49 U.S.C. § 11901 — General civil penalties

Page 461 TITLE 49—TRANSPORTATION § 11901 (e) TIMELINES.— (1) SELECTION.—An arbitrator or panel of ar- bitrators shall be selected not later than 14 days after the date of the Board’s decision to initiate arbitration. (2) EVIDENTIARY PROCESS.—The evidentiary process of the voluntary and binding arbitra- tion process shall be completed not later than 90 days after the date on which the arbitration process is initiated unless— (A) a party requests an extension; and (B) the arbitrator or panel of arbitrators, as applicable, grants such extension request. (3) DECISION.—The arbitrator or panel of ar- bitrators, as applicable, shall issue a decision not later than 30 days after the date on which the evidentiary record is closed. (4) EXTENSIONS.—The Board may extend any of the timelines under this subsection upon the agreement of all parties in the dispute. (f) ARBITRATORS.— (1) IN GENERAL.—Unless otherwise agreed by all of the parties, an arbitration under this section shall be conducted by an arbitrator or panel of arbitrators, which shall be selected from a roster, maintained by the Board, of persons with rail transportation, economic regulation, professional or business experi- ence, including agriculture, in the private sec- tor. (2) INDEPENDENCE.—In an arbitration under this section, the arbitrators shall perform their duties with diligence, good faith, and in a manner consistent with the requirements of impartiality and independence. (3) SELECTION.— (A) IN GENERAL.—If the parties cannot mu- tually agree on an arbitrator, or the lead ar- bitrator of a panel of arbitrators, the parties shall select the arbitrator or lead arbitrator from the roster by alternately striking names from the roster until only 1 name re- mains meeting the criteria set forth in para- graph (1). (B) PANEL OF ARBITRATORS.—If the parties agree to select a panel of arbitrators, in- stead of a single arbitrator, the panel shall be selected under this subsection as follows: (i) The parties to a dispute may mutu- ally select 1 arbitrator from the roster to serve as the lead arbitrator of the panel of arbitrators. (ii) If the parties cannot mutually agree on a lead arbitrator, the parties shall se- lect a lead arbitrator using the process de- scribed in subparagraph (A). (iii) In addition to the lead arbitrator se- lected under this subparagraph, each party to a dispute shall select 1 additional arbi- trator from the roster, regardless of whether the other party struck out the ar- bitrator’s name under subparagraph (A). (4) COST.—The parties shall share the costs incurred by the Board and arbitrators equally, with each party responsible for paying its own legal and other associated arbitration costs. (g) RELIEF.— (1) IN GENERAL.—Subject to the limitations set forth in paragraphs (2) and (3), an arbitral decision under this section may award the payment of damages or rate prescriptive re- lief. (2) PRACTICE DISPUTES.—The damage award for practice disputes may not exceed $2,000,000. (3) RATE DISPUTES.— (A) MONETARY LIMIT.—The damage award for rate disputes, including any rate pre- scription, may not exceed $25,000,000. (B) TIME LIMIT.—Any rate prescription shall be limited to not longer than 5 years from the date of the arbitral decision. (h) BOARD REVIEW.—If a party appeals a deci- sion under this section to the Board, the Board may review the decision under this section to determine if— (1) the decision is consistent with sound principles of rail regulation economics; (2) a clear abuse of arbitral authority or dis- cretion occurred; (3) the decision directly contravenes statu- tory authority; or (4) the award limitation under subsection (g) was violated. (Added Pub. L. 114–110, § 13(a), Dec. 18, 2015, 129 Stat. 2235.) Editorial Notes REFERENCES IN TEXT The date of the enactment of the Surface Transpor- tation Board Reauthorization Act of 2015, referred to in subsec. (a), is the date of enactment of Pub. L. 114–110, which was approved Dec. 18, 2015. CHAPTER 119—CIVIL AND CRIMINAL PENALTIES Sec. 11901. General civil penalties. 11902. Interference with railroad car supply. 11903. Record keeping and reporting violations. 11904. Unlawful disclosure of information. 11905. Disobedience to subpoenas. 11906. General criminal penalty when specific pen- alty not provided. 11907. Punishment of corporation for violations committed by certain individuals. 11908. Relation to other Federal criminal penalties. § 11901. General civil penalties (a) Except as otherwise provided in this sec- tion, a rail carrier providing transportation sub- ject to the jurisdiction of the Board under this part, an officer or agent of that rail carrier, or a receiver, trustee, lessee, or agent of one of them, knowingly violating this part or an order of the Board under this part is liable to the United States Government for a civil penalty of not more than $5,000 for each violation. Liabil- ity under this subsection is incurred for each distinct violation. A separate violation occurs for each day the violation continues. (b) A rail carrier providing transportation sub- ject to the jurisdiction of the Board under this part, or a receiver or trustee of that rail carrier, violating a regulation or order of the Board under section 11124(a)(2) or (b) of this title is lia- ble to the United States Government for a civil penalty of $500 for each violation and for $25 for each day the violation continues. (c) A person knowingly authorizing, con- senting to, or permitting a violation of sections Page 462 TITLE 49—TRANSPORTATION § 11902 10901 through 10906 of this title or of a require- ment or a regulation under any of those sec- tions, is liable to the United States Government for a civil penalty of not more than $5,000. (d) A rail carrier, receiver, or operating trust- ee violating an order or direction of the Board under section 11123 or 11124(a)(1) of this title is liable to the United States Government for a civil penalty of at least $100 but not more than $500 for each violation and for $50 for each day the violation continues. (e)(1) A person required under subchapter III of chapter 111 of this title to make, prepare, pre- serve, or submit to the Board a record con- cerning transportation subject to the jurisdic- tion of the Board under this part that does not make, prepare, preserve, or submit that record as required under that subchapter, is liable to the United States Government for a civil pen- alty of $500 for each violation. (2) A rail carrier providing transportation sub- ject to the jurisdiction of the Board under this part, and a lessor, receiver, or trustee of that rail carrier, violating section 11144(b)(1) of this title, is liable to the United States Government for a civil penalty of $100 for each violation. (3) A rail carrier providing transportation sub- ject to the jurisdiction of the Board under this part, a lessor, receiver, or trustee of that rail carrier, a person furnishing cars, and an officer, agent, or employee of one of them, required to make a report to the Board or answer a question that does not make the report or does not spe- cifically, completely, and truthfully answer the question, is liable to the United States Govern- ment for a civil penalty of $100 for each viola- tion. (4) A separate violation occurs for each day a violation under this subsection continues. (f) Trial in a civil action under subsections (a) through (e) of this section is in the judicial dis- trict in which the rail carrier has its principal operating office or in a district through which the railroad of the rail carrier runs. (Added Pub. L. 104–88, title I, § 102(a), Dec. 29, 1995, 109 Stat. 849.) Editorial Notes PRIOR PROVISIONS A prior section 11901, Pub. L. 95–473, Oct. 17, 1978, 92 Stat. 1455; Pub. L. 96–454, § 8(a), Oct. 15, 1980, 94 Stat. 2019; Pub. L. 96–510, title III, § 306(c), Dec. 11, 1980, 94 Stat. 2810; Pub. L. 97–261, § 23, Sept. 20, 1982, 96 Stat. 1124; Pub. L. 98–554, title II, §§ 226(c)(6), 227(a)(1), Oct. 30, 1984, 98 Stat. 2852; Pub. L. 103–180, §§ 6(b), 7(c), Dec. 3, 1993, 107 Stat. 2051, 2052, related to general civil pen- alties, prior to the general amendment of this subtitle by Pub. L. 104–88, § 102(a). See sections 11901, 14901, and 16101 of this title. 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. § 11902. Interference with railroad car supply (a) A person that offers or gives anything of value to another person acting for or employed by a rail carrier providing transportation sub- ject to the jurisdiction of the Board under this part intending to influence an action of that other person related to supply, distribution, or movement of cars, vehicles, or vessels used in the transportation of property, or because of the action of that other person, shall be fined not more than $1,000, imprisoned for not more than 2 years, or both. (b) A person acting for or employed by a rail carrier providing transportation subject to the jurisdiction of the Board under this part that so- licits, accepts, or receives anything of value— (1) intending to be influenced by it in an ac- tion of that person related to supply, distribu- tion, or movement of cars, vehicles, or vessels used in the transportation of property; or (2) because of the action of that person, shall be fined not more than $1,000, imprisoned for not more than 2 years, or both. (Added Pub. L. 104–88, title I, § 102(a), Dec. 29, 1995, 109 Stat. 850.) Editorial Notes PRIOR PROVISIONS Provisions similar to those in this section were con- tained in section 11907 of this title prior to the general amendment of this subtitle by Pub. L. 104–88, § 102(a). Prior sections 11902 and 11902a were omitted in the general amendment of this subtitle by Pub. L. 104–88, § 102(a). Section 11902, Pub. L. 95–473, Oct. 17, 1978, 92 Stat. 1457, related to civil penalties for accepting rebates from common carriers. See section 14902 of this title. Section 11902a, added Pub. L. 96–296, § 15(b)(1), July 1, 1980, 94 Stat. 809, related to penalties for violations of rules relating to loading and unloading motor vehicles. See section 14905 of this title. 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. § 11903. Record keeping and reporting violations A person required to make a report to the Board, or make, prepare, or preserve a record, under subchapter III of chapter 111 of this title about transportation subject to the jurisdiction of the Board under this part that knowingly and willfully— (1) makes a false entry in the report or record; (2) destroys, mutilates, changes, or by an- other means falsifies the record; (3) does not enter business related facts and transactions in the record; (4) makes, prepares, or preserves the record in violation of a regulation or order of the Board; or (5) files a false report or record with the Board, shall be fined not more than $5,000, imprisoned for not more than 2 years, or both. (Added Pub. L. 104–88, title I, § 102(a), Dec. 29, 1995, 109 Stat. 851.)