the holdings and does not participate in any
decision directly affecting the rail carrier.
§ 24304. Capitalization
(a) STOCK.—Amtrak may have outstanding one issue of common stock
and one issue of preferred stock. Each type of stock is eligible for a divi-
dend. The articles of incorporation of Amtrak shall provide that—
(1) each type of stock must be fully paid and nonassessable;
(2) common stock has a par value of $10 a share; and
(3) preferred stock has a par value of $100 a share.
(b) LIMITATIONS ON OWNERSHIP AND VOTING.—(1) A rail carrier or
person controlling a rail carrier—
(A) may not hold preferred stock of Amtrak; and
(B) may vote not more than one-third of the total number of shares
of outstanding common stock of Amtrak.
199
(2) Additional common stock owned by a rail carrier or person controlling
a rail carrier is deemed to be not outstanding for voting and quorum pur-
poses.
(c) PREFERRED STOCK DIVIDENDS AND LIQUIDATION PREFERENCES.—
The articles of incorporation of Amtrak shall provide that—
(1) its preferred stock has a cumulative dividend of at least 6 per-
cent a year;
(2) if a dividend on the preferred stock is not declared and paid or
set aside for payment, the deficiency shall be declared and paid or set
aside for payment before a dividend or other distribution is made on
its common stock;
(3) the preferred stock has a liquidation preference over the common
stock entitling holders of preferred stock to receive a liquidation pay-
ment of at least par value plus all accrued unpaid dividends before a
liquidation payment is made to holders of common stock; and
(4) the preferred stock may be converted to common stock.
(d) ISSUANCE OF PREFERRED STOCK TO SECRETARY.—(1) Not later
than 30 days after the close of each fiscal quarter, Amtrak shall issue to
the Secretary of Transportation preferred stock equal, to the nearest whole
share, to the amount paid to Amtrak under section 24104(d) of this title
during the quarter.
(2) Preferred stock issued under this subsection or section 304(c)(1) of
the Rail Passenger Service Act is deemed to be issued on the date Amtrak
receives the amounts for which the stock is issued.
(3) An amendment to the articles of incorporation of Amtrak is not re-
quired for issuing preferred stock under this subsection.
(e) TAXES AND FEES ON PREFERRED STOCK.—A tax or fee applies to
preferred stock issued under this section only if specifically prescribed by
Congress.
(f) NONVOTING CERTIFICATES OF INDEBTEDNESS.—Amtrak may issue
nonvoting certificates of indebtedness, except that an obligation with a liq-
uidation interest superior to preferred stock issued to the Secretary or se-
cured by a lien on property of Amtrak may be incurred when preferred
stock issued to the Secretary is outstanding only if the Secretary consents.
(g) INSPECTION RIGHTS.—Stockholders of Amtrak have the rights of in-
specting and copying set forth in section 45(b) of the District of Columbia
Business Corporation Act (D.C. Code § 29–345(b)) regardless of the
amount of stock they hold.
§ 24305. General authority
(a) ACQUISITION AND OPERATION OF EQUIPMENT AND FACILITIES.—(1)
Amtrak may acquire, operate, maintain, and make contracts for the oper-
200
ation and maintenance of equipment and facilities necessary for intercity
and commuter rail passenger transportation, the transportation of mail and
express, and auto-ferry transportation.
(2) Amtrak shall operate and control directly, to the extent practicable,
all aspects of the rail passenger transportation it provides.
(b) MAINTENANCE AND REHABILITATION.—Amtrak may maintain and
rehabilitate rail passenger equipment and shall maintain a regional mainte-
nance plan that includes—
(1) a review panel at the principal office of Amtrak consisting of
members the President of Amtrak designates;
(2) a systemwide inventory of spare equipment parts in each oper-
ational region;
(3) enough maintenance employees for cars and locomotives in each
region;
(4) a systematic preventive maintenance program;
(5) periodic evaluations of maintenance costs, time lags, and parts
shortages and corrective actions; and
(6) other elements or activities Amtrak considers appropriate.
(c) MISCELLANEOUS AUTHORITY.—Amtrak may—
(1) make and carry out appropriate agreements;
(2) transport mail and express and shall use all feasible methods to
obtain the bulk mail business of the United States Postal Service;
(3) improve its reservation system and advertising;
(4) provide food and beverage services on its trains only if revenues
from the services each year at least equal the cost of providing the
services;
(5) conduct research, development, and demonstration programs re-
lated to the mission of Amtrak; and
(6) buy or lease rail rolling stock and develop and demonstrate im-
proved rolling stock.
(d) THROUGH ROUTES AND JOINT FARES.—(1) Establishing through
routes and joint fares between Amtrak and other intercity rail passenger
carriers and motor carriers of passengers is consistent with the public inter-
est and the transportation policy of the United States. Congress encourages
establishing those routes and fares.
(2) Amtrak may establish through routes and joint fares with any domes-
tic or international motor carrier, air carrier, or water carrier.
(e) RAIL POLICE.—Amtrak may employ rail police to provide security for
rail passengers and property of Amtrak. Rail police employed by Amtrak
who have complied with a State law establishing requirements applicable to
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rail police or individuals employed in a similar position may be employed
without regard to the law of another State containing those requirements.
(f) DOMESTIC BUYING PREFERENCES.—(1) In this subsection, ‘‘United
States’’ means the States, territories, and possessions of the United States
and the District of Columbia.
(2) Amtrak shall buy only—
(A) unmanufactured articles, material, and supplies mined or pro-
duced in the United States; or
(B) manufactured articles, material, and supplies manufactured in
the United States substantially from articles, material, and supplies
mined, produced, or manufactured in the United States.
(3) Paragraph (2) of this subsection applies only when the cost of those
articles, material, or supplies bought is at least $1,000,000.
(4) On application of Amtrak, the Secretary of Transportation may ex-
empt Amtrak from this subsection if the Secretary decides that—
(A) for particular articles, material, or supplies—
(i) the requirements of paragraph (2) of this subsection are in-
consistent with the public interest;
(ii) the cost of imposing those requirements is unreasonable; or
(iii) the articles, material, or supplies, or the articles, material,
or supplies from which they are manufactured, are not mined, pro-
duced, or manufactured in the United States in sufficient and rea-
sonably available commercial quantities and are not of a satisfac-
tory quality; or
(B) rolling stock or power train equipment cannot be bought and de-
livered in the United States within a reasonable time.
§ 24306. Mail, express, and auto-ferry transportation
(a) ACTIONS TO INCREASE REVENUES.—Amtrak shall take necessary ac-
tion to increase its revenues from the transportation of mail and express.
To increase its revenues, Amtrak may provide auto-ferry transportation as
part of the basic passenger transportation authorized by this part. When
requested by Amtrak, a department, agency, or instrumentality of the Unit-
ed States Government shall assist in carrying out this section.
(b) AUTHORITY
OF OTHERS TO PROVIDE AUTO-FERRY TRANSPOR-
TATION.—(1) A person primarily providing auto-ferry transportation and
any other person not a rail carrier may provide auto-ferry transportation
over any route under a certificate issued by the Interstate Commerce Com-
mission if the Commission finds that the auto-ferry transportation—
(A) will not impair the ability of Amtrak to reduce its losses or in-
crease its revenues; and
(B) is required to meet the public demand.
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(2) A rail carrier that has not made a contract with Amtrak to provide
rail passenger transportation may provide auto-ferry transportation over its
own rail lines.
(3) State and local laws and regulations that impair the provision of auto-
ferry transportation do not apply to Amtrak or a rail carrier providing auto-
ferry transportation. A rail carrier may not refuse to participate with Am-
trak in providing auto-ferry transportation because a State or local law or
regulation makes the transportation unlawful.
§ 24307. Special transportation
(a) REDUCED FARE PROGRAM.—Amtrak shall maintain a reduced fare
program for the following:
(1) individuals at least 65 years of age.
(2) individuals (except alcoholics and drug abusers) who—
(A) have a physical or mental impairment that substantially
limits a major life activity of the individual;
(B) have a record of an impairment; or
(C) are regarded as having an impairment.
(b) ACTIONS TO ENSURE ACCESS.—Amtrak may act to ensure access to
intercity transportation for elderly or handicapped individuals on passenger
trains operated by or for Amtrak. That action may include—
(1) acquiring special equipment;
(2) conducting special training for employees;
(3) designing and acquiring new equipment and facilities;
(4) eliminating barriers in existing equipment and facilities to com-
ply with the highest standards of design, construction, and alteration
of property to accommodate elderly and handicapped individuals; and
(5) providing special assistance to elderly and handicapped individ-
uals when getting on and off trains and in terminal areas.
(c) EMPLOYEE TRANSPORTATION.—(1) In this subsection, ‘‘rail carrier
employee’’ means—
(A) an active full-time employee of a rail carrier or terminal com-
pany and includes an employee on furlough or leave of absence;
(B) a retired employee of a rail carrier or terminal company; and
(C) a dependent of an employee referred to in clause (A) or (B) of
this paragraph.
(2) Amtrak shall ensure that a rail carrier employee eligible for free or
reduced-rate rail transportation on April 30, 1971, under an agreement in
effect on that date is eligible, to the greatest extent practicable, for free or
reduced-rate intercity rail passenger transportation provided by Amtrak
under this part, if space is available, on terms similar to those available on
that date under the agreement. However, Amtrak may apply to all rail car-
203
rier employees eligible to receive free or reduced-rate transportation under
any agreement a single systemwide schedule of terms that Amtrak decides
applied to a majority of employees on that date under all those agreements.
Unless Amtrak and a rail carrier make a different agreement, the carrier
shall reimburse Amtrak at the rate of 25 percent of the systemwide average
monthly yield of each revenue passenger-mile. The reimbursement is in
place of costs Amtrak incurs related to free or reduced-rate transportation,
including liability related to travel of a rail carrier employee eligible for free
or reduced-rate transportation.
(3) This subsection does not prohibit the Interstate Commerce Commis-
sion from ordering retroactive relief in a proceeding begun or reopened after
October 1, 1981.
§ 24308. Use of facilities and providing services to Amtrak
(a) GENERAL AUTHORITY.—(1) Amtrak may make an agreement with a
rail carrier or regional transportation authority to use facilities of, and have
services provided by, the carrier or authority under terms on which the par-
ties agree. The terms shall include a penalty for untimely performance.
(2)(A) If the parties cannot agree and if the Interstate Commerce Com-
mission finds it necessary to carry out this part, the Commission shall—
(i) order that the facilities be made available and the services pro-
vided to Amtrak; and
(ii) prescribe reasonable terms and compensation for using the facili-
ties and providing the services.
(B) When prescribing reasonable compensation under subparagraph (A)
of this paragraph, the Commission shall consider quality of service as a
major factor when determining whether, and the extent to which, the
amount of compensation shall be greater than the incremental costs of using
the facilities and providing the services.
(C) The Commission shall decide the dispute not later than 90 days after
Amtrak submits the dispute to the Commission.
(3) Amtrak’s right to use the facilities or have the services provided is
conditioned on payment of the compensation. If the compensation is not
paid promptly, the rail carrier or authority entitled to it may bring an ac-
tion against Amtrak to recover the amount owed.
(4) Amtrak shall seek immediate and appropriate legal remedies to en-
force its contract rights when track maintenance on a route over which Am-
trak operates falls below the contractual standard.
(b) OPERATING DURING EMERGENCIES.—To facilitate operation by Am-
trak during an emergency, the Commission, on application by Amtrak, shall
require a rail carrier to provide facilities immediately during the emergency.
The Commission then shall promptly prescribe reasonable terms, including
204
indemnification of the carrier by Amtrak against personal injury risk to
which the carrier may be exposed. The rail carrier shall provide the facilities
for the duration of the emergency.
(c) PREFERENCE OVER FREIGHT TRANSPORTATION.—Except in an
emergency, intercity and commuter rail passenger transportation provided
by or for Amtrak has preference over freight transportation in using a rail
line, junction, or crossing unless the Secretary of Transportation orders oth-
erwise under this subsection. A rail carrier affected by this subsection may
apply to the Secretary for relief. If the Secretary, after an opportunity for
a hearing under section 553 of title 5, decides that preference for intercity
and commuter rail passenger transportation materially will lessen the qual-
ity of freight transportation provided to shippers, the Secretary shall estab-
lish the rights of the carrier and Amtrak on reasonable terms.
(d) ACCELERATED SPEEDS.—If a rail carrier refuses to allow accelerated
speeds on trains operated by or for Amtrak, Amtrak may apply to the Sec-
retary for an order requiring the carrier to allow the accelerated speeds. The
Secretary shall decide whether accelerated speeds are unsafe or impractica-
ble and which improvements would be required to make accelerated speeds
safe and practicable. After an opportunity for a hearing, the Secretary shall
establish the maximum allowable speeds of Amtrak trains on terms the Sec-
retary decides are reasonable.
(e) ADDITIONAL TRAINS.—(1) When a rail carrier does not agree to pro-
vide, or allow Amtrak to provide, for the operation of additional trains over
a rail line of the carrier, Amtrak may apply to the Secretary for an order
requiring the carrier to provide or allow for the operation of the requested
trains. After a hearing on the record, the Secretary may order the carrier,
within 60 days, to provide or allow for the operation of the requested trains
on a schedule based on legally permissible operating times. However, if the
Secretary decides not to hold a hearing, the Secretary, not later than 30
days after receiving the application, shall publish in the Federal Register
the reasons for the decision not to hold the hearing.
(2) The Secretary shall consider—
(A) when conducting a hearing, whether an order would impair un-
reasonably freight transportation of the rail carrier, with the carrier
having the burden of demonstrating that the additional trains will im-
pair the freight transportation; and
(B) when establishing scheduled running times, the statutory goal of
Amtrak to implement schedules that attain a system-wide average
speed of at least 60 miles an hour that can be adhered to with a high
degree of reliability and passenger comfort.
205
(3) Unless the parties have an agreement that establishes the compensa-
tion Amtrak will pay the carrier for additional trains provided under an
order under this subsection, the Commission shall decide the dispute under
subsection (a) of this section.
§ 24309. Retaining and maintaining facilities
(a) DEFINITIONS.—In this section—
(1) ‘‘facility’’ means a rail line, right of way, fixed equipment, facil-
ity, or real property related to a rail line, right of way, fixed equipment,
or facility, including a signal system, passenger station and repair
tracks, a station building, a platform, and a related facility, including
a water, fuel, steam, electric, and air line.
(2) downgrading a facility means reducing a track classification as
specified in the Federal Railroad Administration track safety standards
or altering a facility so that the time required for rail passenger trans-
portation to be provided over the route on which a facility is located
may be increased.
(b) APPROVAL REQUIRED FOR DOWNGRADING OR DISPOSAL.—A facility
of a rail carrier or regional transportation authority that Amtrak used to
provide rail passenger transportation on February 1, 1979, may be down-
graded or disposed of only after approval by the Secretary of Transportation
under this section.
(c) NOTIFICATION AND ANALYSIS.—(1) A rail carrier intending to down-
grade or dispose of a facility Amtrak currently is not using to provide trans-
portation shall notify Amtrak of its intention. If, not later than 60 days
after Amtrak receives the notice, Amtrak and the carrier do not agree to
retain or maintain the facility or to convey an interest in the facility to Am-
trak, the carrier may apply to the Secretary for approval to downgrade or
dispose of the facility.
(2) After a rail carrier notifies Amtrak of its intention to downgrade or
dispose of a facility, Amtrak shall survey population centers with rail pas-
senger transportation facilities to assist in preparing a valid and timely
analysis of the need for the facility and shall update the survey as appro-
priate. Amtrak also shall maintain a system for collecting information gath-
ered in the survey. The system shall collect the information based on geo-
graphic regions and on whether the facility would be part of a short haul
or long haul route. The survey should facilitate an analysis of—
(A) ridership potential by ascertaining existing and changing travel
patterns that would provide maximum efficient rail passenger transpor-
tation;
(B) the quality of transportation of competitors or likely competitors;
206
(C) the likelihood of Amtrak offering transportation at a competitive
fare;
(D) opportunities to target advertising and fares to potential classes
of riders;
(E) economic characteristics of rail passenger transportation related
to the facility and the extent to which the characteristics are consistent
with sound economic principles of short haul or long haul rail transpor-
tation; and
(F) the feasibility of applying effective internal cost controls to the
facility and route served by the facility to improve the ratio of pas-
senger revenue to transportation expenses (excluding maintenance of
tracks, structures, and equipment and depreciation).
(d) APPROVAL OF APPLICATION AND PAYMENT OF AVOIDABLE COSTS.—
(1) If Amtrak does not object to an application not later than 30 days after
it is submitted, the Secretary shall approve the application promptly.
(2) If Amtrak objects to an application, the Secretary shall decide by not
later than 180 days after the objection those costs the rail carrier may avoid
if it does not have to retain or maintain a facility in the condition Amtrak
requests. If Amtrak does not agree by not later than 60 days after the deci-
sion to pay the carrier these avoidable costs, the Secretary shall approve the
application. When deciding whether to pay a carrier the avoidable costs of
retaining or maintaining a facility, Amtrak shall consider—
(A) the potential importance of restoring rail passenger transpor-
tation on the route on which the facility is located;
(B) the market potential of the route;
(C) the availability, adequacy, and energy efficiency of an alternate
rail line or alternate mode of transportation to provide passenger trans-
portation to or near the places that would be served by the route;
(D) the extent to which major population centers would be served
by the route;
(E) the extent to which providing transportation over the route
would encourage the expansion of an intercity rail passenger system in
the United States; and
(F) the possibility of increased ridership on a rail line that connects
with the route.
(e) COMPLIANCE WITH OTHER OBLIGATIONS.—Downgrading or dispos-
ing of a facility under this section does not relieve a rail carrier from com-
plying with its other common carrier or legal obligations related to the facil-
ity.
207
§ 24310. Assistance for upgrading facilities
(a) TO CORRECT DANGEROUS CONDITIONS.—(1) Amtrak or the owner of
a facility presenting a danger to the employees, passengers, or property of
Amtrak may petition the Secretary of Transportation for assistance to the
owner for relocation or other measures undertaken after December 31,
1977, to minimize or eliminate the danger.
(2) The Secretary shall recommend to Congress that Congress authorize
amounts for the relocation or other measures if the Secretary decides that—
(A) the facility presents a danger of death or serious injury to an
employee or passenger or of serious damage to that property; and
(B) the owner should not be expected to bear the cost of that reloca-
tion or other measures.
(b) TO CORRECT STATE AND LOCAL VIOLATIONS.—(1) Amtrak, by itself
or jointly with an owner or operator of a rail station Amtrak uses to provide
rail passenger transportation, may apply to the Secretary for amounts that
may be appropriated under paragraph (2) of this subsection to pay or reim-
burse expenses incurred after October 1, 1987, related to the station com-
plying with an official notice received before October 1, 1987, from a State
or local authority stating that the station violates or allegedly violates the
building, construction, fire, electric, sanitation, mechanical, or plumbing
code.
(2) Not more than $1,000,000, may be appropriated to the Secretary to
carry out paragraph (1) of this subsection. Amounts appropriated under
this paragraph remain available until expended.
§ 24311. Acquiring interests in property by eminent domain
(a) GENERAL AUTHORITY.—(1) To the extent financial resources are
available, Amtrak may acquire by eminent domain under subsection (b) of
this section interests in property—
(A) necessary for intercity rail passenger transportation, except
property of a rail carrier, a State, a political subdivision of a State,
or a governmental authority; or
(B) requested by the Secretary of Transportation in carrying out the
Secretary’s duty to design and build an intermodal transportation ter-
minal at Union Station in the District of Columbia if the Secretary
assures Amtrak that the Secretary will reimburse Amtrak.
(2) Amtrak may exercise the power of eminent domain only if it cannot—
(A) acquire the interest in the property by contract; or
(B) agree with the owner on the purchase price for the interest.
(b) CIVIL ACTIONS.—(1) A civil action to acquire an interest in property
by eminent domain under subsection (a) of this section must be brought in
the district court of the United States for the judicial district in which the
208
property is located or, if a single piece of property is located in more than
one judicial district, in any judicial district in which any piece of the prop-
erty is located. An interest is condemned and taken by Amtrak for its use
when a declaration of taking is filed under this subsection and an amount
of money estimated in the declaration to be just compensation for the inter-
est is deposited in the court. The declaration may be filed with the com-
plaint in the action or at any time before judgment. The declaration must
contain or be accompanied by—
(A) a statement of the public use for which the interest is taken;
(B) a description of the property sufficient to identify it;
(C) a statement of the interest in the property taken;
(D) a plan showing the interest taken; and
(E) a statement of the amount of money Amtrak estimates is just
compensation for the interest.
(2) When the declaration is filed and the deposit is made under para-
graph (1) of this subsection, title to the property vests in Amtrak in fee
simple absolute or in the lesser interest shown in the declaration, and the
right to the money vests in the person entitled to the money. When the dec-
laration is filed, the court may decide—
(A) the time by which, and the terms under which, possession of the
property is given to Amtrak; and
(B) the disposition of outstanding charges related to the property.
(3) After a hearing, the court shall make a finding on the amount that
is just compensation for the interest in the property and enter judgment
awarding that amount and interest on it. The rate of interest is 6 percent
a year and is computed on the amount of the award less the amount depos-
ited in the court from the date of taking to the date of payment.
(4) On application of a party, the court may order immediate payment
of any part of the amount deposited in the court for the compensation to
be awarded. If the award is more than the amount received, the court shall
enter judgment against Amtrak for the deficiency.
(c) AUTHORITY TO CONDEMN RAIL CARRIER PROPERTY INTERESTS.—
(1) If Amtrak and a rail carrier cannot agree on a sale to Amtrak of an
interest in property of a rail carrier necessary for intercity rail passenger
transportation, Amtrak may apply to the Interstate Commerce Commission
for an order establishing the need of Amtrak for the interest and requiring
the carrier to convey the interest on reasonable terms, including just com-
pensation. The need of Amtrak is deemed to be established, and the Com-
mission, after holding an expedited proceeding and not later than 120 days
after receiving the application, shall order the interest conveyed unless the
Commission decides that—
209
(A) conveyance would impair significantly the ability of the carrier
to carry out its obligations as a common carrier; and
(B) the obligations of Amtrak to provide modern, efficient, and eco-
nomical rail passenger transportation can be met adequately by acquir-
ing an interest in other property, either by sale or by exercising its
right of eminent domain under subsection (a) of this section.
(2) If the amount of compensation is not determined by the date of the
Commission’s order, the order shall require, as part of the compensation,
interest at 6 percent a year from the date prescribed for the conveyance
until the compensation is paid.
(3) Amtrak subsequently may reconvey to a third party an interest con-
veyed to Amtrak under this subsection or prior comparable provision of law
if the Commission decides that the reconveyance will carry out the purposes
of this part, regardless of when the proceeding was brought (including a
proceeding pending before a United States court on November 28, 1990).
§ 24312. Labor standards
(a) PREVAILING WAGES AND HEALTH AND SAFETY STANDARDS.—(1)
Amtrak shall ensure that laborers and mechanics employed by contractors
and subcontractors in construction work financed under an agreement made
under section 24308(a), 24701(a), or 24704(b)(2) of this title will be paid
wages not less than those prevailing on similar construction in the locality,
as determined by the Secretary of Labor under the Act of March 3, 1931
(known as the Davis-Bacon Act) (40 U.S.C. 276a—276a–5). Amtrak may
make such an agreement only after being assured that required labor stand-
ards will be maintained on the construction work. Health and safety stand-
ards prescribed by the Secretary under section 107 of the Contract Work
Hours and Safety Standards Act (40 U.S.C. 333) apply to all construction
work performed under such an agreement, except for construction work per-
formed by a rail carrier.
(2) Wage rates in a collective bargaining agreement negotiated under the
Railway Labor Act (45 U.S.C. 151 et seq.) are deemed to comply with the
Act of March 3, 1931 (known as the Davis-Bacon Act) (40 U.S.C. 276a—
276a–5).
(b) CONTRACTING OUT.—(1) Amtrak may not contract out work nor-
mally performed by an employee in a bargaining unit covered by a contract
between a labor organization and Amtrak or a rail carrier that provided
intercity rail passenger transportation on October 30, 1970, if contracting
out results in the layoff of an employee in the bargaining unit.
(2) This subsection does not apply to food and beverage services provided
on trains of Amtrak.
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§ 24313. Rail safety system program
In consultation with rail labor organizations, Amtrak shall maintain a rail
safety system program for employees working on property owned by Am-
trak. The program shall be a model for other rail carriers to use in develop-
ing safety programs. The program shall include—
(1) periodic analyses of accident information, including primary and
secondary causes;
(2) periodic evaluations of the activities of the program, particularly
specific steps taken in response to an accident;
(3) periodic reports on amounts spent for occupational health and
safety activities of the program;
(4) periodic reports on reduced costs and personal injuries because
of accident prevention activities of the program;
(5) periodic reports on direct accident costs, including claims related
to accidents; and
(6) reports and evaluations of other information Amtrak considers
appropriate.
§ 24314. Demonstration of new technology
(a) PLAN.—Amtrak shall develop a plan for demonstrating new tech-
nology in rail passenger equipment. The plan shall provide that new equip-
ment that Amtrak procures that may increase train speed significantly over
existing rail facilities shall be demonstrated, to the extent practicable,
throughout the intercity rail passenger system.
(b) REPORT.—Not later than September 30, 1993, Amtrak shall submit
to the Committee on Energy and Commerce of the House of Representatives
and the Committee on Commerce, Science, and Transportation of the Sen-
ate a report summarizing the plan developed under subsection (a) of this
section, including its goals, locations for technology demonstration, and a
schedule for carrying out the plan.
(c) COOPERATION.—To make efforts to increase train speed throughout
the intercity rail passenger system easier, Amtrak shall consult and cooper-
ate, to the extent feasible, on request of eligible applicants proposing a tech-
nology demonstration authorized and financed under a law of the United
States, with those applicants.
§ 24315. Reports and audits
(a) AMTRAK ANNUAL OPERATIONS REPORT.—Not later than February
15 of each year, Amtrak shall submit to Congress a report that—
(1) for each route on which Amtrak provided intercity rail passenger
transportation during the prior fiscal year, includes information on—
(A) ridership;
(B) passenger-miles;
211
(C) the short-term avoidable profit or loss for each passenger-
mile;
(D) the revenue-to-cost ratio;
(E) revenues;
(F) the United States Government subsidy;
(G) the subsidy not provided by the United States Government;
and
(H) on-time performance;
(2) provides relevant information about a decision to pay an officer
of Amtrak more than the rate for level I of the Executive Schedule
under section 5312 of title 5; and
(3) specifies—
(A) significant operational problems Amtrak identifies; and
(B) proposals by Amtrak to solve those problems.
(b) AMTRAK GENERAL AND LEGISLATIVE ANNUAL REPORT.—(1) Not
later than February 15 of each year, Amtrak shall submit to the President
and Congress a complete report of its operations, activities, and accomplish-
ments, including a statement of revenues and expenditures for the prior fis-
cal year. The report—
(A) shall include a discussion and accounting of Amtrak’s success in
meeting the goal of section 24902(b) of this title; and
(B) may include recommendations for legislation, including the
amount of financial assistance needed for operations and capital im-
provements, the method of computing the assistance, and the sources
of the assistance.
(2) Amtrak may submit reports to the President and Congress at other
times Amtrak considers desirable.
(c) SECRETARY’S REPORT ON EFFECTIVENESS OF THIS PART.—The Sec-
retary of Transportation shall prepare a report on the effectiveness of this
part in meeting the requirements for a balanced transportation system in
the United States. The report may include recommendations for legislation.
The Secretary shall include this report as part of the annual report the Sec-
retary submits under section 308(a) of this title.
(d) INDEPENDENT AUDITS.—An independent certified public accountant
shall audit the financial statements of Amtrak each year. The audit shall
be carried out at the place at which the financial statements normally are
kept and under generally accepted auditing standards. A report of the audit
shall be included in the report required by subsection (a) of this section.
(e) COMPTROLLER GENERAL AUDITS.—The Comptroller General may
conduct performance audits of the activities and transactions of Amtrak.
Each audit shall be conducted at the place at which the Comptroller General
212
decides and under generally accepted management principles. The Comptrol-
ler General may prescribe regulations governing the audit.
(f) AVAILABILITY OF RECORDS AND PROPERTY OF AMTRAK AND RAIL
CARRIERS.—Amtrak and, if required by the Comptroller General, a rail car-
rier with which Amtrak has made a contract for intercity rail passenger
transportation shall make available for an audit under subsection (d) or (e)
of this section all records and property of, or used by, Amtrak or the carrier
that are necessary for the audit. Amtrak and the carrier shall provide facili-
ties for verifying transactions with the balances or securities held by deposi-
tories, fiscal agents, and custodians. Amtrak and the carrier may keep all
reports and property.
(g) COMPTROLLER GENERAL’S REPORT TO CONGRESS.—The Comptroller
General shall submit to Congress a report on each audit, giving comments
and information necessary to inform Congress on the financial operations
and condition of Amtrak and recommendations related to those operations
and conditions. The report also shall specify any financial transaction or un-
dertaking the Comptroller General considers is carried out without authority
of law. When the Comptroller General submits a report to Congress, the
Comptroller General shall submit a copy of it to the President, the Sec-
retary, and Amtrak at the same time.
CHAPTER 245—AMTRAK COMMUTER
Sec.
24501.
Status and applicable laws.
24502.
Board of directors.
24503.
Officers.
24504.
General authority.
24505.
Commuter rail passenger transportation.
24506.
Certain duties and powers unaffected.
§ 24501. Status and applicable laws
(a) STATUS.—Amtrak Commuter—
(1) is a wholly-owned subsidiary of Amtrak;
(2) provides by contract commuter rail passenger transportation for
a commuter authority with which Amtrak Commuter makes a contract
to provide the transportation under this chapter;
(3) has no common carrier obligations to provide rail passenger or
rail freight transportation; and
(4) is not a department, agency, or instrumentality of the United
States Government.
(b) APPLICATION OF SAFETY AND EMPLOYEE RELATIONS LAWS AND
REGULATIONS.—Chapter 105 of this title does not apply to Amtrak Com-
muter. However, laws and regulations governing safety, employee represen-
tation for collective bargaining purposes, the handling of disputes between
carriers and employees, employee retirement, annuity, and unemployment
systems, and other dealings with employees that apply to a rail carrier pro-
213
viding transportation subject to subchapter I of chapter 105 apply to Am-
trak Commuter.
(c) APPLICATION OF CERTAIN ADDITIONAL LAWS.—This part and, to the
extent consistent with this part, the District of Columbia Business Corpora-
tion Act (D.C. Code § 29–301 et seq.) apply to Amtrak Commuter.
(d) NONAPPLICATION OF RATE, ROUTE, AND SERVICE LAWS.—A State
or other law related to rates, routes, or service in connection with rail pas-
senger transportation does not apply to Amtrak Commuter.
(e) PREEMPTION RELATED TO EMPLOYEE WORK REQUIREMENTS.—A
State may not adopt or continue in force a law, rule, regulation, order, or
standard requiring Amtrak Commuter to employ a specified number of indi-
viduals to perform a particular task, function, or operation.
(f) EXEMPTION FROM ADDITIONAL TAXES.—(1) In this subsection, ‘‘ad-
ditional tax’’ means a tax or fee—
(A) on the acquisition, improvement, ownership, or operation of per-
sonal property by Amtrak Commuter; and
(B) on real property, except a tax or fee on the acquisition of real
property or on the value of real property not attributable to improve-
ments made, or the operation of those improvements, by Amtrak Com-
muter.
(2) Amtrak Commuter is not required to pay an additional tax because
of an expenditure to acquire or improve real property, equipment, a facility,
or right-of-way material or structures used to provide rail passenger trans-
portation.
(g) TAX EXEMPTION FOR CERTAIN COMMUTER AUTHORITIES.—A com-
muter authority with which Amtrak Commuter could have made a contract
to provide commuter rail passenger transportation under this chapter but
which decided to provide its own rail passenger transportation beginning on
January 1, 1983, is exempt, effective October 1, 1981, from paying a tax
or fee to the same extent Amtrak is exempt.
(h) NONAPPLICATION OF AGREEMENTS FOR FINANCIAL SUPPORT AND
TRACKAGE RIGHTS.—An agreement under which financial support was pro-
vided on January 2, 1974, to a commuter authority to continue rail pas-
senger transportation does not apply to Amtrak Commuter. However, Am-
trak and the Consolidated Rail Corporation retain appropriate trackage
rights over rail property owned or leased by the authority. Compensation
for the rights shall be reasonable.
§ 24502. Board of directors
(a) COMPOSITION.—The board of directors of Amtrak Commuter is com-
posed of the following directors:
(1) the President of Amtrak Commuter.
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(2) one individual from the board of directors of Amtrak selected as
a representative of commuter authorities that make contracts with Am-
trak Commuter for the operation of commuter rail passenger transpor-
tation.
(3) 2 individuals selected by the board of directors of Amtrak.
(4) 2 individuals selected by commuter authorities for which Amtrak
Commuter provides commuter rail transportation under this chapter.
However, only one individual shall be selected under this clause if Am-
trak Commuter provides the transportation for only one authority.
(b) TERMS.—Except as otherwise provided in this section, individuals
shall serve for 2 years.
(c) CHAIRMAN.—The board shall select annually one of its members to
serve as Chairman.
(d) PAY AND EXPENSES.—Each director not employed by the United
States Government is entitled to $300 a day when performing board duties
and powers. Each director is entitled to reimbursement for necessary travel,
reasonable secretarial and professional staff support, and subsistence ex-
penses incurred in attending board meetings.
(e) VACANCIES.—A vacancy on the board is filled in the same way as the
original selection.
(f) BYLAWS.—The board may adopt and amend bylaws governing the op-
eration of Amtrak Commuter. The bylaws shall be consistent with this part
and the articles of incorporation.
§ 24503. Officers
(a) APPOINTMENT AND TERMS.—Amtrak Commuter has a President and
other officers that are named and appointed by the board of directors of
Amtrak Commuter. An officer of Amtrak Commuter must be a citizen of
the United States. Officers of Amtrak Commuter serve at the pleasure of
the board.
(b) PAY.—The board may fix the pay of the officers of Amtrak Com-
muter. An officer may be paid not more than the general level of pay for
officers of rail carriers with comparable responsibility.
(c) CONFLICTS OF INTEREST.—When employed by Amtrak Commuter, an
officer may not have a financial or employment relationship with a rail car-
rier, except that holding securities issued by a rail carrier is not deemed
to be a violation of this subsection if the officer holding the securities makes
a complete public disclosure of the holdings and does not participate in any
decision directly affecting the rail carrier.
§ 24504. General authority
(a) GENERAL.—Amtrak Commuter may—