13 U.S.C. § 305 — Penalties for unlawful export information

Page 36 TITLE 13—CENSUS § 302 ‘‘(2) COMMERCE CONTROL LIST.—The term ‘Commerce Control List’ has the meaning given the term in sec- tion 774.1 of title 15, Code of Federal Regulations. ‘‘(3) SHIPPERS’ EXPORT DECLARATION.—The term ‘Shippers’ Export Declaration’ means the export in- formation filed under chapter 9 of title 13, United States Code, as described in part 30 of title 15, Code of Federal Regulations. ‘‘(4) UNITED STATES MUNITIONS LIST.—The term ‘United States Munitions List’ means the list of items controlled under section 38 of the Arms Export Control Act (22 U.S.C. 2778).’’ § 302. Rules, regulations, and orders The Secretary may make such rules, regula- tions, and orders as he deems necessary or ap- propriate to carry out the provisions of this chapter. Any rules, regulations, or orders issued pursuant to this authority may be established in such form or manner, may contain such classi- fications or differentiations, and may provide for such adjustments and reasonable exceptions as in the judgment of the Secretary are nec- essary or proper to effectuate the purpose of this chapter, or to prevent circumvention or evasion of any rule, regulation, or order issued here- under. The Secretary may also provide by rule or regulation, for such confidentiality, publica- tion, or disclosure, of information collected hereunder as he may deem necessary or appro- priate in the public interest. Rules, regulations, and orders, or amendments thereto shall have the concurrence of the Secretary of the Treas- ury prior to promulgation. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 951.) § 303. Secretary of Treasury functions To assist the Secretary to carry out the provi- sions of this chapter, the Secretary of the Treas- ury shall collect information in the form and manner prescribed by the regulations issued pursuant to this chapter from persons engaged in foreign commerce or trade and from the own- ers or operators of carriers. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 951; amended Pub. L. 107–228, div. B, title XIV, § 1404(d), Sept. 30, 2002, 116 Stat. 1454.) Editorial Notes AMENDMENTS 2002—Pub. L. 107–228 struck out ‘‘, other than by mail,’’ after ‘‘foreign commerce or trade’’. § 304. Filing export information, delayed filings, penalties for failure to file (a) The information or reports in connection with the exportation or transportation of cargo required to be filed by carriers with the Sec- retary of the Treasury under any rule, regula- tion, or order issued pursuant to this chapter may be filed after the departure of such carrier from the port or place of exportation or trans- portation, whether such departing carrier is des- tined directly to a foreign port or place or to a noncontiguous area, or proceeds by way of other ports or places of the United States, provided that a bond in an approved form in a penal sum of $10,000 is filed with the Secretary of the Treasury. The Secretary of Commerce may, by a rule, regulation, or order issued in conformity herewith, prescribe a maximum period after such departure during which the required infor- mation or reports may be filed. In the event any such information or report is not filed within such prescribed period, a penalty not to exceed $1,000 for each day’s delinquency beyond the pre- scribed period, but not more than $10,000 per vio- lation shall be exacted. Civil suit may be insti- tuted in the name of the United States against the principal and surety for the recovery of any penalties that may accrue and be exacted in ac- cordance with the terms of the bond. (b) Any person, other than a person described in subsection (a), required to submit export in- formation, shall file such information in accord- ance with any rule, regulation, or order issued pursuant to this chapter. In the event any such information or reports are not filed within such prescribed period, the Secretary of Commerce (and officers of the Department of Commerce specifically designated by the Secretary) may impose a civil penalty not to exceed $1,000 for each day’s delinquency beyond the prescribed period, but not more than $10,000 per violation. (c) The Secretary may remit or mitigate any penalty incurred for violations of this section and regulations issued pursuant thereto if, in his opinion, they were incurred without willful neg- ligence or fraud, or other circumstances justify a remission or mitigation. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 952; amended Pub. L. 107–228, div. B, title XIV, § 1404(e), Sept. 30, 2002, 116 Stat. 1454.) Editorial Notes AMENDMENTS 2002—Subsec. (a). Pub. L. 107–228, § 1404(e)(1), sub- stituted ‘‘a penal sum of $10,000’’ for ‘‘the penal sum of $1,000’’ in first sentence and ‘‘a penalty not to exceed $1,000 for each day’s delinquency beyond the prescribed period, but not more than $10,000 per violation’’ for ‘‘a penalty not to exceed $100 for each day’s delinquency beyond the prescribed period, but not more than $1,000,’’ in third sentence. Subsecs. (b), (c). Pub. L. 107–228, § 1404(e)(2), (3), added subsec. (b) and redesignated former subsec. (b) as (c). § 305. Penalties for unlawful export information activities (a) CRIMINAL PENALTIES.— (1) FAILURE TO FILE; SUBMISSION OF FALSE OR MISLEADING INFORMATION.—Any person who knowingly fails to file or knowingly submits false or misleading export information through the Shippers Export Declaration (SED) (or any successor document) or the Automated Export System (AES) shall be sub- ject to a fine not to exceed $10,000 per viola- tion or imprisonment for not more than 5 years, or both. (2) FURTHERANCE OF ILLEGAL ACTIVITIES.— Any person who knowingly reports any infor- mation on or uses the SED or the AES to fur- ther any illegal activity shall be subject to a fine not to exceed $10,000 per violation or im- prisonment for not more than 5 years, or both. (3) FORFEITURE PENALTIES.—Any person who is convicted under this subsection shall, in ad- dition to any other penalty, be subject to for- feiting to the United States— Page 37 TITLE 13—CENSUS § 305 1 See Change of Name note below. (A) any of that person’s interest in, secu- rity of, claim against, or property or con- tractual rights of any kind in the goods or tangible items that were the subject of the violation; (B) any of that person’s interest in, secu- rity of, claim against, or property or con- tractual rights of any kind in tangible prop- erty that was used in the export or attempt to export that was the subject of the viola- tion; and (C) any of that person’s property consti- tuting, or derived from, any proceeds ob- tained directly or indirectly as a result of the violation. (b) CIVIL PENALTIES.—The Secretary (and offi- cers of the Department of Commerce specifically designated by the Secretary) may impose a civil penalty not to exceed $10,000 per violation on any person violating the provisions of this chap- ter or any rule, regulation, or order issued thereunder, except as provided in section 304. Such penalty may be in addition to any other penalty imposed by law. (c) CIVIL PENALTY PROCEDURE.— (1) IN GENERAL.—Whenever a civil penalty is sought for a violation of this section or of sec- tion 304, the charged party is entitled to re- ceive a formal complaint specifying the charges and, at his or her request, to contest the charges in a hearing before an administra- tive law judge. Any such hearing shall be con- ducted in accordance with sections 556 and 557 of title 5, United States Code. (2) COMMENCEMENT OF CIVIL ACTIONS.—If any person fails to pay a civil penalty imposed under this chapter, the Secretary may request the Attorney General to commence a civil ac- tion in an appropriate district court of the United States to recover the amount imposed (plus interest at currently prevailing rates from the date of the final order). No such ac- tion may be commenced more than 5 years after the date the order imposing the civil penalty becomes final. In such action, the va- lidity, amount, and appropriateness of such penalty shall not be subject to review. (3) REMISSION OR MITIGATION OF PENALTIES.— The Secretary may remit or mitigate any pen- alties imposed under paragraph (1) if, in the Secretary’s opinion— (A) the penalties were incurred without willful negligence or fraud; or (B) other circumstances exist that justify a remission or mitigation. (4) APPLICABLE LAW FOR DELEGATED FUNC- TIONS.—If, pursuant to section 306, the Sec- retary delegates functions under this section to another agency, the provisions of law of that agency relating to penalty assessment, remission or mitigation of such penalties, col- lection of such penalties, and limitations of actions and compromise of claims, shall apply. (5) DEPOSIT OF PAYMENTS IN GENERAL FUND OF THE TREASURY.—Any amount paid in satisfac- tion of a civil penalty imposed under this sec- tion or section 304 shall be deposited into the general fund of the Treasury and credited as miscellaneous receipts. (d) ENFORCEMENT.— (1) BY THE SECRETARY OF COMMERCE.—The Secretary of Commerce may designate officers or employees of the Office of Export Enforce- ment to conduct investigations pursuant to this chapter. In conducting such investiga- tions, those officers or employees may, to the extent necessary or appropriate to the en- forcement of this chapter, exercise such au- thorities as are conferred upon them by other laws of the United States, subject to policies and procedures approved by the Attorney Gen- eral. (2) BY THE COMMISSIONER OF CUSTOMS.—The Commissioner of Customs 1 may designate offi- cers or employees of the Customs Service to enforce the provisions of this chapter, or to conduct investigations pursuant to this chap- ter. (e) REGULATIONS.—The Secretary of Commerce shall promulgate regulations for the implemen- tation and enforcement of this section. (f) EXEMPTION.—The criminal fines provided for in this section are exempt from the provi- sions of section 3571 of title 18, United States Code. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 952; amended Pub. L. 107–228, div. B, title XIV, § 1404(f)(1), Sept. 30, 2002, 116 Stat. 1455; Pub. L. 114–125, title VIII, § 802(d)(2), Feb. 24, 2016, 130 Stat. 210.) Editorial Notes AMENDMENTS 2002—Pub. L. 107–228 substituted ‘‘Penalties for un- lawful export information activities’’ for ‘‘Violations, penalties’’ in section catchline and amended text gen- erally. Prior to amendment, text read as follows: ‘‘Any person, including the owners or operators of carriers, violating the provisions of this chapter, or any rule, regulation, or order issued thereunder, except as pro- vided in section 304 above, shall be liable to a penalty not to exceed $1,000 in addition to any other penalty imposed by law. The amount of any such penalty shall be payable into the Treasury of the United States and shall be recoverable in a civil suit in the name of the United States.’’ Statutory Notes and Related Subsidiaries CHANGE OF NAME Reference to Commissioner of Customs deemed to be reference to Commissioner of U.S. Customs and Border Protection pursuant to section 802(d)(2) of Pub. L. 114–125, set out as a note under section 211 of Title 6, Domestic Security. TRANSFER OF FUNCTIONS For transfer of functions, personnel, assets, and li- abilities of the United States Customs Service of the Department of the Treasury, including functions of the Secretary of the Treasury relating thereto, to the Sec- retary of Homeland Security, and for treatment of re- lated references, see sections 203(1), 551(d), 552(d), and 557 of Title 6, Domestic Security, and the Department of Homeland Security Reorganization Plan of Novem- ber 25, 2002, as modified, set out as a note under section 542 of Title 6. For establishment of U.S. Customs and Border Protection in the Department of Homeland Se- curity, treated as if included in Pub. L. 107–296 as of Nov. 25, 2002, see section 211 of Title 6, as amended gen- Page 38 TITLE 13—CENSUS § 306 erally by Pub. L. 114–125, and section 802(b) of Pub. L. 114–125, set out as a note under section 211 of Title 6. § 306. Delegation of functions Subject to the concurrence of the head of the department or agency concerned, the Secretary may make such provisions as he shall deem ap- propriate, authorizing the performance by any officer, agency, or employee of the United States Government departments or offices, or the governments of any areas over which the United States exercises sovereignty, jurisdic- tion, or control, of any function of the Sec- retary, contained in this chapter. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 952.) § 307. Relationship to general census law The following sections only, 1, 2, 3, 4, 5, 6, 7, 11, 21, 22, 23, 24, 211, 212, 213, and 214, of chapters 1 through 7 of this title are applicable to this chapter. (Added Pub. L. 87–826, § 2, Oct. 15, 1962, 76 Stat. 952.) CHAPTER 10—EXCHANGE OF CENSUS INFORMATION Sec. 401. Exchange of census information with Bureau of Economic Analysis. 402. Providing business data to Designated Statis- tical Agencies. Editorial Notes AMENDMENTS 2002—Pub. L. 107–347, title V, § 526(b)(2), Dec. 17, 2002, 116 Stat. 2970, added item 402. § 401. Exchange of census information with Bu- reau of Economic Analysis (a) EXCHANGE OF INFORMATION.—The Bureau of the Census shall exchange with the Bureau of Economic Analysis of the Department of Com- merce information collected under this title, and under the International Investment and Trade in Services Survey Act, that pertains to any business enterprise that is operating in the United States, if the Secretary of Commerce de- termines such information is appropriate to augment and improve the quality of data col- lected under the International Investment and Trade in Services Survey Act. Information pro- vided to the Bureau of Economic Analysis by the Bureau of the Census shall be only those data collected directly from respondents by the Bureau of the Census. (b) REQUESTS FOR INFORMATION.—The Director of the Bureau requesting information under this section shall make the request in writing and shall certify that the information will be used only for statistical activities performed to im- prove the quality of data collected under the au- thority of title 13, United States Code, and the International Investment and Trade in Services Survey Act. (c) DEFINITION.—As used in subsection (a), the terms ‘‘business enterprise’’ and ‘‘United States’’ have the meanings given those terms in section 3 of the International Investment and Trade in Services Survey Act. (Added Pub. L. 101–533, § 5(a), Nov. 7, 1990, 104 Stat. 2347.) Editorial Notes REFERENCES IN TEXT The International Investment and Trade in Services Survey Act, referred to in text, is Pub. L. 94–472, Oct. 11, 1976, 90 Stat. 2059, which is classified generally to chapter 46 (§ 3101 et seq.) of Title 22, Foreign Relations and Intercourse. Section 3 of the Act is classified to section 3102 of Title 22. For complete classification of this Act to the Code, see Short Title note set out under section 3101 of Title 22 and Tables. § 402. Providing business data to Designated Sta- tistical Agencies The Bureau of the Census may provide busi- ness data to the Bureau of Economic Analysis and the Bureau of Labor Statistics (‘‘Designated Statistical Agencies’’) if such information is re- quired for an authorized statistical purpose and the provision is the subject of a written agree- ment with that Designated Statistical Agency, or their successors, as defined in section 3576(e) of title 44. (Added Pub. L. 107–347, title V, § 526(b)(1), Dec. 17, 2002, 116 Stat. 2969; amended Pub. L. 115–435, title III, § 302(c)(2), Jan. 14, 2019, 132 Stat. 5553.) Editorial Notes AMENDMENTS 2019—Pub. L. 115–435 substituted ‘‘section 3576(e) of title 44’’ for ‘‘the Confidential Information Protection and Statistical Efficiency Act of 2002’’. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2019 AMENDMENT Amendment by Pub. L. 115–435 effective 180 days after Jan. 14, 2019, see section 403 of Pub. L. 115–435, set out as a note under section 306 of Title 5, Government Or- ganization and Employees. TRANSITIONAL AND SAVINGS PROVISIONS For transitional and savings provisions related to the amendment of this section and other provisions of law by title III of Pub. L. 115–435, see section 302(d) of Pub. L. 115–435, set out as a note under section 3561 of Title 44, Public Printing and Documents.