§11901. General civil penalties

(a) Except as otherwise provided in this section, a common carrier providing transportation subject to the jurisdiction of the Interstate Commerce Commission under subchapter I of chapter 105 of this title, an officer or agent of that carrier or a receiver, trustee, lessee, or agent of one of them, knowingly violating an order of the Commission under this subtitle is liable to the United States Government for a civil penalty of $5,000 for each violation. Liability under this subsection is incurred for each distinct violation. A separate violation occurs for each day the violation continues.

(b) A common carrier providing transportation subject to the jurisdiction of the Commission under subchapter I of chapter 105 of this title, or a receiver or trustee of that carrier, violating a regulation or order of the Commission under section 10761, 10762, 10764, 10765, or 11128(a)(2) or (b) of this title is liable 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 carrier, receiver, or trustee violating subchapter V of chapter 107 of this title, or a regulation under that subchapter, is liable to the United States Government for a civil penalty of $500 for each violation. A separate violation occurs each day the violation continues.

(d) A person knowingly authorizing, consenting to, or permitting a violation of sections 10901–10907 of this title or of a condition of a certificate or a regulation under any of those sections, is liable to the United States Government for a civil penalty of not more than $5,000.

(e)(1) A carrier, receiver, or operating trustee violating an order or direction of the Commission under section 11123, 11124, 11125, 11127, or 11128(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.

(2) A rail carrier, receiver, or operating trustee violating section 11126 of this title is liable to the United States Government for a civil penalty of $100 for each violation. A separate violation occurs for each car not counted when a car count is required under that section.

(f)(1) A person required under subchapter III of chapter 111 of this title to make, prepare, preserve, or submit to the Commission a record concerning transportation subject to the jurisdiction of the Commission under subchapter I of chapter 105 of this title 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 penalty of $500 for each violation.

(2) A carrier providing transportation subject to the jurisdiction of the Commission under subchapter I of chapter 105 of this title, and a lessor, receiver, or trustee of that 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 carrier providing transportation subject to the jurisdiction of the Commission under subchapter I of chapter 105 of this title, a lessor, receiver, or trustee of that carrier, a person furnishing cars or protective services against heat or cold, and an officer, agent, or employee of one of them, required to make a report to the Commission or answer a question that does not make the report or does not specifically, completely, and truthfully answer the question, is liable to the United States Government for a civil penalty of $100 for each violation.

(4) A separate violation occurs for each day a violation under this subsection continues.

(g) A person required to make a report to the Commission, answer a question, or make, prepare, or preserve a record under this subtitle or enter into or retain a written agreement under section 10702(c) of this title concerning transportation subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title or transportation provided under a certificate of registration issued under section 10530 of this title, 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 by the Commission, (4) does not comply with section 10921 of this title, (5) does not comply with section 10702(c) of this title, or (6) does not comply with section 10530 of this title, is liable to the United States Government for a civil penalty of not more than $500 for each violation and for not more than $250 for each additional day the violation continues; except that, in the case of a person who does not have authority under this subtitle to provide transportation of passengers, or an officer, agent, or employee of such person, that does not comply with section 10921 of this title with respect to providing transportation of passengers, the amount of the civil penalty shall not be more than $1,000 for each violation and $500 for each additional day the violation continues. After the date of enactment of this sentence, no penalties shall be imposed under this subsection for a violation relating to the transportation of household goods. Any such penalties that were imposed prior to such date of enactment shall be collected only in accordance with the provisions of subsection (i) of this section.

(h) A person subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title, or an officer, agent, or employee of that person, and who is required to comply with section 10921 of this title but does not so comply with respect to the transportation of hazardous wastes as defined by the Environmental Protection Agency pursuant to section 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, in any action brought by the Commission, be liable to the United States for a civil penalty not to exceed $20,000 for each violation.

(i)(1) Any person required to make a report to the Commission, answer a question, or make, prepare, or preserve a record under this subtitle concerning transportation of household goods subject to jurisdiction of the Commission under subchapter II of chapter 105 of this title, or an officer, agent, or employee of such person, that (A) does not make the report, (B) does not specifically, completely, and truthfully answer the question, (C) does not make, prepare, or preserve the record in the form and manner prescribed by the Commission, or (D) does not comply with section 10921 of this title, is liable to the United States for a civil penalty of not more than $500 for each violation and of not more than $250 for each additional day during which the violation continues. No penalty shall be imposed under this paragraph for any failure to make, prepare, or preserve the record in the form and manner prescribed by the Commission unless the shipper or shippers have suffered harm as a result of such failure.

(2) In determining and negotiating the amount of a civil penalty under this subsection, the degree of culpability, any history of prior such conduct, the degree of harm to shipper or shippers, ability to pay, the effect on ability to do business, whether the shipper has been adequately compensated before institution of the proceeding, and such other matters as fairness may require shall be taken into account.

(j)(1) Subject to the provisions of paragraph (3) of this subsection, if a common carrier providing transportation of household goods subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title or a receiver or trustee of such carrier fails or refuses to comply with any regulation issued by the Commission relating to protection of individual shippers, such carrier, receiver, or trustee is liable to the United States for a civil penalty of not more than $1,000 for each violation and of not more than $500 for each additional day during which the violation continues.

(2)(A) If the Commission determines-

(i) that a common carrier providing transportation of household goods subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title or a receiver or trustee of such carrier has failed or refused to comply with a regulation issued by the Commission relating to protection of individual shippers in excess of any performance standard established in such regulation; and

(ii) with respect to each such failure or refusal, that the shipper or shippers have suffered harm as a result of such failure or refusal;

the Commission may, in writing, notify the carrier, receiver, or trustee of its determinations and may elect to assess civil penalties under this paragraph for such failures and refusals in lieu of proceeding under paragraph (1) of this subsection with respect to such failures and refusals. If the Commission elects to assess civil penalties under this paragraph, such civil penalties may only be assessed after notice and opportunity for a hearing.

(B) Subject to the provisions of paragraph (3) of this subsection, the amount of a civil penalty which may be assessed under this paragraph for a failure or refusal shall not be more than $1,000 for such failure or refusal and $500 for each additional day during which such failure or refusal continues.

(C) Notwithstanding the provisions of section 1336 of title 28, United States Code, a proceeding to enjoin or suspend, in whole or part, an order issued by the Commission assessing one or more civil penalties under this paragraph may only be brought in the United States court of appeals as provided by and in the manner prescribed in chapter 158 of such title.

(3) The amount of a civil penalty which may be assessed under paragraph (1) or (2) of this subsection for a failure or refusal shall not be more than $500 for such failure or refusal and $250 for each additional day during which such failure or refusal continues if, between the time the carrier, receiver, or trustee receives notice from the Commission of such failure or refusal and the commencement of the assessment hearing or trial, as the case may be, the carrier, receiver, or trustee adequately compensates the shipper or shippers, or offers adequate compensation to the shipper or shippers, for the harm they have suffered as a result of such failure or refusal.

(4)(A) No civil penalty may be imposed under this subsection for a failure or refusal to comply with a regulation issued by the Commission relating to protection of individual shippers unless the shipper or shippers have suffered harm as a result of such failure or refusal.

(B) In addition, no civil penalty may be imposed under this subsection for a failure or refusal to comply with a regulation issued by the Commission relating to protection of individual shippers-

(i) if, before receiving notice from the Commission of such failure or refusal, the carrier, receiver, or trustee adequately compensates the shipper or shippers, or offers adequate compensation to the shipper or shippers, for the harm they have suffered as a result of such failure or refusal; or

(ii) in the case of a carrier, receiver, or trustee that does not know or have reason to know that the shipper or shippers have suffered harm as a result of such failure or refusal before receiving notice from the Commission of such failure or refusal, if such carrier, receiver, or trustee adequately compensates the shipper or shippers, or offers adequate compensation to the shipper or shippers, for such harm before commencement under this subsection of the assessment hearing or trial, as the case may be.

(5) In determining and negotiating the amount of a civil penalty under this subsection, the degree of culpability, any history of prior such conduct, the degree of harm to shipper or shippers, ability to pay, the effect on ability to do business, and such other matters as fairness may require shall be taken into account.

(k) Any person that knowingly engages in or knowingly authorizes an agent or other person (1) to falsify documents used in the transportation of household goods subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title 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 necessary in the safe and adequate movement of the shipment, is liable to the United States for a civil penalty of not more than $2,000 for each violation and of not more than $5,000 for each subsequent violation. 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 subsection.

(l) Rate Discounts.-A person, or an officer, employee, or agent of that person, that knowingly pays, accepts, or solicits a reduced rate or rates in violation of the regulations issued under section 10767 of this title is liable to the United States for a civil penalty of not less than $5,000 and not more than $10,000 plus 3 times the amount of damages which a party incurs because of such violation. Notwithstanding any other provision of this title, the express civil penalties and damages provided for in this subsection are the exclusive legal sanctions to be imposed under this title for practices found to be in violation of the regulations issued under section 10767 and such violations do not render tariff or contract provisions void or unenforceable.

(m)(1) Trial in a civil action under subsections (a)–(f) of this section is in the judicial district in which the carrier has its principal operating office or in a district through which the railroad of the carrier runs.

(2) Trial in a civil action under subsection (g), (h), (i), (j)(1), (k), or (l) of this section is in the judicial district in which (A) the motor carrier or broker has its principal office, (B) the motor carrier or broker was authorized to provide transportation under this subtitle when the violation occurred, (C) the violation occurred, or (D) the offender is found. Process in the action may be served in the judicial district of which the offender is an inhabitant or in which the offender may be found.

( 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.)

Historical and Revision Notes

Revised Section	Source (U.S. Code)	Source (Statutes at Large)
11901(a)	49:16(8).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §16(8); added June 29, 1906, ch. 3591, §5, 34 Stat. 590 ; June 18, 1910, ch. 309, §13, 36 Stat. 554 ; restated Feb. 28, 1920, ch. 91, §426, 41 Stat. 492 ; Aug. 9, 1935, ch. 498, §1, 49 Stat. 543 .
11901(b)	49:6(10).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §6(10); added June 18, 1910, ch. 309, §9, 36 Stat. 548 ; Feb. 28, 1920, ch. 91, §409, 41 Stat. 483 ; Aug. 9, 1935, ch. 498, §1, 49 Stat. 543 .
11901(c)	49:19a(k) (less 1st sentence).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §19a(k) (less 1st sentence); added Mar. 1, 1913, ch. 92, §1, 37 Stat. 701 ; Feb. 28, 1920, ch. 91, §433, 41 Stat. 493 ; Aug. 9, 1935, ch. 498, §1, 49 Stat. 543 .
11901(d)	49:1(18)(e) (last sentence), 1a(9) (last sentence).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §1(18)(e) (last sentence), 1a(9) (last sentence); added Feb. 5, 1976, Pub. L. 94–210, §§801(a), 802, 90 Stat. 126 , 130.
11901(e)(1)	49:1(17)(a) (last sentence less proviso).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §1(17)(a) (last sentence less proviso); added Feb. 28, 1920, ch. 91, §402, 41 Stat. 477 ; Sept. 18, 1940, ch. 722, §4(b), 54 Stat. 901 .
	49:1020 (related to penalties).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §420 (related to penalties); added May 16, 1942, ch. 318, §1, 56 Stat. 298 .
11901(e)(2)	49:1(12) (3d sentence).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §1(12) (3d sentence); added Feb. 28, 1920, ch. 91, §402, 41 Stat. 476 ; Feb. 5, 1976, Pub. L. 94–210, §310, 90 Stat. 60 .
11901(f)	49:20(7)(a), (c), (d).	Feb. 4, 1887, ch. 104, §20(7)(a), (c), (d), (e), 24 Stat. 386 ; June 29, 1906, ch. 3591, §7, 34 Stat. 593 ; Feb. 28, 1920, ch. 91, §436, 41 Stat. 494 ; restated Sept. 18, 1940, ch. 722, §13(a), 54 Stat. 918 .
11901(g)	49:322(h) (1st sentence).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §222(h); added Aug. 2, 1949, ch. 379, §15, 63 Stat. 488 ; Sept. 6, 1965, Pub. L. 89–170, §3, 79 Stat. 649 .
11901(h)(1)	49:16(9), (10).	Feb. 4, 1887, ch. 104, 24 Stat. 379 , §16(9), (10); added June 29, 1906, ch. 3591, §5, 34 Stat. 590 ; restated June 18, 1910, ch. 309, §13, 36 Stat. 554 ; Feb. 28, 1920, ch. 91, §427, 41 Stat. 492 ; Aug. 9, 1935, ch. 498, §1, 49 Stat. 543 .
	49:20(7)(e).
11901(h)(2)	49:322(h) (less 1st sentence).

In subsection (a), the word "agent" is substituted for "representative, or agent" as being more inclusive. The word "violating" is substituted for "fails or neglects to obey" as being more precise. The words "is liable to" are substituted for "shall forfeit to" for consistency. The words "under this subtitle" are substituted for "sections 3, 13, or 15 of this title" for clarity since those sections cover the general power of the Commission under section 10321 and chapter 117 of the revised title. The last sentence is substituted for "and in case of a continuing violation each day shall be deemed a separate offense" for clarity.

In subsection (b), the words "violating . . . section . . . of this title" are substituted for "In case of failure or refusal on the part of . . . to comply with the terms of" for clarity and consistency. The words "adopted or promulgated" are omitted as unnecessary. The words "the provisions" are omitted as surplus. The words "and every" are omitted as surplus. The words "which shall accrue . . . and may be recovered in a civil action brought by the United States" are omitted as unnecessary in view of the restatement and section 2461(a) of title 28.

In subsection (c), the word "violating" is substituted for "In case of failure or refusal . . . to comply" for clarity. The words "subchapter V of chapter 107 of this title, or a regulation under that subchapter," are substituted for "all the requirements of this section and in the manner prescribed by the Commission" in view of section 10321 of the revised title. The words "is liable" are substituted for "shall forfeit" for consistency. The words "and every" are omitted as surplus. The words "such forfeitures to be recoverable in the same manner as other forfeitures provided for in section 16 of this title" are omitted as unnecessary in view of the restatement.

In subsection (e)(1), the 1st sentence of 49:1(17)(a) (less proviso) is omitted as unnecessary in view of the authority of the Commission to delegate its functions under section 10305 of the revised title and the general authority of the Commission to carry out the revised subtitle under section 10321 of the revised title. The words "It shall be the duty of all carriers by railroad subject to this chapter, and of their officers, agents, and employees, to obey strictly and conform promptly to such orders or directions of the Commission" are omitted as unnecessary in view of the restatement of the provisions related to car service in subchapter II of chapter 111 of the revised title and in view of the criminal penalties in this revised chapter. The words "violating an order or direction . . . under sections 11123, 11124, 11125, 11127, or 11128(a)(1) of this title" are substituted for "and in the case of failure or refusal on the part of . . . to comply with any such order or direction" for clarity. The words "liable to" are substituted for "which shall accrue to" for clarity. The words "and may be recovered in a civil action brought by the United States" are omitted as unnecessary.

In subsection (e)(2), the words "violating section 11126 of this title" are substituted for "Failure or refusal so to do shall be unlawful" for clarity and consistency. The words "civil penalty" are added for clarity. The words "is liable to the United States Government" are substituted for "shall forfeit to the United States" for consistency. The words "the sum" are omitted as surplus. The words "which may be recovered in a civil action brought by the United States" are omitted as unnecessary in view of the restatement and section 2461(a) of title 28.

Subsection (g) restates the source provisions for clarity and consistency in view of subchapter III of chapter 111 of the revised title. The word "person" is substituted for "motor carrier, broker, lessor, or other person" as being more inclusive. The word "agent" is substituted for "agent . . . representative" as being more inclusive. The words "does not" are substituted for "shall fail or refuse" for clarity.

In subsection (h), the word "trial" is inserted for clarity. The words "All forfeitures provided for in this paragraph shall be payable into the Treasury of the United States" in 49:322(h) are omitted as surplus in view of section 484 of title 31. The words "and shall be recoverable in a civil suit in the name of the United States" are omitted as unnecessary. The 1st sentence of 49:16(10) and 4th sentence of 49:322(h) are omitted as unnecessary in view of title 28. The last sentences of 49:16(10) and 322(h) are omitted as obsolete.

References in Text

The date of enactment of this sentence, referred to in subsec. (g), is the date of enactment of Pub. L. 96–454, which was approved Oct. 15, 1980.

The Solid Waste Disposal Act, referred to in subsec. (h), 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 Solid Waste Disposal Act is classified to section 6921 of Title 42. For complete classification of this Act to the Code, see Short Title note set out under section 6901 of Title 42 and Tables.

Codification

Amendment by section 306(c)(1) of Pub. L. 96–510, which directed that subsec. (h) be redesignated as (i), was not executed to text in view of the prior addition of subsecs. (h), (i), and (j) by section 8(a)(3) of Pub. L. 96–454 and redesignation of former subsec. (h), relating to venue for trial in a civil action, as (k), and amendment by section 306(c)(2) of Pub. L. 96–510 which directed that former subsec. (h) be amended by inserting "and subsection (h)" after "subsection (g)", could not be executed in view of the prior redesignation of former subsec. (h) as (k) and amendment of par. (2) of subsec. (k), as so redesignated, by inserting "(h), (i)(1), or (j)" after "subsection (g)" by section (8)(a)(2) of Pub. L. 96–454.

Amendments

1993-Subsec. (g). Pub. L. 103–180, §6(b), inserted "or enter into or retain a written agreement under section 10702(c) of this title" after "record under this subtitle", added cl. (5), and redesignated former cl. (5) as (6).

Subsec. (l). Pub. L. 103–180, §7(c)(1), added subsec. (l). Former subsec. (l) redesignated (m).

Subsec. (m). Pub. L. 103–180, §7(c), redesignated subsec. (l) as (m) and substituted "(k), or (l)" for "or (k)" in par. (2).

1984-Subsec. (g). Pub. L. 98–554, §226(c)(6), inserted "or transportation provided under a certificate of registration issued under section 10530 of this title" after "chapter 105 of this title", struck out "or" before "(4)", and inserted "or (5) does not comply with section 10530 of this title," before "is liable to".

Pub. L. 98–554, §227(a)(1)(A), substituted "(i)" for "(h)" before "of this section" at end.

Subsecs. (h) to (l). Pub. L. 98–554, §227(a)(1)(B)–(D), redesignated subsec. (h) beginning "(h)(1) Any person required", which was added by Pub. L. 96–510, and subsecs. (i), (j), and (k), as subsecs. (i), (j), (k), and (l), respectively, inserted "of" after "paragraph (3)" in subsec. (j)(1), substituted "(i), (j)(1), or (k)" for "(i)(1), or (j)" in subsec. (l)(1).

1982-Subsec. (g). Pub. L. 97–261 inserted provision that in the case of a person who does not have authority under this subtitle to provide transportation of passengers, or an officer, agent, or employee of such person, that does not comply with section 10921 of this title with respect to providing transportation of passengers, the amount of the civil penalty shall not be more than $1,000 for each violation and $500 for each additional day the violation continues.

1980-Subsec. (g). Pub. L. 96–454, §8(a)(1), inserted provision that, after the date of enactment of this sentence, no penalties shall be imposed under this subsection for a violation relating to the transportation of household goods, and that any such penalties that were imposed prior to such date shall be collected only in accordance with the provisions of subsection (h) of this section.

Subsec. (h). Pub. L. 96–510 added subsec. (h) relating to the penalty for failure to comply with section 10921 of this title with respect to transportation of hazardous wastes.

Pub. L. 96–454, §8(a)(3), added subsec. (h) relating to the penalty for failure to make a report to the Commission, answer a question, or make, prepare, or preserve a record. Former subsec. (h) redesignated (k).

Subsecs. (i), (j). Pub. L. 96–454, §8(a)(3), added subsecs. (i) and (j).

Subsec. (k). Pub. L. 96–454, §8(a)(2), redesignated former subsec. (h) as (k) and, in par. (2) of subsec. (k) as so redesignated, inserted ", (h), (i)(1), or (j)" after "subsection (g)".

Effective Date of 1984 Amendment

Amendment by Pub. L. 98–554 effective May 1, 1985, except as otherwise provided, see section 226(d) of Pub. L. 98–554, set out as an Effective Date note under section 10530 of this title.

Effective Date of 1982 Amendment

Amendment by Pub. L. 97–261 effective on 60th day after Sept. 20, 1982, see section 31(a) of Pub. L. 97–261, set out as a note under section 10101 of this title.

Section Referred to in Other Sections

This section is referred to in sections 10934, 11126, 11348 of this title; title 28 section 2342.