49 U.S.C. § 21304 — Willfulness requirement for penalties

Page 624 TITLE 49—TRANSPORTATION § 21304 HISTORICAL AND REVISION NOTES—CONTINUED PUB. L. 103–272 Revised Section Source (U.S. Code) Source (Statutes at Large) 45:64a(a)(1) (1st sen- tence words be- fore last comma, 2d–4th sentences, 5th sentence words before last comma, last sen- tence). Mar. 4, 1907, ch. 2939, § 5(a)(1) (1st sentence words before last comma, 2d–4th sen- tences, 5th sentence words before last comma, last sentence), 34 Stat. 1417; Dec. 26, 1969, Pub. L. 91–169, § 1, 83 Stat. 464; July 8, 1976, Pub. L. 94–348, § 4(e), 90 Stat. 819; Oct. 10, 1980, Pub. L. 96–423, § 12, 94 Stat. 1816; restated June 22, 1988, Pub. L. 100–342, § 16(6)(A), 102 Stat. 635; Sept. 3, 1992, Pub. L,. 102–365, §§ 4(a)(2), (c)(2), 9(a)(2), 106 Stat. 973, 974, 977. 45:64a(a)(2). Mar. 4, 1907, ch. 2939, § 5(a)(2), 34 Stat. 1417; Dec. 26, 1969, Pub. L. 91–169, § 1, 83 Stat. 464; July 8, 1976, Pub. L. 94–348, § 4(e), 90 Stat. 819; restated Oct. 10, 1980, Pub. L. 96–423, § 12, 94 Stat. 1816; June 22, 1988, Pub. L. 100–342, § 16(6)(B), 102 Stat. 635. 45:64a(b). Mar. 4, 1907, ch. 2939, § 5(b), 34 Stat. 1417; restated Dec. 26, 1969, Pub. L. 91–169, § 1, 83 Stat. 464. 45:64a(c). Mar. 4, 1907, ch. 2939, § 5(c), 34 Stat. 1417; restated Dec. 26, 1969, Pub. L. 91–169, § 1, 83 Stat. 464; June 22, 1988, Pub. L. 100–342, § 16(6)(C), 102 Stat. 635. In this section, the words ‘‘Attorney General’’ are substituted for ‘‘United States attorney’’ because of 28:509. The words ‘‘civil action’’ are substituted for ‘‘suit or suits’’, ‘‘action’’, and ‘‘prosecutions’’ for con- sistency with rule 2 of the Federal Rules of Civil Proce- dure (28 App. U.S.C.). In subsection (a)(1), 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 pro- viding goods or services to a railroad; and any em- ployee of such owner, manufacturer, lessor, lessee, or independent contractor)’’ are omitted as surplus be- cause of the definition of ‘‘person’’ in 1:1 and because the provision being violated indicates to whom it ap- plies. The words ‘‘violating chapter 211 of this title’’ are substituted for ‘‘that requires or permits any em- ployee to go, be, or remain on duty in violation of sec- tion 62, section 63, or section 63a of this title, or that violates any other provision of this chapter’’ to elimi- nate unnecessary words. The words ‘‘to the United States Government for a civil penalty’’ are substituted for ‘‘for a penalty’’ for consistency in the revised title and with other titles of the United States Code. In subsection (a)(2), the words ‘‘The Secretary of Transportation imposes a civil penalty under this sub- section’’ are substituted for ‘‘as the Secretary of Trans- portation deems reasonable’’ for clarity and consist- ency. In subsection (a)(3), the words ‘‘section 3711 of title 31’’ are substituted for ‘‘sections 3711 and 3716 to 3718 of title 31’’ because penalties are compromised under 31:3711. In clause (B), the words ‘‘prior or subsequent’’ are omitted as unnecessary. In subsection (a)(4), the words ‘‘the Secretary shall refer the matter to the Attorney General for collec- tion’’ are substituted for ‘‘recovered in a suit or suits to be brought by’’ for clarity. The text of 45:64a(b) is omitted as obsolete. In subsection (b)(1), the words ‘‘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 pre- sented to the Attorney General’’ are substituted for ‘‘It shall be the duty of the United States attorney to bring such an action upon satisfactory information being lodged with him’’ for clarity and consistency in this section and with other provisions of the revised title. In subsection (c), the words ‘‘any proceeding’’ are substituted for ‘‘all prosecutions’’ for consistency in the revised title. PUB. L. 104–287 This amends 49:21303(a)(1) to correct a grammatical error. Editorial Notes REFERENCES IN TEXT The date of enactment of the Rail Safety Improve- ment Act of 2008, referred to in subsec. (a)(1), is the date of enactment of div. A of Pub. L. 110–432, which was approved Oct. 16, 2008. AMENDMENTS 2008—Subsec. (a)(1). Pub. L. 110–432, § 108(e)(2)(B), in- serted ‘‘including section 21103 (as such section was in effect on the day before the date of enactment of the Rail Safety Improvement Act of 2008),’’ after ‘‘chapter 211 of this title,’’. Subsec. (a)(2). Pub. L. 110–432, § 302(c), substituted ‘‘$25,000.’’ for ‘‘$10,000.’’ and ‘‘$100,000.’’ for ‘‘$20,000.’’ 1996—Subsec. (a)(1). Pub. L. 104–287 inserted a comma after ‘‘chapter 211 of this title’’. 1994—Subsec. (a)(1). Pub. L. 103–440 inserted ‘‘or vio- lating any provision of a waiver applicable to that per- son that has been granted under section 21108 of this title,’’ after ‘‘chapter 211 of this title’’. § 21304. Willfulness requirement for penalties against individuals A civil penalty under this subchapter may be imposed against an individual only for a willful violation. An individual is deemed not to have committed a willful violation if the individual was following the direct order of a railroad car- rier official or supervisor under protest commu- nicated to the official or supervisor. The indi- vidual is entitled to document the protest. (Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 893.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 21304 .......... 45:6 (1st sentence words between 23d and 24th commas, 2d sentence words after 2d comma, 3d sentence). Mar. 2, 1893, ch. 196, § 6 (1st sentence words between 23d and 24th commas, 2d sentence words after 2d comma, 3d sentence), 27 Stat. 532; restated June 22, 1988, Pub. L. 100–342, § 13(1)(F), 102 Stat. 630; Sept. 3, 1992, Pub. L. 102–365, § 9(a)(3), 106 Stat. 977. 45:13 (1st sentence words after last comma, 3d, 4th sentences). Apr. 14, 1910, ch. 160, § 4 (1st sentence words after last comma, 3d, 4th sentences), 36 Stat. 299; June 22, 1988, Pub. L. 100–342, § 13(3)(C)(iii), (v), 102 Stat. 632. 45:34 (1st sentence words after last comma, 3d, 4th sentences). Feb. 17, 1911, ch. 103, § 9 (1st sentence words after last comma, 3d, 4th sentences), 36 Stat. 916; June 22, 1988, Pub. L. 100–342, § 14(7), 102 Stat. 633. 45:43 (1st sentence words after last comma, 3d sen- tence words after 5th comma, 4th sentence). May 6, 1910, ch. 208, § 7 (1st sentence words after last comma, 3d sentence words after 5th comma, 4th sen- tence), 36 Stat. 351; Sept. 13, 1960, Pub. L. 86–762, § 3, 74 Stat. 904; restated June 22, 1988, Pub. L. 100–342, § 15(4), 102 Stat. 634. Page 625 TITLE 49—TRANSPORTATION § 22101 HISTORICAL AND REVISION NOTES—CONTINUED Revised Section Source (U.S. Code) Source (Statutes at Large) 45:64a(a)(1) (1st sen- tence words after last comma, 5th sentence words after last comma, 6th sentence). Mar. 4, 1907, ch. 2939, § 5(a)(1) (1st sentence words after last comma, 5th sentence words after last comma, 6th sentence), 34 Stat. 1417; restated June 22, 1988, Pub. L. 100–342, § 16(6)(A), 102 Stat. 635. 45:438(c) (2d, 9th, last sentences). Oct. 16, 1970, Pub. L. 91–458, § 209(c) (2d, 8th, last sen- tences), 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. 49 App.:26(h) (1st sentence words after last comma, 4th sentence words after last comma, 5th sen- tence). Feb. 4, 1887, ch. 104, 24 Stat. 379, § 25(h) (1st sentence words after last comma, 4th sentence words after last comma, 5th sen- tence); added Feb. 28, 1920, ch. 91, § 441, 41 Stat. 498; restated Aug. 26, 1937, ch. 818, 50 Stat. 837; Sept. 18, 1940, ch. 722, § 14(b), 54 Stat. 919; June 22, 1988, Pub. L. 100–342, § 17(7), 102 Stat. 636. The word ‘‘official’’ is added the 2d time it appears for consistency in this section. SUBCHAPTER II—CRIMINAL PENALTIES § 21311. Records and reports (a) RECORDS AND REPORTS UNDER CHAPTER 201.—A person shall be fined under title 18, im- prisoned for not more than 2 years, or both, if the person knowingly and willfully— (1) makes a false entry in a record or report required to be made or preserved under chap- ter 201 of this title; (2) destroys, mutilates, changes, or by an- other 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 re- port in violation of a regulation prescribed or order issued under chapter 201 of this title; or (5) files a false record or report with the Sec- retary of Transportation. (b) ACCIDENT AND INCIDENT REPORTS.—A rail- road carrier not filing a report in violation of section 20901 of this title shall be fined not more than $2,500. A separate violation occurs for each day the violation continues. (Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 893; Pub. L. 110–432, div. A, title III, § 310, Oct. 16, 2008, 122 Stat. 4882.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 21311(a) ...... 45:438(e). Oct. 16, 1970, Pub. L. 91–458, 84 Stat. 971, § 209(e); added Oct. 10, 1980, Pub. L. 96–423, § 7, 94 Stat. 1814. 21311(b) ...... 45:39 (related to fine). May 6, 1910, ch. 208, § 2 (re- lated to fine), 36 Stat. 351; Jan. 3, 1975, Pub. L. 93–633, § 204(b), 88 Stat. 2166; June 22, 1988, Pub. L. 100–342, § 15(2), 102 Stat. 634; Sept. 3, 1992, Pub. L. 102–365, § 4(a)(3), 106 Stat. 973. In subsection (a), before clause (1), the words ‘‘fined under title 18’’ are substituted for ‘‘fined not more than $5,000’’ for consistency with title 18. In clause (1), the word ‘‘prepared’’ is omitted as surplus. In clause (4), the word ‘‘prepares’’ is omitted as surplus. In subsection (b), the words ‘‘shall be deemed guilty of a misdemeanor’’ are omitted for consistency with title 18. The words ‘‘upon conviction thereof by a court of competent jurisdiction’’ and ‘‘punished by a’’ are omitted as surplus. Editorial Notes AMENDMENTS 2008—Subsec. (b). Pub. L. 110–432 amended subsec. (b) generally. Prior to amendment, text read as follows: ‘‘A railroad carrier not filing the report required by sec- tion 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. Repealed.] Editorial Notes AMENDMENTS 2015—Pub. L. 114–94, div. A, title XI, § 11301(c)(4), Dec. 4, 2015, 129 Stat. 1648, struck out item 22108 ‘‘Authoriza- tion of appropriations’’. § 22101. Financial assistance for State projects (a) GENERAL.—The Secretary of Transpor- tation shall provide financial assistance to a State, as provided under this chapter, for a rail freight assistance project of the State when a rail carrier subject to part A of subtitle IV 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 Surface Transportation Board has author- ized, or exempted from the requirements of that authorization, the abandonment of, or the discontinuance of rail transportation on, the rail line related to the project; (2) improving and rehabilitating rail prop- erty on a rail line to the extent necessary to allow adequate and efficient rail freight trans- portation on the line, 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; and (3) building rail or rail-related facilities (in- cluding new connections between at least 2 ex- isting rail lines, intermodal freight terminals, sidings, bridges, and relocation of existing lines) to improve the quality and efficiency of the rail freight transportation, 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.