[Senate Report 108-182]
[From the U.S. Government Publishing Office]



108th Congress                                                   Report
                                 SENATE
 1st Session                                                    108-182
_______________________________________________________________________

                                     

                                                       Calendar No. 358

                FEDERAL RAILROAD SAFETY IMPROVEMENT ACT

                               __________

                              R E P O R T

                                 OF THE

           COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

                                   on

                                S. 1402



                                     

       DATE deg.October 30, 2003.--Ordered to be printed
       SENATE COMMITTEE ON COMMERCE, SCIENCE, AND TRANSPORTATION

                      one hundred eighth congress
                             first session

                     JOHN McCAIN, Arizona, Chairman
TED STEVENS, Alaska                  ERNEST F. HOLLINGS, South Carolina
CONRAD BURNS, Montana                DANIEL K. INOUYE, Hawaii
TRENT LOTT, Mississippi              JOHN D. ROCKEFELLER IV, West 
KAY BAILEY HUTCHISON, Texas              Virginia
OLYMPIA J. SNOWE, Maine              JOHN F. KERRY, Massachusetts
SAM BROWNBACK, Kansas                JOHN B. BREAUX, Louisiana
GORDON SMITH, Oregon                 BYRON L. DORGAN, North Dakota
PETER G. FITZGERALD, Illinois        RON WYDEN, Oregon
JOHN ENSIGN, Nevada                  BARBARA BOXER, California
GEORGE ALLEN, Virginia               BILL NELSON, Florida
JOHN E. SUNUNU, New Hampshire        MARIA CANTWELL, Washington
                                     FRANK LAUTENBERG, New Jersey
           Jeanne Bumpus, Staff Director and General Counsel
                   Ann Begeman, Deputy Staff Director
                  Robert W. Chamberlin, Chief Counsel
      Kevin D. Kayes, Democratic Staff Director and Chief Counsel
                Gregg Elias, Democratic General Counsel


                                                       Calendar No. 358
108th Congress                                                   Report
                                 SENATE
 1st Session                                                    108-182

======================================================================



 
                FEDERAL RAILROAD SAFETY IMPROVEMENT ACT

                                _______
                                

                October 30, 2003.--Ordered to be printed

                                _______
                                

       Mr. McCain, from the Committee on Commerce, Science, and 
                Transportation, submitted the following

                              R E P O R T

                         [To accompany S. 1402]

    The Committee on Commerce, Science, and Transportation, to 
which was referred the bill (S. 1402) TITLE deg. to 
authorize appropriations for activities under the Federal 
railroad safety laws for fiscal years 2004 through 2008, and 
for other purposes, having considered the same, reports 
favorably thereon with amendments and recommends that the bill 
(as amended) do pass.

                          Purpose of the Bill

  The primary purposes of S. 1402 are to authorize 
appropriations for the federal rail safety program for fiscal 
years (FYs) 2004 through 2008 and to improve railroad safety 
through several new safety initiatives.

                          Background and Needs

  Railroad safety regulation dates from the late 19th century, 
when legislation was enacted to address high employee and 
passenger casualties. In 1905, 3,588 employees (in a work force 
of 1.4 million) and 369 passengers were killed in train-related 
accidents. Another 51,170 employees and 10,514 passengers were 
injured. Among the earliest railroad safety laws was the 
Accident Reports Act, passed in 1900, to require railroads to 
report accident data on injuries and fatalities and document 
accident causes. A modified version of this system is still 
used today. In 1907, Congress approved the Hours of Service 
Act, establishing the maximum number of hours certain classes 
of railroad employees may work. An amended version of the Hours 
of Service Act continues in effect.
  Today, railroad safety laws and regulations are aimed at 
preventing injuries and loss of life to freight railroad 
employees, Amtrak and commuter rail employees and passengers, 
and the general public. Areas of concern include: train 
derailments and collisions with other trains; the safety of 
hazardous materials transportation and the threat to the 
general public of a release in the event of an accident or 
incident; grade crossing accidents; injuries and fatalities to 
trespassers on railroad property; and accidents involving 
railroad employees.
  Jurisdiction over Federal rail safety regulation resides 
predominantly with the Federal Railroad Administration (FRA). 
The agency is charged with ensuring the safety of the nation's 
railroad industry which consists of nearly 600 railroads, more 
than 230,000 workers, over 170,000 route-miles of railroad 
track, 1.4 million freight cars, 20,000 locomotives, and more 
than 250,000 grade crossings.

                              CHART 1.--RAILROADS SUBJECT TO FRA SAFETY REGULATIONS
----------------------------------------------------------------------------------------------------------------
                                                                           Miles                    Revenue ($
                         Railroad                             Number      operated    Employees      billions)
----------------------------------------------------------------------------------------------------------------
Class 1 RRs \1\..........................................        \2\ 8   \3\ 97,631      162,160          $33.53
Regional RRs \1\.........................................           34       17,439       10,300            1.58
Local RRs \1\............................................          529       27,563       12,000            1.47
Commuter RRs.............................................           20        6,685       23,207         \4\ 1.3
Intercity \5\............................................            2        1,341       25,548           2.217
                                                          ------------------------------------------------------
      Total..............................................          592      171,929      233,215           40.10
----------------------------------------------------------------------------------------------------------------
\1\ Class 1 railroads in 2001 are those railroads that met the threshold operating revenue of $266.7 million, as
  established by the Surface Transportation Board for that year. Regional railroads are defined by AAR as line-
  haul railroads operating at least 350 miles of road and/or earning revenue between $40 million and the Class I
  revenue threshold. Local railroads are defined by AAR as line-haul railroads below the regional railroad
  criteria, plus switching and terminal railroads.
\2\ Includes the Soo Line, now a part of the Canadian Pacific Railroad.
\3\ Miles operated excludes doublecounting for trackage rights.
\4\ Based on fare revenues.
\5\ Consists of Amtrak and the Alaska Railroad. Miles operated reflects only owned track. Amtrak owns
  approximately 885 miles of track but operates over 21,000 miles of railroad lines owned by the freight
  railroads.

Sources: Association of American Railroads, Railroad Facts, 2002 Edition; American Public Transportation
  Association; Amtrak; and the Alaska Railroad.

  Employee fatalities in the railroad industry have declined 
dramatically since the original safety laws were adopted, to a 
total of twenty fatalities in 2002. Passenger fatalities have 
similarly declined, to a total of seven fatalities in 2002. 
Most railroad-related fatalities today relate to grade crossing 
accidents and trespassing on railroad property. In 2002, 355 
people were killed in highway-railroad grade crossing 
accidents, and there were 543 trespasser fatalities.
  Safety improvements have been especially notable since the 
Staggers Rail Act (P.L. 96-448) partially deregulated the rail 
industry in 1980. According to FRA statistics, the rail 
industry reduced its overall train accident rate 68 percent 
from 1980 through 2002, and 22 percent from 1990 through 2002. 
The rate of employee casualties (injuries and fatalities per 
200,000 hours worked) fell 74 percent from 1980 through 2002 
and 62 percent from 1990 through 2002. Last year, the rate of 
employee injuries and fatalities was the lowest on record. 
Technology improvements such as automated switches, improved 
communication and signaling devices; the elimination of 
cabooses; and the reduction in size of train crews have also 
contributed to safety improvements in the industry.
  Grade crossing accidents and fatalities also have fallen 
significantly. Between 1980 and the end of 2002, the number of 
grade crossing collisions fell 72 percent, injuries declined by 
74 percent, and fatalities were down 57 percent, despite an 
increase in exposure due to increased highway and rail traffic. 
The decrease in grade crossing fatalities can be attributed in 
part to improvements made at such crossings through the Section 
130 program (23 U.S.C. 130) which has provided $3.8 billion to 
improve grade crossing safety or eliminate grade crossings 
since 1974. In addition, public education efforts through 
organizations such as Operation Lifesaver have been credited 
with increasing awareness of the dangers of highway-rail grade 
crossings through driver education programs, public service 
announcements, and safety programs for law enforcement 
officials and emergency responders.
  In recent years, trespasser deaths have eclipsed grade 
crossing fatalities and the number of trespasser deaths is 
growing. Trespasser fatalities in 2002 were 6 percent higher 
than the previous year.
  FRA has broad jurisdiction to issue regulations to protect 
railroad safety. Among the issues FRA has addressed through 
regulation since its inception in 1967 are track safety 
standards, signal inspection, freight car safety, passenger car 
safety, locomotive safety, power brakes, alcohol and drug 
testing, operating rules and practices, accident reporting, 
hours of service record keeping, railroad communications, 
roadway worker and bridge worker protection, engineer 
qualifications, grade crossing signal maintenance, and 
passenger train emergency preparedness. The FRA is currently 
developing standards for processor-based signal and train 
control systems and the use of train horns at crossings. FRA 
also assists the Research and Special Programs Administration 
(RSPA) in developing safety standards for packaging and 
transportation of hazardous materials via rail.
  FRA employs more than 415 Federal safety inspectors 
specializing in the areas of track, signal and train control, 
motive power and equipment, operating practices, and hazardous 
materials. The FRA also trains and certifies state safety 
inspectors to assist in enforcing Federal safety regulations. 
Currently, the State Rail Safety Participation Program consists 
of 30 States employing approximately 160 safety inspectors. 
Inspectors conduct on-site safety inspections of railroads and 
monitor their compliance with Federally-mandated safety 
standards. FRA investigates railroad accidents and incidents, 
including every accident involving an employee fatality and 
every grade crossing collision involving three or more 
fatalities. \1\
---------------------------------------------------------------------------
    \1\  The National Transportation Safety Board (NTSB) is responsible 
for investigating railroad accidents. NTSB investigates rail-related 
accidents in which there is a fatality, substantial property damage, or 
which involve a passenger train.
---------------------------------------------------------------------------

Current Safety Issues

  Positive Train Control. Both FRA and the National 
Transportation Safety Board (NTSB) believe that train 
collisions could be avoided through the installation of 
Positive Train Control (PTC) technology. PTC refers to 
technology that can automatically control train movements to 
prevent train collisions (positive train separation), enforce 
speed restrictions, and provide protection for maintenance of 
way workers and their equipment. A train equipped with PTC 
would automatically slow or stop if the engineer failed to obey 
a signal. More advanced versions of PTC also may be able to 
warn of damaged track or bridges, track obstructions, and other 
on-track equipment. Further, PTC may be able to increase 
effective track capacity through the use of flexible blocks 
that reflect the current position and speed of the train rather 
than the pre-established segmenting of the line between fixed 
signals.
  While new technology for PTC is evolving, less sophisticated 
train control systems have existed since the 1920s and PTC has 
been maintained on the Northeast Corridor between New York and 
Washington, D.C., since the 1930s. The system is capable of 
slowing trains to a speed of 15 miles per hour, but cannot 
bring a train to a complete stop. Some form of train control is 
required on all passenger trains operating at speeds above 79 
miles per hour.
  Installation of PTC has been on the NTSB's ``most wanted'' 
list of safety improvements since 1990. While the NTSB supports 
the installation of PTC on all main line tracks, its highest 
priority ishigh-risk corridors such as those where commuter and 
intercity passenger railroads operate. This emphasis is based on the 
probable number of fatalities that occur when passenger trains are 
involved in collision accidents. The NTSB has investigated 16 major 
accidents and issued 38 safety recommendations that deal with PTC 
systems. In addition to these investigated major accidents, the NTSB 
also has documented since 1999 some 30 collision accidents involving 
trains without PTC systems.
  FRA and the rail industry have worked cooperatively on the 
development and testing of PTC systems for more than a decade. 
FRA has issued several reports on the issue, including reports 
in 1991 and 1994 that concluded that the high cost of PTC makes 
its installation on all rail lines unrealistic. In 1999, a PTC 
working group established as part of the Railroad Safety 
Advisory Committee (RSAC) concluded that PTC cannot be 
justified on a large scale based on safety benefits alone. The 
study estimated the total cost industry-wide to install a 
``Level 1'' system that would provide positive train separation 
and enforce speed restrictions would cost approximately $1.2 
billion. A system with additional features for safety 
monitoring and enhanced traffic management was estimated to 
cost $7.8 billion. Even for the limited system, the RSAC study 
concluded that costs would be more than twice the expected 
benefits. However, as global communications systems, in 
general, become cheaper and more widespread, the cost of 
installing PTC systems on railroads could also decline. In 
addition, PTC could improve safety on the more than 80,000 (of 
the existing 167,511) track miles of unsignalized or ``dark'' 
territory.
  In August 2001, the FRA initiated a rulemaking proceeding to 
facilitate development and implementation of the National 
Differential Global Positioning System (GPS) Network. PTC 
testing has proven that a properly augmented GPS can provide a 
viable, low-cost train-borne location determination system for 
PTC. GPS is currently operational with single-station coverage 
on about 85 percent of the land area of the United States, and 
could be fully operational with dual-redundant coverage by 
2005. Again, these improvements to the national GPS network for 
defense, aviation, and other public needs, would further reduce 
the cost of PTC systems as essential infrastructure and 
satellite communications are established and made available to 
other users at an incremental cost.
  Further, the freight railroads and Amtrak have spent more 
than $225 million to date to develop and test PTC technology, 
including $26 million in government/industry joint 
demonstration projects. The industry's key objectives are to 
develop standards for the system, create a system that is 
interoperable among railroads, and ensure that the system is 
cost-effective. In addition, the States of Illinois and 
Michigan have contributed $25.7 million and technology 
contractors have contributed a total of $20 million to projects 
in those States. To date, FRA has spent $63.2 million to 
develop and test PTC. Several different PTC technologies are 
currently being tested under five separate pilot projects 
involving Amtrak and several freight railroads, including:
           The North American Joint PTC Project in 
        Illinois, in which FRA, the AAR, and the State of 
        Illinois are partnering to develop a high-speed PTC 
        technology on the St. Louis-Chicago corridor. This 
        project is the venue for the industry's development of 
        standards for PTC interoperability;
           The Incremental Train Control System (ITCS) 
        Project in Michigan, a joint project by FRA, Amtrak and 
        the State of Michigan to install ITCS on high-speed 
        operations that include highway-rail grade crossing 
        signals;
           The Dark Territory PTC Demonstration Project 
        in Wisconsin;
           The Burlington Northern Santa Fe (BNSF) 
        Signal Comparator/Compliance System Project; and
           The establishment of a test ground for 
        wireless communication at the Transportation Technology 
        Center in Pueblo, Colorado.
Other PTC development projects include:
           The development of a universal networking 
        and computer platform to facilitate interoperability 
        among PTC systems;
           The development of a portable roadway worker 
        communication system; and
           The development of on-board locomotive PTC.
  By way of example, BNSF and CSX are conducting train control 
pilot programs. The BNSF is demonstrating the Electronic Train 
Management System (ETMS) on 50 locomotives operating on a 300-
mile corridor between St. Louis, Missouri and Beardstown, 
Illinois. The CSX project is demonstrating a Communications-
Based Train Management (CBTM) system in revenue service over a 
150-mile corridor between Athens, Georgia and Spartanburg, 
South Carolina. Both the ETMS and CBTM supply movement-related 
information, such as authority limits, speed limits, and work 
zones, to a computer screen inside the locomotive cab. Using a 
global positioning system, the onboard computer warns, then 
automatically initiates braking, if the engineer fails to 
respond appropriately to movement and speed limit information. 
The two-year-old CSX pilot has confirmed CBTM's ability to 
positively impact railroad safety, productivity and costs.
  Employee Fatigue. Worker fatigue is suspected to have played 
a role in a number of recent train accidents and incidents. 
Fatigue is primarily an issue for railroad employees who do not 
have regular duty schedules. For example, although train crews 
operate over a defined territory for which they have qualified, 
train schedules may vary daily.
  Under current law, a train employee must have at least eight 
consecutive hours off duty during the prior 24 hours before the 
employee may remain or go on duty. In addition, an employee who 
has been on duty for more than 12 consecutive hours may not 
return for duty until that employee has had at least 10 
consecutive hours off duty. It is common practice in the rail 
industry to transport road crews by cab from a train or 
terminal to a motel. If the crew is at a remote location, it 
may take an hour or more for the crew to reach its rest 
location. Because crews are called at least two hours before 
they are to report for duty, a crew member may actually have 
only five hours or less of uninterrupted rest.
  Similar hours of service restrictions apply to signal 
employees with the additional proviso that after an employee 
has been on duty a total of 12 hours during a 24-hour period, 
or after the end of that 24-hour period, the employee must be 
given eight consecutive hours off duty. In addition, signal 
employees may remain on duty for not more than four additional 
hours in any 24-hour period when an emergency exists and the 
work of that employee is related to the emergency. Hours of 
service limitations for dispatching service employees provide 
that an employee may not be allowed to remain or go on duty for 
more than a total of nine hours during a 24-hour period where 
at least two shifts are employed, or a total of 12 hours during 
a 24-hour period where only one shift is employed.
  Neither the rail carriers nor the unions have an incentive to 
reduce the number of hours that employees may work. Limiting 
hours of service would force the railroads to hire additional 
workers, and employees would suffer a reduction in earning 
power. The railroads and rail labor have worked cooperatively 
on several initiatives to address fatigue, but a consensus has 
not been reached on an overall approach.
  The FRA is planning a study in which respondents will 
complete a background survey and daily log to convey specific 
information about the work schedule-related fatigue issues for 
signal workers. Also in FY 2002, the FRA awarded a contract to 
the University of Denver to work with rail and management 
representatives from BNSF and CSX to develop, implement, and 
validate actigraph measures designed to change the culture and 
perception of railroad employees regarding fatigue and its 
effect on safety.
  Worker fatigue with respect to all transportation workers has 
been on NTSB's ``most wanted'' list of recommended safety 
improvements since 1990. In 1999, NTSB recommended that FRA 
establish, within two years, scientifically-based hours of 
service regulations that set limits on hours of service, 
provide predictable work and rest schedules, and consider 
circadian rhythms and human sleep and rest requirements. FRA, 
however, has proposed no statutory changes to the existing 
hours of service requirements.
  Grade crossing and trespasser accidents. The success in 
reducing grade crossing accidents and fatalities is 
attributable to a combination of the installation of protective 
devices (gates and lights) at crossings and Operation 
Lifesaver, a program long supported by the railroads and the 
Federal government to educate the public about both crossing 
safety and railroad safety generally. The Federal Highway 
Administration (FHWA) estimates that through the Section 130 
program, 30,000 active warning devices have been installed that 
have helped prevent more than 10,000 deaths and over 50,000 
injuries.
  FRA and the railroads have cooperated to close crossings and 
prevent the establishment of new crossings, both public and 
private. However, the authority to establish or close crossings 
rests with State and local governments, who are often hostile 
to reducing access in their communities.

                      Summary of Major Provisions

  The Federal Railroad Safety Improvement Act renews the 
Committee's commitment to a strong rail safety program. The 
legislation would authorize $166 million for rail safety in FY 
2004, the amount requested by the Administration, rising to 
$200 million by FY 2008. Included in these authorizations would 
be additional funds to continue initiatives to test and install 
PTC systems onpassenger and freight railroad rights-of-way. 
Funds would be made available through grants, with a 50 percent match 
requirement. Authorizations for PTC grants would total $16 million for 
FY 2004, $18 million for FY 2005, and $20 million for FY 2006, FY 2007, 
and FY 2008.
  The legislation also would make several improvements to grade 
crossing safety. First, the bill would formally establish a 
national crossing inventory. Such information has been 
maintained in a national database called the ``United States 
Department of Transportation (DOT) National Crossing Inventory 
File'' (Inventory) since 1975. However, the information has 
been supplied voluntarily, and thus, some crossing information 
has not been reported at all or not adequately updated by the 
states and the railroads.
  The Inventory serves as a uniform computerized database on 
crossings throughout the country that can be merged with other 
data, including FRA's accident/incident database, and used to 
promote crossing safety. States, railroads, and other entities 
analyze information in the Inventory for planning and 
implementation of crossing improvement programs such as the 
Section 130 program, which provides Federal funds to the States 
to install or improve warning devices at crossings or to 
eliminate crossings altogether. The Inventory also is used by 
law enforcement personnel to identify especially hazardous 
crossings on which to focus inspection and enforcement efforts. 
Additionally, the Inventory is used extensively for crossing 
safety studies.
  The bill would direct DOT to develop a plan for a joint 
initiative with States and municipalities to close 1 percent of 
all public and private grade crossings each year for a 10-year 
period. This is an ambitious goal but one that would clearly 
save lives. While closure of any crossing improves safety, the 
bill would specifically direct the Secretary to consider (1) 
crossings that have been identified as high-risk, (2) crossings 
that are located on railroad lines used for intercity or 
commuter passenger service, and (3) the existing level of 
protection at a given crossing in prioritizing crossings for 
closure. The bill includes provisions for the plan to take into 
account local concerns about the loss of access and the impact 
of closure on emergency responders.
  The legislation would require the DOT to develop model State 
legislation providing penalties for motorists who violate 
crossing signs, signals, and gates. A uniform approach to 
penalties for driving around gates and ignoring crossing 
signals and signs can be more effective in achieving 
compliance.
  The bill would reauthorize Operation Lifesaver at $1.25 
million in FY 2004, rising to $1.46 million by FY 2008. 
Operation Lifesaver, Inc. is a nationwide, nonprofit public 
education and awareness program dedicated to ending collisions, 
fatalities, and injuries at highway-rail grade crossings and on 
railroad property. The organization is active in all 50 States, 
delivering 40,000 safety presentations to 2.5 million Americans 
each year. DOT credits the organization with helping to reduce 
grade crossing deaths by 11,000 and injuries by 54,000.
  The legislation also would address long-standing concerns 
about employee fatigue in the rail industry by requiring that a 
working group be convened within FRA's RSAC to consider what 
legislative or other changes may be appropriate to address 
fatigue management and to report back to the Senate Committee 
on Commerce, Science, and Transportation and the House of 
Representatives Committee on Transportation and Infrastructure 
within 24 months following enactment. While the railroads and 
rail labor organizations have initiated a number of discrete 
pilot projects to address fatigue, it is unclear whether real 
progress is being made. If a consensus cannot be reached by the 
working group, the DOT would be required to submit its own 
recommendations within 36 months following enactment.
  The bill would require that the Secretaries of Transportation 
and Homeland Security execute a memorandum of agreement (MOA) 
regarding railroad transportation security matters within 60 
days of enactment. It was anticipated that following the 
establishment of the Department of Homeland Security (DHS) and 
the transfer to DHS of the Transportation Security 
Administration (TSA) and the Coast Guard, DOT and DHS would 
enter into an MOA to clarify their respective roles and 
responsibilities. To date, however, MOA's have only been 
executed between DOT and DHS with respect to the Coast Guard 
and the Federal Aviation Administration. A report issued in 
June 2003, by the General Accounting Office (GAO) recommends 
that the roles of DOT and the TSA with respect to rail and 
other modes of transportation be clarified through MOA's.
  Many security issues have a safety component. Actions by TSA 
to improve railroad security affect safety matters regulated by 
FRA. For example, TSA proposed that placards be removed from 
railroad tank cars so that placard information about the type 
of hazardous material in the cars could not be used to 
perpetrate a terrorist act. FRA contended that placards should 
remain on tank cars for safety reasons. In the event of a train 
accident or incident, placards are often the first source of 
information used in evaluating the danger of an unidentified 
shipment of hazardous materials. After further analysis, the 
agencies agreed placards should remain on tank cars for the 
foreseeable future.
  The bill also would permit DOT to monitor and record railroad 
radio communications and to use those communications and the 
information they contain for the purpose of accident 
prevention, including accident investigations. FRA access to 
railroads' radio communications would likewise help ascertain 
that federal railroad safety rules are being followed.
  Railroads use their dedicated radio frequencies to control 
and promote the safety of various types of operations. While 
the railroads are authorized to monitor the communications of 
its employees to determine whether safety rules and operations 
are being followed, current law arguably precludes FRA 
inspectors from unilaterally monitoring these communications. 
FRA inspectors may monitor radio communications in the presence 
of an authorized railroad employee. However, when an FRA 
inspector arrives on railroad property, railroad users of radio 
often are informed by their coworkers to be guarded in their 
radio transmissions. Thus, it is difficult for safety 
inspectors to determine if behavior is changed simply because 
FRA is present. Access to candid communications from off-site 
would yield a truer picture of compliance levels.
  Radio monitoring would not apply to railroads' communications 
by cellular or cordless telephones. It would also require that 
the monitoring of railroad radio communications be conducted 
``at reasonable times'', defined as whenever the railroad being 
inspected or investigated is performing its rail transportation 
business. Information obtained through radio monitoring would 
be admissible into evidence in any administrative or judicial 
proceeding only as it pertains to rail operations, and only to 
impeach evidence offered by a party other than the Federal 
government and then only if the monitoring was not done solely 
for the purpose of accident investigation.

                          Legislative History

  S. 1402 was introduced by Senators McCain and Hollings on 
July 14, 2003 and was referred to the Committee on Commerce, 
Science, and Transportation.
  On July 17, 2003, the Committee ordered S. 1402 to be 
favorably reported to the Senate with two amendments.
  By voice vote, the Committee adopted an amendment offered by 
Senator Boxer to require the Secretary of Transportation to 
conduct a study of the impact of blocked railroad crossings on 
emergency response efforts and to submit a report with 
recommendations for addressing identified impacts within one 
year following enactment.
  Also by voice vote, the Committee adopted a second amendment 
offered by Senator Boxer to require the Secretary of 
Transportation, within 120 days following enactment, to issue 
procedures for railroads to use to notify affected communities 
in the event of a runaway train. The amendment also would 
require that the railroads report any incidence of a runaway 
train to DOT.
  In addition, Senator Lautenberg offered an amendment to 
address the authority of railroad police with respect to 
enforcing corporate policies or collective bargaining 
agreements. Senator McCain offered to work with Senator 
Lautenberg on language to address this matter prior to floor 
consideration of the bill and the amendment was withdrawn by 
the sponsor.

                            Estimated Costs

  In accordance with paragraph 11(a) of rule XXVI of the 
Standing Rules of the Senate and section 403 of the 
Congressional Budget Act of 1974, the Committee provides the 
following cost estimate, prepared by the Congressional Budget 
Office:

                                     U.S. Congress,
                               Congressional Budget Office,
                                   Washington, DC, August 22, 2003.
Hon. John McCain,
Chairman, Committee on Commerce, Science, and Transportation,
U.S. Senate, Washington, DC.
    Dear Mr. Chairman: The Congressional Budget Office has 
prepared the enclosed cost estimate for S. 1402, the Federal 
Railroad Safety Improvement Act.
    If you wish further details on this estimate, we will be 
pleased to provide them. The CBO staff contacts are Rachel 
Milbert (for federal costs), Gregory Waring (for the state and 
local impact), and Jean Talarico (for the private-sector 
impact).
            Sincerely,
                                       Douglas Holtz-Eakin,
                                                          Director.
    Enclosure.

S. 1402--Federal Railroad Safety Improvement Act

    Summary: S. 1402 would authorize the appropriation of $919 
million over the 2004-2008 period for the Federal Railroad 
Administration's (FRA's) safety and research programs. The bill 
also would require FRA to recommend ways to lessen railroad 
workers' fatigue, survey the condition of railroad bridges, 
study the impact that blocked highway-railroad crossings have 
on the ability of emergency responders to perform their duties, 
and develop regulations to require railroads to immediately 
notify emergency medical, fire, and law enforcement personnel 
that their communities lie in the path of a runaway train.
    Assuming appropriation of the authorized amounts, CBO 
estimates that implementing the bill would cost $865 million 
over the 2004-2008 period. Enacting S. 1402 would have no 
effect on direct spending or revenues.
    S. 1402 would impose both intergovernmental and private-
sector mandates as defined in the Unfunded Mandates Reform Act 
(UMRA). CBO estimates that the direct costs of those mandates 
would not exceed the annual threshold established in UMRA for 
intergovernmental or private-sector mandates ($59 million and 
$117 million in 2003, respectively, adjusted annually for 
inflation).
    Estimated cost to the Federal Government: The estimated 
budgetry impact of S. 1402 is shown in the following table. The 
costs of this legislation fall within budget function 400 
(transportation).

----------------------------------------------------------------------------------------------------------------
                                                                     By fiscal year, in millions of dollars--
                                                                 -----------------------------------------------
                                                                   2003    2004    2005    2006    2007    2008
----------------------------------------------------------------------------------------------------------------
                                        SPENDING SUBJECT TO APPROPRIATION

FRA Safety and Research Spending Under Current Law:
    Budget Authority \1\........................................     145       0       0       0       0       0
    Estimated Outlays...........................................     149      36       5       3       0       0
Proposed Changes:
    Estimated Authorization Level...............................       0     168     176     185     192     200
    Estimated Outlays...........................................       0     131     167     179     190     198
FRA Safety and Research Spending Under S. 1402:
    Estimated Authorization Level \1\...........................     145     168     176     185     192     200
    Estimated Outlays...........................................     149     167     172     182     190    198
----------------------------------------------------------------------------------------------------------------
\1\ The 2003 level is the amount appropriated for that year for FRA safety and research activities.

    Basis of estimate: For this estimate, CBO assumes that S. 
1402 will be enacted near the end of fiscal year 2003 and the 
authorized amounts will be appropriated each year. Estimates of 
outlays are based on information from FRA and historical 
spending patterns of similar programs.
    Based on information from FRA, CBO estimates that preparing 
the reports and regulations required by the bill would cost 
about $2 million. For this estimate, CBO assumes that such 
funds would be appropriated in 2004. Those costs are in 
addition to the $919 million that the bill would authorize for 
the agency's safety and research programs over the next five 
years.
    Intergovernmental and private-sector impact: S. 1402 would 
impose both intergovernmental and private-sector mandates as 
defined in UMRA. CBO estimates that the direct costs of those 
mandates would not exceed the annual threshold established in 
UMRA for intergovernmental or private-sector mandates ($59 
million and $117 million in 2003, respectively, adjusted 
annually for inflation).

Joint mandate

    The Department of Transportation (DOT) maintains 
information collected from states and railroad carriers on the 
location, physical characteristics, and other features of 
highway-railroad crossings in the National Crossing Inventory. 
Currently, state governments and railroad carriers provide this 
information voluntarily. Section 201 would make such reporting 
mandatory. State governments and railroad carriers would be 
required to submit initial reports to the Inventory about new 
and previously unreported crossings and provide periodic 
updates and change-of-ownership reports, if applicable, for all 
crossings. Based on information from government and industry 
sources, CBO estimates that the incremental costs to submit the 
information required under the bill would be small.
    States would benefit from other provisions of the bill, 
including an increase in the federal aid states can distribute 
to local governments for the highway-rail safety program.

Additional private-sector mandate

    The bill would impose an additional mandate on the private 
sector. Section 305 would require railroad carriers to 
immediately notify first responders (including fire, emergency 
medical service, and law enforcement personnel) that their 
communities lie in the path of a runaway train. Railroad 
carriers also would be required to report each incident of a 
runaway train to DOT. In addition the bill would require 
railroad carriers to submit to DOT for approval their plans for 
providing the required notices of an occurrence of a runaway 
train.
    According to industry sources, most railroad carriers 
currently have procedures in place to notify first responders 
and provide such notices as soon as possible. Further, few 
trains are involved in runaway incidents annually. Thus, CBO 
estimates that the cost to comply with this mandate would be 
small.
    Estimate prepared by: Federal Costs: Rachel Milberg; Impact 
on State, Local, and Tribal Governments: Gregory Waring; and 
Impact on the Private Sector: Jean Talarico.
    Estimate approved by: Peter H. Fontaine, Deputy Assistant 
Director for Budget Analysis.

                      Regulatory Impact Statement

  In accordance with paragraph 11(b) of rule XXVI of the 
Standing Rules of the Senate, the Committee provides the 
following evaluation of the regulatory impact of the 
legislation, as reported:

                       NUMBER OF PERSONS COVERED

  Because the legislation reauthorizes existing programs 
without expanding the scope of persons subject to railroad 
safety regulation, the number of persons covered should be 
consistent with current levels.

                            ECONOMIC IMPACT

  S. 1402 authorizes appropriations of $166 million for FY 
2004, rising to $200 million in FY 2008. These funding levels 
are not expected to have an inflationary impact on the nation's 
economy.

                                PRIVACY

  Section 207 of the bill would impact the privacy of railroad 
employees who communicate by radio. The section would give DOT 
the authority to monitor and record railroad radio 
communications, without being in the presence of authorized 
railroad employees, and to use information from such activities 
to prevent and investigate accidents.

                               PAPERWORK

  Section 210 of the legislation would create a grant program 
for Positive Train Control technology which may lead to 
additional paperwork for applicants and for DOT in 
administering the program.

                      Section-by-Section Analysis


Sec. 1. Short Title

  The section would provide that the title of the Act is the 
``Federal Railroad Safety Improvement Act''.

Sec. 2. Amendments to title 49

  The section would clarify that unless otherwise indicated, 
the legislation amends title 49, United States Code.

Sec. 3. Table of Contents

  The section would contain the table of contents for the 
legislation.

Sec. 101. Authorization of Appropriations

  This section would authorize the following appropriations for 
the FRA: $166 million in FY 2004; $176 million in FY 2005; $185 
million in FY 2006; $192 million in FY 2007; and $200 million 
in FY 2008.

Sec. 201. National Crossing Inventory

  Section 201 would require railroads and states to supply 
information necessary for risk analysis of the country's more 
than 250,000 highway-rail crossings and pedestrian crossings. 
The section would require railroads to submit with three kinds 
of reports on railroad grade crossings:
           Initial reports on previously unreported 
        crossings, including new crossings. The reports would 
        be due within six months after enactment of this bill 
        or within six months of a new crossing becoming 
        operational, whichever occurs later;
           Updates to the Inventory on a periodic basis 
        beginning no later than 18 months after enactment, and 
        continuing on a schedule no less often than by 
        September 30 of every third year thereafter, or as 
        otherwise specified by the Secretary; and
           For crossings that are transferred to other 
        ownership, notice to the Secretary from the seller 
        within three months of the sale or within 18 months 
        after enactment, whichever occurs later, or as 
        otherwise specified by the Secretary.
  Further, each State would be required to provide information 
on crossings within its borders, with initial reports to the 
Inventory and periodic updates on the same schedule as the 
railroads. The Secretary would be authorized to determine which 
crossing data would be supplied by the railroad and which would 
be supplied by the State.

Sec. 202. Grade Crossing Elimination and Consolidation

  This section would require the Secretary, within two years 
after enactment, to submit a plan to Congress for a joint 
initiative with States and municipalities to systematically 
reduce the number of public and private grade crossings by 1 
percent per year in each of the succeeding 10 years. The plan 
would have to prioritize crossings for elimination or 
consolidation based on considerations such as whether the 
crossing has been identified by FRA as a high-risk crossing, 
whether the crossing is on a designated high-speed rail 
corridor, and the existing level of protective equipment at the 
crossing. Further, the plan would suggest guidelines for the 
establishment of new crossings, with the goal of avoiding 
unnecessary new crossings through careful traffic, zoning, and 
land use planning. The plan also would provide an estimate of 
the costs to implement the plan.
  In developing the plan, the Secretary would be directed to 
consult with state and local authorities, who have jurisdiction 
over the establishment and closure or consolidation of 
crossings. The Secretary and state officials would be directed 
to consider the feasibility of closing and improving a group of 
crossings in a single community; the impact of closure on 
access by emergency vehicles, traffic delays, and public 
inconvenience; and the willingness of a municipality to 
participate in the elimination or consolidation of crossings. 
As a practical matter, crossings cannot be closed without the 
support or at least acquiescence of the affected municipality, 
so community support will be essential to the success of this 
effort.
  The section also would require that FRA update and reissue 
the publication ``A Guide to Crossing Consolidation and 
Closure'' within one year after enactment and increase the 
incentive payment that can be made to a community to close a 
crossing (subject to an equal match by the freight railroad(s) 
involved) from $7,500 to $15,000 per crossing. The incentive is 
paid from Section 130 crossing funds.
  The section would specify that $500,000 of the sums 
authorized by section 101 of the legislation for FY 2004 be 
used to complete the plan.

Sec. 203. Model Legislation on Driver Behavior

  This section would require DOT, within one year after the 
date of enactment, to assess local, State, and Federal laws 
with respect to trespassing and vandalism on railroad property 
and update model prevention strategies and enforcement laws for 
the consideration of State and local governments. The sections 
also would require DOT to develop, within two years after the 
date of enactment, model State legislation providing for civil 
or criminal penalties, or both, for violations of grade 
crossing signals.

Sec. 204. Operation Lifesaver

  From the sums authorized by section 101, section 204 would 
authorize funding of $1.25 million for FY 2004, $1.3 million 
for FY 2005, $1.35 million for FY 2006, $1.4 million for FY 
2007, and $1.46 million for FY 2008 for Operation Lifesaver.

Sec. 205. Transportation Security

  The section would require that the Secretaries of 
Transportation and Homeland Security execute an MOA regarding 
railroad transportation security matters within 60 days of 
enactment. The section also would provide that DOT's authority 
to issue regulations and orders governing ``every area of 
railroad safety'' includes ``security''. Clarification of FRA's 
jurisdiction is necessary to ensure that any regulations and 
orders which may have some carryover into the security arena 
will withstand legal challenge and protracted litigation by 
outside parties. The Homeland Security Act of 2002 supports the 
conclusion that ``safety'' includes ``security'', by defining 
``safety'' for purposes of the Railroad Safety State 
Participation Program as including security.

Sec. 206. Railroad Accident and Incident Reporting

  Section 206 would eliminate the statutory requirement that 
railroad accidents and incidents reports to FRA be made under 
oath and notarized. The oath and notarization requirement 
causes unnecessary expense and delay, and is an obstacle to 
filing reports electronically.
  The section also would give DOT more flexibility to determine 
the frequency with which accident and incident reports must be 
filed. Currently, reports must be submitted monthly. The 
legislation would require that reports be submitted no less 
frequently than quarterly.

Sec. 207. Railroad Radio Monitoring Authority

  The section would permit DOT to monitor and record railroad 
radio communications and to use those communications and the 
information they contain for the purpose of accident 
prevention, including accident investigations. In connection 
with road train and switching operations, radio communications 
are used in at least six major ways: 1) to transmit movement 
authorities from the dispatcher directly to locomotive crew; 2) 
to communicate intra-crew directives; 3) to relay information 
from one crew to another crew; 4) to transmit wayside detector 
information; 5) to transmit information from wayside employees 
to crews or dispatchers regarding defects on passing trains; 
and 6) to provide a way for trains in distress to summon help.
  Information obtained through monitoring and recording of 
radio communications would be admissible into evidence in any 
administrative or judicial proceeding only for the six types of 
railroad safety proceedings listed above, and only to impeach 
evidence offered by a party other than the Federal government, 
and then only in the governments monitoring was not done solely 
for the purpose of accident investigation. If the monitoring 
was done solely for accident investigation, then the 
information would not be admissible for any purpose in an 
Administrative or judicial proceeding in which commercial or 
civil penalties might be imposed. In situations in which the 
information intercepted would not itself be admissible into 
evidence in a proceeding, it would constitute background 
material, which might suggest further investigation and 
ultimately lead to the discovery of admissible evidence. Other 
information that results from the intercepted information would 
be admissible (if otherwise admissible under applicable 
procedural rules). Such admissible evidence might include a 
tape recording or transcript of the communication made by the 
railroad or the testimony of a participant in the 
communication.
  Further, the proposal would provide a mechanism for ensuring 
confidentiality, when appropriate, of intercepted 
communications introduced in rail safety proceedings as 
impeachment evidence. It also would take the intercepted 
communications outside the scope of the Freedom of Information 
Act, thereby effectuating the agency's intent to assure that it 
does not release the communications to railroad carriers. 
Finally, the proposed legislation would preserve unaffected 
other statutory authorities for interception of communications.

Sec. 208. Recommendations On Hours Of Service Changes

  Section 208 would require that a working group be convened 
within FRA's RSAC to consider what legislative or other changes 
may be appropriate to address fatigue management and report 
back to Congress within 24 months. While the railroads and rail 
labor organizations have initiated a number of discrete pilot 
projects to address fatigue, it is unclear whether real 
progress is being made. If a consensus cannot be reached by the 
working group, FRA would be required to submit its own 
recommendations to the Senate Commerce Committee and the House 
Transportation and Infrastructure Committee within 36 months 
following enactment.

Sec. 209. Positive Train Control

  In 2001, FRA initiated a rulemaking proceeding to facilitate 
the introduction of PTC technology by establishing performance-
based standards for new signal and train control systems. The 
rulemaking was the result of several years' work within FRA's 
RSAC. This section would require that a final rule in the 
proceeding be issued within 6 months following enactment.

Sec. 210. Positive Train Control Implementation

  Section 210 would require DOT to submit a progress report on 
ongoing and completed PTC projects to the Senate Committee on 
Commerce, Science, and Transportation and the House of 
Representatives Committee on Transportation and Infrastructure 
within three months after completion of the project to install 
PTC between Chicago, Illinois, and St. Louis, Missouri. The 
section also would provide that of the sums authorized by 
section 101, the following sums are available for grants for 
PTC testing and installation: $16 million in FY 2004; $18 
million in FY 2005; $20 million in FY 2006, $20 million in FY 
2007, and $20 million in FY 2008. Grants would be subject to a 
50 percent matching requirement.

Sec. 211. Survey Of Rail Bridge Structures

  Many railroad bridges in the United States were constructed 
early in the last century. Although the bridges were engineered 
to withstand the weight of heavy steam locomotives, today's 
freight cars are significantly heavier as is total train 
weight. FRA last conducted a survey of railroad bridges in 1992 
and found railroad bridges to be generally sound. This section 
would require DOT to conduct a new survey to obtain a more up-
to-date assessment of the general condition of railroad bridges 
and the need, if any, for further action.

Sec. 212. Railroad Police

  Under current law, railroad police officers may enforce the 
law only on the property of the railroad by whom they are 
employed. This amendment would allow railroad police officers 
to exercise jurisdiction on the property of any railroad, 
enabling officers in pursuit near an interchange point to 
continue the pursuit on another railroad.

Sec. 213. Federal Railroad Administration Employee Training

  From sums authorized under section 101 for FY 2004, $300,000 
would be authorized for use by FRA to conduct a demonstration 
project utilizing centralized training for its employees.

Section 214. Study on the Impact of Blocked Highway-Railroad Grade 
        Crossings on Emergency Responders

  The section would require the Secretary of Transportation, in 
consultation with state and local officials, to conduct a study 
of the impact of blocked highway-railroad grade crossings on 
the ability of emergency responders to perform their safety and 
security duties. A report and recommendations would be due to 
the Senate Committee on Commerce, Science, and Transportation 
and the House of Representatives Committee on Transportation 
and Infrastructure within one year following enactment.

Sec. 215. Runaway Trains Emergency Response

  The section would require the Secretary of Transportation to 
issue regulations within 120 days following enactment to 
establish procedures for railroads to follow in notifying first 
responders in communities in the path of a runaway train. 
Within 60 days after the issuance of the regulations, each 
railroad would be required to submit, for the Secretary's 
approval, procedures the railroad will use to comply with the 
regulations. Finally, the section would require the railroads 
to report any instance of a runaway train to DOT.

Sec. 301. Technical Amendments Regarding Enforcement by the Attorney 
        General

  The section would clarify that the Federal district courts 
have jurisdiction to entertain three types of civil actions 
brought by the Attorney General at the request of the Secretary 
of Transportation:
           Injunctions against a violation of a rail 
        safety statute. The Attorney General is already 
        authorized to sue in Federal district court to enjoin a 
        violation of rail safety regulations, but not rail 
        safety statutes. The new section would permit suits for 
        these injunctions except for those dealing with 
        employee protections against discrimination for 
        whistleblower activities or for reasonably refusing to 
        work in the face of an imminent danger of death or 
        serious injury, rights that would continue to be 
        enforced under the Railway Labor Act.
           Enforcement of requests for production of 
        documents or other tangible things and requests for 
        testimony by deposition under the rail safety laws. The 
        existing rail safety laws lack an explicit provision 
        for enforcement of these discovery devices.
           Collection of civil penalty settlements and 
        the enforcement of administrative subpoenas.

Sec. 302. Technical Amendments to Civil Penalty Provisions

  The section has a dual purpose. Pursuant to the Federal Civil 
Penalties Inflation Adjustment Act of 1990, maximum civil 
penalties are required to be adjusted for inflation. That 
statute did not directly amend the civil penalty provisions of 
the substantive laws affected, but rather required the Federal 
agencies charged with enforcing those laws to issue regulations 
revising the penalty amounts. This new proposal would cross-
reference the appropriate provisions of that Act. Although 
inflation adjustments have been and will continue to be made by 
regulation, this provision in the railroad statutes would 
provide further notice to the regulated public of this 
requirement and prevent having to search through related 
statutes to determine a respondent's maximum liability.
  Second, the section would revise the civil penalty provisions 
to make them more uniform. Under the 1970 rail statute, the 
government may deduct the amount of any unpaid penalty or 
settlement owed by a respondent from any funds (such as tax 
refunds) owed by the government to the respondent. These 
technical amendments would put enforcement of the pre-1970 
safety statutes on an equal footing with enforcement of the 
1970 statute.

Sec. 303. Technical Amendments to Eliminate Unnecessary Provisions

  The section would eliminate several provisions of the rail 
safety laws that are unnecessary because they have been 
executed or become obsolete. First, the proposal would strike 
as executed the following three provisions that require the 
Secretary to submit reports to Congress: the second sentence of 
section 20103(f) (report on tourist railroads); section 20145 
(report on detection of bridge displacement); and section 20150 
(report on PTC). Second, the proposal would repeal section 
20146, a provision to establish and authorize appropriations to 
fund an Institute for Railroad Safety at $1 million per year 
for fiscal years 1996-2000. Congress did not appropriate funds 
for the institute, and the authorization of appropriations for 
fiscal years 1996-2000 has expired.

                        Changes in Existing Law

  In compliance with paragraph 12 of rule XXVI of the Standing 
Rules of the Senate, changes in existing law made by the bill, 
as reported, are shown as follows (existing law proposed to be 
omitted is enclosed in black brackets, new material is printed 
in italic, existing law in which no change is proposed is shown 
in roman):

                 TITLE 23, UNITED STATES CODE, HIGHWAYS


                    CHAPTER 1. FEDERAL-AID HIGHWAYS

                    SUBCHAPTER I. GENERAL PROVISIONS

Sec. 130. Railway-highway crossings

  (a) Subject to section 120 and subsection (b) of this 
section, the entire cost of construction of projects for the 
elimination of hazards of railway-highway crossings, including 
the separation or protection of grades at crossings, the 
reconstruction of existing railroad grade crossing structures, 
and the relocation of highways to eliminate grade crossings, 
may be paid from sums apportioned in accordance with section 
104 of this title. In any case when the elimination of the 
hazards of a railway-highway crossing can be effected by the 
relocation of a portion of a railway at a cost estimated by the 
Secretary to be less than the cost of such elimination by one 
of the methods mentioned in the first sentence of this section, 
then the entire cost of such relocation project, subject to 
section 120 and subsection (b) of this section, may be paid 
from sums apportioned in accordance with section 104 of this 
title.
  (b) The Secretary may classify the various types of projects 
involved in the elimination of hazards of railway-highway 
crossings, and may set for each such classification a 
percentage of the costs of construction which shall be deemed 
to represent the net benefit to the railroad or railroads for 
the purpose of determining the railroad's share of the cost of 
construction. The percentage so determined shall in no case 
exceed 10 per centum. The Secretary shall determine the 
appropriate classification of each project.
  (c) Any railroad involved in a project for the elimination of 
hazards of railway-highway crossings paid for in whole or in 
part from sums made available for expenditure under this title, 
or prior Acts, shall be liable to the United States for the net 
benefit to the railroad determined under the classification of 
such project made pursuant to subsection (b) of this section. 
Such liability to the United States may be discharged by direct 
payment to the State transportation department of the State in 
which the project is located, in which case such payment shall 
be credited to the cost of the project. Such payment may 
consist in whole or in part of materials and labor furnished by 
the railroad in connection with the construction of such 
project. If any such railroad fails to discharge such liability 
within a six-month period after completion of the project, it 
shall be liable to the United States for its share of the cost, 
and the Secretary shall request the Attorney General to 
institute proceedings against such railroad for the recovery of 
the amount for which it is liable under this subsection. The 
Attorney General is authorized to bring such proceedings on 
behalf of the United States, in the appropriate district court 
of the United States, and the United States shall be entitled 
in such proceedings to recover such sums as it is considered 
and adjudged by the court that such railroad is liable for in 
the premises. Any amounts recovered by the United States under 
this subsection shall be credited to miscellaneous receipts.
  (d) Survey and Schedule of Projects.--Each State shall 
conduct and systematically maintain a survey of all highways to 
identify those railroad crossings which may require separation, 
relocation, or protective devices, and establish and implement 
a schedule of projects for this purpose. At a minimum, such a 
schedule shall provide signs for all railway-highway crossings.
  (e) Funds for Protective Devices.--At least \1/2\ of the 
funds authorized for and expended under this section shall be 
available for the installation of protective devices at 
railway-highway crossings. Sums authorized to be appropriated 
to carry out this section shall be available for obligation in 
the same manner as funds apportioned under section 104(b)(1) of 
this title.
  (f) Apportionment.--Twenty-five percent of the funds 
authorized to be appropriated to carry out this section shall 
be apportioned to the States in the same manner as sums are 
apportioned under section 104(b)(2) of this title, 25 percent 
of such funds shall be apportioned to the States in the same 
manner as sums are apportioned under section 104(b)(6) of this 
title, and 50 percent of such funds shall be apportioned to the 
States in the ratio that total railway-highway crossings in 
each State bears to the total of such crossings in all States. 
The Federal share payable on account of any project financed 
with funds authorized to be appropriated to carry out this 
section shall be 90 percent of the cost thereof.
  (g) Annual Report.--Each State shall report to the Secretary 
not later than December 30 of each year on the progress being 
made to implement the railway-highway crossings program 
authorized by this section and the effectiveness of such 
improvements. Each State report shall contain an assessment of 
the costs of the various treatments employed and subsequent 
accident experience at improved locations. The Secretary shall 
submit a report to the Committee on Environment and Public 
Works of the Senate and the Committee on Transportation and 
Infrastructure of the House of Representatives not later than 
April 1 of each year, on the progress being made by the State 
in implementing projects to improve railway-highway crossings. 
The report shall include, but not be limited to, the number of 
projects undertaken, their distribution by cost range, road 
system, nature of treatment, and subsequent accident experience 
at improved locations. In addition, the Secretary's report 
shall analyze and evaluate each State program, identify any 
State found not to be in compliance with the schedule of 
improvements required by subsection (d) and include 
recommendations for future implementation of the railroad 
highway crossings program.
  (h) Use of Funds for Matching.--Funds authorized to be 
appropriated to carry out this section may be used to provide a 
local government with funds to be used on a matching basis when 
State funds are available which may only be spent when the 
local government produces matching funds for the improvement of 
railway-highway crossings.
  (i) Incentive Payments for At-Grade Crossing Closures.--
          (1) In general.--Notwithstanding any other provision 
        of this section and subject to paragraphs (2) and (3), 
        a State may, from sums available to the State under 
        this section, make incentive payments to local 
        governments in the State upon the permanent closure by 
        such governments of public at-grade railway-highway 
        crossings under the jurisdiction of such governments.
          (2) Incentive payments by railroads.--A State may not 
        make an incentive payment under paragraph (1) to a 
        local government with respect to the closure of a 
        crossing unless the railroad owning the tracks on which 
        the crossing is located makes an incentive payment to 
        the government with respect to the closure.
          (3) Amount of state payment.--The amount of the 
        incentive payment payable to a local government by a 
        State under paragraph (1) with respect to a crossing 
        may not exceed the lesser of--
                  (A) the amount of the incentive payment paid 
                to the government with respect to the crossing 
                by the railroad concerned under paragraph (2); 
                or
                  (B) [$7,500.] $15,000.
          (4) Use of state payments.--A local government 
        receiving an incentive payment from a State under 
        paragraph (1) shall use the amount of the incentive 
        payment for transportation safety improvements.
  (j) Bicycle Safety.--In carrying out projects under this 
section, a State shall take into account bicycle safety.
  (k) National Crossing Inventory.--
          (1) Initial reporting of crossing information.--Not 
        later than 6 months after the date of enactment of the 
        Federal Railroad Safety Improvement Act or within 6 
        months of a new crossing becoming operational, 
        whichever occurs later, each State shall report to the 
        Secretary of Transportation current information, as 
        specified by the Secretary, concerning each previously 
        unreported crossing located within its borders.
          (2) Periodic updating of crossing information.--On a 
        periodic basis beginning not later than 18 months after 
        the date of enactment of the Federal Railroad Safety 
        Improvement Act and on or before September 30 of every 
        third year thereafter, or as otherwise specified by the 
        Secretary, each State shall report to the Secretary 
        current information, as specified by the Secretary, 
        concerning each crossing located within its borders.
          (3) Rulemaking authority.--The Secretary shall 
        prescribe the regulations necessary to implement this 
        section. The Secretary may enforce each provision of 
        the Federal Railroad Administration's Highway-Rail 
        Crossing Inventory Instructions and Procedures Manual 
        that is in effect on the date of enactment of the 
        Federal Railroad Safety Improvement Act, until such 
        provision is superseded by a regulation issued under 
        this subsection.
          (4) Definitions.--In this subsection, the terms 
        ``crossing'' and ``State'' have the meaning given those 
        terms by section 20154(d)(1) and (2), respectively, of 
        title 49.

              TITLE 49, UNITED STATES CODE, TRANSPORTATION


                       SUBTITLE V. RAIL PROGRAMS

                             PART A. SAFETY

                          CHAPTER 201. GENERAL

                         SUBCHAPTER I. GENERAL

Sec. 20103. General authority

  [(a) Regulations and Orders.--The Secretary of 
Transportation, as necessary, shall prescribe regulations and 
issue orders for every area of railroad safety supplementing 
laws and regulations in effect on October 16, 1970. When 
prescribing a security regulation or issuing a security order 
that affects the safety of railroad operations, the Secretary 
of Homeland Security shall consult with the Secretary.]
  (a) Regulations and Orders.--The Secretary of Transportation, 
as necessary, shall prescribe regulations and issue orders for 
every area of railroad safety, including security, 
supplementing laws and regulations in effect on October 16, 
1970. When prescribing a security regulation or issuing a 
security order that affects the safety of railroad operations, 
the Secretary of Homeland Security shall consult with the 
Secretary of Transportation.
  (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 proceedings 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 consider 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.
  (f) Tourist Railroad Carriers.--In prescribing regulations 
that pertain to railroad safety that affect tourist, historic, 
scenic, or excursion railroad carriers, the Secretary of 
Transportation shall take into consideration any financial, 
operational, or other factors that may be unique to such 
railroad carriers. [The Secretary shall submit a report to 
Congress not later than September 30, 1995, on actions taken 
under this subsection.]

           *       *       *       *       *       *       *


Sec. 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, examination, and testing of railroad 
        equipment, facilities, rolling stock, operations, and 
        persons.
  (b) Entry and Inspection.--In carrying out this part, an 
officer, employee, or agent of the Secretary, at reasonable 
times and in a reasonable way, may enter and inspect railroad 
equipment, facilities, rolling stock, operations, and relevant 
records. When requested, the officer, employee, or agent shall 
display proper credentials. During an inspection, the officer, 
employee, or agent is an employee of the United States 
Government under chapter 171 of title 28.
  (c) Railroad Radio Communications.--
          (1) In general.--To carry out the Secretary's 
        responsibilities under this part and under chapter 51, 
        the Secretary may authorize officers, employees, or 
        agents of the Secretary to conduct the following 
        activities at reasonable times:
                  (A) Intercepting a radio communication that 
                is broadcast or transmitted over a frequency 
                authorized for the use of one or more railroad 
                carriers by the Federal Communications 
                Commission, with or without making their 
                presence known to the sender or other receivers 
                of the communication and with or without 
                obtaining the consent of the sender or other 
                receivers of the communication.
                  (B) Communicating the existence, contents, 
                substance, purport, effect, or meaning of the 
                communication, subject to the restrictions in 
                paragraph (3).
                  (C) Receiving or assisting in receiving the 
                communication (or any information therein 
                contained).
                  (D) Disclosing the contents, substance, 
                purport, effect, or meaning of the 
                communication (or any part thereof of such 
                communication) or using the communication (or 
                any information contained therein), subject to 
                the restrictions in paragraph (3), after having 
                received the communication or acquired 
                knowledge of the contents, substance, purport, 
                effect, or meaning of the communication (or any 
                part thereof).
                  (E) Recording the communication by any means, 
                including writing and tape recording.
          (2) Limitation.--The Secretary, and officers, 
        employees, and agents of the Department of 
        Transportation authorized by the Secretary may engage 
        in the activities authorized by paragraph (1) for the 
        purpose of accident prevention, including, but not 
        limited to, accident investigation.
          (3) Use of information.--
                  (A) Except as provided in subparagraph (F), 
                information obtained through activities 
                authorized by paragraphs (1) and (2) shall not 
                be admitted into evidence in any administrative 
                or judicial proceeding except to impeach 
                evidence offered by a party other than the 
                Federal Government regarding the existence, 
                electronic characteristics, content, substance, 
                purport, effect, meaning, or timing of, or 
                identity of parties to, a communication 
                intercepted pursuant to paragraphs (1) and (2) 
                in proceedings pursuant to sections 5122, 
                20702(b), 20111, 20112, 20113, or 20114 of this 
                title.
                  (B) If information obtained through 
                activities set forth in paragraphs (1) and (2) 
                is admitted into evidence for impeachment 
                purposes in accordance with subparagraph (A), 
                the court, administrative law judge, or other 
                officer before whom the proceeding is conducted 
                may make such protective orders regarding the 
                confidentiality or use of the information as 
                may be appropriate in the circumstances to 
                protect privacy and administer justice.
                  (C) Information obtained through activities 
                set forth in paragraphs (1) and (2) shall not 
                be subject to publication or disclosure, or 
                search or review in connection therewith, under 
                section 552 of title 5.
                  (D) No evidence shall be excluded in an 
                administrative or judicial proceeding solely 
                because the government would not have learned 
                of the existence of or obtained such evidence 
                but for the interception of information that is 
                not admissible in such proceeding under 
                subparagraph (A).
                  (E) Nothing in this subsection shall be 
                construed to impair or otherwise affect the 
                authority of the United States to intercept a 
                communication, and collect, retain, analyze, 
                use, and disseminate the information obtained 
                thereby, under a provision of law other than 
                this subsection.
                  (F) No information obtained by an activity 
                authorized by paragraph (1)(A) that was 
                undertaken solely for the purpose of accident 
                investigation may be introduced into evidence 
                in any administrative or judicial proceeding in 
                which civil or criminal penalties may be 
                imposed.
          (4) Application with other law.--Section 705 of the 
        Communications Act of 1934 (47 U.S.C. 605) and chapter 
        119 of title 18 shall not apply to conduct authorized 
        by and pursuant to this subsection.
  (d) Reasonable Time Defined.--In this section, the term ``at 
reasonable times'' means at any time that the railroad carrier 
being inspected or investigated is performing its rail 
transportation business.

           *       *       *       *       *       *       *


Sec. 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 United States--
          (1) to enjoin a violation of, or to enforce, this 
        part, except for section 20109 of this title, or a 
        railroad safety regulation prescribed or order issued 
        by the Secretary;
          (2) to collect a civil penalty imposed or an amount 
        agreed on in compromise under section [21301] 21301, 
        21302, or 21303 of this title; or
          (3) to enforce a [subpena] subpena, request for 
        production of documents or other tangible things, or 
        request for testimony by deposition issued by the 
        Secretary under this [chapter.] part.
  (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 
        office. 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 compliance 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.

           *       *       *       *       *       *       *


Sec. 20117. Authorization of appropriations

  [(a) General.--
          [(1) Not more than the following amounts may be 
        appropriated 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.
                  [(C) $68,289,000 for fiscal year 1995.
                  [(D) $75,112,000 for fiscal year 1996.
                  [(E) $82,563,000 for fiscal year 1997.
                  [(F) $90,739,000 for fiscal year 1998.
          [(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.]
  (a) General.--There are authorized to be appropriated to the 
Secretary of Transportation to carry out this chapter--
          (1) $166,000,000 for the fiscal year ending September 
        30, 2004;
          (2) $176,000,000 for the fiscal year ending September 
        30, 2005;
          (3) $185,000,000 for the fiscal year ending September 
        30, 2006;
          (4) $192,000,000 for the fiscal year ending September 
        30, 2007; and
          (5) $200,000,000 for the fiscal year ending September 
        30, 2008.
  (b) Grade Crossing Safety.--Not more than $1,000,000 may be 
appropriated to the Secretary for improvements in grade 
crossing safety, except 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 information 
acquisition technology, improved railroad freight 
transportation, and improved railroad passenger systems.
  [(e) Operation Lifesaver.--In addition to amounts otherwise 
authorized by law, there are authorized to be appropriated for 
railroad research and development $300,000 for fiscal year 
1995, $500,000 for fiscal year 1996, and $750,000 for fiscal 
year 1997, to support Operation Lifesaver, Inc.]
  (e) Operation Lifesaver.--In addition to amounts otherwise 
authorized by law, from the amounts authorized to be 
appropriated under subsection (a), there shall be available for 
railroad research and development $1,250,000 for fiscal year 
2004, $1,300,000 for fiscal year 2005, $1,350,000 for fiscal 
year 2006, $1,400,000 for fiscal year 2007, and $1,460,000 for 
fiscal year 2008 to support Operation Lifesaver, Inc.

           *       *       *       *       *       *       *


              SUBCHAPTER II. PARTICULAR ASPECTS OF SAFETY

[Sec. 20145. Report on bridge displacement detection systems

  [Not later than 18 months after November 2, 1994, the 
Secretary of Transportation shall transmit to the Committee on 
Commerce, Science, and Transportation of the Senate and the 
Committee on Transportation and Infrastructure of the House of 
Representatives a report concerning any action that has been 
taken by the Secretary on railroad bridge displacement 
detection systems.]

[Sec. 20146. Institute for Railroad Safety

  [The Secretary of Transportation, in conjunction with a 
university or college having expertise in transportation 
safety, shall establish, within one year after November 2, 
1994, an Institute for Railroad Safety. The Institute shall 
research, develop, fund, and test measures for reducing the 
number of fatalities and injuries relevant to railroad 
operations. There are authorized to be appropriated to the 
Secretary $1,000,000 for each of the fiscal years 1996 through 
2000 to fund activities carried out under this section by the 
Institute, which shall report at least once each year on its 
use of such funds in carrying out such activities and the 
results thereof to the Secretary of Transportation and the 
Congress.]

           *       *       *       *       *       *       *


[Sec. 20150. Positive train control system progress report

  [The Secretary of Transportation shall submit a report to the 
Congress on the development, deployment, and demonstration of 
positive train control systems by December 31, 1995.]

[Sec. 20151. Railroad trespassing and vandalism prevention strategy]

Sec. 20151. Strategy to prevent railroad trespassing and vandalism and 
                    violation of grade crossing signals

  (a) Evaluation of Existing Laws.--In consultation with 
affected parties, the Secretary of Transportation shall 
evaluate and review current local, State, and Federal laws 
regarding trespassing on railroad property and vandalism 
affecting railroad [safety,] safety and violations of highway-
rail grade crossing signals, and develop model prevention 
strategies and enforcement laws to be used for the 
consideration of State and local legislatures and governmental 
entities. [The first such evaluation and review shall be 
completed within 1 year after November 2, 1994.] The evaluation 
and review shall be completed not later than 1 year after the 
date of enactment of the Federal Railroad Safety Improvement 
Act. The Secretary shall revise such model prevention 
strategies and enforcement codes periodically.
  (b) Outreach Program.--The Secretary shall develop and 
maintain a comprehensive outreach program to improve 
communications among Federal railroad safety inspectors, State 
inspectors certified by the Federal Railroad Administration, 
railroad police, and State and local law enforcement officers, 
for the purpose of addressing trespassing and vandalism 
problems on railroad property, and strengthening relevant 
enforcement strategies. This program shall be designed to 
increase public and police awareness of the illegality of, 
dangers inherent in, and the extent of, trespassing on railroad 
rights-of-way, to develop strategies to improve the prevention 
of trespassing and vandalism, and to improve the enforcement of 
laws relating to railroad trespass, vandalism, and safety.
  (c) [Model Legislation.--Within 18 months after November 2, 
1994, the] Legislation for Vandalism and Trespassing 
Penalties._The Secretary, after consultation with State and 
local governments and railroad carriers, shall develop and make 
available to State and local governments model State 
legislation providing for--
          (1) civil or criminal penalties, or both, for 
        vandalism of railroad equipment or property which could 
        affect the safety of the public or of railroad 
        employees; and
          (2) civil or criminal penalties, or both, for 
        trespassing on a railroad owned or leased right-of-way.
  (d) Model Legislation for Grade-Crossing Violations.--Within 
2 years after the date of the enactment of the Federal Railroad 
Safety Improvement Act, the Secretary, after consultation with 
State and local governments and railroad carriers, shall 
develop and make available to State and local governments model 
State legislation providing for civil or criminal penalties, or 
both, for violations of highway-rail grade crossing signals.
  (e) Violation Defined.--In this section, the term ``violation 
of highway-rail grade crossing signals'' includes any action by 
a motorist, unless directed by an authorized safety officer--
          (1) to drive around or through a grade crossing gate 
        in a position intended to block passage over railroad 
        tracks;
          (2) to drive through a flashing grade crossing 
        signal;
          (3) to drive through a grade crossing with passive 
        warning signs without determining that the grade 
        crossing could be safely crossed before any train 
        arrived; and
          (4) in the vicinity of a grade crossing, that creates 
        a hazard of an accident involving injury or property 
        damage at the grade crossing.

           *       *       *       *       *       *       *


Sec. 20154. National crossing inventory

  (a) Initial Reporting of Information About Previously 
Unreported Crossings.--Not later than 6 months after the date 
of enactment of the Federal Railroad Safety Improvement Act or 
6 months after a new crossing becomes operational, whichever 
occurs later, each railroad carrier shall--
          (1) report to the Secretary of Transportation current 
        information, as specified by the Secretary, concerning 
        each previously unreported crossing through which it 
        operates; or
          (2) ensure that the information has been reported to 
        the Secretary by another railroad carrier that operates 
        through the crossing.
  (b) Updating of Crossing Information.--(1) On a periodic 
basis beginning not later than 18 months after the date of 
enactment of the Federal Railroad Safety Improvement Act and on 
or before September 30 of every third year thereafter, or as 
otherwise specified by the Secretary, each railroad carrier 
shall--
          (A) report to the Secretary current information, as 
        specified by the Secretary, concerning each crossing 
        through which it operates; or
          (B) ensure that the information has been reported to 
        the Secretary by another railroad carrier that operates 
        through the crossing.
  (2) A railroad carrier that sells a crossing on or after the 
date of enactment of the Federal Railroad Safety Improvement 
Act, shall, not later than the date that is 18 months after the 
date of enactment of the Act or 3 months after the sale, 
whichever occurs later, or as otherwise specified by the 
Secretary, report to the Secretary current information, as 
specified by the Secretary, concerning the change in ownership 
of the crossing.
  (c) Rulemaking Authority.--The Secretary shall prescribe the 
regulations necessary to implement this section. The Secretary 
may enforce each provision of the Federal Railroad 
Administration's Highway-Rail Crossing Inventory Instructions 
and Procedures Manual that is in effect on the date of 
enactment of the Federal Railroad Safety Improvement Act, until 
such provision is superseded by a regulation issued under this 
section.
  (d) Definitions.--In this section:
          (1) Crossing.--The term ``crossing'' means a location 
        within a State, other than a location where one or more 
        railroad tracks cross one or more railroad tracks 
        either at grade or grade-separated, where--
                  (A) a public highway, road, or street, or a 
                private roadway, including associated sidewalks 
                and pathways, crosses one or more railroad 
                tracks either at grade or grade-separated; or
                  (B) a dedicated pedestrian pathway that is 
                not associated with a public highway, road, or 
                street, or a private roadway, crosses one or 
                more railroad tracks either at grade or grade- 
                separated.
          (2) State.--The term ``State'' means a State of the 
        United States, the District of Columbia, or Puerto 
        Rico.

                  CHAPTER 209. ACCIDENTS AND INCIDENTS

Sec. 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 carrier's operations 
during the month. The report shall be under oath and shall 
state the nature, cause, and circumstances of each reported 
accident or incident. 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.]
  (a) General Requirements.--On a periodic basis specified by 
the Secretary of Transportation but not less frequently than 
quarterly, a railroad carrier shall file a report with the 
Secretary on all accidents and incidents resulting in injury or 
death to an individual or damage to equipment or a roadbed 
arising from the carrier's operations during the specified 
period. The report shall state the nature, cause, and 
circumstances of each reported accident or incident. 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 
                objective, statistically sound survey methods 
                or has been previously subject to a public 
                notice and comment process in a proceeding of a 
                Government department, agency, or 
                instrumentality.
          (2) If information is not available as provided in 
        paragraph (1)(A) or (B) of this subsection, the 
        Secretary may use any other source to obtain the 
        information. However, use of the information shall be 
        subject to public notice and an opportunity for written 
        comment.

                         CHAPTER 213. PENALTIES

                     SUBCHAPTER I. CIVIL PENALTIES

Sec. 21301. Chapter 201 general violations

  (a) Penalty.--
          (1) A person may not fail to comply with section 
        20154 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 20154 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.
          (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 Secretary shall impose a civil 
        penalty for a violation of section 20154 of this title. 
        The amount of the penalty shall be at least $500 but 
        not more than [$10,000.] $10,000 or the amount to which 
        the stated maximum penalty is adjusted if required by 
        the Federal Civil Penalties Inflation Adjustment Act of 
        1990 (28 U.S.C. 2461 note). 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 [$20,000.] $20,000 or the amount 
        to which the stated maximum penalty is adjusted if 
        required by the Federal Civil Penalties Inflation 
        Adjustment Act of 1990 (28 U.S.C. 2461 note).
          (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 
        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.
  (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 miscellaneous receipts.

Sec. 21302. Chapter 201 accident and incident violations and chapter 
                    203-209 violations

  (a) Penalty.--
          (1) Subject to section 21304 of this title, a person 
        violating a regulation prescribed or order issued under 
        chapter 201 of this title related to accident and 
        incident reporting or investigation, or violating 
        chapters 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.] $10,000 or the amount to which the stated 
        maximum penalty is adjusted if required by the Federal 
        Civil Penalties Inflation Adjustment Act of 1990 (28 
        U.S.C. 2461 note). 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 [$20,000.] $20,000 or the amount 
        to which the stated maximum penalty is adjusted if 
        required by the Federal Civil Penalties Inflation 
        Adjustment Act of 1990 (28 U.S.C. 2461 note).
          (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 continue 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.
  (c) 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.
  (d) Deposit in Treasury.--A civil penalty collected under 
this section shall be deposited in the Treasury as 
miscellaneous receipts.

Sec. 21303. Chapter 211 violations

  (a) Penalty.--
          (1) Subject to section 21304 of this title, a person 
        violating chapter 211 of this title, or violating any 
        provision of a waiver applicable to that person that 
        has been granted under section 21108 of this title, is 
        liable to the United States Government for a civil 
        penalty. An act by an individual that causes a railroad 
        carrier to be in violation is a violation. For a 
        violation of section 21106 of this title, a separate 
        violation occurs for each day a facility is not in 
        compliance.
          (2) The Secretary of Transportation imposes a civil 
        penalty under this subsection. The amount of the 
        penalty shall be at least $500 but not more than 
        [$10,000.] $10,000 or the amount to which the stated 
        maximum penalty is adjusted if required by the Federal 
        Civil Penalties Inflation Adjustment Act of 1990 (28 
        U.S.C. 2461 note). 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 [$20,000.] $20,000 or the amount 
        to which the stated maximum penalty is adjusted if 
        required by the Federal Civil Penalties Inflation 
        Adjustment Act of 1990 (28 U.S.C. 2461 note).
          (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 continue 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 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.
          (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 person committing the violation. However, 
        even if notification is given, the action 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.
  (d) 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.
  (e) Deposit in Treasury.--A civil penalty collected under 
this section shall be deposited in the Treasury as 
miscellaneous receipts.

                         PART E. MISCELLANEOUS

                      CHAPTER 281. LAW ENFORCEMENT

Sec. 28101. Rail police officers

  Under regulations prescribed by the Secretary of 
Transportation, a rail police officer who is employed by a rail 
carrier and certified or commissioned as a police officer under 
the laws of a State may enforce the laws of any jurisdiction in 
which [the rail carrier] any rail carrier owns property, to the 
extent of the authority of a police officer certified or 
commissioned under the laws of that jurisdiction, to protect--
          (1) employees, passengers, or patrons of [the rail 
        carrier] any rail carrier;
          (2) property, equipment, and facilities owned, 
        leased, operated, or maintained by [the rail carrier] 
        any rail carrier;
          (3) property moving in interstate or foreign commerce 
        in the possession of [the rail carrier] any rail 
        carrier; and
          (4) personnel, equipment, and material moving by rail 
        that are vital to the national defense.

                                
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