49 U.S.C. § 30165 — Civil penalty

Page 796 TITLE 49—TRANSPORTATION § 30165 (B) paragraph (1) or (3) of section 30112(a) with respect to such motor vehicle or motor vehicle equipment; (C) the provision of reports and records re- quired to be maintained with respect to such motor vehicle or motor vehicle equipment under this chapter; (D) a request for inspection of premises, vehicle, or equipment under section 30166; (E) an order or voluntary agreement to remedy such vehicle or equipment; or (F) any rules implementing the require- ments described in this subsection; (2) provide an opportunity for the manufac- turer to present information before the Sec- retary’s determination as to whether the man- ufacturer’s imports should be restricted; and (3) establish a process by which a manufac- turer may petition for reinstatement of its ability to import motor vehicles or motor ve- hicle equipment. (e) EXCEPTION.—The requirements of sub- sections (c) and (d) shall not apply to original manufacturers (or wholly owned subsidiaries) of motor vehicles that, prior to the date of enact- ment of the Motor Vehicle and Highway Safety Improvement Act of 2012— (1) have imported motor vehicles into the United States that are certified to comply with all applicable Federal motor vehicle safe- ty standards; (2) have submitted to the Secretary appro- priate manufacturer identification informa- tion under part 566 of title 49, Code of Federal Regulations; and (3) if applicable, have identified a current agent for service of process in accordance with part 551 of title 49, Code of Federal Regula- tions. (f) RULEMAKING.—In issuing regulations under this section, the Secretary shall seek to reduce duplicative requirements by coordinating with the Department of Homeland Security. (Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 968; Pub. L. 112–141, div. C, title I, § 31208(2), July 6, 2012, 126 Stat. 761.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 30164(a) ...... 15:1399(e) (1st sen- tence). Sept. 9, 1966, Pub. L. 89–563, § 110(e), 80 Stat. 724. 30164(b) ...... 15:1399(e) (last sen- tence). In subsection (a), the words ‘‘A manufacturer offering . . . shall’’ are substituted for ‘‘It shall be the duty of every manufacturer offering . . . to’’ to eliminate un- necessary words. The words ‘‘into the United States’’, ‘‘all . . . orders, decisions and requirements’’, and ‘‘for and on behalf of said manufacturer’’ are omitted as sur- plus. The words ‘‘The designation may be changed in the same way as originally made’’ are substituted for ‘‘which designation may from time to time be changed by like writing, similarly filed’’ for clarity. In subsection (b), the words ‘‘An agent may be served’’ are substituted for ‘‘Service of all administra- tive and judicial processes, notices, orders, decisions and requirements may be made upon said manufacturer by service upon such designated agent’’ to eliminate unnecessary words. The words ‘‘Service on the agent is deemed to be service on the manufacturer’’ are sub- stituted for ‘‘with like effects as if made personally upon said manufacturer’’, and the words ‘‘If a manufac- turer does not designate an agent’’ are substituted for ‘‘and in default of such designation of such agent’’, for clarity. The words ‘‘of process, notice, order, require- ment or decision in any proceeding before the Sec- retary or in any judicial proceeding for enforcement of this subchapter or any standards prescribed pursuant to this subchapter’’ and ‘‘order, requirement or deci- sion’’ are omitted as surplus. Editorial Notes REFERENCES IN TEXT The date of enactment of the Motor Vehicle and Highway Safety Improvement Act of 2012, referred to in subsec. (e), is the date of enactment of title I of div. C of Pub. L. 112–141, which was approved July 6, 2012. AMENDMENTS 2012—Pub. L. 112–141, § 31208(2)(A), inserted ‘‘; conditions on importation of vehicles and equip- ment’’ after ‘‘process’’ in section catchline. Subsecs. (c) to (f). Pub. L. 112–141, § 31208(2)(B), added subsecs. (c) to (f). Statutory Notes and Related Subsidiaries 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. § 30165. Civil penalty (a) CIVIL PENALTIES.— (1) IN GENERAL.—A person that violates any of section 30112, 30115, 30117 through 30122, 30123(a), 30125(c), 30127, 30141 through 30147, or 31137, or a regulation prescribed thereunder, is liable to the United States Government for a civil penalty of not more than $21,000 for each violation. A separate violation occurs for each motor vehicle or item of motor vehicle equip- ment and for each failure or refusal to allow or perform an act required by any of those sec- tions. The maximum penalty under this sub- section for a related series of violations is $105,000,000. (2) SCHOOL BUSES.— (A) IN GENERAL.—Notwithstanding para- graph (1), the maximum amount of a civil penalty under this paragraph shall be $10,000 in the case of— (i) the manufacture, sale, offer for sale, introduction or delivery for introduction into interstate commerce, or importation of a school bus or school bus equipment (as those terms are defined in section 30125(a) of this title) in violation of section 30112(a)(1) of this title; or (ii) a violation of section 30112(a)(2) of this title. (B) RELATED SERIES OF VIOLATIONS.—A sep- arate violation occurs for each motor vehi- cle or item of motor vehicle equipment and for each failure or refusal to allow or per- form an act required by that section. The maximum penalty under this paragraph for a related series of violations is $15,000,000. (3) SECTION 30166.—Except as provided in paragraph (4), a person who violates section Page 797 TITLE 49—TRANSPORTATION § 30165 30166 or a regulation prescribed under that sec- tion is liable to the United States Government for a civil penalty for failing or refusing to allow or perform an act required under that section or regulation. The maximum penalty under this paragraph is $21,000 per violation per day. The maximum penalty under this paragraph for a related series of daily viola- tions is $105,000,000. (4) FALSE OR MISLEADING REPORTS.—A person who knowingly and willfully submits materi- ally false or misleading information to the Secretary, after certifying the same informa- tion as accurate under the certification proc- ess established pursuant to section 30166(o), shall be subject to a civil penalty of not more than $5,000 per day. The maximum penalty under this paragraph for a related series of daily violations is $1,000,000. (b) COMPROMISE AND SETOFF.—(1) The Sec- retary of Transportation may compromise the amount of a civil penalty imposed under this section. (2) 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) RELEVANT FACTORS IN DETERMINING AMOUNT OF PENALTY OR COMPROMISE.—In deter- mining the amount of a civil penalty or com- promise under this section, the Secretary of Transportation shall consider the nature, cir- cumstances, extent, and gravity of the viola- tion. Such determination shall include, as ap- propriate— (1) the nature of the defect or noncompli- ance; (2) knowledge by the person charged of its obligations under this chapter; (3) the severity of the risk of injury; (4) the occurrence or absence of injury; (5) the number of motor vehicles or items of motor vehicle equipment distributed with the defect or noncompliance; (6) actions taken by the person charged to identify, investigate, or mitigate the condi- tion; (7) the appropriateness of such penalty in re- lation to the size of the business of the person charged, including the potential for undue ad- verse economic impacts; (8) whether the person has been assessed civil penalties under this section during the most recent 5 years; and (9) other appropriate factors. (d) SUBPENAS FOR WITNESSES.—In a civil ac- tion brought under this section, a subpena for a witness may be served in any judicial district. (Pub. L. 103–272, § 1(e), July 5, 1994, 108 Stat. 968; Pub. L. 103–429, § 6(23), Oct. 31, 1994, 108 Stat. 4380; Pub. L. 106–414, § 5(a), Nov. 1, 2000, 114 Stat. 1803; Pub. L. 109–59, title X, § 10309(c), Aug. 10, 2005, 119 Stat. 1942; Pub. L. 112–141, div. C, title I, §§ 31203(a), 31304(b), title II, § 32301(c), July 6, 2012, 126 Stat. 758, 764, 788; Pub. L. 114–94, div. B, title XXIV, § 24110(a), Dec. 4, 2015, 129 Stat. 1709.) HISTORICAL AND REVISION NOTES PUB. L. 103–272 Revised Section Source (U.S. Code) Source (Statutes at Large) 30165(a) ...... 15:1398(a). Sept. 9, 1966, Pub. L. 89–563, § 109(a), 80 Stat. 723; Oct. 27, 1974, Pub. L. 93–492, § 103(b), 88 Stat. 1478. 15:1424(b) (related to civil penalty). Sept. 9, 1966, Pub. L. 89–563, §§ 109(b), 110(d) (related to § 109), 204(b) (related to civil penalty), 80 Stat. 723, 724, 729. 30165(b) ...... 15:1398(b) (1st, last sentences). 30165(c) ...... 15:1398(b) (2d sen- tence). 30165(d) ...... 15:1399(d) (related to 15:1398). In subsection (a), the text of 15:1424(b) (related to civil penalty) is omitted because of the restatement. The words ‘‘is liable to the United States Government for’’ are substituted for ‘‘shall be subject to’’ for con- sistency. The words ‘‘A separate violation occurs for’’ are substituted for ‘‘Such violation of a provision of section 1397 of this title, or regulations issued there- under, shall constitute a separate violation with re- spect to’’ to eliminate unnecessary words. In subsection (b)(2), the words ‘‘amount of a civil pen- alty imposed or compromised’’ are substituted for ‘‘amount of such penalty, when finally determined, or the amount agreed upon in compromise’’ to eliminate unnecessary words. In subsection (d), the words ‘‘who are required to at- tend a United States district court’’ are omitted as sur- plus. The words ‘‘be served in’’ are substituted for ‘‘run into’’ for clarity. PUB. L. 103–429 This amends 49:30141(c)(4)(A) and 30165(a) to correct erroneous cross-references. Editorial Notes AMENDMENTS 2015—Subsec. (a)(1). Pub. L. 114–94, § 24110(a)(1), sub- stituted ‘‘$21,000’’ for ‘‘$5,000’’ and ‘‘$105,000,000’’ for ‘‘$35,000,000’’. Subsec. (a)(3). Pub. L. 114–94, § 24110(a)(2), substituted ‘‘$21,000’’ for ‘‘$5,000’’ and ‘‘$105,000,000’’ for ‘‘$35,000,000’’. 2012—Subsec. (a)(1). Pub. L. 112–141, § 32301(c), sub- stituted ‘‘30141 through 30147, or 31137’’ for ‘‘or 30141 through 30147’’. Pub. L. 112–141, § 31203(a)(1)(A), substituted ‘‘30123(a)’’ for ‘‘30123(d)’’ and ‘‘$35,000,000’’ for ‘‘$15,000,000’’. Subsec. (a)(3). Pub. L. 112–141, § 31304(b)(1), substituted ‘‘Except as provided in paragraph (4), a person’’ for ‘‘A person’’. Pub. L. 112–141, § 31203(a)(1)(B), substituted ‘‘$35,000,000’’ for ‘‘$15,000,000’’. Subsec. (a)(4). Pub. L. 112–141, § 31304(b)(2), added par. (4). Subsec. (c). Pub. L. 112–141, § 31203(a)(2), amended sub- sec. (c) generally. Prior to amendment, text read as fol- lows: ‘‘In determining the amount of a civil penalty or compromise, the appropriateness of the penalty or compromise to the size of the business of the person charged and the gravity of the violation shall be con- sidered.’’ 2005—Subsec. (a)(2), (3). Pub. L. 109–59, which directed amendment of section 30165(a), without specifying the title to be amended, by adding par. (2) and redesig- nating former par. (2) as (3), was executed to this sec- tion, to reflect the probable intent of Congress. 2000—Subsec. (a). Pub. L. 106–414 amended heading and text generally. Prior to amendment, text read as follows: ‘‘A person that violates any of sections 30112, 30115, 30117–30122, 30123(d), 30125(c), 30127, 30141–30147, or 30166 of this title or a regulation prescribed under any of those sections is liable to the United States Govern- Page 798 TITLE 49—TRANSPORTATION § 30166 1 So in original. Probably should be followed by a comma. ment for a civil penalty of not more than $1,000 for each violation. A separate violation occurs for each motor vehicle or item of motor vehicle equipment and for each failure or refusal to allow or perform an act re- quired by any of those sections. The maximum penalty under this subsection for a related series of violations is $800,000.’’ 1994—Subsec. (a). Pub. L. 103–429 substituted ‘‘any of sections 30112’’ for ‘‘section 30112’’ and inserted ‘‘any of’’ before ‘‘those sections’’ in two places. Statutory Notes and Related Subsidiaries EFFECTIVE DATE OF 2015 AMENDMENT Pub. L. 114–94, div. B, title XXIV, § 24110(b), (c), Dec. 4, 2015, 129 Stat. 1709, provided that: ‘‘(b) EFFECTIVE DATE.—The amendments made by subsection (a) of this section [amending this section] take effect on the date that the Secretary certifies to Congress that the National Highway Traffic Safety Ad- ministration has issued the final rule required by sec- tion 31203(b) of the Moving Ahead for Progress In the 21st Century Act (Public Law 112–141; 126 Stat. 758; 49 U.S.C. 30165 note) [Mar. 17, 2016]. ‘‘(c) PUBLICATION OF EFFECTIVE DATE.—The Secretary shall publish notice of the effective date under sub- section (b) of this section in the Federal Register [81 F.R. 15413].’’ EFFECTIVE DATE OF 2012 AMENDMENT Pub. L. 112–141, div. C, title I, § 31203(c), July 6, 2012, 126 Stat. 758, provided that: ‘‘The amendments made by subsection (a) [amending this section] shall take effect on the date that is the earlier of the date on which final regulations are issued under subsection (b) [set out as a note below] or 1 year after the date of enact- ment of this Act [see section 3(a), (b) of Pub. L. 112–141, set out as Effective and Termination Dates of 2012 Amendment notes under section 101 of Title 23, High- ways].’’ Amendment by sections 31304(b) and 32301(c) of Pub. L. 112–141 effective Oct. 1, 2012, see section 3(a) of Pub. L. 112–141, set out as an Effective and Termination Dates of 2012 Amendment note under section 101 of Title 23, Highways. EFFECTIVE DATE OF 1994 AMENDMENT Amendment by Pub. L. 103–429 effective July 5, 1994, see section 9 of Pub. L. 103–429, set out as a note under section 321 of this title. CIVIL PENALTY CRITERIA Pub. L. 112–141, div. C, title I, § 31203(b), July 6, 2012, 126 Stat. 758, provided that: ‘‘Not later than 1 year after the date of enactment of this Act [see section 3(a), (b) of Pub. L. 112–141, set out as Effective and Termination Dates of 2012 Amendment notes under section 101 of Title 23, Highways], the Secretary [of Transportation] shall issue a final rule, in accordance with the proce- dures of section 553 of title 5, United States Code, which provides an interpretation of the penalty factors described in section 30165(c) of title 49, United States Code.’’ § 30166. Inspections, investigations, and records (a) DEFINITION.—In this section, ‘‘motor vehi- cle accident’’ means an occurrence associated with the maintenance or operation of a motor vehicle or motor vehicle equipment resulting in personal injury, death, or property damage. (b) AUTHORITY TO INSPECT AND INVESTIGATE.— (1) The Secretary of Transportation may con- duct an inspection or investigation— (A) that may be necessary to enforce this chapter or a regulation prescribed or order issued under this chapter; or (B) related to a motor vehicle accident and designed to carry out this chapter. (2) The Secretary of Transportation shall co- operate with State and local officials to the greatest extent possible in an inspection or in- vestigation under paragraph (1)(B) of this sub- section. (c) MATTERS THAT CAN BE INSPECTED AND IM- POUNDMENT.—In carrying out this chapter, an of- ficer or employee designated by the Secretary of Transportation— (1) at reasonable times, may inspect and copy any record related to this chapter; (2) on request, may inspect records of a man- ufacturer, distributor, dealer, or rental com- pany to decide whether the manufacturer, dis- tributor, dealer, or rental company has com- plied or is complying with this chapter or a regulation prescribed or order issued under this chapter; (3) at reasonable times, in a reasonable way, and on display of proper credentials and writ- ten notice to an owner, operator, or agent in charge, may— (A) enter and inspect with reasonable promptness premises in which a motor vehi- cle or motor vehicle equipment is manufac- tured, held for introduction in interstate commerce (including at United States ports of entry), or held for sale after introduction in interstate commerce; (B) enter and inspect with reasonable promptness premises at which a vehicle or equipment involved in a motor vehicle acci- dent is located; (C) inspect with reasonable promptness that vehicle or equipment; and (D) impound for not more than 72 hours a vehicle or equipment involved in a motor ve- hicle accident; (4) shall enter into a memorandum of under- standing with the Secretary of Homeland Se- curity for inspections and sampling of motor vehicle equipment being offered for import to determine compliance with this chapter or a regulation or order issued under this chapter. (d) REASONABLE COMPENSATION.—When a motor vehicle (except a vehicle subject to sub- chapter I of chapter 135 of this title) or motor vehicle equipment is inspected or temporarily impounded under subsection (c)(3) of this sec- tion, the Secretary of Transportation shall pay reasonable compensation to the owner of the ve- hicle if the inspection or impoundment results in denial of use, or reduction in value, of the ve- hicle. (e) RECORDS AND MAKING REPORTS.—The Sec- retary of Transportation reasonably may re- quire a manufacturer of a motor vehicle or motor vehicle equipment to keep records, and a manufacturer, distributor, dealer, or rental company to make reports, to enable the Sec- retary to decide whether the manufacturer, dis- tributor, dealer, or rental company has complied or is complying with this chapter or a regula- tion prescribed or order issued under this chap- ter. This subsection does not impose a record- keeping requirement on a distributor 1 dealer, or rental company in addition to those imposed under subsection (f) of this section and section