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.
175
§ 21102. Nonapplication and exemption
(a) GENERAL.—This chapter does not apply to a situation involving any
of the following:
(1) a casualty.
(2) an unavoidable accident.
(3) an act of God.
(4) a delay resulting from a cause unknown and unforeseeable to a
railroad carrier or its officer or agent in charge of the employee when
the employee left a terminal.
(b) EXEMPTION.—The Secretary of Transportation may exempt a rail-
road carrier having not more than 15 employees covered by this chapter
from the limitations imposed by this chapter. The Secretary may allow the
exemption after a full hearing, for good cause shown, and on deciding that
the exemption is in the public interest and will not affect safety adversely.
The exemption shall be for a specific period of time and is subject to review
at least annually. The exemption may not authorize a carrier to require or
allow its employees to be on duty more than a total of 16 hours in a 24-
hour period.
§ 21103. Limitations on duty hours of train employees
(a) GENERAL.—Except as provided in subsection (c) of this section, a
railroad carrier and its officers and agents may not require or allow a train
employee to remain or go on duty—
(1) unless that employee has had at least 8 consecutive hours off
duty during the prior 24 hours; or
(2) after that employee has been on duty for 12 consecutive hours,
until that employee has had at least 10 consecutive hours off duty.
(b) DETERMINING TIME ON DUTY.—In determining under subsection (a)
of this section the time a train employee is on or off duty, the following
rules apply:
(1) Time on duty begins when the employee reports for duty and
ends when the employee is finally released from duty.
(2) Time the employee is engaged in or connected with the movement
of a train is time on duty.
(3) Time spent performing any other service for the railroad carrier
during a 24-hour period in which the employee is engaged in or con-
nected with the movement of a train is time on duty.
(4) Time spent in deadhead transportation to a duty assignment is
time on duty, but time spent in deadhead transportation from a duty
assignment to the place of final release is neither time on duty nor time
off duty.
176
(5) An interim period available for rest at a place other than a des-
ignated terminal is time on duty.
(6) An interim period available for less than 4 hours rest at a des-
ignated terminal is time on duty.
(7) An interim period available for at least 4 hours rest at a place
with suitable facilities for food and lodging is not time on duty when
the employee is prevented from getting to the employee’s designated
terminal by any of the following:
(A) a casualty.
(B) a track obstruction.
(C) an act of God.
(D) a derailment or major equipment failure resulting from a
cause that was unknown and unforeseeable to the railroad carrier
or its officer or agent in charge of that employee when that em-
ployee left the designated terminal.
(c) EMERGENCIES.—A train employee on the crew of a wreck or relief
train may be allowed to remain or go on duty for not more than 4 addi-
tional hours in any period of 24 consecutive hours when an emergency exists
and the work of the crew is related to the emergency. In this subsection,
an emergency ends when the track is cleared and the railroad line is open
for traffic.
§ 21104. Limitations on duty hours of signal employees
(a) GENERAL.—(1) In paragraph (2)(C) of this subsection, ‘‘24-hour pe-
riod’’ means the period beginning when a signal employee reports for duty
immediately after 8 consecutive hours off duty or, when required under
paragraph (2)(B) of this subsection, after 10 consecutive hours off duty.
(2) Except as provided in subsection (c) of this section, a railroad carrier
and its officers and agents may not require or allow a signal employee to
remain or go on duty—
(A) unless that employee has had at least 8 consecutive hours off
duty during the prior 24 hours;
(B) after that employee has been on duty for 12 consecutive hours,
until that employee has had at least 10 consecutive hours off duty; or
(C) after that employee has been on duty a total of 12 hours during
a 24-hour period, or after the end of that 24-hour period, whichever
occurs first, until that employee has had at least 8 consecutive hours
off duty.
(b) DETERMINING TIME ON DUTY.—In determining under subsection (a)
of this section the time a signal employee is on duty or off duty, the follow-
ing rules apply:
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
201
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.
214
(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—
215
(1) acquire, operate, maintain, and make contracts for the operation
of equipment and facilities necessary for commuter rail passenger
transportation;
(2) conduct research and development related to the mission of Am-
trak Commuter; and
(3) issue common stock to Amtrak.
(b) OPERATION AND CONTROL.—To the extent consistent with this part
and with an agreement with a commuter authority, Amtrak Commuter shall
operate and control all aspects of the commuter rail passenger transpor-
tation it provides.
(c) AGREEMENT TO AVOID DUPLICATING EMPLOYEE FUNCTIONS.—To
the maximum extent practicable, Amtrak Commuter and Amtrak shall make
an agreement that avoids duplicating employee functions and voluntarily es-
tablishes a consolidated work force.
§ 24505. Commuter rail passenger transportation
(a) GENERAL AUTHORITY.—Amtrak Commuter—
(1) shall provide commuter rail passenger transportation that the
Consolidated Rail Corporation was obligated to provide on August 13,
1981, under section 303(b)(2) or 304(e) of the Regional Rail Reorga-
nization Act of 1973 (45 U.S.C. 743(b)(2), 744(e)); and
(2) may provide other commuter rail passenger transportation if the
commuter authority for which the transportation will be provided offers
to provide a commuter rail passenger transportation payment equal to
the—
(A) avoidable costs of providing the transportation (including
the avoidable cost of necessary capital improvements) and a rea-
sonable return on the value; less
(B) revenue attributable to the transportation.
(b) OFFER REQUIREMENTS.—(1) A commuter authority making an offer
under subsection (a)(2) of this section shall—
(A) show that it has obtained access to all rail property necessary
to provide the additional commuter rail passenger transportation; and
(B) make the offer according to regulations the Rail Services Plan-
ning Office prescribes under section 10362(b)(5)(A) and (6) of this
title.
(2) The Office may revise and update the regulations when necessary to
carry out this section.
(c) ADDITIONAL EMPLOYEE REQUIREMENTS.—Additional employee re-
quirements shall be met through existing seniority arrangements agreed to
in the implementing agreement negotiated under section 508 of the Rail
Passenger Service Act.
216
(d) WHEN OBLIGATION DOES NOT APPLY.—Amtrak Commuter is not
obligated to provide commuter rail passenger transportation if a commuter
authority provides the transportation or makes a contract under which a
person, except Amtrak Commuter, will provide the transportation. When ap-
propriate, Amtrak Commuter shall give the authority or person access to
the rail property needed to provide the transportation.
(e) DISCONTINUANCE
OF COMMUTER RAIL PASSENGER TRANSPOR-
TATION.—(1) Amtrak Commuter may discontinue commuter rail passenger
transportation provided under this section on 60 days’ notice if—
(A) a commuter authority does not offer a commuter rail passenger
transportation payment under subsection (a)(2) of this section; or
(B) a payment is not paid when due.
(2) The Office shall prescribe regulations on the necessary contents of the
notice required under this subsection.
(f) COMPENSATION FOR RIGHT-OF-WAY RELATED COSTS.—Compensa-
tion by a commuter authority to Amtrak or Amtrak Commuter for right-
of-way related costs for transportation over property Amtrak owns shall be
determined under a method the Interstate Commerce Commission estab-
lishes under section 1163 of the Omnibus Budget Reconciliation Act of
1981 (45 U.S.C. 1111) or to which the parties agree.
(g) APPLICATION OF OTHER LAWS.—All laws related to commuter rail
passenger transportation apply to a commuter authority providing com-
muter rail passenger transportation under this section.
§ 24506. Certain duties and powers unaffected
This chapter does not affect a duty or power of the Consolidated Rail
Corporation or its successor and any bi-state commuter authority under an
agreement, lease, or contract under which property was conveyed to the Cor-
poration under the Regional Rail Reorganization Act of 1973 (45 U.S.C.
701 et seq.).
CHAPTER 247—AMTRAK ROUTE SYSTEM
Sec.
24701.
Operation of basic system.
24702.
Improving rail passenger transportation.
24703.
Route and service criteria.
24704.
Transportation requested by States, authorities, and other persons.
24705.
Additional qualifying routes.
24706.
Discontinuance.
24707.
Cost and performance review.
24708.
Special commuter transportation.
24709.
International transportation.
§ 24701. Operation of basic system
(a) BY AMTRAK.—Amtrak shall provide intercity rail passenger transpor-
tation within the basic system unless the transportation is provided by—
(1) a rail carrier with which Amtrak did not make a contract under
section 401(a) of the Rail Passenger Service Act; or
217
(2) a regional transportation authority under contract with Amtrak.
(b) BY OTHERS WITH CONSENT OF AMTRAK.—Except as provided in
section 24306 of this title, a person may provide intercity rail passenger
transportation over a route over which Amtrak provides scheduled intercity
rail passenger transportation under a contract under section 401(a) of the
Act only with the consent of Amtrak.
§ 24702. Improving rail passenger transportation
(a) PLAN TO IMPROVE TRANSPORTATION.—Amtrak shall continue to
carry out its plan, submitted under section 305(f) of the Rail Passenger
Service Act, to improve intercity rail passenger transportation provided in
the basic system. The plan shall include—
(1) a zero-based assessment of all operating practices;
(2) changes to achieve the minimum use of employees consistent with
safe operations and adequate transportation;
(3) a systematic program for achieving the greatest ratio of train
size to passenger demand;
(4) a systematic program to reduce trip time in the basic system;
(5) establishing training programs to achieve on-time departures;
(6) establishing priorities for passenger trains over freight trains;
(7) adjusting the buying and pricing of food and beverages so that
food and beverage services ultimately will be profitable;
(8) cooperative marketing opportunities between Amtrak and govern-
mental authorities that have intercity rail passenger transportation;
and
(9) cooperative marketing campaigns sponsored by Amtrak and the
Secretary of Energy, the Administrator of the Federal Highway Ad-
ministration, and the Administrator of the Environmental Protection
Agency.
(b) STATE AND LOCAL SPEED RESTRICTIONS.—Amtrak shall—
(1) identify any speed restriction a State or local government im-
poses on a train of Amtrak that Amtrak decides impedes Amtrak from
achieving high-speed intercity rail passenger transportation; and
(2) consult with that State or local government—
(A) to evaluate alternatives to the speed restriction, considering
the local safety hazard that is the basis for the restriction; and
(B) to consider modifying or eliminating the restriction to allow
safe operation at higher speeds.
(c) HIGH-SPEED RAIL TRANSPORTATION DEVELOPMENT.—On reason-
able request by a State, political subdivision of a State, regional partner-
ship, private sector representative, or other qualified person, Amtrak shall
consult and cooperate to the extent feasible with that person to assist the
218
efforts of that person to achieve high-speed rail transportation through
equipment upgrades, grade-crossing safety improvements, and incremental
infrastructure improvements on existing rail facilities that Amtrak uses (ex-
cept the Northeast Corridor facilities). 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 Senate a report on its efforts under this subsection.
(d) ROUTES CONNECTING CORRIDORS.—Amtrak shall begin or improve
appropriate rail passenger transportation on a route between corridors that
Amtrak decides is justified because it will increase ridership on trains of
Amtrak on the route and in the connecting corridors.
§ 24703. Route and service criteria
(a) ROUTE DISCONTINUANCES AND ADDITIONS.—Except as provided in
this part, route discontinuances and route additions shall comply with the
route and service criteria.
(b) CONGRESSIONAL REVIEW OF CRITERIA AMENDMENTS.—(1) Amtrak
shall submit to Congress a draft of an amendment to the route and service
criteria when Amtrak decides an amendment is appropriate. The amend-
ment is effective at the end of the first period of 120 calendar days of con-
tinuous session of Congress after it is submitted unless there is enacted into
law during the period a joint resolution stating Congress does not approve
the amendment.
(2) In this subsection—
(A) a continuous session of Congress is broken only by an adjourn-
ment sine die; and
(B) the 120-day period does not include days on which either House
is not in session because of adjournment of more than 3 days to a day
certain.
(c) NONAPPLICATION.—The route and service criteria do not apply to—
(1) increasing or, because of construction schedules or other tem-
porary disruptive facts or seasonal fluctuations in ridership, decreasing
the number of trains on an existing route or a part of an existing route
or on a route on which additional trains are being tested;
(2) carrying out the recommendations developed under section 4 of
the Amtrak Improvement Act of 1978;
(3) rerouting transportation between major population centers on an
existing route; or
(4)(A) modifying transportation operations under section 24707(a)
of this title; and
(B) modifying the route system or discontinuing transportation
under section 24707(b) of this title.
219
§ 24704. Transportation requested by States, authorities,
and other persons
(a) APPLICATIONS TO BEGIN OR KEEP TRANSPORTATION.—(1) A State,
a regional or local authority, or another person may apply to Amtrak and
request Amtrak to provide rail passenger transportation or keep any part
of a train, route, or service that Amtrak intends to discontinue under sec-
tion 24706(a) or (b) or 24707(a) or (b) of this title. An application shall—
(A) assure Amtrak that the State, authority, or person has sufficient
resources to meet its share of the cost of the transportation for the
time the transportation will be provided;
(B) contain a market analysis acceptable to Amtrak to ensure that
there is adequate demand for the transportation; and
(C) commit the State, authority, or person to provide at least 45 per-
cent of the short term avoidable loss of providing the transportation
the first year the transportation is provided and at least 65 percent of
the short term avoidable loss each of the following years, and, except
as provided in section 24104(a) of this title, at least 50 percent of as-
sociated capital costs each year the transportation is provided.
(2) An application submitted by more than one State shall be considered
in the same way as an application submitted by one State, without it being
necessary for each State to comply with paragraph (1) of this subsection.
(b) ACTIONS ON APPLICATIONS.—(1) Amtrak shall review each applica-
tion submitted under subsection (a) of this section to decide whether—
(A) the application complies with subsection (a); and
(B) there is a reasonable probability that Amtrak can provide the
transportation from available resources.
(2) Amtrak may make an agreement with an applicant under this section
to begin or keep the transportation if Amtrak decides that the transpor-
tation can be provided with resources available to Amtrak. An agreement
may be renewed for additional periods of not more than 2 years each.
(c) SELECTING AMONG COMPETING APPLICATIONS.—If more than one
application is made for transportation consistent with the requirements of
subsection (a) of this section, but all the transportation applied for cannot
be provided with the available resources of Amtrak, the board of directors
of Amtrak shall select the transportation that best serves the public interest
and can be provided with the available resources of Amtrak.
(d) FARE INCREASES.—(1) Before increasing a fare applicable to trans-
portation provided under subsection (b)(2) of this section by more than 5
percent during a 6-month period, Amtrak shall consult with officials of each
State affected by the increase and explain why the increase is necessary.
220
(2) Except as provided in paragraph (3) of this subsection, a fare in-
crease described in paragraph (1) of this subsection takes effect 90 days
after Amtrak first consults with the affected States. However, not later than
30 days after the first consultation, a State may submit proposals to Am-
trak for reducing costs and increasing revenues of the transportation. Am-
trak shall consider the proposals in deciding how much of the proposed in-
crease shall go into effect.
(3)(A) Amtrak may increase a fare without regard to the restrictions of
this subsection during—
(i) the first month of a fiscal year if the authorization of appropria-
tions and the appropriations for Amtrak are not enacted at least 90
days before the beginning of the fiscal year; or
(ii) the 30 days following enactment of an appropriation for Amtrak
or a rescission of an appropriation.
(B) Amtrak shall notify each affected State of an increase under subpara-
graph (A) of this paragraph as soon as possible after Amtrak decides to
increase a fare.
(e) DETERMINING LOSS, COSTS, AND REVENUES.—After consulting with
officials of each State contributing to providing transportation under sub-
section (b)(2) of this section, the board shall establish the basis for deter-
mining short term avoidable loss and associated capital costs of, and reve-
nues from, the transportation. Amtrak shall give State officials the basis for
determining the loss, cost, and revenue for each route on which transpor-
tation is provided under subsection (b)(2).
(f) AVAILABILITY OF AMOUNTS.—Amounts provided by Amtrak under an
agreement with an applicant under subsection (b)(2) of this section that are
allocated for associated capital costs remain available until expended.
(g) ADVERTISING AND PROMOTION.—At least 2 percent but not more
than 5 percent of the revenue generated by transportation provided under
subsection (b)(2) of this section shall be used for advertising and promotion
at the local level.
§ 24705. Additional qualifying routes
(a) ROUTES RECOMMENDED FOR DISCONTINUANCE.—(1) To maintain a
national intercity rail passenger system in the United States and if a reduc-
tion in operating expenses can be achieved, Amtrak shall provide rail pas-
senger transportation over each route the Secretary of Transportation rec-
ommended be discontinued under section 4 of the Amtrak Improvement Act
of 1978 and may restructure a route to serve a major population center as
an ending place or principal intermediate place. Transportation over a long
distance route shall be maintained if the Amtrak estimate for the fiscal year
ending September 30, 1980, was that the short term avoidable loss for each
221
passenger mile on the route was not more than 7 cents. Transportation over
a short distance route shall be maintained if the Amtrak estimate for the
fiscal year ending September 30, 1980, was that the short term avoidable
loss for each passenger mile on the route was not more than 9 cents.
(2) For all routes, Amtrak shall calculate short term avoidable loss for
each passenger-mile based on consistently defined factors. Calculations shall
be based on the most recent available statistics for a 90-day period, except
that Amtrak may use historical information adjusted to reflect the most re-
cent available statistics.
(b) DEFERRAL OF SECRETARY’S RECOMMENDATIONS.—(1) To provide
equivalent or improved transportation consistent with the goals of section
4(a) of the Act, Amtrak may defer carrying out a recommendation of the
Secretary under section 4 of the Act that requires providing transportation
over a rail line not used in intercity rail passenger transportation on May
24, 1979, requires using a new facility, or requires making a new labor
agreement, until any necessary capital improvements are made in the line
or facility or the agreement is made.
(2) Notwithstanding another law and the route and service criteria, dur-
ing the period a decision of the Secretary under section 4 of the Act is de-
ferred, Amtrak shall provide substitute transportation over existing routes
recommended for restructuring and over other existing feasible routes. Ex-
cept for transportation concentrating on commuter ridership over a short
haul route, transportation provided under this paragraph may be provided
only if the route complies with subsection (a) of this section, adjusted to
reflect constant 1979 dollars.
(c) SHORT HAUL DEMONSTRATION ROUTES.—Notwithstanding this part,
Amtrak may provide short haul trains on additional routes totaling not
more than 200 miles that link at least 2 major metropolitan areas—
(1) on a demonstration basis to establish the feasibility and benefits
of the transportation; and
(2) to the extent available resources allow.
(d) ROUTES DISCONTINUED BY RAIL CARRIERS.—Amtrak may undertake
to provide rail passenger transportation between places served by a rail car-
rier filing a notice of discontinuance under section 10908 or 10909 of this
title.
§ 24706. Discontinuance
(a) NOTICE OF DISCONTINUANCE.—(1) Except as provided in subsection
(b) of this section, at least 90 days before a discontinuance under section
24704 or 24707(a) or (b) of this title, Amtrak shall give notice of the dis-
continuance in the way Amtrak decides will give a State, a regional or local
222
authority, or another person the opportunity to agree to share the cost of
any part of the train, route, or service to be discontinued.
(2) Notice of the discontinuance under section 24704 or 24707(a) or (b)
of this title shall be posted in all stations served by the train to be discon-
tinued at least 14 days before the discontinuance.
(b) DISCONTINUANCE FOR LACK OF APPROPRIATIONS.—(1) Amtrak may
discontinue service under section 24704 or 24707(a) or (b) of this title dur-
ing—
(A) the first month of a fiscal year if the authorization of appropria-
tions and the appropriations for Amtrak are not enacted at least 90
days before the beginning of the fiscal year; and
(B) the 30 days following enactment of an appropriation for Amtrak
or a rescission of an appropriation.
(2) Amtrak shall notify each affected State or regional or local transpor-
tation authority of a discontinuance under this subsection as soon as pos-
sible after Amtrak decides to discontinue the service.
(c) EMPLOYEE PROTECTIVE ARRANGEMENTS.—(1) Amtrak or a rail car-
rier (including a terminal company) shall provide fair and equitable arrange-
ments to protect the interests of employees of Amtrak or a rail carrier, as
the case may be, affected by a discontinuance of intercity rail passenger
service, including a discontinuance of service provided by a rail carrier
under a facility or service agreement under section 24308(a) of this title
under a modification or ending of the agreement or because Amtrak begins
providing that service. Arrangements shall include provisions that may be
necessary for—
(A) the preservation of rights, privileges, and benefits (including con-
tinuation of pension rights and benefits) under existing collective bar-
gaining agreements or otherwise;
(B) the continuation of collective bargaining rights;
(C) the protection of individual employees against a worsening of
their positions related to employment;
(D) assurances of priority of reemployment of employees whose em-
ployment is ended or who are laid off; and
(E) paid training and retraining programs.
(2) With respect to Amtrak’s obligations under this subsection and in an
agreement to carry out this subsection involving only Amtrak and its em-
ployees, a discontinuance of intercity rail passenger service does not include
an adjustment in frequency, or seasonal suspension of intercity rail pas-
senger trains that causes a temporary suspension of service, unless the ad-
justment or suspension reduces passenger train operations on a particular
223
route to fewer than 3 round trips a week at any time during a calendar
year.
(3) Arrangements under this subsection shall provide benefits at least
equal to benefits established under section 11347 of this title.
(4) A contract under this chapter or section 24308(a) of this title shall
specify the terms of protective arrangements.
(5) This subsection does not impose on Amtrak an obligation of a rail
carrier related to a right, privilege, or benefit earned by an employee be-
cause of previous service performed for the carrier.
(6) This subsection does not apply to Amtrak Commuter.
§ 24707. Cost and performance review
(a) ROUTE REVIEWS.—Amtrak shall review annually each route in the
basic system to decide if the route meets the long distance or short distance
route criterion, as appropriate, under section 24705(a)(1) of this title, ad-
justed to reflect constant 1979 dollars. The review shall include an evalua-
tion of the potential market demand for, and the cost of providing transpor-
tation on, a part of the route and an alternative route. Amtrak shall submit
the results of the review to the House of Representatives, the Senate, and
the Secretary of Transportation. If Amtrak decides that a route will not
meet the criterion under section 24705(a)(1), as adjusted, Amtrak shall
modify or discontinue rail passenger transportation operations on the route
so that it will meet the criterion.
(b) FINANCIAL REQUIREMENTS AND PERFORMANCE STANDARDS.—Not
later than 30 days after the beginning of each fiscal year, Amtrak shall
evaluate the financial requirements for operating the basic system and the
progress in achieving the system-wide performance standards prescribed
under this part during the fiscal year. If Amtrak decides amounts available
for the fiscal year are not enough to meet estimated operating costs, or if
Amtrak estimates it cannot meet the performance standards, Amtrak shall
act to reduce costs and improve performance. Action under this subsection
shall be designed to continue the maximum level of transportation prac-
ticable, including—
(1) changing the frequency of transportation;
(2) increasing fares;
(3) reducing the cost of sleeper car and dining car service on certain
routes;
(4) increasing the passenger capacity of cars used on certain routes;
and
(5) modifying the route system or discontinuing transportation over
routes, considering short term avoidable loss and the number of pas-
sengers served on those routes.
224
(c) COST LIMITATIONS AND REVENUE GOALS.—Annual costs of Amtrak
may not be more than amounts, including grants made under section 24104
of this title, contributions of States, regional and local authorities, and other
persons, and revenues, available to Amtrak in the fiscal year. Amtrak annu-
ally shall set a goal of recovering an amount so that its revenues, including
contributions, is at least 61 percent of its costs, except capital costs.
(d) CONDUCTOR REPORTS.—To assess the operational performance of
trains, the President of Amtrak may direct the conductor on any train of
Amtrak to report to Amtrak any inadequacy of train operation. The report
shall be signed by the conductor, contain sufficient information to locate
equipment or personnel failures, and be submitted promptly to Amtrak.
§ 24708. Special commuter transportation
(a) TRANSPORTATION TO BE CONTINUED IF CRITERION MET.—Amtrak
shall continue to provide rail passenger transportation provided under sec-
tion 403(d) of the Rail Passenger Service Act before October 1, 1981, if,
after considering estimated fare increases and State and local contributions
to the transportation, the transportation meets the short distance route cri-
terion under section 24705(a)(1) of this title, as adjusted. Transportation
continued under this section shall be financed consistent with the method
of financing in effect on September 30, 1981. If the transportation is not
estimated to meet the criterion, as adjusted, Amtrak may modify or dis-
continue the transportation so that the criterion is met.
(b) TRANSPORTATION WITH SHORT-TERM AVOIDABLE LOSS.—Notwith-
standing subsection (a) of this section, if after September 30, 1993, and be-
fore October 1, 1995, transportation provided under subsection (a) on a
route during the prior 6 months has a short-term avoidable loss (excluding
the cost of providing passenger equipment needed to provide the transpor-
tation), Amtrak may choose to consider modifying or discontinuing the
transportation. If Amtrak does make such a choice, Amtrak shall solicit
public comment for at least 30 days on alternatives to the modification or
discontinuance. Not later than 60 days after the comment period ends, Am-
trak may modify or discontinue the transportation so that there is no short-
term avoidable loss under this section for providing the transportation on
the route.
§ 24709. International transportation
Amtrak may develop and operate international intercity rail passenger
transportation between the United States and Canada and between the
United States and Mexico. The Secretary of the Treasury and the Attorney
General, in cooperation with Amtrak, shall maintain, consistent with the ef-
fective enforcement of the immigration and customs laws, en route customs
225
inspection and immigration procedures for international intercity rail pas-
senger transportation that will—
(1) be convenient for passengers; and
(2) result in the quickest possible international intercity rail pas-
senger transportation.
CHAPTER 249—NORTHEAST CORRIDOR IMPROVEMENT
PROGRAM
Sec.
24901.
Definitions.
24902.
Goals and requirements.
24903.
Program master plan for Boston-New York main line.
24904.
General authority.
24905.
Coordination board and safety committee.
24906.
Eliminating highway at-grade crossings.
24907.
Note and mortgage.
24908.
Transfer taxes and levies and recording charges.
24909.
Authorization of appropriations.
§ 24901. Definitions
In this chapter—
(1) ‘‘final system plan’’ means the final system plan (including addi-
tions) adopted by the United States Railway Association under the Re-
gional Rail Reorganization Act of 1973 (45 U.S.C. 701 et seq.).
(2) ‘‘rail carrier’’ means an express carrier and a rail carrier as de-
fined in section 10102 of this title, including Amtrak.
§ 24902. Goals and requirements
(a) NORTHEAST CORRIDOR IMPROVEMENT PLAN.—To the extent of
amounts appropriated under section 24909 of this title, Amtrak shall carry
out a Northeast Corridor improvement program to achieve the following
goals:
(1) establish not later than September 30, 1985, regularly scheduled
and dependable intercity rail passenger transportation between—
(A) Boston, Massachusetts, and New York, New York, in not
more than 3 hours and 40 minutes, including intermediate stops;
and
(B) New York, New York, and the District of Columbia, in not
more than 2 hours and 40 minutes, including intermediate stops;
(2) improve facilities, under route criteria approved by Congress, on
routes to Harrisburg, Pennsylvania, Albany, New York, and Atlantic
City, New Jersey, from the Northeast Corridor main line, and to Bos-
ton, Massachusetts, and New Haven, Connecticut, from Springfield,
Massachusetts, to make those facilities more compatible with improved
high-speed transportation provided on the Northeast Corridor main
line;
(3) improve nonoperational parts of stations, related facilities, and
fencing used in intercity rail passenger transportation;
226
(4) facilitate improvements in, and usage of, commuter rail pas-
senger, rail rapid transit, and local public transportation, to the extent
compatible with clauses (1)–(3) of this subsection and subsections (f)
and (h) of this section;
(5) maintain and improve rail freight transportation in or adjacent
to the Northeast Corridor and through-freight transportation in the
Northeast Corridor, to the extent compatible with clauses (1)–(4) of
this subsection and subsections (f) and (h) of this section;
(6) continue and improve passenger radio mobile telephone service on
high-speed rail passenger transportation between Boston, Massachu-
setts, and the District of Columbia, to the extent compatible with
clauses (1)–(3) of this subsection and subsections (f) and (h) of this
section; and
(7) eliminate to the maximum extent practicable congestion in rail
freight and rail passenger transportation at the Baltimore and Potomac
Tunnel in Baltimore, Maryland, by rehabilitating and improving the
tunnel and the rail lines approaching the tunnel.
(b) MANAGING COSTS AND REVENUES.—Amtrak shall manage its operat-
ing costs, pricing policies, and other factors with the goal of having revenues
derived each fiscal year from providing intercity rail passenger transpor-
tation over the Northeast Corridor route between the District of Columbia
and Boston, Massachusetts, equal at least the operating costs of providing
that transportation in that fiscal year.
(c) COST SHARING FOR NONOPERATIONAL FACILITIES.—(1) Fifty per-
cent of the cost of improvements under subsection (a)(3) of this section
shall be paid by a State, local or regional transportation authority or other
responsible party. However, Amtrak may finance entirely a safety-related
improvement.
(2) When a part of the cost of improvements under subsection (a)(3) of
this section will be paid by a responsible party under paragraph (1) of this
subsection, Amtrak may make an agreement with the party under which
Amtrak—
(A) shall carry out the improvements with amounts appropriated
under section 24909 of this title and the party shall reimburse Amtrak;
and
(B) to the extent provided in an appropriation law, may incur obliga-
tions for contracts to carry out the improvements in anticipation of re-
imbursement.
(3) Amounts reimbursed to Amtrak under paragraph (2) of this sub-
section shall be credited to the appropriation originally charged for the cost
of the improvements and are available for further obligation.
227
(d) PASSENGER RADIO MOBILE TELEPHONE SERVICE.—The President
and departments, agencies, and instrumentalities of the United States Gov-
ernment shall assist Amtrak under subsection (a)(6) of this section, subject
to the Communications Act of 1934 (47 U.S.C. 151 et seq.) and radio serv-
ices standards, when the Federal Communications Commission decides the
assistance is in the public interest, convenience, and necessity.
(e) PRIORITIES IN SELECTING AND SCHEDULING PROJECTS.—When se-
lecting and scheduling specific projects, Amtrak shall apply the following
considerations, in the following order of priority:
(1) Safety-related items should be completed before other items be-
cause the safety of the passengers and users of the Northeast Corridor
is paramount.
(2) Activities that benefit the greatest number of passengers should
be completed before activities involving fewer passengers.
(3) Reliability of intercity rail passenger transportation must be em-
phasized.
(4) Trip-time requirements of this section must be achieved to the
extent compatible with the priorities referred to in paragraphs (1)–(3)
of this subsection.
(5) Improvements that will pay for the investment by achieving lower
operating or maintenance costs should be carried out before other im-
provements.
(6) Construction operations should be scheduled so that the fewest
possible passengers are inconvenienced, transportation is maintained,
and the on-time performance of Northeast Corridor commuter rail pas-
senger and rail freight transportation is optimized.
(7) Planning should focus on completing activities that will provide
immediate benefits to users of the Northeast Corridor.
(f) COMPATIBILITY WITH FUTURE IMPROVEMENTS AND PRODUCTION OF
MAXIMUM LABOR BENEFITS.—Improvements under this section shall be
compatible with future improvements in transportation and shall produce
the maximum labor benefit from hiring individuals presently unemployed.
(g) AUTOMATIC TRAIN CONTROL SYSTEMS.—A train operating on the
Northeast Corridor main line or between the main line and Atlantic City
shall be equipped with an automatic train control system designed to slow
or stop the train in response to an external signal.
(h) HIGH-SPEED TRANSPORTATION.—If practicable, Amtrak shall estab-
lish intercity rail passenger transportation in the Northeast Corridor that
carries out section 703(1)(E) of the Railroad Revitalization and Regulatory
Reform Act of 1976 (Public Law 94–210, 90 Stat. 121).
228
(i) EQUIPMENT DEVELOPMENT.—Amtrak shall develop economical and
reliable equipment compatible with track, operating, and marketing charac-
teristics of the Northeast Corridor, including the capability to meet reliable
trip times under section 703(1)(E) of the Railroad Revitalization and Regu-
latory Reform Act of 1976 (Public Law 94–210, 90 Stat. 121) in regularly
scheduled revenue transportation in the Corridor, when the Northeast Cor-
ridor improvement program is completed. Amtrak must decide that equip-
ment complies with this subsection before buying equipment with financial
assistance of the Government. Amtrak shall submit a request for an author-
ization of appropriations for production of the equipment.
(j) AGREEMENTS
FOR OFF-CORRIDOR ROUTING
OF RAIL FREIGHT
TRANSPORTATION.—(1) Amtrak may make an agreement with a rail freight
carrier or a regional transportation authority under which the carrier will
carry out an alternate off-corridor routing of rail freight transportation over
rail lines in the Northeast Corridor between the District of Columbia and
New York metropolitan areas, including intermediate points. The agreement
shall be for at least 5 years.
(2) Amtrak shall apply to the Interstate Commerce Commission for ap-
proval of the agreement and all related agreements accompanying the appli-
cation as soon as the agreement is made. If the Commission finds that ap-
proval is necessary to carry out this chapter, the Commission shall approve
the application and related agreements not later than 90 days after receiv-
ing the application.
(3) If an agreement is not made under paragraph (1) of this subsection,
Amtrak, with the consent of the other parties, may apply to the Interstate
Commerce Commission. Not later than 90 days after the application, the
Commission shall decide on the terms of an agreement if it decides that
doing so is necessary to carry out this chapter. The decision of the Commis-
sion is binding on the other parties.
(k) COORDINATION.—(1) The Secretary of Transportation shall coordi-
nate—
(A) transportation programs related to the Northeast Corridor to en-
sure that the programs are integrated and consistent with the North-
east Corridor improvement program; and
(B) amounts from departments, agencies, and instrumentalities of
the Government to achieve urban redevelopment and revitalization in
the vicinity of urban rail stations in the Northeast Corridor served by
intercity and commuter rail passenger transportation.
(2) If the Secretary finds significant noncompliance with this section, the
Secretary may deny financing to a noncomplying program until the non-
compliance is corrected.
229
(l) COMPLETION.—Amtrak shall give the highest priority to completing
the program.
§ 24903. Program master plan for Boston-New York main
line
(a) CONTENTS.—Not later than October 27, 1993, in consultation with
Amtrak and the commuter and freight rail carriers operating over the
Northeast Corridor main line between Boston, Massachusetts, and New
York, New York, the Secretary of Transportation shall submit to the Com-
mittee on Energy and Commerce of the House of Representatives and the
Committee on Commerce, Science, and Transportation of the Senate a pro-
gram master plan for a coordinated program of improvements to that main
line that will allow the establishment of regularly scheduled, safe, and de-
pendable rail passenger transportation between Boston, Massachusetts, and
New York, New York, in not more than 3 hours, including intermediate
stops. The plan shall include—
(1) a description of the implications of the improvements for the re-
gional transportation system, including the probable effects on general
travel trends and on travel volumes in other transportation modes and
the implications for State and local governments in achieving compli-
ance with the Clean Air Act (42 U.S.C. 7401 et seq.);
(2) an identification of the coordinated program of improvements
and the specific projects of that program, including the estimated costs,
schedules, timing, and relationship of those projects with other
projects;
(3) an identification of the financial responsibility for the specific
projects of that program and the sources of the amounts for the
projects;
(4) an operating plan for the construction period of the improve-
ments that shows a coordinated approach to scheduling intercity and
commuter trains;
(5) an operating plan for the coordinated scheduling of intercity and
commuter trains for the period after the program is completed, includ-
ing priority scheduling, dispatching, and occupancy of tracks for appro-
priately frequent, regularly scheduled intercity rail passenger transpor-
tation between Boston, Massachusetts, and New York, New York, in
not more than 3 hours, including intermediate stops;
(6) a comprehensive plan to control future congestion in the North-
east Corridor attributable to increases in intercity and commuter rail
passenger transportation;
(7) an assessment of long-term operational safety needs and a list
of specific projects designed to maximize operational safety; and
230
(8) comments that Amtrak submits to the Secretary on the plan.
(b) SUBMITTING MODIFICATIONS OF PLAN TO CONGRESS.—The Sec-
retary shall submit to Congress any modification made to the program mas-
ter plan and comments that Amtrak submits on the modification.
§ 24904. General authority
(a) GENERAL.—To carry out this chapter and the Regional Rail Reorga-
nization Act of 1973 (45 U.S.C. 701 et seq.), Amtrak may—
(1) acquire, maintain, and dispose of any interest in property used
to provide improved high-speed rail transportation under section 24902
of this title;
(2) acquire any interest in real property that Amtrak considers nec-
essary to carry out the goals of section 24902;
(3) provide for rail freight, intercity rail passenger, and commuter
rail passenger transportation over property acquired under this section;
(4) improve rail rights of way between Boston, Massachusetts, and
the District of Columbia (including the route through Springfield, Mas-
sachusetts, and routes to Harrisburg, Pennsylvania, and Albany, New
York, from the Northeast Corridor main line) to achieve the goals of
section 24902 of providing improved high-speed rail passenger trans-
portation between Boston, Massachusetts, and the District of Colum-
bia, and intermediate intercity markets;
(5) acquire, build, improve, and install passenger stations, commu-
nications and electric power facilities and equipment, public and private
highway and pedestrian crossings, and other facilities and equipment
necessary to provide improved high-speed rail passenger transportation
over rights of way improved under clause (4) of this subsection;
(6) make agreements with other carriers and commuter authorities
to grant, acquire, or make arrangements for rail freight or commuter
rail passenger transportation over, rights of way and facilities acquired
under the Regional Rail Reorganization Act of 1973 (45 U.S.C. 701
et seq.) and the Railroad Revitalization and Regulatory Reform Act of
1976 (45 U.S.C. 801 et seq.);
(7) appoint a general manager of the Northeast Corridor improve-
ment program; and
(8) make agreements with telecommunications common carriers, sub-
ject to the Communications Act of 1934 (47 U.S.C. 151 et seq.), to
continue existing, and establish new and improved, passenger radio mo-
bile telephone service in the high-speed rail passenger transportation
area specified in section 24902(a)(1) and (2).
231
(b) COMPENSATORY AGREEMENTS.—Rail freight and commuter rail pas-
senger transportation provided under subsection (a)(3) of this section shall
be provided under compensatory agreements with the responsible carriers.
(c) COMPENSATION FOR TRANSPORTATION OVER CERTAIN RIGHTS OF
WAY AND FACILITIES.—(1) An agreement under subsection (a)(6) of this
section shall provide for reasonable reimbursement of costs but may not
cross-subsidize intercity rail passenger, commuter rail passenger, and rail
freight transportation.
(2) If the parties do not agree, the Interstate Commerce Commission
shall order that the transportation continue over facilities acquired under
the Regional Rail Reorganization Act of 1973 (45 U.S.C. 701 et seq.) and
the Railroad Revitalization and Regulatory Reform Act of 1976 (45 U.S.C.
801 et seq.) and shall determine compensation (without allowing cross-sub-
sidization between intercity rail passenger and rail freight transportation)
for the transportation not later than 120 days after the dispute is submit-
ted. The Commission shall assign to a rail freight carrier obtaining trans-
portation under this subsection the costs Amtrak incurs only for the benefit
of the carrier, plus a proportionate share of all other costs of providing
transportation under this paragraph incurred for the common benefit of
Amtrak and the carrier. The proportionate share shall be based on relative
measures of volume of car operations, tonnage, or other factors that reason-
ably reflect the relative use of rail property covered by this subsection.
(3) This subsection does not prevent the parties from making an agree-
ment under subsection (a)(6) of this section after the Commission makes
a decision under this subsection.
§ 24905. Coordination board and safety committee
(a) NORTHEAST CORRIDOR COORDINATION BOARD.—(1) The Northeast
Corridor Coordination Board is composed of the following members:
(A) one individual from each commuter authority (as defined in sec-
tion 1135(a) of the Omnibus Budget Reconciliation Act of 1981 (45
U.S.C. 1104)) that provides or makes a contract to provide commuter
rail passenger transportation over the main line of the Northeast Cor-
ridor.
(B) 2 individuals selected by Amtrak.
(C) one individual selected by the Consolidated Rail Corporation.
(2) The Board shall recommend to Amtrak—
(A) policies that ensure equitable access to the Northeast Corridor,
considering the need for equitable access by commuter and intercity
rail passenger transportation and the requirements of section 24308(c)
of this title; and
(B) equitable policies for the Northeast Corridor related to—
232
(i) dispatching;
(ii) public information;
(iii) maintaining equipment and facilities;
(iv) major capital facility investments; and
(v) harmonizing equipment acquisitions, rates, and schedules.
(3) The Board may recommend to the board of directors and President
of Amtrak action necessary to resolve differences on providing transpor-
tation, except for facilities and transportation matters under section
24308(a) or 24904(a)(5) and (c) of this title.
(b) NORTHEAST CORRIDOR SAFETY COMMITTEE.—(1) The Northeast
Corridor Safety Committee is composed of members appointed by the Sec-
retary of Transportation. The members shall be representatives of—
(A) the Secretary;
(B) Amtrak;
(C) freight carriers operating more than 150,000 train miles a year
on the main line of the Northeast Corridor;
(D) commuter agencies;
(E) rail passengers;
(F) rail labor; and
(G) other individuals and organizations the Secretary decides have
a significant interest in rail safety.
(2) The Secretary shall consult with the Committee about safety improve-
ments on the Northeast Corridor main line. The Committee shall meet at
least once every 2 years to consider safety matters on the main line.
(3) At the beginning of the first session of each Congress, the Secretary
shall submit a report to Congress on the status of efforts to improve safety
on the Northeast Corridor main line. The report shall include the safety rec-
ommendations of the Committee and the comments of the Secretary on
those recommendations.
(4) The Committee shall cease to exist on January 1, 1999, or on another
date the Secretary decides is appropriate. The Secretary shall notify Con-
gress in writing of a decision to terminate the Committee on another date.
§ 24906. Eliminating highway at-grade crossings
(a) PLAN.—In consultation with the States on the main line of the North-
east Corridor, the Secretary of Transportation shall develop a plan not later
than September 30, 1993, to eliminate all highway at-grade crossings of the
main line by not later than December 31, 1997. The plan may provide that
eliminating a crossing is not required if—
(1) impracticable or unnecessary; and
(2) using the crossing is consistent with conditions the Secretary
considers appropriate to ensure safety.
233
(b) AMTRAK’S SHARE OF COSTS.—Amtrak shall pay 20 percent of the
cost of eliminating each highway at-grade crossing under the plan.
§ 24907. Note and mortgage
(a) GENERAL AUTHORITY.—To secure amounts expended by the United
States Government to acquire and improve rail property designated under
section 206(c)(1)(C) and (D) of the Regional Rail Reorganization Act of
1973 (45 U.S.C. 716(c)(1)(C) and (D)), the Secretary of Transportation
may obtain a note of indebtedness from, and make a mortgage agreement
with, Amtrak to establish a mortgage lien on the property for the Govern-
ment. The note and mortgage may not supersede section 24904 of this title.
(b) EXEMPTIONS FROM LAWS AND REGULATIONS.—The note and agree-
ment under subsection (a) of this section, and a transaction related to the
note or agreement, are exempt from any United States, State, or local law
or regulation that regulates securities or the issuance of securities. The
note, agreement, or transaction under this section has the same immunities
from other laws that section 601 of the Act (45 U.S.C. 791) gives to trans-
actions that comply with or carry out the final system plan. The transfer
of rail property because of the note, agreement, or transaction has the same
exemptions, privileges, and immunities that the Act (45 U.S.C. 701 et seq.)
gives to a transfer ordered or approved by the special court under section
303(b) of the Act (45 U.S.C. 743(b)).
(c) IMMUNITY FROM LIABILITY
AND INDEMNIFICATION.—Amtrak, its
board of directors, and its individual directors are not liable because Amtrak
has given or issued the note or agreement to the Government under sub-
section (a) of this section. Immunity granted under this subsection also ap-
plies to a transaction related to the note or agreement. The Government
shall indemnify Amtrak, its board, and individual directors against costs
and expenses actually and reasonably incurred in defending a civil action
testing the validity of the note, agreement, or transaction.
§ 24908. Transfer taxes and levies and recording charges
A transfer of an interest in rail property under this chapter is exempt
from a tax or levy related to the transfer that is imposed by the United
States Government, a State, or a political subdivision of a State. On pay-
ment of the appropriate and generally applicable charge for the service per-
formed, a transferee or transferor may record an instrument and, consistent
with the final system plan, the release or removal of a pre-existing lien or
encumbrance of record related to the interest transferred.
§ 24909. Authorization of appropriations
(a) GENERAL.—(1) Not more than $2,313,000,000 may be appropriated
to the Secretary of Transportation to achieve the goals of section
234
24902(a)(1) of this title. From this amount, the following amounts shall be
expended by Amtrak:
(A) at least $27,000,000 for equipment modification and replace-
ment that a State or a local or regional transportation authority must
bear because of the electrification conversion system of the Northeast
Corridor under this chapter.
(B) $30,000,000—
(i) to improve the main line track between the Northeast Cor-
ridor main line and Atlantic City, New Jersey, to ensure that the
track, consistent with a plan New Jersey developed in consultation
with Amtrak to provide rail passenger transportation between the
Northeast Corridor main line and Atlantic City, New Jersey,
would be of sufficient quality to allow safe rail passenger transpor-
tation at a minimum of 79 miles an hour not later than September
30, 1985; and
(ii) to promote rail passenger use of the track.
(C) necessary amounts to—
(i) develop Union Station in the District of Columbia;
(ii) install 189 track-miles, and renew 133 track-miles, of con-
crete ties with continuously welded rail between the District of Co-
lumbia and New York, New York;
(iii) install reverse signaling between Philadelphia, Pennsylva-
nia, and Morrisville, Pennsylvania, on numbers 2 and 3 track;
(iv) restore ditch drainage in concrete tie locations between the
District of Columbia and New York, New York;
(v) undercut 83 track-miles between the District of Columbia
and New York, New York;
(vi) rehabilitate bridges between the District of Columbia and
New York, New York (including Hi line);
(vii) develop a maintenance of way equipment repair facility be-
tween the District of Columbia and New York, New York, and
build maintenance of way bases at Philadelphia, Pennsylvania,
Sunnyside, New York, and Cedar Hill, Connecticut;
(viii) stabilize the roadbed between the District of Columbia and
New York, New York;
(ix) automate the Bush River Drawbridge at milepost 72.14;
(x) improve the New York Service Facility to develop rolling
stock repair capability;
(xi) install a rail car washer facility at Philadelphia, Pennsylva-
nia;
235
(xii) restore storage tracks and buildings at the Washington
Service Facility;
(xiii) install centralized traffic control from Landlith, Delaware,
to Philadelphia, Pennsylvania;
(xiv) improve track, including high speed surfacing, ballast
cleaning, and associated equipment repair and material distribu-
tion;
(xv) rehabilitate interlockings between the District of Columbia
and New York, New York;
(xvi) paint the Connecticut River, Groton, and Pelham Bay
bridges;
(xvii) provide additional catenary renewal and power supply up-
grading between the District of Columbia and New York, New
York;
(xviii) rehabilitate structural, electrical, and mechanical systems
at the 30th Street Station in Philadelphia, Pennsylvania;
(xix) install evacuation and fire protection facilities in tunnels
in New York, New York;
(xx) improve the communication and signal systems between
Wilmington, Delaware, and Boston, Massachusetts, on the North-
east Corridor main line, and between Philadelphia, Pennsylvania,
and Harrisburg, Pennsylvania, on the Harrisburg Line;
(xxi) improve the electric traction systems between Wilmington,
Delaware, and Newark, New Jersey;
(xxii) install baggage rack restraints, seat back guards, and seat
lock devices on 348 passenger cars operating in the Northeast
Corridor;
(xxiii) install 44 event recorders and 10 electronic warning de-
vices on locomotives operating within the Northeast Corridor; and
(xxiv) acquire cab signal test boxes and install 9 wayside loop
code transmitters for use within the Northeast Corridor.
(2) The following additional amounts may be appropriated to the Sec-
retary for expenditure by Amtrak:
(A) not more than $150,000,000 to achieve the goal of section
24902(a)(3) of this title.
(B) not more than $120,000,000 to acquire interests in property in
the Northeast Corridor.
(C) not more than $650,000 to develop and use mobile radio fre-
quencies for passenger radio mobile telephone service on high-speed rail
passenger transportation.
236
(D) not more than $20,000,000 to acquire and improve interests in
rail property designated under section 206(c)(1)(D) of the Regional
Rail Reorganization Act of 1973 (45 U.S.C. 716(c)(1)(D)).
(E) not more than $37,000,000 to carry out section 24902(a)(7) and
(j) of this title.
(b) EMERGENCY MAINTENANCE.—Not more than $25,000,000 of the
amount appropriated under the Act of February 28, 1975 (Public Law 94–
6, 89 Stat. 11), may be used by Amtrak for emergency maintenance on rail
property designated under section 206(c)(1)(C) of the Regional Rail Reor-
ganization Act of 1973 (45 U.S.C. 716(c)(1)(C)).
(c) PRIORITY
IN USING CERTAIN AMOUNTS.—Amounts appropriated
under subsection (a)(2)(B) and (D) of this section shall be used first to
repay, with interest, obligations guaranteed under section 602 of the Rail
Passenger Service Act, if the proceeds of those obligations were used to pay
the expenses of acquiring interests in property referred to in subsection
(a)(2)(B) and (D).
(d) PROHIBITION ON SUBSIDIZING COMMUTER AND FREIGHT OPERATING
LOSSES.—Amounts appropriated under this section may not be used to sub-
sidize operating losses of commuter rail or rail freight transportation.
(e) SUBSTITUTING AND DEFERRING CERTAIN IMPROVEMENTS.—(1) A
project for which amounts are authorized under subsection (a)(1)(C) of this
section is a part of the Northeast Corridor improvement program and is not
a substitute for improvements specified in the document ‘‘Corridor Master
Plan II, NECIP Restructured Program’’ of January, 1982. However, Am-
trak may defer the project to carry out the improvement and rehabilitation
for which amounts are authorized under subsection (a)(1)(B) of this section.
The total cost of the project that Amtrak defers may not be substantially
more than the amount Amtrak is required to expend or reserve under sub-
section (a)(1)(B).
(2) Section 24902 of this title is deemed not to be fulfilled until the
projects under subsection (a)(1)(C) of this section are completed.
(f) AVAILABILITY OF AMOUNTS.—Amounts appropriated under subsection
(a)(1) and (2)(A) and (C)–(E) of this section remain available until ex-
pended.
(g) AUTHORIZATIONS INCREASED BY PRIOR YEAR DEFICIENCIES.—An
amount greater than that authorized for a fiscal year may be appropriated
to the extent that the amount appropriated for any prior fiscal year is less
than the amount authorized for that year.
PART D—MISCELLANEOUS
CHAPTER 261—LAW ENFORCEMENT
Sec.
26101.
Rail police officers.
237
26102.
Limit on certain accident or incident liability.
§ 26101. Rail police officers
Under regulations prescribed by the Secretary of Transportation, a rail
police officer who is employed by a rail carrier and certified or commis-
sioned as a police officer under the laws of a State may enforce the laws
of any jurisdiction in which the rail carrier owns property, to the extent of
the authority of a police officer certified or commissioned under the laws
of that jurisdiction, to protect—
(1) employees, passengers, or patrons of the rail carrier;
(2) property, equipment, and facilities owned, leased, operated, or
maintained by the rail carrier;
(3) property moving in interstate or foreign commerce in the posses-
sion of the rail carrier; and
(4) personnel, equipment, and material moving by rail that are vital
to the national defense.
§ 26102. Limit on certain accident or incident liability
(a) GENERAL.—When a publicly financed commuter transportation au-
thority established under Virginia law makes a contract to indemnify Am-
trak for liability for operations conducted by or for the authority or to in-
demnify a rail carrier over whose tracks those operations are conducted, li-
ability against Amtrak, the authority, or the carrier for all claims (including
punitive damages) arising from an accident or incident in the District of
Columbia related to those operations may not be more than the limits of
the liability coverage the authority maintains to indemnify Amtrak or the
carrier.
(b) MINIMUM REQUIRED LIABILITY COVERAGE.—A publicly financed
commuter transportation authority referred to in subsection (a) of this sec-
tion must maintain a total minimum liability coverage of at least
$200,000,000.
(c) EFFECTIVENESS.—This section is effective only after Amtrak or a rail
carrier seeking an indemnification contract under this section makes an op-
erating agreement with a publicly financed commuter transportation author-
ity established under Virginia law to provide access to its property for reve-
nue transportation related to the operations of the authority.
SUBTITLE VI—MOTOR VEHICLE AND DRIVER
PROGRAMS
PART A—GENERAL
CHAPTER
Sec.
301.
MOTOR VEHICLE SAFETY .........................................................................
30101
303.
NATIONAL DRIVER REGISTER .................................................................
30301
305.
NATIONAL AUTOMOBILE TITLE INFORMATION SYSTEM ................
30501
PART B—COMMERCIAL
311.
COMMERCIAL MOTOR VEHICLE SAFETY ..............................................
31101
313.
COMMERCIAL MOTOR VEHICLE OPERATORS ......................................
31301
238
315.
MOTOR CARRIER SAFETY .........................................................................
31501
317.
PARTICIPATION IN INTERNATIONAL REGISTRATION PLAN AND
INTERNATIONAL FUEL TAX AGREEMENT.
31701
PART C—INFORMATION, STANDARDS, AND REQUIREMENTS
321.
GENERAL .......................................................................................................
32101
323.
CONSUMER INFORMATION .......................................................................
32301
325.
BUMPER STANDARDS ................................................................................
32501
327.
ODOMETERS .................................................................................................
32701
329.
AUTOMOBILE FUEL ECONOMY ...............................................................
32901
331.
THEFT PREVENTION .................................................................................
33101
PART A—GENERAL
CHAPTER 301—MOTOR VEHICLE SAFETY
SUBCHAPTER I—GENERAL
Sec.
30101.
Purpose and policy.
30102.
Definitions.
30103.
Relationship to other laws.
30104.
Authorization of appropriations.
SUBCHAPTER II—STANDARDS AND COMPLIANCE
30111.
Standards.
30112.
Prohibitions on manufacturing, selling, and importing noncomplying motor vehicles
and equipment.
30113.
General exemptions.
30114.
Special exemptions.
30115.
Certification of compliance.
30116.
Defects and noncompliance found before sale to purchaser.
30117.
Providing information to, and maintaining records on, purchasers.
30118.
Notification of defects and noncompliance.
30119.
Notification procedures.
30120.
Remedies for defects and noncompliance.
30121.
Provisional notification and civil actions to enforce.
30122.
Making safety devices and elements inoperative.
30123.
Tires.
30124.
Buzzers indicating nonuse of safety belts.
30125.
Schoolbuses and schoolbus equipment.
30126.
Used motor vehicles.
30127.
Automatic occupant crash protection and seat belt use.
SUBCHAPTER III—IMPORTING NONCOMPLYING MOTOR VEHICLES AND
EQUIPMENT
30141.
Importing motor vehicles capable of complying with standards.
30142.
Importing motor vehicles for personal use.
30143.
Motor vehicles imported by individuals employed outside the United States.
30144.
Importing motor vehicles on a temporary basis.
30145.
Importing motor vehicles or equipment requiring further manufacturing.
30146.
Release of motor vehicles and bonds.
30147.
Responsibility for defects and noncompliance.
SUBCHAPTER IV—ENFORCEMENT AND ADMINISTRATIVE
30161.
Judicial review of standards.
30162.
Petitions by interested persons for standards and enforcement.
30163.
Actions by the Attorney General.
30164.
Service of process.
30165.
Civil penalty.
30166.
Inspections, investigations, and records.
30167.
Disclosure of information by the Secretary of Transportation.
30168.
Research, testing, development, and training.
30169.
Annual reports.
239
SUBCHAPTER I—GENERAL
§ 30101. Purpose and policy
The purpose of this chapter is to reduce traffic accidents and deaths and
injuries resulting from traffic accidents. Therefore it is necessary—
(1) to prescribe motor vehicle safety standards for motor vehicles
and motor vehicle equipment in interstate commerce; and
(2) to carry out needed safety research and development.
§ 30102. Definitions
(a) GENERAL DEFINITIONS.—In this chapter—
(1) ‘‘dealer’’ means a person selling and distributing new motor vehi-
cles or motor vehicle equipment primarily to purchasers that in good
faith purchase the vehicles or equipment other than for resale.
(2) ‘‘defect’’ includes any defect in performance, construction, a com-
ponent, or material of a motor vehicle or motor vehicle equipment.
(3) ‘‘distributor’’ means a person primarily selling and distributing
motor vehicles or motor vehicle equipment for resale.
(4) ‘‘interstate commerce’’ means commerce between a place in a
State and a place in another State or between places in the same State
through another State.
(5) ‘‘manufacturer’’ means a person—
(A) manufacturing or assembling motor vehicles or motor vehi-
cle equipment; or
(B) importing motor vehicles or motor vehicle equipment for re-
sale.
(6) ‘‘motor vehicle’’ means a vehicle driven or drawn by mechanical
power and manufactured primarily for use on public streets, roads, and
highways, but does not include a vehicle operated only on a rail line.
(7) ‘‘motor vehicle equipment’’ means—
(A) any system, part, or component of a motor vehicle as origi-
nally manufactured;
(B) any similar part or component manufactured or sold for re-
placement or improvement of a system, part, or component, or as
an accessory or addition to a motor vehicle; or
(C) any device or an article or apparel (except medicine or eye-
glasses prescribed by a licensed practitioner) that is not a system,
part, or component of a motor vehicle and is manufactured, sold,
delivered, offered, or intended to be used only to safeguard motor
vehicles and highway users against risk of accident, injury, or
death.
(8) ‘‘motor vehicle safety’’ means the performance of a motor vehicle
or motor vehicle equipment in a way that protects the public against
240
unreasonable risk of accidents occurring because of the design, con-
struction, or performance of a motor vehicle, and against unreasonable
risk of death or injury in an accident, and includes nonoperational safe-
ty of a motor vehicle.
(9) ‘‘motor vehicle safety standard’’ means a minimum standard for
motor vehicle or motor vehicle equipment performance.
(10) ‘‘State’’ means a State of the United States, the District of Co-
lumbia, Puerto Rico, the Northern Mariana Islands, Guam, American
Samoa, and the Virgin Islands.
(11) ‘‘United States district court’’ means a district court of the
United States, a United States court for Guam, the Virgin Islands, and
American Samoa, and the district court for the Northern Mariana Is-
lands.
(b) LIMITED DEFINITIONS.—(1) In sections 30117(b), 30118–30121,
and 30166(f) of this title—
(A) ‘‘adequate repair’’ does not include repair resulting in substan-
tially impaired operation of a motor vehicle or motor vehicle equipment;
(B) ‘‘first purchaser’’ means the first purchaser of a motor vehicle
or motor vehicle equipment other than for resale;
(C) ‘‘original equipment’’ means motor vehicle equipment (including
a tire) installed in or on a motor vehicle at the time of delivery to the
first purchaser;
(D) ‘‘replacement equipment’’ means motor vehicle equipment (in-
cluding a tire) that is not original equipment;
(E) a brand name owner of a tire marketed under a brand name not
owned by the manufacturer of the tire is deemed to be the manufac-
turer of the tire;
(F) a defect in original equipment, or noncompliance of original
equipment with a motor vehicle safety standard prescribed under this
chapter, is deemed to be a defect or noncompliance of the motor vehicle
in or on which the equipment was installed at the time of delivery to
the first purchaser;
(G) a manufacturer of a motor vehicle in or on which original equip-
ment was installed when delivered to the first purchaser is deemed to
be the manufacturer of the equipment; and
(H) a retreader of a tire is deemed to be the manufacturer of the
tire.
(2) The Secretary of Transportation may prescribe regulations changing
paragraph (1)(C), (D), (F), or (G) of this subsection.
241
§ 30103. Relationship to other laws
(a) UNIFORMITY OF REGULATIONS.—The Secretary of Transportation
may not prescribe a safety regulation related to a motor vehicle subject to
subchapter II of chapter 105 of this title that differs from a motor vehicle
safety standard prescribed under this chapter. However, the Secretary may
prescribe, for a motor vehicle operated by a carrier subject to subchapter
II of chapter 105, a safety regulation that imposes a higher standard of per-
formance after manufacture than that required by an applicable standard
in effect at the time of manufacture.
(b) PREEMPTION.—(1) When a motor vehicle safety standard is in effect
under this chapter, a State or a political subdivision of a State may pre-
scribe or continue in effect a standard applicable to the same aspect of per-
formance of a motor vehicle or motor vehicle equipment only if the standard
is identical to the standard prescribed under this chapter. However, the
United States Government, a State, or a political subdivision of a State may
prescribe a standard for a motor vehicle or motor vehicle equipment ob-
tained for its own use that imposes a higher performance requirement than
that required by the otherwise applicable standard under this chapter.
(2) A State may enforce a standard that is identical to a standard pre-
scribed under this chapter.
(c) ANTITRUST LAWS.—This chapter does not—
(1) exempt from the antitrust laws conduct that is unlawful under
those laws; or
(2) prohibit under the antitrust laws conduct that is lawful under
those laws.
(d) WARRANTY OBLIGATIONS
AND ADDITIONAL LEGAL RIGHTS
AND
REMEDIES.—Sections 30117(b), 30118–30121, 30166(f), and 30167(a) and
(b) of this title do not establish or affect a warranty obligation under a law
of the United States or a State. A remedy under those sections and sections
30161 and 30162 of this title is in addition to other rights and remedies
under other laws of the United States or a State.
(e) COMMON LAW LIABILITY.—Compliance with a motor vehicle safety
standard prescribed under this chapter does not exempt a person from li-
ability at common law.
§ 30104. Authorization of appropriations
The following amounts may be appropriated to the Secretary of Transpor-
tation for the National Highway Traffic Safety Administration to carry out
this chapter:
(1) $71,333,436 for the fiscal year ending September 30, 1993.
(2) $74,044,106 for the fiscal year ending September 30, 1994.
(3) $76,857,782 for the fiscal year ending September 30, 1995.
242
SUBCHAPTER II—STANDARDS AND COMPLIANCE
§ 30111. Standards
(a) GENERAL REQUIREMENTS.—The Secretary of Transportation shall
prescribe motor vehicle safety standards. Each standard shall be practicable,
meet the need for motor vehicle safety, and be stated in objective terms.
(b) CONSIDERATIONS AND CONSULTATION.—When prescribing a motor
vehicle safety standard under this chapter, the Secretary shall—
(1) consider relevant available motor vehicle safety information;
(2) consult with the agency established under the Act of August 20,
1958 (Public Law 85–684, 72 Stat. 635), and other appropriate State
or interstate authorities (including legislative committees);
(3) consider whether a proposed standard is reasonable, practicable,
and appropriate for the particular type of motor vehicle or motor vehi-
cle equipment for which it is prescribed; and
(4) consider the extent to which the standard will carry out section
30101 of this title.
(c) COOPERATION.—The Secretary may advise, assist, and cooperate with
departments, agencies, and instrumentalities of the United States Govern-
ment, States, and other public and private agencies in developing motor ve-
hicle safety standards.
(d) EFFECTIVE DATES OF STANDARDS.—The Secretary shall specify the
effective date of a motor vehicle safety standard prescribed under this chap-
ter in the order prescribing the standard. A standard may not become effec-
tive before the 180th day after the standard is prescribed or later than one
year after it is prescribed. However, the Secretary may prescribe a different
effective date after finding, for good cause shown, that a different effective
date is in the public interest and publishing the reasons for the finding.
(e) 5-YEAR PLAN FOR TESTING STANDARDS.—The Secretary shall estab-
lish and periodically review and update on a continuing basis a 5-year plan
for testing motor vehicle safety standards prescribed under this chapter that
the Secretary considers capable of being tested. In developing the plan and
establishing testing priorities, the Secretary shall consider factors the Sec-
retary considers appropriate, consistent with section 30101 of this title and
the Secretary’s other duties and powers under this chapter. The Secretary
may change at any time those priorities to address matters the Secretary
considers of greater priority. The initial plan may be the 5-year plan for
compliance testing in effect on December 18, 1991.
§ 30112. Prohibitions on manufacturing, selling, and import-
ing noncomplying motor vehicles and equipment
(a) GENERAL.—Except as provided in this section, sections 30113 and
30114 of this title, and subchapter III of this chapter, a person may not