§ 21301. Chapter 201 general violations

Statutory text

Penalty.—

A person may not fail to comply with section 20160 or with a regulation prescribed or order issued by the Secretary of Transportation under chapter 201 of this title. Subject to section 21304 of this title, a person violating section 20160 of this title or a regulation prescribed or order issued by the Secretary under chapter 201 is liable to the United States Government 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.

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 Secretary shall impose a civil penalty for a violation of section 20160 of this title. The amount of the penalty shall be at least $500 but not more than $25,000. However, when a grossly negligent violation or a pattern of repeated violations has caused an imminent hazard of death or injury to individuals, or has caused death or injury, the amount may be not more than $100,000.

The Secretary may find that a person has violated this chapter or a regulation prescribed or order, special permit, or approval issued under this chapter only after notice and an opportunity for a hearing. The Secretary shall impose a penalty under this section by giving the person written notice of the amount of the penalty. The Secretary may compromise the amount of a civil penalty by settlement agreement without issuance of an order. In determining the amount of a compromise, the Secretary shall consider—

the nature, circumstances, extent, and gravity of the violation;

with respect to the violator, the degree of culpability, any history of violations, the ability to pay, and any effect on the ability to continue to do business; and

other matters that justice requires.

The Attorney General may bring a civil action in an appropriate district court of the United States to collect a civil penalty imposed or compromise under this section and any accrued interest on the civil penalty. In the civil action, the amount and appropriateness of the civil penalty shall not be subject to review.

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.

Deposit in Treasury.—

A civil penalty collected under this section or section 20113(b) of this title shall be deposited in the Treasury as miscellaneous receipts.

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

1994
Pub. L. 103–272 § 1(e) · 108 Stat. 745
Enacted · 49 U.S.C. § 21301
Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 891
Source evidence
Code source credit
Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 891
Enacted provision · exact public law section
Section 1. subtitles ii, ii, and v-x of title 49, united states code (a) Certain general and permanent laws of the 49 USC prec. 101 note. United States, related to transportation, are revised, codified, and enacted by subsections (c)–(e) of this section without substantive change as subtitles II, III, and V–X of title 49, United States Code, “Transportation”. Those laws may be cited as “49 U.S.C. ________”. (b) Title 49, United States Code, is amended by striking the table of subtitles at the beginning of the title and substituting the following new table of subtitles: “Subtitle “I. DEPARTMENT OF TRANSPORTATION “II. OTHER GOVERNMENT AGENCIES “III. GENERAL AND INTERMODAL PROGRAMS “IV. INTERSTATE COMMERCE “V. RAIL PROGRAMS “VI. MOTOR VEHICLE AND DRIVER PROGRAMS “VII. AVIATION PROGRAMS “VIII. PIPELINES “IX. COMMERCIAL SPACE TRANSPORTATION “X. MISCELLANEOUS (c) Title 49, United States Code, is amended by striking subtitle II, except that chapter 31 (comprising sections 3101–3104) of subtitle II is redesignated and restated as chapter 315 (comprising sections 31501–31504) of subtitle VI of title 49, as enacted by subsection (e) of this section. (d) Title 49, United States Code, is amended by adding the following immediately after subtitle I:
1996
Pub. L. 104–287 § 5(53)(B) · 110 Stat. 3388
Substituted · 49 U.S.C. § 21301(a)(1)
Pub. L. 104–287, § 5(53)(B), substituted “Secretary under chapter 201 is liable” for “Secretary of Transportation under chapter 201 of this title is liable”
Source evidence
Code amendment note
Subsec. (a)(1). Pub. L. 104–287, § 5(53)(B), substituted “Secretary under chapter 201 is liable” for “Secretary of Transportation under chapter 201 of this title is liable”.
Enacted provision · exact public law section
(B) strike “Secretary of Transportation under chapter 201 of this title is liable” and substitute “Secretary under chapter 201 is liable”.
Effective date note
Amendment by Pub. L. 104–287 effective July 5, 1994, see section 8(1) of Pub. L. 104–287, set out as a note under section 5303 of this title.
1996
Pub. L. 104–287 § 5(53)(A) · 110 Stat. 3388
Inserted · 49 U.S.C. § 21301(a)(1)
Pub. L. 104–287, § 5(53)(A), inserted “A person may not fail to comply with a regulation prescribed or order issued by the Secretary of Transportation under chapter 201 of this title.” before “Subject to”
Target inherited from the preceding amendment note.
Source evidence
Code amendment note
Pub. L. 104–287, § 5(53)(A), inserted “A person may not fail to comply with a regulation prescribed or order issued by the Secretary of Transportation under chapter 201 of this title.” before “Subject to”.
Enacted provision · exact public law section
(A) insert “A person may not fail to comply with a regulation prescribed or order issued by the Secretary of Transportation under chapter 201 of this title.” before “Subject to ”; and
Effective date note
Amendment by Pub. L. 104–287 effective July 5, 1994, see section 8(1) of Pub. L. 104–287, set out as a note under section 5303 of this title.
2008
Pub. L. 110–432 § 204(d)(1) · 122 Stat. 4848
Inserted · 49 U.S.C. § 21301(a)(1)
Pub. L. 110–432, § 204(d)(1), inserted “with section 20160 or” after “comply” and “section 20160 of this title or” after “violating”
Source evidence
Code amendment note
Subsec. (a)(1). Pub. L. 110–432, § 204(d)(1), inserted “with section 20160 or” after “comply” and “section 20160 of this title or” after “violating”.
Enacted provision · exact public law section
(1) Section 21301(a)(1) 49 USC 21301. is amended— (A) by inserting “with section 20160 or” after “comply” in the first sentence; and (B) by inserting “section 20160 of this title or” after “violating” in the second sentence.
2008
Pub. L. 110–432 § 302(a) · 122 Stat. 4848
1. Substituted · 49 U.S.C. § 21301(a)(2)
  Pub. L. 110–432, § 302(a), substituted “$25,000.” for “$10,000.”
2. Substituted · 49 U.S.C. § 21301(a)(2)
  Pub. L. 110–432, § 302(a), substituted “$100,000.” for “$20,000.”
Source evidence
Code amendment note
Subsec. (a)(2). Pub. L. 110–432, § 302(a), substituted “$25,000.” for “$10,000.” and “$100,000.” for “$20,000.”
Enacted provision · exact public law section
(a) General Violations of Chapter 201.— Section 21301(a)(2) is amended— (1) by striking “$10,000.” and inserting “$25,000.”; and (2) by striking “$20,000.” and inserting “$100,000.”.
2008
Pub. L. 110–432 § 204(d)(2) · 122 Stat. 4848
Inserted · 49 U.S.C. § 21301(a)(2)
Pub. L. 110–432, § 204(d)(2), inserted “The Secretary shall impose a civil penalty for a violation of section 20160 of this title.” after first sentence
Target inherited from the preceding amendment note.
Source evidence
Code amendment note
Pub. L. 110–432, § 204(d)(2), inserted “The Secretary shall impose a civil penalty for a violation of section 20160 of this title.” after first sentence.
Enacted provision · exact public law section
(2) Section 21301(a)(2) 49 USC 21301. is amended by inserting “The Secretary shall impose a civil penalty for a violation of section 20160 of this title.” after the first sentence.
2021
Passenger Rail Expansion and Rail Safety Act of 2021
Pub. L. 117–58 div. B title II § 22418 · 135 Stat. 429
1. Added · 49 U.S.C. § 21301(a)(3); 49 U.S.C. § 21301(a)(4)
  Pub. L. 117–58 added pars. (3) and (4)
2. Struck · 49 U.S.C. § 21301(a)(3); 49 U.S.C. § 21301(a)(4)
  Pub. L. 117–58 struck out former par. (3). Prior to amendment, par. (3) read as follows: “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 compromise, the Secretary shall consider—
Source evidence
Code amendment note
Subsec. (a)(3), (4). Pub. L. 117–58 added pars. (3) and (4) and struck out former par. (3). Prior to amendment, par. (3) read as follows: “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 compromise, the Secretary shall consider—
“(A) the nature, circumstances, extent, and gravity of the violation; “(B) with respect to the violator, the degree of culpability, any history of violations, the ability to pay, and any effect on the ability to continue to do business; and “(C) other matters that justice requires.”
Enacted provision · exact public law section
SEC. 22418. CIVIL PENALTY ENFORCEMENT AUTHORITY. Section 21301(a) of title 49, United States Code, is amended by striking paragraph (3) and inserting the following: “(3) The Secretary may find that a person has violated this chapter or a regulation prescribed or order, special permit, or approval issued under this chapter only after notice and an opportunity for a hearing. The Secretary shall impose a penalty under this section by giving the person written notice of the amount of the penalty. The Secretary may compromise the amount of a civil penalty by settlement agreement without issuance of an order. Determination. In determining the amount of a compromise, the Secretary shall consider— “(A) the nature, circumstances, extent, and gravity of the violation; “(B) with respect to the violator, the degree of culpability, any history of violations, the ability to pay, and any effect on the ability to continue to do business; and “(C) other matters that justice requires. “(4) The Attorney General may bring a civil action in an appropriate district court of the United States to collect a civil penalty imposed or compromise under this section and any accrued interest on the civil penalty. In the civil action, the amount and appropriateness of the civil penalty shall not be subject to review.” .

9 of 9 references resolved to an enrolled provision

Notes

historicalAndRevision

Historical and Revision Notes
Pub. L. 103–272
RevisedSection	Source (U.S. Code)	Source (Statutes at Large)
21301(a)(1)	45:438(a).	Oct. 16, 1970, Pub. L. 91–458, § 209(a), 84 Stat. 975; restated Jan. 14, 1983, Pub. L. 97–468, § 706, 96 Stat. 2581; June 22, 1988, Pub. L. 100–342, § 3(a)(1), 102 Stat. 624; Sept. 3, 1992, Pub. L. 102–365, § 9(a)(1), 106 Stat. 977.
	45:438(c) (1st, 3d sentences).	Oct. 16, 1970, Pub. L. 91–458, § 209(c) (1st, 3d, 5th–8th sentences), 84 Stat. 975; June 22, 1988, Pub. L. 100–342, § 3(a)(3)(A), (C), 102 Stat. 624; Sept. 3, 1992, Pub. L. 102–365, § 4(c)(1), 106 Stat. 974.
21301(a)(2)	45:438(b) (related to rules, regulations, orders, or standards issued under this subchapter).	Oct. 16, 1970, Pub. L. 91–458, § 209(b) (related to rules, regulations, orders, or standards issued under this title), 84 Stat. 975; Jan. 3, 1975, Pub. L. 93–633, § 204(a), 88 Stat. 2165; June 22, 1988, Pub. L. 100–342, § 3(a)(2), 102 Stat. 624; Sept. 3, 1992, Pub. L. 102–365, § 4(a)(1), 106 Stat. 973.
21301(a)(3)	45:438(c) (5th, 6th sentences).
21301(b)	45:438(c) (7th sentence).
21301(c)	45:438(c) (8th sentence).

In subsection (a), the words “impose” and “imposed” are substituted for “assessed”, for consistency in the revised title.

In subsection (a)(1), the first 2 sentences are substituted for 45:438(a) and (c) (1st sentence) for consistency in the revised title and to eliminate unnecessary words. The words “(including but not limited to a railroad; any manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent contractor)” are omitted as surplus because of the definition of “person” in 1:1 and because the provision being violated indicates to whom it applies. The word “shall” in 45:438(c) (1st sentence) is retained from the source provisions. For a discussion of whether the authority of the Secretary of Transportation to impose a penalty is mandatory or permissive, see Railway Labor Executives’ Ass’n v. Dole, 760 F.2d 1021, 1024, 1025 (9th Cir. 1985); H.R. Conf. Rept. No. 100–637, 100th Cong., 2d Sess., p. 20; 134 Cong. Rec. H3470, May 23, 1988 (daily ed.); 134 Cong. Rec. S7510, June 9, 1988 (daily ed.). See also 134 Cong. Rec. E1946, June 10, 1988 (daily ed.). For an extended discussion of FRA’s prosecutorial discretion, see Nationwide Rail Safety: Hearing Before the Subcommittee on Transportation, Tourism, and Hazardous Materials of the House Energy and Commerce Committee, 100th Cong., 1st Sess., pp. 54–65 (1987). See also section 6 of this bill that provides that this bill restates, without substantive change, the provisions of law replaced by this bill, and that this bill may not be construed as making a substantive change in the law restated. Therefore, the word “shall” in this subsection has the same meaning it has under existing law. The words “A separate violation” are substituted for “a separate offense” for consistency.

In subsection (a)(3), the words “may compromise the amount . . . to not less than $500” are substituted for “may, however, be compromised . . . for any amount, but in no event for an amount less than the minimum provided in subsection (b) of this section” for clarity and to eliminate unnecessary words. In clause (B), the words “prior or subsequent” are omitted as unnecessary.

In subsection (c), the words “deposited in” are substituted for “covered into” for consistency in the revised title and with other titles of the United States Code.

Pub. L. 104–287

This amends 49:21301(a)(1) to clarify the restatement of 45:438(a) by section 1 of the Act of July 5, 1994 (Public Law 103–272, 108 Stat. 891).

Editorial Notes

Amendments1996–2021 · 3 rounds

2021

Subsec. (a)(3), (4). Pub. L. 117–58 added pars. (3) and (4) and struck out former par. (3). Prior to amendment, par. (3) read as follows: “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 compromise, the Secretary shall consider—

“(A) the nature, circumstances, extent, and gravity of the violation;

“(B) with respect to the violator, the degree of culpability, any history of violations, the ability to pay, and any effect on the ability to continue to do business; and

“(C) other matters that justice requires.”

2008

Subsec. (a)(1). Pub. L. 110–432, § 204(d)(1), inserted “with section 20160 or” after “comply” and “section 20160 of this title or” after “violating”.

Subsec. (a)(2). Pub. L. 110–432, § 302(a), substituted “$25,000.” for “$10,000.” and “$100,000.” for “$20,000.”

Pub. L. 110–432, § 204(d)(2), inserted “The Secretary shall impose a civil penalty for a violation of section 20160 of this title.” after first sentence.

1996

Subsec. (a)(1). Pub. L. 104–287, § 5(53)(B), substituted “Secretary under chapter 201 is liable” for “Secretary of Transportation under chapter 201 of this title is liable”.

Pub. L. 104–287, § 5(53)(A), inserted “A person may not fail to comply with a regulation prescribed or order issued by the Secretary of Transportation under chapter 201 of this title.” before “Subject to”.

Statutory Notes and Related Subsidiaries

Effective Date of 1996 Amendment

Amendment by Pub. L. 104–287 effective July 5, 1994, see section 8(1) of Pub. L. 104–287, set out as a note under section 5303 of this title.

Credits

1994–2021 · 4 acts

1994Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 891
1996Pub. L. 104–287, § 5(53), Oct. 11, 1996, 110 Stat. 3393
2008Pub. L. 110–432, div. A, title II, § 204(d), title III, § 302(a), Oct. 16, 2008, 122 Stat. 4871, 4878
2021Pub. L. 117–58, div. B, title II, § 22418, Nov. 15, 2021, 135 Stat. 749.

Show as published

(Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 891; Pub. L. 104–287, § 5(53), Oct. 11, 1996, 110 Stat. 3393; Pub. L. 110–432, div. A, title II, § 204(d), title III, § 302(a), Oct. 16, 2008, 122 Stat. 4871, 4878; Pub. L. 117–58, div. B, title II, § 22418, Nov. 15, 2021, 135 Stat. 749.)