128
5568.
Authorization of appropriations.
SUBCHAPTER I—GENERAL
§ 5501. National Intermodal Transportation System policy
(a) GENERAL.—It is the policy of the United States Government to de-
velop a National Intermodal Transportation System that is economically ef-
ficient and environmentally sound, provides the foundation for the United
States to compete in the global economy, and will move individuals and
property in an energy efficient way.
(b) SYSTEM CHARACTERISTICS.—(1) The National Intermodal Transpor-
tation System shall consist of all forms of transportation in a unified, inter-
connected manner, including the transportation systems of the future, to re-
duce energy consumption and air pollution while promoting economic devel-
opment and supporting the United States’ preeminent position in inter-
national commerce.
(2) The National Intermodal Transportation System shall include a Na-
tional Highway System consisting of the Dwight D. Eisenhower System of
Interstate and Defense Highways and those principal arterial roads that are
essential for interstate and regional commerce and travel, national defense,
intermodal transfer facilities, and international commerce and border cross-
ings.
(3) The National Intermodal Transportation System shall include signifi-
cant improvements in public transportation necessary to achieve national
goals for improved air quality, energy conservation, international competi-
tiveness, and mobility for elderly individuals, individuals with disabilities,
and economically disadvantaged individuals in urban and rural areas of the
United States.
(4) The National Intermodal Transportation System shall provide im-
proved access to ports and airports, the Nation’s link to commerce.
(5) The National Intermodal Transportation System shall give special
emphasis to the contributions of the transportation sectors to increased pro-
ductivity growth. Social benefits must be considered with particular atten-
tion to the external benefits of reduced air pollution, reduced traffic conges-
tion, and other aspects of the quality of life in the United States.
(6) The National Intermodal Transportation System must be operated
and maintained with insistent attention to the concepts of innovation, com-
petition, energy efficiency, productivity, growth, and accountability. Prac-
tices that resulted in the lengthy and overly costly construction of the
Dwight D. Eisenhower System of Interstate and Defense Highways must
be confronted and stopped.
(7) The National Intermodal Transportation System shall be adapted to
‘‘intelligent vehicles’’, ‘‘magnetic levitation systems’’, and other new tech-
129
nologies, wherever feasible and economical, with benefit cost estimates given
special emphasis on safety considerations and techniques for cost allocation.
(8) When appropriate, the National Intermodal Transportation System
will be financed, as regards Government apportionments and reimburse-
ments, by the Highway Trust Fund. Financial assistance will be provided
to State and local governments and their instrumentalities to help carry out
national goals related to mobility for elderly individuals, individuals with dis-
abilities, and economically disadvantaged individuals.
(9) The National Intermodal Transportation System must be the center-
piece of a national investment commitment to create the new wealth of the
United States for the 21st century.
(c) DISTRIBUTION AND POSTING.—The Secretary of Transportation shall
distribute copies of the policy in subsections (a) and (b) of this section to
each employee of the Department of Transportation and ensure that the
policy is posted in all offices of the Department.
§ 5502. Intermodal Transportation Advisory Board
(a) ORGANIZATION.—The Intermodal Transportation Advisory Board is a
board in the Office of the Secretary of Transportation.
(b) MEMBERSHIP.—The Board consists of the Secretary, who serves as
chairman, and the Administrator, or the Administrator’s designee, of—
(1) the Federal Highway Administration;
(2) the Federal Aviation Administration;
(3) the Maritime Administration;
(4) the Federal Railroad Administration; and
(5) the Federal Transit Administration.
(c) DUTIES AND POWERS.—The Board shall provide recommendations for
carrying out the duties of the Secretary described in section 301(3) of this
title.
§ 5503. Office of Intermodalism
(a) ESTABLISHMENT.—The Secretary of Transportation shall establish in
the Office of the Secretary an Office of Intermodalism.
(b) DIRECTOR.—The head of the Office is a Director who shall be ap-
pointed by the Secretary.
(c) DUTIES AND POWERS.—The Director shall carry out the duties of the
Secretary described in section 301(3) of this title.
(d) INTERMODAL TRANSPORTATION DATA BASE.—(1) The Director shall
develop, maintain, and disseminate intermodal transportation data through
the Bureau of Transportation Statistics. The Director shall coordinate the
collection of data for the data base with the States and metropolitan plan-
ning organizations. The data base shall include information on—
130
(A) the volume of property and number of individuals carried in
intermodal transportation by relevant classification;
(B) patterns of movement of property and individuals in intermodal
transportation by relevant classification by origin and destination; and
(C) public and private investment in intermodal transportation facili-
ties and services.
(2) The Director shall make information from the data base available to
the public.
(e) RESEARCH.—The Director shall—
(1) coordinate United States Government research on intermodal
transportation as provided in the plan developed under section 6009(b)
of the Intermodal Surface Transportation Efficiency Act of 1991 (Pub-
lic Law 102–240, 105 Stat. 2177); and
(2) carry out additional research needs identified by the Director.
(f) TECHNICAL ASSISTANCE.—The Director shall provide technical assist-
ance to States and to metropolitan planning organizations for urban areas
having a population of at least 1,000,000 in collecting data related to inter-
modal transportation to facilitate the collection of the data by States and
metropolitan planning organizations.
(g) ADMINISTRATIVE AND CLERICAL SUPPORT.—The Director shall pro-
vide administrative and clerical support to the Intermodal Transportation
Advisory Board.
§ 5504. Model intermodal transportation plans
(a) GRANTS.—The Secretary of Transportation shall make grants to
States to develop model State intermodal transportation plans that are con-
sistent with the policy set forth in section 302(e) of this title. The model
plans shall include systems for collecting data related to intermodal trans-
portation.
(b) DISTRIBUTION.—The Secretary shall award grants to States under
this section that represent a variety of geographic regions and transpor-
tation needs, patterns, and modes.
(c) PLAN SUBMISSION.—As a condition to a State receiving a grant
under this section, the Secretary shall require that the State provide assur-
ances that the State will submit to the Secretary a State intermodal trans-
portation plan not later than 18 months after the date of receipt of the
grant.
(d) GRANT AMOUNTS.—The Secretary shall reserve, from amounts de-
ducted under section 104(a) of title 23, $3,000,000 to make grants under
this section. The total amount that a State may receive in grants under this
section may not be more than $500,000.
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SUBCHAPTER II—TERMINALS
§ 5561. Definition
In this chapter, ‘‘civic and cultural activities’’ includes libraries, musical
and dramatic presentations, art exhibits, adult education programs, public
meeting places, and other facilities for carrying on an activity any part of
which is supported under a law of the United States.
§ 5562. Assistance projects
(a) REQUIREMENTS TO PROVIDE ASSISTANCE.—The Secretary of Trans-
portation shall provide financial, technical, and advisory assistance under
this chapter to—
(1) promote, on a feasibility demonstration basis, the conversion of
at least 3 rail passenger terminals into intermodal transportation ter-
minals;
(2) preserve rail passenger terminals that reasonably are likely to be
converted or maintained pending preparation of plans for their reuse;
(3) acquire and use space in suitable buildings of historic or architec-
tural significance but only if use of the space is feasible and prudent
when compared to available alternatives; and
(4) encourage State and local governments, local and regional trans-
portation authorities, common carriers, philanthropic organizations,
and other responsible persons to develop plans to convert rail passenger
terminals into intermodal transportation terminals and civic and cul-
tural activity centers.
(b) EFFECT ON ELIGIBILITY.—This chapter does not affect the eligibility
of any rail passenger terminal for preservation or reuse assistance under an-
other program or law.
(c) ACQUIRING SPACE.—The Secretary may acquire space under sub-
section (a)(3) of this section only after consulting with the Advisory Council
on Historic Preservation and the Chairman of the National Endowment for
the Arts.
§ 5563. Conversion of certain rail passenger terminals
(a) AUTHORITY TO PROVIDE ASSISTANCE.—The Secretary of Transpor-
tation may provide financial assistance to convert a rail passenger terminal
to an intermodal transportation terminal under section 5562(a)(1) of this
title only if—
(1) the terminal can be converted to accommodate other modes of
transportation the Secretary of Transportation decides are appropriate,
including—
(A) motorbus transportation;
(B) mass transit (rail or rubber tire); and
132
(C) airline ticket offices and passenger terminals providing di-
rect transportation to area airports;
(2) the terminal is listed on the National Register of Historic Places
maintained by the Secretary of the Interior;
(3) the architectural integrity of the terminal will be preserved;
(4) to the extent practicable, the use of the terminal facilities for
transportation may be combined with use of those facilities for other
civic and cultural activities, especially when another activity is rec-
ommended by—
(A) the Advisory Council on Historic Preservation;
(B) the Chairman of the National Endowment for the Arts; or
(C) consultants retained under subsection (b) of this section;
and
(5) the terminal and the conversion project meet other criteria pre-
scribed by the Secretary of Transportation after consultation with the
Council and Chairman.
(b) ARCHITECTURAL INTEGRITY.—The Secretary of Transportation must
employ consultants on whether the architectural integrity of the rail pas-
senger terminal will be preserved under subsection (a)(3) of this section.
The Secretary may decide that the architectural integrity will be preserved
only if the consultants concur. The Council and Chairman shall recommend
consultants to be employed by the Secretary. The consultants also may
make recommendations referred to in subsection (a)(4) of this section.
(c) GOVERNMENT’S SHARE OF COSTS.—The Secretary of Transportation
may not make a grant under this section for more than 80 percent of the
total cost of converting a rail passenger terminal into an intermodal trans-
portation terminal.
§ 5564. Interim preservation of certain rail passenger termi-
nals
(a) GENERAL GRANT AUTHORITY.—Subject to subsection (b) of this sec-
tion, the Secretary of Transportation may make a grant of financial assist-
ance to a responsible person (including a governmental authority) to pre-
serve a rail passenger terminal under section 5562(a)(2) of this title. To
receive assistance under this section, the person must be qualified, prepared,
committed, and authorized by law to maintain (and prevent the demolition,
dismantling, or further deterioration of) the terminal until plans for its
reuse are prepared.
(b) GRANT REQUIREMENTS.—The Secretary of Transportation may make
a grant of financial assistance under this section only if—
(1) the Secretary decides the rail passenger terminal has a reason-
able likelihood of being converted to, or conditioned for reuse as, an
133
intermodal transportation terminal, a civic or cultural activities center,
or both; and
(2) planning activity directed toward conversion or reuse has begun
and is proceeding in a competent way.
(c) MAXIMIZING PRESERVATION OF TERMINALS.—(1) Amounts appro-
priated to carry out this section and section 5562(a)(2) of this title shall
be expended in the way most likely to maximize the preservation of rail pas-
senger terminals that are—
(A) reasonably capable of conversion to intermodal transportation
terminals;1969 (Public Law 91–143, 83 Stat. 320), as added by sec-
tion 2 of the National Capital Transportation Amendments of 1979
(Public Law 96–184, 93 Stat. 1320), shall provide the Secretary and
a contractor the Secretary chooses under subsection (c) of this section
with access to the construction sites and records of the recipient when
reasonably necessary.
(B) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(C) recommended (on the basis of architectural integrity and quality)
by the Advisory Council on Historic Preservation or the Chairman of
the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this
section for more than 80 percent of the total cost of maintaining the termi-
nal for an interim period of not more than 5 years.
§ 5565. Encouraging the development of plans for convert-
ing rail passenger terminals
(a) GENERAL GRANT AUTHORITY.—The Secretary of Transportation may
make a grant of financial assistance to a qualified person (including a gov-
ernmental authority) to encourage the development of plans for converting
a rail passenger terminal under section 5562(a)(4) of this title. To receive
assistance under this section, the person must—
(1) be prepared to develop practicable plans that meet zoning, land
use, and other requirements of the applicable State and local jurisdic-
tions in which the terminal is located;
(2) incorporate into the designs and plans proposed for converting
the terminal, features that reasonably appear likely to attract private
investors willing to carry out the planned conversion and its subsequent
maintenance and operation; and
(3) complete the designs and plans for the conversion within the pe-
riod of time prescribed by the Secretary.
(b) PREFERENCE.—In making a grant under this section, the Secretary
of Transportation shall give preferential consideration to an applicant whose
134
completed designs and plans will be carried out within 3 years after their
completion.
(c) MAXIMIZING
CONVERSION
AND
CONTINUED
PUBLIC
USE.—(1)
Amounts appropriated to carry out this section and section 5562(a)(4) of
this title shall be expended in the way most likely to maximize the conver-
sion and continued public use of rail passenger terminals that are—
(A) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(B) recommended (on the basis of architectural integrity and qual-
ity) by the Advisory Council on Historic Preservation or the Chairman
of the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this
section for more than 80 percent of the total cost of the project for which
the financial assistance is provided.
§ 5566. Records and audits
(a) RECORD REQUIREMENTS.—Each recipient of financial assistance
under this chapter shall keep records required by the Secretary of Transpor-
tation. The records shall disclose—
(1) the amount, and disposition by the recipient, of the proceeds of
the assistance;
(2) the total cost of the project for which the assistance was given
or used;
(3) the amount of that part of the cost of the project supplied by
other sources; and
(4) any other records that will make an effective audit easier.
(b) AUDITS AND INSPECTIONS.—For 3 years after a project is completed,
the Secretary and the Comptroller General may audit and inspect records
of a recipient that the Secretary or Comptroller General decides may be re-
lated or pertinent to the financial assistance.
§ 5567. Preference for preserving buildings of historic or ar-
chitectural significance
Amtrak shall give preference to the use of rail passenger terminal facili-
ties that will preserve buildings of historic or architectural significance.
§ 5568. Authorization of appropriations
(a) GENERAL.—The following amounts may be appropriated to the Sec-
retary of Transportation:
(1) not more than $15,000,000 to carry out section 5562(a)(1) and
(3) of this title.
(2) not more than $2,500,000 to carry out section 5562(a)(2) of this
title.
135
(3) not more than $2,500,000 to carry out section 5562(a)(4) of this
title.
(b) AVAILABILITY OF AMOUNTS.—Amounts appropriated to carry out this
chapter remain available until expended.
CHAPTER 57—SANITARY FOOD TRANSPORTATION
Sec.
5701.
Findings.
5702.
Definitions.
5703.
General regulation.
5704.
Tank trucks, rail tank cars, and cargo tanks.
5705.
Motor and rail transportation of nonfood products.
5706.
Dedicated vehicles.
5707.
Waiver authority.
5708.
Food transportation inspections.
5709.
Consultation.
5710.
Administrative.
5711.
Enforcement and penalties.
5712.
Relationship to other laws.
5713.
Application of sections 5711 and 5712.
5714.
Coordination procedures.
§ 5701. Findings
Congress finds that—
(1) the United States public is entitled to receive food and other
consumer products that are not made unsafe because of certain trans-
portation practices;
(2) the United States public is threatened by the transportation of
products potentially harmful to consumers in motor vehicles and rail
vehicles that are used to transport food and other consumer products;
and
(3) the risks to consumers by those transportation practices are un-
necessary and those practices must be ended.
§ 5702. Definitions
In this chapter—
(1) ‘‘cosmetic’’, ‘‘device’’, ‘‘drug’’, ‘‘food’’, and ‘‘food additive’’ have
the same meanings given those terms in section 201 of the Federal
Food, Drug, and Cosmetic Act (21 U.S.C. 321).
(2) ‘‘nonfood product’’ means (individually or by class) a material,
substance, or product that is not a cosmetic, device, drug, food, or food
additive, or is deemed a nonfood product under section 5703(a)(2) of
this title, including refuse and solid waste (as defined in section 1004
of the Solid Waste Disposal Act (42 U.S.C. 6903)).
(3) ‘‘refuse’’ means discarded material that is, or is required by law,
to be transported to or disposed of in a landfill or incinerator.
(4) ‘‘State’’ means a State of the United States, the District of Co-
lumbia, Puerto Rico, the Northern Mariana Islands, the Virgin Islands,
American Samoa, Guam, and any other territory or possession of the
United States.
136
(5) ‘‘transports’’ and ‘‘transportation’’ mean any movement of prop-
erty in commerce (including intrastate commerce) by motor vehicle or
rail vehicle.
(6) ‘‘United States’’ means all of the States.
§ 5703. General regulation
(a) GENERAL REQUIREMENTS.—(1) Not later than July 31, 1991, the
Secretary of Transportation, after consultation required by section 5709 of
this title, shall prescribe regulations on the transportation of cosmetics, de-
vices, drugs, food, and food additives in motor vehicles and rail vehicles that
are used to transport nonfood products that would make the cosmetics, de-
vices, drugs, food, or food additives unsafe to humans or animals.
(2) The Secretary shall deem a cosmetic, device, or drug to be a nonfood
product if—
(A) the cosmetic, device, or drug is transported in a motor vehicle
or rail vehicle before, or at the same time as, a food or food additive;
and
(B) transportation of the cosmetic, device, or drug would make the
food or food additive unsafe to humans or animals.
(b) SPECIAL REQUIREMENTS.—In prescribing regulations under sub-
section (a)(1) of this section, the Secretary, after consultation required by
section 5709 of this title, shall establish requirements for appropriate—
(1) recordkeeping, identification, marking, certification, or other
means of verification to comply with sections 5704–5706 of this title;
(2) decontamination, removal, disposal, and isolation to comply with
regulations carrying out sections 5704 and 5705 of this title; and
(3) material for the construction of tank trucks, rail tank cars, cargo
tanks, and accessory equipment to comply with regulations carrying out
section 5704 of this title.
(c) CONSIDERATIONS AND ADDITIONAL REQUIREMENTS.—In prescribing
regulations under subsection (a)(1) of this section, the Secretary, after con-
sultation required by section 5709 of this title, shall consider, and may es-
tablish requirements related to, each of the following:
(1) the extent to which packaging or similar means of protecting and
isolating commodities are adequate to eliminate or ameliorate the po-
tential risks of transporting cosmetics, devices, drugs, food, or food ad-
ditives in motor vehicles or rail vehicles used to transport nonfood
products.
(2) appropriate compliance and enforcement measures to carry out
this chapter.
(3) appropriate minimum insurance or other liability requirements
for a person to whom this chapter applies.
139
(b) LIST OF APPLICABLE PRODUCTS.—After consultation required by
section 5709 of this title, the Secretary shall publish in the Federal Register
a list of the products to which this section applies. The Secretary may
amend the list periodically by publication in the Federal Register.
§ 5707. Waiver authority
(a) GENERAL AUTHORITY.—After consultation required by section 5709
of this title, the Secretary of Transportation may waive any part of this
chapter or regulations prescribed under this chapter for a class of persons,
motor vehicles, rail vehicles, cosmetics, devices, drugs, food, food additives,
or nonfood products, if the Secretary decides that the waiver—
(1) would not result in the transportation of cosmetics, devices,
drugs, food, or food additives that would be unsafe to humans or ani-
mals; and
(2) would not be contrary to the public interest and this chapter.
(b) PUBLICATION OF WAIVERS.—The Secretary shall publish in the Fed-
eral Register any waiver and the reasons for the waiver.
§ 5708. Food transportation inspections
(a) GENERAL AUTHORITY.—For commercial motor vehicles, the Secretary
of Transportation may carry out this chapter and assist in carrying out
compatible State laws and regulations through means that include inspec-
tions conducted by State employees that are paid for with money authorized
under section 31104 of this title, if the recipient State agrees to assist in
the enforcement of this chapter or is enforcing compatible State laws and
regulations.
(b) PROVIDING ASSISTANCE.—On the request of the Secretary of Trans-
portation, the Secretaries of Agriculture and Health and Human Services,
the Administrator of the Environmental Protection Agency, and the heads
of other appropriate departments, agencies, and instrumentalities of the
United States Government shall provide assistance, to the extent available,
to the Secretary of Transportation to carry out this chapter, including as-
sistance in the training of personnel under a program established under sub-
section (c) of this section.
(c) TRAINING PROGRAM.—After consultation required by section 5709 of
this title and consultation with the heads of appropriate State transpor-
tation and food safety authorities, the Secretary of Transportation shall de-
velop and carry out a training program for inspectors to conduct vigorous
enforcement of this chapter and regulations prescribed under this chapter
or compatible State laws and regulations. As part of the training program,
the inspectors, including State inspectors or personnel paid with money au-
thorized under section 31104 of this title, shall be trained in the recognition
of adulteration problems associated with the transportation of cosmetics, de-
140
vices, drugs, food, and food additives and in the procedures for obtaining
assistance of the appropriate departments, agencies, and instrumentalities
of the Government and State authorities to support the enforcement.
§ 5709. Consultation
As provided by sections 5703–5708 of this title, the Secretary of Trans-
portation shall consult with the Secretaries of Agriculture and Health and
Human Services and the Administrator of the Environmental Protection
Agency.
§ 5710. Administrative
The Secretary of Transportation has the same duties and powers in regu-
lating transportation under this chapter as the Secretary has under section
5121(a)–(c) (except subsection (c)(1)(A)) of this title in regulating trans-
portation under chapter 51 of this title.
§ 5711. Enforcement and penalties
(a) ACTIONS.—The Secretary of Transportation shall request that a civil
action be brought and take action to eliminate or ameliorate an imminent
hazard related to a violation of a regulation prescribed or order issued under
this chapter in the same way and to the same extent as authorized by sec-
tion 5122 of this title.
(b) APPLICABLE PENALTIES AND PROCEDURES.—The penalties and pro-
cedures in sections 5123 and 5124 of this title apply to a violation of a reg-
ulation prescribed or order issued under this chapter.
§ 5712. Relationship to other laws
Section 5125 of this title applies to the relationship between this chapter
and a requirement of a State, a political subdivision of a State, or an Indian
tribe.
§ 5713. Application of sections 5711 and 5712
Sections 5711 and 5712 of this title apply only to transportation occur-
ring on or after the date that regulations prescribed under section
5703(a)(1) of this title are effective.
§ 5714. Coordination procedures
Not later than November 3, 1991, the Secretary of Transportation, after
consultation with appropriate State officials, shall establish procedures to
promote more effective coordination between the departments, agencies, and
instrumentalities of the United States Government and State authorities
with regulatory authority over motor carrier safety and railroad safety in
carrying out and enforcing this chapter.
CHAPTER 59—INTERMODAL SAFE CONTAINER
TRANSPORTATION
Sec.
5901.
Definitions.
5902.
Notifications and certifications.
141
5903.
Prohibitions.
5904.
State enforcement.
5905.
Liens.
5906.
Perishable agricultural commodities.
5907.
Regulations and effective date.
§ 5901. Definitions
In this chapter—
(1) the definitions in section 10102 of this title apply.
(2) ‘‘beneficial owner’’ means a person not having title to property
but having ownership rights in the property, including a trustee of
property in transit from an overseas place of origin that is domiciled
or doing business in the United States, except that a carrier, agent of
a carrier, broker, customs broker, freight forwarder, warehouser, or ter-
minal operator is not a beneficial owner only because of providing or
arranging for any part of the intermodal transportation of property.
(3) ‘‘carrier’’ means—
(A) a motor carrier, water carrier, and rail carrier providing
transportation of property in commerce; and
(B) an ocean common carrier (as defined in section 3 of the
Shipping Act of 1984 (46 App. U.S.C. 1702)) providing transpor-
tation of property in commerce.
(4) ‘‘container’’ has the meaning given the term ‘‘freight container’’
by the International Standards Organization in Series 1, Freight Con-
tainers, 3d Edition (reference number ISO668–1979(E)), including
successive revisions, and similar containers that are used in providing
transportation in interstate commerce.
(5) ‘‘first carrier’’ means the first carrier transporting a loaded con-
tainer or trailer in intermodal transportation.
(6) ‘‘intermodal transportation’’ means the successive transportation
of a loaded container or trailer from its place of origin to its place of
destination by more than one mode of transportation in interstate or
foreign commerce, whether under a single bill of lading or under sepa-
rate bills of lading.
(7) ‘‘trailer’’ means a nonpower, property-carrying, trailing unit that
is designed for use in combination with a truck tractor.
§ 5902. Notifications and certifications
(a) PRIOR NOTIFICATION.—Before a person tenders to a first carrier for
intermodal transportation a loaded container or trailer having a projected
gross cargo weight of more than 10,000 pounds (including packing material
and pallets), the person shall give the carrier a written notification of the
gross cargo weight and a reasonable description of the contents of the con-
tainer or trailer. The notification may be transmitted electronically.
142
(b) CERTIFICATION.—Not later than when a person tenders to a first car-
rier for intermodal transportation a container or trailer to which subsection
(a) of this section applies or a loaded container or trailer having an actual
gross cargo weight of more than 10,000 pounds (including packing material
and pallets), the person shall certify to the carrier in writing the actual
gross cargo weight and a reasonable description of the contents of the con-
tainer or trailer.
(c) FORWARDING CERTIFICATIONS TO SUBSEQUENT CARRIERS.—A car-
rier, agent of a carrier, broker, customs broker, freight forwarder,
warehouser, or terminal operator shall forward the certification provided
under subsection (b) of this section to a subsequent carrier transporting the
container or trailer in intermodal transportation. The act of forwarding the
certification may not be construed as a verification or affirmation of the ac-
curacy or completeness of the information in the certification.
(d) NONAPPLICATION.—(1) Subsections (a) and (b) of this section and
section 5903(c) of this title do not apply to a carrier when the carrier is
transferring a loaded container or trailer to another carrier during inter-
modal transportation, unless the carrier is also the person tendering the
loaded container or trailer to the first carrier.
(2) A carrier, agent of a carrier, broker, customs broker, freight for-
warder, warehouser, or terminal operator is deemed not to be a person ten-
dering a loaded container or trailer to a first carrier under this section, un-
less the carrier, agent, broker, customs broker, freight forwarder,
warehouser, or terminal operator assumes legal responsibility for loading
property into the container or trailer.
§ 5903. Prohibitions
(a) PROVIDING ERRONEOUS INFORMATION.—A person tendering a loaded
container or trailer may not provide erroneous information in a certification
required by section 5902(b) of this title.
(b) TRANSPORTING PRIOR TO RECEIVING CERTIFICATION.—A motor car-
rier may not transport a loaded container or trailer to which section
5902(b) of this title applies before receiving the certification required by
section 5902(b).
(c) UNLAWFUL COERCION.—(1) A person may not coerce or attempt to
coerce a person participating in intermodal transportation to transport a
loaded container or trailer having an actual gross cargo weight of more than
10,000 pounds (including packing materials and pallets) before the certifi-
cation required by section 5902(b) of this title is provided.
(2) A person, knowing that the weight of a loaded container or trailer
or the weight of a tractor-trailer combination carrying the container or trail-
er is more than the weight allowed by applicable State law, may not coerce
143
or attempt to coerce a carrier to transport the container or trailer or to op-
erate the tractor-trailer combination in violation of that State law.
§ 5904. State enforcement
(a) GENERAL.—A State may enact a law to permit the State or a politi-
cal subdivision of the State—
(1) to impose a fine or penalty, for a violation of a State highway
weight law or regulation by a tractor-trailer combination carrying a
loaded container or trailer for which a certification is required by sec-
tion 5902(b) of this title, against the person tendering the loaded con-
tainer or trailer to the first carrier if the violation results from the per-
son’s having provided erroneous information in the certification in vio-
lation of section 5903(a) of this title; and
(2) to impound the container or trailer until the fine or penalty has
been paid by the owner or beneficial owner of the contents of the con-
tainer or trailer or the person tendering the loaded container or trailer
to the first carrier.
(b) LIMITATION.—This chapter does not require a person tendering a
loaded container or trailer to a first carrier to ensure that the first carrier
or any other carrier involved in the intermodal transportation will comply
with any State highway weight law or regulation, other than as required by
this chapter.
§ 5905. Liens
(a) GENERAL.—If a person involved in the intermodal transportation of
a loaded container or trailer for which a certification is required by section
5902(b) of this title is required under State law to post a bond or pay any
fine, penalty, cost, or interest resulting from providing erroneous informa-
tion in the certification to the first carrier in violation of section 5903(a)
of this title, the person has a lien against the contents equal to the amount
of the bond, fine, penalty, cost, or interest incurred, until the person re-
ceives a payment of that amount from the owner or beneficial owner of the
contents or from the person responsible for making the certification.
(b) LIMITATIONS.—(1) A lien under this section does not authorize a per-
son to dispose of the contents of a loaded container or trailer until the per-
son who tendered the container or trailer to the first carrier is given a rea-
sonable opportunity to establish responsibility for the bond, fine, penalty,
cost, or interest.
(2) In this section, an owner or beneficial owner of the contents of a con-
tainer or trailer or a person tendering a container or trailer to the first car-
rier is deemed not to be a person involved in the intermodal transportation
of the container or trailer.
145
20116.
Annual report.
20117.
Authorization of appropriations.
SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY
20131.
Restricted access to rolling equipment.
20132.
Visible markers for rear cars.
20133.
Passenger equipment.
20134.
Grade crossings and railroad rights of way.
20135.
Licensing or certification of locomotive operators.
20136.
Automatic train control and related systems.
20137.
Event recorders.
20138.
Tampering with safety and operational monitoring devices.
20139.
Maintenance-of-way operations on railroad bridges.
20140.
Alcohol and controlled substances testing.
20141.
Power brake safety.
20142.
Track safety.
20143.
Locomotive visibility.
20144.
Blue signal protection for on-track vehicles.
SUBCHAPTER I—GENERAL
§ 20101. Purpose
The purpose of this chapter is to promote safety in every area of railroad
operations and reduce railroad-related accidents and incidents.
§ 20102. Definitions
In this part—
(1) ‘‘railroad’’—
(A) means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways, including—
(i) commuter or other short-haul railroad passenger service
in a metropolitan or suburban area and commuter railroad
service that was operated by the Consolidated Rail Corpora-
tion on January 1, 1979; and
(ii) high speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems
use new technologies not associated with traditional railroads;
but
(B) does not include rapid transit operations in an urban area
that are not connected to the general railroad system of transpor-
tation.
(2) ‘‘railroad carrier’’ means a person providing railroad transpor-
tation.
§ 20103. General authority
(a) REGULATIONS AND ORDERS.—The Secretary of Transportation, as
necessary, shall prescribe regulations and issue orders for every area of rail-
road safety supplementing laws and regulations in effect on October 16,
1970.
(b) REGULATIONS
OF PRACTICE
FOR PROCEEDINGS.—The Secretary
shall prescribe regulations of practice applicable to each proceeding under
this chapter. The regulations shall reflect the varying nature of the proceed-
146
ings and include time limits for disposition of the proceedings. The time
limit for disposition of a proceeding may not be more than 12 months after
the date it begins.
(c) CONSIDERATION OF INFORMATION AND STANDARDS.—In prescribing
regulations and issuing orders under this section, the Secretary shall con-
sider existing relevant safety information and standards.
(d) WAIVERS.—The Secretary may waive compliance with any part of a
regulation prescribed or order issued under this chapter if the waiver is in
the public interest and consistent with railroad safety. The Secretary shall
make public the reasons for granting the waiver.
(e) HEARINGS.—The Secretary shall conduct a hearing as provided by
section 553 of title 5 when prescribing a regulation or issuing an order
under this chapter, including a regulation or order establishing, amending,
or waiving compliance with a railroad safety regulation prescribed or order
issued under this chapter. An opportunity for an oral presentation shall be
provided.
§ 20104. Emergency authority
(a) ORDERING RESTRICTIONS AND PROHIBITIONS.—(1) If, through test-
ing, inspection, investigation, or research carried out under this chapter, the
Secretary of Transportation decides that an unsafe condition or practice, or
a combination of unsafe conditions and practices, causes an emergency situ-
ation involving a hazard of death or personal injury, the Secretary imme-
diately may order restrictions and prohibitions, without regard to section
20103(e) of this title, that may be necessary to abate the situation.
(2) The order shall describe the condition or practice, or a combination
of conditions and practices, that causes the emergency situation and pre-
scribe standards and procedures for obtaining relief from the order. This
paragraph does not affect the Secretary’s discretion under this section to
maintain the order in effect for as long as the emergency situation exists.
(b) REVIEW OF ORDERS.—After issuing an order under this section, the
Secretary shall provide an opportunity for review of the order under section
554 of title 5. If a petition for review is filed and the review is not com-
pleted by the end of the 30-day period beginning on the date the order was
issued, the order stops being effective at the end of that period unless the
Secretary decides in writing that the emergency situation still exists.
(c) CIVIL ACTIONS TO COMPEL ISSUANCE OF ORDERS.—An employee of
a railroad carrier engaged in interstate or foreign commerce who may be
exposed to imminent physical injury during that employment because of the
Secretary’s failure, without any reasonable basis, to issue an order under
subsection (a) of this section, or the employee’s authorized representative,
may bring a civil action against the Secretary in a district court of the Unit-
147
ed States to compel the Secretary to issue an order. The action must be
brought in the judicial district in which the emergency situation is alleged
to exist, in which that employing carrier has its principal executive office,
or for the District of Columbia. The Secretary’s failure to issue an order
under subsection (a) of this section may be reviewed only under section 706
of title 5.
§ 20105. State participation
(a) INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—The Secretary of
Transportation may prescribe investigative and surveillance activities nec-
essary to enforce the safety regulations prescribed and orders issued by the
Secretary that apply to railroad equipment, facilities, rolling stock, and op-
erations in a State. The State may participate in those activities when the
safety practices for railroad equipment, facilities, rolling stock, and oper-
ations in the State are regulated by a State authority and the authority sub-
mits to the Secretary an annual certification as provided in subsection (b)
of this section.
(b) ANNUAL CERTIFICATION.—(1) A State authority’s annual certifi-
cation must include—
(A) a certification that the authority—
(i) has regulatory jurisdiction over the safety practices for rail-
road equipment, facilities, rolling stock, and operations in the
State;
(ii) was given a copy of each safety regulation prescribed and
order issued by the Secretary, that applies to the equipment, facili-
ties, rolling stock, or operations, as of the date of certification; and
(iii) is conducting the investigative and surveillance activities
prescribed by the Secretary under subsection (a) of this section;
and
(B) a report, in the form the Secretary prescribes by regulation, that
includes—
(i) the name and address of each railroad carrier subject to the
safety jurisdiction of the authority;
(ii) each accident or incident reported during the prior 12
months by a railroad carrier involving a fatality, personal injury
requiring hospitalization, or property damage of more than $750
(or a higher amount prescribed by the Secretary), and a summary
of the authority’s investigation of the cause and circumstances
surrounding the accident or incident;
(iii) the record maintenance, reporting, and inspection practices
conducted by the authority to aid the Secretary in enforcing rail-
road safety regulations prescribed and orders issued by the Sec-
148
retary, including the number of inspections made of railroad
equipment, facilities, rolling stock, and operations by the authority
during the prior 12 months; and
(iv) other information the Secretary requires.
(2) An annual certification applies to a safety regulation prescribed or
order issued after the date of the certification only if the State authority
submits an appropriate certification to provide the necessary investigative
and surveillance activities.
(3) If, after receipt of an annual certification, the Secretary decides the
State authority is not complying satisfactorily with the investigative and
surveillance activities prescribed under subsection (a) of this section, the
Secretary may reject any part of the certification or take other appropriate
action to achieve adequate enforcement. The Secretary must give the au-
thority notice and an opportunity for a hearing before taking action under
this paragraph. When the Secretary gives notice, the burden of proof is on
the authority to show that it is complying satisfactorily with the investiga-
tive and surveillance activities prescribed by the Secretary.
(c) AGREEMENT WHEN CERTIFICATION NOT RECEIVED.—(1) If the Sec-
retary does not receive an annual certification under subsection (a) of this
section related to any railroad equipment, facility, rolling stock, or oper-
ation, the Secretary may make an agreement with a State authority for the
authority to provide any part of the investigative and surveillance activities
prescribed by the Secretary as necessary to enforce the safety regulations
and orders applicable to the equipment, facility, rolling stock, or operation.
(2) The Secretary may terminate any part of an agreement made under
this subsection on finding that the authority has not provided every part
of the investigative and surveillance activities to which the agreement re-
lates. The Secretary must give the authority notice and an opportunity for
a hearing before making such a finding. The finding and termination shall
be published in the Federal Register and may not become effective for at
least 15 days after the date of publication.
(d) AGREEMENT FOR INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—
In addition to providing for State participation under this section, the Sec-
retary may make an agreement with a State to provide investigative and
surveillance activities related to the Secretary’s duties under chapters 203–
213 of this title.
(e) PAYMENT.—On application by a State authority that has submitted
a certification under subsections (a) and (b) of this section or made an
agreement under subsection (c) or (d) of this section, the Secretary shall
pay not more than 50 percent of the cost of the personnel, equipment, and
activities of the authority needed, during the next fiscal year, to carry out
149
a safety program under the certification or agreement. However, the Sec-
retary may pay an authority only when the authority assures the Secretary
that it will provide the remaining cost of the safety program and that the
total State money expended for the safety program, excluding grants of the
United States Government, will be at least as much as the average amount
expended for the fiscal years that ended June 30, 1969, and June 30, 1970.
(f) MONITORING.—The Secretary may monitor State investigative and
surveillance practices and carry out other inspections and investigations nec-
essary to help enforce this chapter.
§ 20106. National uniformity of regulation
Laws, regulations, and orders related to railroad safety shall be nationally
uniform to the extent practicable. A State may adopt or continue in force
a law, regulation, or order related to railroad safety until the Secretary of
Transportation prescribes a regulation or issues an order covering the sub-
ject matter of the State requirement. A State may adopt or continue in
force an additional or more stringent law, regulation, or order related to
railroad safety when the law, regulation, or order—
(1) is necessary to eliminate or reduce an essentially local safety haz-
ard;
(2) is not incompatible with a law, regulation, or order of the United
States Government; and
(3) does not unreasonably burden interstate commerce.
§ 20107. Inspection and investigation
(a) GENERAL.—To carry out this part, the Secretary of Transportation
may take actions the Secretary considers necessary, including—
(1) conduct investigations, make reports, issue subpenas, require the
production of documents, take depositions, and prescribe recordkeeping
and reporting requirements; and
(2) delegate to a public entity or qualified person the inspection, ex-
amination, and testing of railroad equipment, facilities, rolling stock,
operations, and persons.
(b) ENTRY AND INSPECTION.—In carrying out this part, an officer, em-
ployee, or agent of the Secretary, at reasonable times and in a reasonable
way, may enter and inspect railroad equipment, facilities, rolling stock, op-
erations, and relevant records. When requested, the officer, employee, or
agent shall display proper credentials. During an inspection, the officer, em-
ployee, or agent is an employee of the United States Government under
chapter 171 of title 28.
150
§ 20108. Research, development, testing, and training
(a) GENERAL.—The Secretary of Transportation shall carry out, as nec-
essary, research, development, testing, evaluation, and training for every
area of railroad safety.
(b) CONTRACTS.—To carry out this part, the Secretary may make con-
tracts for, and carry out, research, development, testing, evaluation, and
training (particularly for those areas of railroad safety found to need
prompt attention).
(c) AMOUNTS FROM NON-GOVERNMENT SOURCES FOR TRAINING SAFE-
TY EMPLOYEES.—The Secretary may request, receive, and expend amounts
received from non-United States Government sources for expenses incurred
in training safety employees of private industry, State and local authorities,
or other public authorities, except State rail safety inspectors participating
in training under section 20105 of this title.
§ 20109. Employee protections
(a) FILING COMPLAINTS AND TESTIFYING.—A railroad carrier engaged
in interstate or foreign commerce may not discharge or in any way discrimi-
nate against an employee because the employee, whether acting for the em-
ployee or as a representative, has—
(1) filed a complaint or brought or caused to be brought a proceed-
ing related to the enforcement of this part or, as applicable to railroad
safety, chapter 51 or 57 of this title; or
(2) testified or will testify in that proceeding.
(b) REFUSING TO WORK BECAUSE OF HAZARDOUS CONDITIONS.—(1) A
railroad carrier engaged in interstate or foreign commerce may not dis-
charge or in any way discriminate against an employee for refusing to work
when confronted by a hazardous condition related to the performance of the
employee’s duties, if—
(A) the refusal is made in good faith and no reasonable alternative
to the refusal is available to the employee;
(B) a reasonable individual in the circumstances then confronting
the employee would conclude that—
(i) the hazardous condition presents an imminent danger of
death or serious injury; and
(ii) the urgency of the situation does not allow sufficient time
to eliminate the danger through regular statutory means; and
(C) the employee, where possible, has notified the carrier of the haz-
ardous condition and the intention not to perform further work unless
the condition is corrected immediately.
(2) This subsection does not apply to security personnel employed by a
carrier to protect individuals and property transported by railroad.
151
(c) DISPUTE RESOLUTION.—A dispute, grievance, or claim arising under
this section is subject to resolution under section 3 of the Railway Labor
Act (45 U.S.C. 153). In a proceeding by the National Railroad Adjustment
Board, a division or delegate of the Board, or another board of adjustment
established under section 3 to resolve the dispute, grievance, or claim, the
proceeding shall be expedited and the dispute, grievance, or claim shall be
resolved not later than 180 days after it is filed. If the violation is a form
of discrimination that does not involve discharge, suspension, or another ac-
tion affecting pay, and no other remedy is available under this subsection,
the Board, division, delegate, or other board of adjustment may award the
employee reasonable damages, including punitive damages, of not more than
$20,000.
(d) ELECTION OF REMEDIES.—An employee of a railroad carrier may not
seek protection under both this section and another provision of law for the
same allegedly unlawful act of the carrier.
(e) DISCLOSURE OF IDENTITY.—(1) Except as provided in paragraph (2)
of this subsection, or with the written consent of the employee, the Sec-
retary of Transportation may not disclose the name of an employee of a
railroad carrier who has provided information about an alleged violation of
this part or, as applicable to railroad safety, chapter 51 or 57 of this title
or a regulation prescribed or order issued under any of those provisions.
(2) The Secretary shall disclose to the Attorney General the name of an
employee described in paragraph (1) of this subsection if the matter is re-
ferred to the Attorney General for enforcement.
§ 20110. Effect on employee qualifications and collective
bargaining
This chapter does not—
(1) authorize the Secretary of Transportation to prescribe regula-
tions and issue orders related to qualifications of employees, except
qualifications specifically related to safety; or
(2) prohibit the bargaining representatives of railroad carriers and
their employees from making collective bargaining agreements under
the Railway Labor Act (45 U.S.C. 151 et seq.), including agreements
related to qualifications of employees, that are not inconsistent with
regulations prescribed and orders issued under this chapter.
§ 20111. Enforcement by the Secretary of Transportation
(a) EXCLUSIVE AUTHORITY.—The Secretary of Transportation has exclu-
sive authority—
(1) to impose and compromise a civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary;
152
(2) except as provided in section 20113 of this title, to request an
injunction for a violation of a railroad safety regulation prescribed or
order issued by the Secretary; and
(3) to recommend appropriate action be taken under section
20112(a) of this title.
(b) COMPLIANCE ORDERS.—The Secretary may issue an order directing
compliance with this part or with a railroad safety regulation prescribed or
order issued under this part.
(c) ORDERS PROHIBITING INDIVIDUALS FROM PERFORMING SAFETY-
SENSITIVE FUNCTIONS.—If an individual’s violation of a regulation pre-
scribed or order issued by the Secretary under this chapter is shown to
make that individual unfit for the performance of safety-sensitive functions,
the Secretary, after notice and opportunity for a hearing, may issue an
order prohibiting the individual from performing safety-sensitive functions
in the railroad industry for a specified period of time or until specified con-
ditions are met. This subsection does not affect the Secretary’s authority
under section 20104 of this title to act on an emergency basis.
(d) REGULATIONS REQUIRING REPORTING OF REMEDIAL ACTIONS.—(1)
The Secretary shall prescribe regulations to require that a railroad carrier
notified by the Secretary that imposition of a civil penalty will be rec-
ommended for a failure to comply with this part, chapter 51 or 57 of this
title, or a regulation prescribed or order issued under any of those provi-
sions, shall report to the Secretary, not later than the 30th day after the
end of the month in which the notification is received—
(A) actions taken to remedy the failure; or
(B) if appropriate remedial actions cannot be taken by that 30th
day, an explanation of the reasons for the delay.
(2) The Secretary—
(A) not later than June 3, 1993, shall issue a notice of a regulatory
proceeding for proposed regulations to carry out this subsection; and
(B) not later than September 3, 1994, shall prescribe final regula-
tions to carry out this subsection.
§ 20112. Enforcement by the Attorney General
(a) CIVIL ACTIONS.—At the request of the Secretary of Transportation,
the Attorney General may bring a civil action in a district court of the Unit-
ed States—
(1) to enjoin a violation of, or to enforce, a railroad safety regulation
prescribed or order issued by the Secretary;
(2) to collect a civil penalty imposed or an amount agreed on in com-
promise under section 21301 of this title; or
(3) to enforce a subpena issued by the Secretary under this chapter.
153
(b) VENUE.—(1) Except as provided in paragraph (2) of this subsection,
a civil action under this section may be brought in the judicial district in
which the violation occurred or the defendant has its principal executive of-
fice. If an action to collect a penalty is against an individual, the action also
may be brought in the judicial district in which the individual resides.
(2) A civil action to enforce a subpena issued by the Secretary or a com-
pliance order issued under section 20111(b) of this title may be brought in
the judicial district in which the defendant resides, does business, or is
found.
§ 20113.
Enforcement by the States
(a) INJUNCTIVE RELIEF.—If the Secretary of Transportation does not
begin a civil action under section 20112 of this title to enjoin the violation
of a railroad safety regulation prescribed or order issued by the Secretary
not later than 15 days after the date the Secretary receives notice of the
violation and a request from a State authority participating in investigative
and surveillance activities under section 20105 of this title that the action
be brought, the authority may bring a civil action in a district court of the
United States to enjoin the violation. This subsection does not apply if the
Secretary makes an affirmative written finding that the violation did not
occur or that the action is not necessary because of other enforcement ac-
tion taken by the Secretary related to the violation.
(b) IMPOSITION AND COLLECTION OF CIVIL PENALTIES.—If the Sec-
retary does not impose the applicable civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary not later
than 60 days after the date of receiving notice from a State authority par-
ticipating in investigative and surveillance activities under section 20105 of
this title, the authority may bring a civil action in a district court of the
United States to impose and collect the penalty. This paragraph does not
apply if the Secretary makes an affirmative written finding that the viola-
tion did not occur.
(c) VENUE.—A civil action under this section may be brought in the judi-
cial district in which the violation occurred or the defendant has its prin-
cipal executive office. However, a State authority may not bring an action
under this section outside the State.
§ 20114. Judicial procedures
(a) CRIMINAL CONTEMPT.—In a trial for criminal contempt for violating
an injunction or restraining order issued under this chapter, the violation
of which is also a violation of this chapter, the defendant may demand a
jury trial. The defendant shall be tried as provided in rule 42(b) of the Fed-
eral Rules of Criminal Procedure (18 App. U.S.C.).
154
(b) SUBPENAS FOR WITNESSES.—A subpena for a witness required to at-
tend a district court of the United States in an action brought under this
chapter may be served in any judicial district.
(c) REVIEW
OF
AGENCY
ACTION.—Except as provided in section
20104(c) of this title, a proceeding to review a final action of the Secretary
of Transportation under this part or, as applicable to railroad safety, chap-
ter 51 or 57 of this title shall be brought in the appropriate court of appeals
as provided in chapter 158 of title 28.
§ 20115. User fees
(a) SCHEDULE OF FEES.—The Secretary of Transportation shall pre-
scribe by regulation a schedule of fees for railroad carriers subject to this
chapter. The fees—
(1) shall cover the costs of carrying out this chapter (except section
20108(a));
(2) shall be imposed fairly on the railroad carriers, in reasonable re-
lationship to an appropriate combination of criteria such as revenue
ton-miles, track miles, passenger miles, or other relevant factors; and
(3) may not be based on that part of industry revenues attributable
to a railroad carrier or class of railroad carriers.
(b) COLLECTION PROCEDURES.—The Secretary shall prescribe proce-
dures to collect the fees. The Secretary may use the services of a depart-
ment, agency, or instrumentality of the United States Government or of a
State or local authority to collect the fees, and may reimburse the depart-
ment, agency, or instrumentality a reasonable amount for its services.
(c) COLLECTION, DEPOSIT, AND USE.—(1) The Secretary shall impose
and collect fees under this section for each fiscal year before the end of the
fiscal year.
(2) Fees collected under this section shall be deposited in the general
fund of the Treasury as offsetting receipts. The fees may be used, to the
extent provided in advance in an appropriation law, only to carry out this
chapter.
(3) Fees prescribed under this section shall be imposed in an amount suf-
ficient to pay for the costs of activities under this chapter. However, the
total fees received for a fiscal year may not be more than 105 percent of
the total amount of the appropriations for the fiscal year for activities to
be financed by the fees.
(d) ANNUAL REPORT.—(1) Not later than 90 days after the end of each
fiscal year in which fees are collected under this section, the Secretary shall
report to Congress on—
(A) the amount of fees collected during that fiscal year;
155
(B) the impact of the fees on the financial health of the railroad in-
dustry and its competitive position relative to each competing mode of
transportation; and
(C) the total cost of Government safety activities for each other com-
peting mode of transportation, including any part of that total cost de-
frayed by Government user fees.
(2) Not later than 90 days after submitting a report for a fiscal year,
the Secretary shall submit to Congress recommendations for corrective legis-
lation if the report includes a finding that—
(A) there has been an impact from the fees on the financial health
of the railroad industry or its competitive position relative to each com-
peting mode of transportation; or
(B) there is a significant difference in the burden of Government
user fees on the railroad industry and other competing modes of trans-
portation.
(e) EXPIRATION.—This section expires on September 30, 1995.
§ 20116. Annual report
The Secretary of Transportation shall submit to the President for sub-
mission to Congress not later than July 1 of each year a report on carrying
out this chapter for the prior calendar year. The report shall include the
following information about the prior year:
(1) a thorough statistical compilation of railroad accidents, incidents,
and casualties by cause.
(2) a list of railroad safety regulations and orders prescribed, issued,
or in effect under this chapter.
(3) a summary of the reasons for each waiver granted under section
20103(d) of this title.
(4) an evaluation of the degree of compliance with railroad safety
regulations prescribed and orders issued under this chapter.
(5) a summary of outstanding problems in carrying out railroad safe-
ty regulations prescribed and orders issued under this chapter, in order
of priority.
(6) an analysis and evaluation of research and related activities com-
pleted, including their policy implications, and technological progress
achieved.
(7) a list, with a brief statement of the issues, of completed or pend-
ing civil actions to enforce railroad safety regulations prescribed and
orders issued under this chapter.
(8) the extent to which technical information was distributed to the
scientific community and consumer-oriented information was made
available to the public.
156
(9) a compilation of certifications filed under section 20105(a) of
this title that were—
(A) in effect; or
(B) rejected in any part by the Secretary, and a summary of
the reasons for each rejection.
(10) a compilation of agreements made under section 20105(c) of
this title that were—
(A) in effect; or
(B) terminated in any part by the Secretary, and a summary
of the reasons for each termination.
(11) recommendations for legislation the Secretary considers nec-
essary to strengthen the national railroad safety program.
§ 20117. Authorization of appropriations
(a) GENERAL.—(1) Not more than the following amounts may be appro-
priated to the Secretary of Transportation to carry out this chapter:
(A) $68,283,000 for the fiscal year ending September 30, 1993.
(B) $71,690,000 for the fiscal year ending September 30, 1994.
(2) Not more than $5,000,000 may be appropriated to the Secretary for
the fiscal year ending September 30, 1993, to carry out section 20105 of
this title.
(b) GRADE CROSSING SAFETY.—Not more than $1,000,000 may be ap-
propriated to the Secretary for improvements in grade crossing safety, ex-
cept demonstration projects under section 20134(c) of this title. Amounts
appropriated under this subsection remain available until expended.
(c) RESEARCH AND DEVELOPMENT, AUTOMATED TRACK INSPECTION,
AND STATE PARTICIPATION GRANTS.—Amounts appropriated under this
section for research and development, automated track inspection, and
grants under section 20105(e) of this title remain available until expended.
(d) MINIMUM AVAILABLE FOR CERTAIN PURPOSES.—At least 50 percent
of the amounts appropriated to the Secretary for a fiscal year to carry out
railroad research and development programs under this chapter or another
law shall be available for safety research, improved track inspection and in-
formation acquisition technology, improved railroad freight transportation,
and improved railroad passenger systems.
SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY
§ 20131. Restricted access to rolling equipment
The Secretary of Transportation shall prescribe regulations and issue or-
ders that may be necessary to require that when railroad carrier employees
(except train or yard crews) assigned to inspect, test, repair, or service roll-
ing equipment have to work on, under, or between that equipment, every
manually operated switch, including each crossover switch, providing access
157
to the track on which the equipment is located is lined against movement
to that track and secured by an effective locking device that can be removed
only by the class or craft of employees performing the inspection, testing,
repair, or service.
§ 20132. Visible markers for rear cars
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders that may be necessary to require that—
(1) the rear car of each passenger and commuter train has at least
one highly visible marker that is lighted during darkness and when
weather conditions restrict clear visibility; and
(2) the rear car of each freight train has highly visible markers dur-
ing darkness and when weather conditions restrict clear visibility.
(b) PREEMPTION.—Notwithstanding section 20106 of this title, sub-
section (a) of this section does not prohibit a State from continuing in force
a law, regulation, or order in effect on July 8, 1976, related to lighted
markers on the rear car of a freight train except to the extent it would
cause the car to be in violation of this section.
§ 20133. Passenger equipment
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders that may be necessary to ensure that the construc-
tion, maintenance, and operation of railroad equipment used to transport
railroad passengers, whether in commuter or intercity service, maximize the
safety of those passengers. The Secretary periodically shall review the regu-
lations and orders and make amendments that may be necessary.
(b) CONSIDERATIONS AND AREAS OF CONCENTRATION.—In prescribing
regulations, issuing orders, and making amendments under this section, the
Secretary shall—
(1) consider comparable regulations and procedures of the United
States Government that apply to other modes of transportation, espe-
cially those regulations and procedures carried out by the Adminis-
trator of the Federal Aviation Administration;
(2) consider relevant differences between commuter and intercity
passenger service;
(3) concentrate on those areas that the Secretary believes present the
greatest opportunity for enhancing the safety of the equipment; and
(4) give significant weight to the expenditures that would be nec-
essary to retrofit existing equipment and to change specifications for
equipment on order.
(c) CONSULTATION.—In prescribing regulations, issuing orders, and mak-
ing amendments under this section, the Secretary may consult with Amtrak,
public authorities operating railroad passenger service, other railroad car-
158
riers transporting passengers, organizations of passengers, and organiza-
tions of employees. A consultation is not subject to the Federal Advisory
Committee Act (5 App. U.S.C.), but minutes of the consultation shall be
placed in the public docket of the regulatory proceeding.
§ 20134. Grade crossings and railroad rights of way
(a) GENERAL.—To the extent practicable, the Secretary of Transpor-
tation shall maintain a coordinated effort to develop and carry out solutions
to the railroad grade crossing problem and measures to protect pedestrians
in densely populated areas along railroad rights of way. To carry out this
subsection, the Secretary may use the authority of the Secretary under this
chapter and over highway, traffic, and motor vehicle safety and over high-
way construction.
(b) SIGNAL SYSTEMS AND OTHER DEVICES.—Not later than June 22,
1989, the Secretary shall prescribe regulations and issue orders to ensure
the safe maintenance, inspection, and testing of signal systems and devices
at railroad highway grade crossings.
(c) DEMONSTRATION PROJECTS.—(1) The Secretary shall establish dem-
onstration projects to evaluate whether accidents and incidents involving
trains would be reduced by—
(A) reflective markers installed on the road surface or on a signal
post at railroad grade crossings;
(B) stop signs or yield signs installed at grade crossings; and
(C) speed bumps or rumble strips installed on the road surfaces at
the approaches to grade crossings.
(2) Not later than June 22, 1990, the Secretary shall submit a report
on the results of the demonstration projects to the Committee on Energy
and Commerce of the House of Representatives and the Committee on Com-
merce, Science, and Transportation of the Senate.
§ 20135. Licensing or certification of locomotive operators
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders to establish a program requiring the licensing or cer-
tification, after one year after the program is established, of any operator
of a locomotive.
(b) PROGRAM REQUIREMENTS.—The program established under sub-
section (a) of this section—
(1) shall be carried out through review and approval of each railroad
carrier’s operator qualification standards;
(2) shall provide minimum training requirements;
(3) shall require comprehensive knowledge of applicable railroad car-
rier operating practices and rules;
159
(4) except as provided in subsection (c)(1) of this section, shall re-
quire consideration, to the extent the information is available, of the
motor vehicle driving record of each individual seeking licensing or cer-
tification, including—
(A) any denial, cancellation, revocation, or suspension of a
motor vehicle operator’s license by a State for cause within the
prior 5 years; and
(B) any conviction within the prior 5 years of an offense de-
scribed in section 30304(a)(3) (A) or (B) of this title;
(5) may require, based on the individual’s driving record, disquali-
fication or the granting of a license or certification conditioned on re-
quirements the Secretary prescribes; and
(6) shall require an individual seeking a license or certification—
(A) to request the chief driver licensing official of each State
in which the individual has held a motor vehicle operator’s license
within the prior 5 years to provide information about the individ-
ual’s driving record to the individual’s employer, prospective em-
ployer, or the Secretary, as the Secretary requires; and
(B) to make the request provided for in section 30305(b)(4) of
this title for information to be sent to the individual’s employer,
prospective employer, or the Secretary, as the Secretary requires.
(c) WAIVERS.—(1) The Secretary shall prescribe standards and establish
procedures for waiving subsection (b)(4) of this section for an individual or
class of individuals who the Secretary decides are not currently unfit to op-
erate a locomotive. However, the Secretary may waive subsection (b)(4) for
an individual or class of individuals with a conviction, cancellation, revoca-
tion, or suspension described in paragraph (2) (A) or (B) of this subsection
only if the individual or class, after the conviction, cancellation, revocation,
or suspension, successfully completes a rehabilitation program established by
a railroad carrier or approved by the Secretary.
(2) If an individual, after the conviction, cancellation, revocation, or sus-
pension, successfully completes a rehabilitation program established by a
railroad carrier or approved by the Secretary, the individual may not be de-
nied a license or certification under subsection (b)(4) of this section because
of—
(A) a conviction for operating a motor vehicle when under the influ-
ence of, or impaired by, alcohol or a controlled substance; or
(B) the cancellation, revocation, or suspension of the individual’s
motor vehicle operator’s license for operating a motor vehicle when
under the influence of, or impaired by, alcohol or a controlled sub-
stance.
160
(d) OPPORTUNITY FOR HEARING.—An individual denied a license or cer-
tification or whose license or certification is conditioned on requirements
prescribed under subsection (b)(4) of this section shall be entitled to a hear-
ing under section 20103(e) of this title to decide whether the license has
been properly denied or conditioned.
(e) OPPORTUNITY TO EXAMINE AND COMMENT ON INFORMATION.—The
Secretary, employer, or prospective employer, as appropriate, shall make in-
formation obtained under subsection (b)(6) of this section available to the
individual. The individual shall be given an opportunity to comment in writ-
ing about the information. Any comment shall be included in any record or
file maintained by the Secretary, employer, or prospective employer that
contains information to which the comment is related.
§ 20136. Automatic train control and related systems
The Secretary of Transportation shall prescribe regulations and issue or-
ders to require that—
(1) an individual performing a test of an automatic train stop, train
control, or cab signal apparatus required by the Secretary to be per-
formed before entering territory where the apparatus will be used shall
certify in writing that the test was performed properly; and
(2) the certification required under clause (1) of this subsection shall
be maintained in the same way and place as the daily inspection report
for the locomotive.
§ 20137. Event recorders
(a) DEFINITION.—In this section, ‘‘event recorder’’ means a device that—
(1) records train speed, hot box detection, throttle position, brake
application, brake operations, and any other function the Secretary of
Transportation considers necessary to record to assist in monitoring
the safety of train operation, such as time and signal indication; and
(2) is designed to resist tampering.
(b) REGULATIONS AND ORDERS.—Not later than December 22, 1989, the
Secretary shall prescribe regulations and issue orders that may be necessary
to enhance safety by requiring that a train be equipped with an event re-
corder not later than one year after the regulations are prescribed and the
orders are issued. However, if the Secretary finds it is impracticable to
equip trains within that one-year period, the Secretary may extend the pe-
riod to a date that is not later than 18 months after the regulations are
prescribed and the orders are issued.
161
§ 20138. Tampering with safety and operational monitoring
devices
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders to prohibit the willful tampering with, or disabling
of, any specified railroad safety or operational monitoring device.
(b) PENALTIES.—(1) A railroad carrier operating a train on which a safe-
ty or operational monitoring device is tampered with or disabled in violation
of a regulation prescribed or order issued under subsection (a) of this sec-
tion is liable to the United States Government for a civil penalty under sec-
tion 21301 of this title.
(2) An individual tampering with or disabling a safety or operational
monitoring device in violation of a regulation prescribed or order issued
under subsection (a) of this section, or knowingly operating or allowing to
be operated a train on which such a device has been tampered with or dis-
abled, is liable for penalties established by the Secretary. The penalties may
include—
(A) a civil penalty under section 21301 of this title;
(B) suspension from work; and
(C) suspension or loss of a license or certification issued under sec-
tion 20135 of this title.
§ 20139. Maintenance-of-way operations on railroad bridges
Not later than June 22, 1989, the Secretary of Transportation shall pre-
scribe regulations and issue orders for the safety of maintenance-of-way em-
ployees on railroad bridges. The Secretary at least shall provide in those
regulations standards for bridge safety equipment, including nets, walkways,
handrails, and safety lines, and requirements for the use of vessels when
work is performed on bridges located over bodies of water.
§ 20140. Alcohol and controlled substances testing
(a) DEFINITION.—In this section, ‘‘controlled substance’’ means any sub-
stance under section 102 of the Comprehensive Drug Abuse Prevention and
Control Act of 1970 (21 U.S.C. 802) specified by the Secretary of Trans-
portation.
(b) GENERAL.—(1) In the interest of safety, the Secretary of Transpor-
tation shall prescribe regulations and issue orders, not later than October
28, 1992, related to alcohol and controlled substances use in railroad oper-
ations. The regulations shall establish a program requiring—
(A) a railroad carrier to conduct preemployment, reasonable sus-
picion, random, and post-accident testing of all railroad employees re-
sponsible for safety-sensitive functions (as decided by the Secretary) for
the use of alcohol or a controlled substance in violation of law or a
United States Government regulation; and
162
(B) when the Secretary considers it appropriate, disqualification for
an established period of time or dismissal of any employee found—
(i) to have used or been impaired by alcohol when on duty; or
(ii) to have used a controlled substance, whether or not on duty,
except as allowed for medical purposes by law or a regulation or
order under this chapter.
(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;
163
(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
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,
164
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
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;
165
(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
(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.
166
(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.
(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.
167
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.
(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
168
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
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.
169
(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
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
170
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.
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.
171
(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
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.
172
(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
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
173
(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.
(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.
174
(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
(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-
175
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.
§ 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.
176
(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.
(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;
177
(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:
(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-
178
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.
(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-
179
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.
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.
180
§ 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.
(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
181
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.—(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—
182
(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
(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-
183
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
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;
184
(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;
(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.
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§ 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
(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.
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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.
246
§ 30115. Certification of compliance
A manufacturer or distributor of a motor vehicle or motor vehicle equip-
ment shall certify to the distributor or dealer at delivery that the vehicle
or equipment complies with applicable motor vehicle safety standards pre-
scribed under this chapter. A person may not issue the certificate if, in exer-
cising reasonable care, the person has reason to know the certificate is false
or misleading in a material respect. Certification of a vehicle must be shown
by a label or tag permanently fixed to the vehicle. Certification of equipment
may be shown by a label or tag on the equipment or on the outside of the
container in which the equipment is delivered.
§ 30116. Defects and noncompliance found before sale to
purchaser
(a) ACTIONS REQUIRED OF MANUFACTURERS AND DISTRIBUTORS.—If,
after a manufacturer or distributor sells a motor vehicle or motor vehicle
equipment to a distributor or dealer and before the distributor or dealer
sells the vehicle or equipment, it is decided that the vehicle or equipment
contains a defect related to motor vehicle safety or does not comply with
applicable motor vehicle safety standards prescribed under this chapter—
(1) the manufacturer or distributor immediately shall repurchase the
vehicle or equipment at the price paid by the distributor or dealer, plus
transportation charges and reasonable reimbursement of at least one
percent a month of the price paid prorated from the date of notice of
noncompliance or defect to the date of repurchase; or
(2) if a vehicle, the manufacturer or distributor immediately shall
give to the distributor or dealer at the manufacturer’s or distributor’s
own expense, the part or equipment needed to make the vehicle comply
with the standards or correct the defect.
(b) DISTRIBUTOR OR DEALER INSTALLATION.—The distributor or dealer
shall install the part or equipment referred to in subsection (a)(2) of this
section. If the distributor or dealer installs the part or equipment with rea-
sonable diligence after it is received, the manufacturer shall reimburse the
distributor or dealer for the reasonable value of the installation and a rea-
sonable reimbursement of at least one percent a month of the manufactur-
er’s or distributor’s selling price prorated from the date of notice of non-
compliance or defect to the date the motor vehicle complies with applicable
motor vehicle safety standards prescribed under this chapter or the defect
is corrected.
(c) ESTABLISHING AMOUNT DUE AND CIVIL ACTIONS.—The parties shall
establish the value of installation and the amount of reimbursement under
this section. If the parties do not agree, or if a manufacturer or distributor
refuses to comply with subsection (a) or (b) of this section, the distributor
252
(2) A lessor that receives a notification required by section 30118 of this
title about a leased motor vehicle shall provide a copy of the notification
to the lessee in the way the Secretary prescribes by regulation.
§ 30120. Remedies for defects and noncompliance
(a) WAYS TO REMEDY.—(1) Subject to subsections (f) and (g) of this
section, when notification of a defect or noncompliance is required under
section 30118(b) or (c) of this title, the manufacturer of the defective or
noncomplying motor vehicle or replacement equipment shall remedy the de-
fect or noncompliance without charge when the vehicle or equipment is pre-
sented for remedy. Subject to subsections (b) and (c) of this section, the
manufacturer shall remedy the defect or noncompliance in any of the follow-
ing ways the manufacturer chooses:
(A) if a vehicle—
(i) by repairing the vehicle;
(ii) by replacing the vehicle with an identical or reasonably
equivalent vehicle; or
(iii) by refunding the purchase price, less a reasonable allowance
for depreciation.
(B) if replacement equipment, by repairing the equipment or replac-
ing the equipment with identical or reasonably equivalent equipment.
(2) The Secretary of Transportation may prescribe regulations to allow
the manufacturer to impose conditions on the replacement of a motor vehi-
cle or refund of its price.
(b) TIRE REMEDIES.—(1) A manufacturer of a tire, including an original
equipment tire, shall remedy a defective or noncomplying tire if the owner
or purchaser presents the tire for remedy not later than 60 days after the
later of—
(A) the day the owner or purchaser receives notification under sec-
tion 30119 of this title; or
(B) if the manufacturer decides to replace the tire, the day the
owner or purchaser receives notification that a replacement is available.
(2) If the manufacturer decides to replace the tire and the replacement
is not available during the 60-day period, the owner or purchaser must
present the tire for remedy during a subsequent 60-day period that begins
only after the owner or purchaser receives notification that a replacement
will be available during the subsequent period. If tires are available during
the subsequent period, only a tire presented for remedy during that period
must be remedied.
(c) ADEQUACY OF REPAIRS.—(1) If a manufacturer decides to repair a
defective or noncomplying motor vehicle or replacement equipment and the
268
this section showing compliance with the standards applicable to the ve-
hicle.
(3) Each registered importer shall include on each motor vehicle released
under this subsection a label prescribed by the Secretary of Transportation
identifying the importer and stating that the vehicle has been altered by the
importer to comply with the standards applicable to the vehicle.
(b) RELIANCE ON MANUFACTURER’S CERTIFICATION.—In making a cer-
tification under subsection (a)(1) of this section, the registered importer
may rely on the manufacturer’s certification for the model to which the
motor vehicle involved is substantially similar if the importer certifies that
any alteration made by the importer did not affect the compliance of the
safety features of the vehicle and the importer keeps records verifying the
certification for the period the Secretary of Transportation prescribes.
(c) EVIDENCE OF COMPLIANCE.—(1) The Secretary of Transportation
may require that the certification under subsection (a)(1) of this section be
accompanied by evidence of compliance the Secretary considers appropriate
or may inspect the certified motor vehicle, or both. If the Secretary gives
notice of an inspection, an importer may release the vehicle only after—
(A) an inspection showing the motor vehicle complies with applicable
motor vehicle safety standards prescribed under this chapter for which
the inspection was made; and
(B) release of the vehicle by the Secretary.
(2) The Secretary of Transportation shall inspect periodically a represent-
ative number of motor vehicles for which certifications have been filed under
subsection (a)(1) of this section. In carrying out a motor vehicle testing pro-
gram under this chapter, the Secretary shall include a representative num-
ber of motor vehicles for which certifications have been filed under sub-
section (a)(1).
(d) CHALLENGING THE CERTIFICATION.—A motor vehicle or bond may
not be released under subsection (a) of this section if the Secretary of
Transportation, not later than 30 days after receiving a certification under
subsection (a)(1) of this section, gives written notice that the Secretary be-
lieves or has reason to believe that the certification is false or contains a
mispresentation. The vehicle and bond may be released only after the Sec-
retary is satisfied with the certification and any modification of the certifi-
cation.
(e) BOND RELEASE.—A release of a bond required under section
30141(d) of this title is deemed an acceptance of a certification or comple-
tion of an inspection under this section but is not a decision by the Sec-
retary of Transportation under section 30118(a) or (b) of this title of com-