49 U.S.C. § 14901 — General civil penalties

Page 531 TITLE 49—TRANSPORTATION § 14901 (1) be heard on all matters arising in such civil action; and (2) file petitions for appeal of a decision in such civil actions. (d) CONSTRUCTION.—For purposes of bringing any civil action under subsection (a), nothing in this section shall— (1) convey a right to initiate or maintain a class action lawsuit in the enforcement of a Federal law or regulation; or (2) prevent the attorney general of a State from exercising the powers conferred on the attorney general by the laws of such State to conduct investigations or to administer oaths or affirmations or to compel the attendance of witnesses or the production of documentary and other evidence. (e) VENUE; SERVICE OF PROCESS.—In a civil ac- tion brought under subsection (a)— (1) the venue shall be a Federal judicial dis- trict in which— (A) the carrier, foreign motor carrier, or broker operates; (B) the carrier, foreign motor carrier, or broker was authorized to provide transpor- tation at the time the complaint arose; or (C) where the defendant in the civil action is found; (2) process may be served without regard to the territorial limits of the district or of the State in which the civil action is instituted; and (3) a person who participated with a carrier or broker in an alleged violation that is being litigated in the civil action may be joined in the civil action without regard to the resi- dence of the person. (f) ENFORCEMENT OF STATE LAW.—Nothing con- tained in this section shall prohibit an author- ized State official from proceeding in State court to enforce a criminal statute of such State. (Added Pub. L. 109–59, title IV, § 4206(b)(1), Aug. 10, 2005, 119 Stat. 1755; amended Pub. L. 109–115, div. A, title I, § 173(c), (d), Nov. 30, 2005, 119 Stat. 2426.) Editorial Notes AMENDMENTS 2005—Subsec. (b)(1). Pub. L. 109–115, § 173(c), (e), tem- porarily inserted at end ‘‘The State may initiate a civil action under subsection (a) if it is reviewable under subsection (b)(2).’’ See Termination Date of 2005 Amendment note below. Subsec. (b)(4). Pub. L. 109–115, § 173(d), (e), temporarily inserted ‘‘that is subject to review under subsection (b)(2)’’ before ‘‘if the Secretary’’. See Termination Date of 2005 Amendment note below. Statutory Notes and Related Subsidiaries TERMINATION DATE OF 2005 AMENDMENT Amendment by Pub. L. 109–115 to cease to be in effect after Sept. 30, 2006, see section 173(e) of Pub. L. 109–115, set out as a note under section 14710 of this title. DEEMED REFERENCES TO CHAPTERS 509 AND 511 OF TITLE 51 General references to ‘‘this title’’ deemed to refer also to chapters 509 and 511 of Title 51, National and Commercial Space Programs, see section 4(d)(8) of Pub. L. 111–314, set out as a note under section 101 of this title. CHAPTER 149—CIVIL AND CRIMINAL PENALTIES Sec. 14901. General civil penalties. 14902. Civil penalty for accepting rebates from car- rier. 14903. Tariff violations. 14904. Additional rate violations. 14905. Penalties for violations of rules relating to loading and unloading motor vehicles. 14906. Evasion of regulation of carriers and brokers. 14907. Recordkeeping and reporting violations. 14908. Unlawful disclosure of information. 14909. Disobedience to subpoenas. 14910. General civil penalty when specific penalty not provided. 14911. Punishment of corporation for violations committed by certain individuals. 14912. Weight-bumping in household goods transpor- tation. 14913. Conclusiveness of rates in certain prosecu- tions. 14914. Civil penalty procedures. 14915. Penalties for failure to give up possession of household goods. 14916. Unlawful brokerage activities. Editorial Notes AMENDMENTS 2012—Pub. L. 112–141, div. C, title II, § 32919(b), July 6, 2012, 126 Stat. 827, added item 14916. 2005—Pub. L. 109–59, title IV, § 4210(b), Aug. 10, 2005, 119 Stat. 1759, added item 14915. § 14901. General civil penalties (a) REPORTING AND RECORDKEEPING.—A person required to make a report to the Secretary or the Board, answer a question, or make, prepare, or preserve a record under this part concerning transportation subject to jurisdiction under sub- chapter I or III of chapter 135 or transportation by a foreign carrier registered under section 13902, or an officer, agent, or employee of that person that— (1) does not make the report; (2) does not specifically, completely, and truthfully answer the question; (3) does not make, prepare, or preserve the record in the form and manner prescribed; (4) does not comply with section 13901; or (5) does not comply with section 13902(c); is liable to the United States for a civil penalty of not less than $1,000 for each violation and for each additional day the violation continues; ex- cept that, in the case of a person or an officer, agent, or employee of such person, that does not comply with section 13901 or section 13902(c) of this title, the amount of the civil penalty shall not be less than $10,000 for each violation, or $25,000 for each violation relating to providing transportation of passengers. (b) TRANSPORTATION OF HAZARDOUS WASTES.— A person subject to jurisdiction under sub- chapter I of chapter 135, or an officer, agent, or employee of that person, and who is required to comply with section 13901 of this title but does not so comply with respect to the transpor- tation of hazardous wastes as defined by the En- Page 532 TITLE 49—TRANSPORTATION § 14901 vironmental Protection Agency pursuant to sec- tion 3001 of the Solid Waste Disposal Act (but not including any waste the regulation of which under the Solid Waste Disposal Act has been suspended by Congress) shall be liable to the United States for a civil penalty not less than $20,000, but not to exceed $40,000 for each viola- tion. (c) FACTORS TO CONSIDER IN DETERMINING AMOUNT.—In determining and negotiating the amount of a civil penalty under subsection (a) or (d) concerning transportation of household goods, the degree of culpability, any history of prior such conduct, the degree of harm to ship- per or shippers, ability to pay, the effect on abil- ity to do business, whether the shipper has been adequately compensated before institution of the proceeding, and such other matters as fair- ness may require shall be taken into account. (d) PROTECTION OF HOUSEHOLD GOODS SHIP- PERS.— (1) IN GENERAL.—If a carrier providing trans- portation of household goods subject to juris- diction under subchapter I or III of chapter 135 or a receiver or trustee of such carrier fails or refuses to comply with any regulation issued by the Secretary or the Board relating to pro- tection of individual shippers, such carrier, re- ceiver, or trustee is liable to the United States for a civil penalty of not less than $1,000 for each violation and for each additional day dur- ing which the violation continues. (2) ESTIMATE OF BROKER WITHOUT CARRIER AGREEMENT.—If a broker for transportation of household goods subject to jurisdiction under subchapter I of chapter 135 makes an estimate of the cost of transporting any such goods be- fore entering into an agreement with a carrier to provide transportation of household goods subject to such jurisdiction, the broker is lia- ble to the United States for a civil penalty of not less than $10,000 for each violation. (3) UNAUTHORIZED TRANSPORTATION.—If a per- son provides transportation of household goods subject to jurisdiction under subchapter I of chapter 135 or provides broker services for such transportation without being registered under chapter 139 to provide such transpor- tation or services as a motor carrier or broker, as the case may be, such person is liable to the United States for a civil penalty of not less than $25,000 for each violation. (e) VIOLATION RELATING TO TRANSPORTATION OF HOUSEHOLD GOODS.—Any person that knowingly engages in or knowingly authorizes an agent or other person— (1) to falsify documents used in the transpor- tation of household goods subject to jurisdic- tion under subchapter I or III of chapter 135 which evidence the weight of a shipment; or (2) to charge for accessorial services which are not performed or for which the carrier is not entitled to be compensated in any case in which such services are not reasonably nec- essary in the safe and adequate movement of the shipment; is liable to the United States for a civil penalty of not less than $2,000 for each violation and of not less than $5,000 for each subsequent viola- tion. Any State may bring a civil action in the United States district courts to compel a person to pay a civil penalty assessed under this sub- section. (f) VENUE.—Trial in a civil action under sub- sections (a) through (e) of this section is in the judicial district in which— (1) the carrier or broker has its principal of- fice; (2) the carrier or broker was authorized to provide transportation or service under this part when the violation occurred; (3) the violation occurred; or (4) the offender is found. Process in the action may be served in the judi- cial district of which the offender is an inhab- itant or in which the offender may be found. (g) BUSINESS ENTERTAINMENT EXPENSES.— (1) IN GENERAL.—Any business entertainment expense incurred by a water carrier providing transportation subject to this part shall not constitute a violation of this part if that ex- pense would not be unlawful if incurred by a person not subject to this part. (2) COST OF SERVICE.—Any business enter- tainment expense subject to paragraph (1) that is paid or incurred by a water carrier pro- viding transportation subject to this part shall not be taken into account in determining the cost of service or the rate base for purposes of section 13702. (h) SETTLEMENT OF CIVIL PENALTIES.—Nothing in this section shall be construed to prohibit the Secretary from accepting partial payment of a civil penalty as part of a settlement agreement in the public interest, or from holding imposi- tion of any part of a civil penalty in abeyance. (Added Pub. L. 104–88, title I, § 103, Dec. 29, 1995, 109 Stat. 913; amended Pub. L. 109–59, title IV, § 4209, Aug. 10, 2005, 119 Stat. 1758; Pub. L. 112–141, div. C, title II, §§ 32108, 32923(a), July 6, 2012, 126 Stat. 782, 828; Pub. L. 114–94, div. A, title V, § 5508(a)(4), (b)(1), Dec. 4, 2015, 129 Stat. 1554.) Editorial Notes REFERENCES IN TEXT The Solid Waste Disposal Act, referred to in subsec. (b), is title II of Pub. L. 89–272, as amended generally by Pub. L. 94–580, § 2, Oct. 21, 1976, 90 Stat. 2795, which is classified generally to chapter 82 (§ 6901 et seq.) of Title 42, The Public Health and Welfare. Section 3001 of the Act is classified to section 6921 of Title 42. For com- plete classification of this Act to the Code, see Short Title note set out under section 6901 of Title 42 and Ta- bles. PRIOR PROVISIONS Provisions similar to those in this section were con- tained in sections 10751 and 11901 of this title prior to the general amendment of this subtitle by Pub. L. 104–88, § 102(a). AMENDMENTS 2015—Subsec. (a). Pub. L. 114–94, § 5508(b)(1), amended Pub. L. 112–141, § 32108(a)(4). See 2012 Amendment note below. Subsec. (h). Pub. L. 114–94, § 5508(a)(4), struck out ‘‘Household Goods’’ after ‘‘Settlement of’’ in heading. 2012—Subsec. (a). Pub. L. 112–141, § 32108(a)(4), as amended by Pub. L. 114–94, § 5508(b)(1), substituted ‘‘$10,000 for each violation, or $25,000 for each violation relating to providing transportation of passengers’’ for Page 533 TITLE 49—TRANSPORTATION § 14903 ‘‘$2,000 for each violation and for each additional day the violation continues’’ in concluding provisions. Pub. L. 112–141, § 32108(a)(1)–(3), substituted ‘‘$1,000’’ for ‘‘$500’’ and ‘‘or section 13902(c) of this title,’’ for ‘‘with respect to providing transportation of pas- sengers,’’ and struck out ‘‘who is not registered under this part to provide transportation of passengers,’’ after ‘‘in the case of a person’’ in concluding provisions. Subsec. (b). Pub. L. 112–141, § 32108(b), substituted ‘‘not less than $20,000, but not to exceed $40,000’’ for ‘‘not to exceed $20,000’’. Subsec. (h). Pub. L. 112–141, § 32923(a), added subsec. (h). 2005—Subsec. (d). Pub. L. 109–59 designated existing provisions as par. (1), inserted heading, and added pars. (2) and (3). Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2015 AMENDMENT Amendment by section 5508(a)(4) of Pub. L. 114–94 ef- fective Oct. 1, 2015, see section 1003 of Pub. L. 114–94, set out as a note under section 5313 of Title 5, Government Organization and Employees. Pub. L. 114–94, div. A, title V, § 5508(b), Dec. 4, 2015, 129 Stat. 1554, provided that the amendment made by sec- tion 5508(b)(1) is effective as of July 6, 2012, and as if in- cluded in Pub. L. 112–141 as enacted. EFFECTIVE DATE OF 2012 AMENDMENT Amendment by Pub. L. 112–141 effective Oct. 1, 2012, see section 3(a) of Pub. L. 112–141, set out as an Effec- tive and Termination Dates of 2012 Amendment note under section 101 of Title 23, Highways. EFFECTIVE DATE Section effective Jan. 1, 1996, except as otherwise pro- vided in Pub. L. 104–88, see section 2 of Pub. L. 104–88, set out as a note under section 1301 of this title. FOREIGN MOTOR CARRIER PENALTIES AND DISQUALIFICATIONS Pub. L. 106–159, title II, § 219, Dec. 9, 1999, 113 Stat. 1768, provided that: ‘‘(a) GENERAL RULE.—Subject to subsections (b) and (c), a foreign motor carrier or foreign motor private carrier (as such terms are defined under section 13102 of title 49, United States Code) that operates without au- thority, before the implementation of the land trans- portation provisions of the North American Free Trade Agreement, outside the boundaries of a commercial zone along the United States-Mexico border shall be liable to the United States for a civil penalty and shall be disqualified from operating a commercial motor ve- hicle anywhere within the United States as provided in subsections (b) and (c). ‘‘(b) PENALTY FOR INTENTIONAL VIOLATION.—The civil penalty for an intentional violation of subsection (a) by a carrier shall not be more than $10,000 and may in- clude a disqualification from operating a commercial motor vehicle anywhere within the United States for a period of not more than 6 months. ‘‘(c) PENALTY FOR PATTERN OF INTENTIONAL VIOLA- TIONS.—The civil penalty for a pattern of intentional violations of subsection (a) by a carrier shall not be more than $25,000 and the carrier shall be disqualified from operating a commercial motor vehicle anywhere within the United States and the disqualification may be permanent. ‘‘(d) LEASING.—Before the implementation of the land transportation provisions of the North American Free Trade Agreement, during any period in which a suspen- sion, condition, restriction, or limitation imposed under section 13902(c) of title 49, United States Code, applies to a motor carrier (as defined in section 13902(e) of such title), that motor carrier may not lease a com- mercial motor vehicle to another motor carrier or a motor private carrier to transport property in the United States. ‘‘(e) SAVINGS CLAUSE.—No provision of this section may be enforced if it is inconsistent with any inter- national agreement of the United States. ‘‘(f) ACTS OF EMPLOYEES.—The actions of any em- ployee driver of a foreign motor carrier or foreign motor private carrier committed without the knowl- edge of the carrier or committed unintentionally shall not be grounds for penalty or disqualification under this section.’’ § 14902. Civil penalty for accepting rebates from carrier A person— (1) delivering property to a carrier providing transportation or service subject to jurisdic- tion under chapter 135 for transportation under this part or for whom that carrier will transport the property as consignor or con- signee for that person from a State or terri- tory or possession of the United States to an- other State or possession, territory, or to a foreign country; and (2) knowingly accepting or receiving by any means a rebate or offset against the rate for transportation for, or service of, that property contained in a tariff required under section 13702; is liable to the United States for a civil penalty in an amount equal to 3 times the amount of money that person accepted or received as a re- bate or offset and 3 times the value of other con- sideration accepted or received as a rebate or offset. In a civil action under this section, all money or other consideration received by the person during a period of 6 years before an ac- tion is brought under this section may be in- cluded in determining the amount of the pen- alty, and if that total amount is included, the penalty shall be 3 times that total amount. (Added Pub. L. 104–88, title I, § 103, Dec. 29, 1995, 109 Stat. 915.) Editorial Notes PRIOR PROVISIONS Provisions similar to those in this section were con- tained in section 11902 of this title prior to the general amendment of this subtitle by Pub. L. 104–88, § 102(a). Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective Jan. 1, 1996, except as otherwise pro- vided in Pub. L. 104–88, see section 2 of Pub. L. 104–88, set out as a note under section 1301 of this title. § 14903. Tariff violations (a) CIVIL PENALTY FOR UNDERCHARGING AND OVERCHARGING.—A person that offers, grants, gives, solicits, accepts, or receives by any means transportation or service provided for property by a carrier subject to jurisdiction under chap- ter 135 at a rate different than the rate in effect under section 13702 is liable to the United States for a civil penalty of not more than $100,000 for each violation. (b) GENERAL CRIMINAL PENALTY.—A carrier providing transportation or service subject to jurisdiction under chapter 135 or an officer, di- rector, receiver, trustee, lessee, agent, or em- ployee of a corporation that is subject to juris-