§11909. Record keeping and reporting violations

(a) A person required to make a report to the Interstate Commerce Commission, or make, prepare, or preserve a record, under subchapter III of chapter 111 of this title about transportation subject to the jurisdiction of the Commission under subchapter I of chapter 105 of this title that knowingly and willfully (1) makes a false entry in the report or record, (2) destroys, mutilates, changes, or by another 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 Commission, or (5) files a false report or record with the Commission, shall be fined not more than $5,000, imprisoned for not more than 2 years, or both.

(b) 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 about transportation subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title, or subject to the jurisdiction of the Commission before October 15, 1966, or an officer, agent, or employee of that person, that (1) willfully does not make that report or willfully does not enter into or retain that agreement, (2) willfully does not specifically, completely, and truthfully answer that question in 30 days from the date the Commission requires the question to be answered, (3) willfully does not make, prepare, or preserve that record in the form and manner prescribed by the Commission, (4) knowingly and willfully falsifies, destroys, mutilates, or changes that report or record, (5) knowingly and willfully files a false report or record with the Commission, (6) knowingly and willfully makes a false or incomplete entry in that record about a business related fact or transaction, or (7) knowingly and willfully makes, prepares, or preserves a record in violation of a regulation or order of the Commission, shall be fined not more than $5,000.

(c) A person required to make a report to the Commission, answer a question, or make, prepare, or preserve a record under this subtitle about transportation subject to the jurisdiction of the Commission under subchapter III of chapter 105 of this title, or an officer, agent, or employee of that person, that (1) willfully does not make that report, (2) willfully does not specifically, completely and truthfully answer that question in 30 days from the date the Commission requires the question to be answered, (3) willfully does not make, prepare, or preserve that record in the form and manner prescribed by the Commission, (4) willfully falsifies, destroys, mutilates, or changes that report, or record, (5) willfully makes a false or incomplete entry in the record about a fact or transaction required under this subtitle, (6) willfully makes, prepares, or preserves a record in violation of a regulation or order of the Commission, or (7) knowingly and willfully files a false report or record with the Commission, shall be fined not more than $5,000. Trial in a criminal action under this subsection is in the judicial district in which any part of the violation is committed.

(d) A household goods freight forwarder, or an officer, agent, or employee of that household goods freight forwarder, required to make a report to the Commission, answer a question, or make, prepare, or preserve a record under this subtitle about transportation subject to the jurisdiction of the Commission under subchapter IV of chapter 105 of this title that (1) willfully does not make that report, (2) willfully does not specifically, completely, and truthfully answer that question in 30 days from the date the Commission requires the question to be answered, (3) willfully does not make, prepare, or preserve that record in the form and manner prescribed by the Commission, (4) knowingly and willfully falsifies, destroys, mutilates, or changes that report or record, (5) knowingly and willfully files a false report or record with the Commission, (6) knowingly and willfully makes a false or incomplete entry in that record about a fact or transaction related to the business of that household goods freight forwarder, or (7) knowingly and willfully makes, prepares, or preserves a record in violation of a regulation or order of the Commission, shall be fined not more than $5,000.

( Pub. L. 95–473, Oct. 17, 1978, 92 Stat. 1460 ; Pub. L. 96–258, §1(15), June 3, 1980, 94 Stat. 427 ; Pub. L. 97–424, title IV, §427(a), Jan. 6, 1983, 96 Stat. 2168 ; Pub. L. 98–216, §2(20), Feb. 14, 1984, 98 Stat. 6 ; Pub. L. 99–521, §13(c), Oct. 22, 1986, 100 Stat. 2999 ; Pub. L. 103–180, §6(c), Dec. 3, 1993, 107 Stat. 2051 ; Pub. L. 103–272, §4(j)(35), July 5, 1994, 108 Stat. 1370 .)

In subsection (a), the words "cause to be made" are omitted in view of section 2 of title 18. The words "or participate in the making of" are omitted as surplus and in view of section 2 of title 18. The word "record" is substituted for "accounts, records, and memoranda" for clarity. The word "report" is substituted for "any annual or other report" as being more inclusive. The words "required under this section to be filed" are omitted as unnecessary. The word "changes" is substituted for "alter" for consistency. The words "does not enter business related facts and transactions" are substituted for "neglect or fail to make full, true, and correct entries . . . of all facts and transactions appertaining to the business of the carrier, lessor, or person" for clarity in view of the power of the Commission to prescribe the contents of accounts under subchapter III of chapter 111 of the revised title. The words "in violation of a regulation or order of the Commission" are substituted for "contrary to the rules, regulations, or orders of the Commission with respect thereto" for consistency. The words "be deemed guilty of a misdemeanor and shall be subject, upon conviction in any court of the United States of competent jurisdiction" are omitted as unnecessary in view of title 18.

In subsections (b)–(d), the word "person" is substituted for "motor carrier, broker, or other person" as being more inclusive. The words "required to make a report to the Commission, answer a question, or make, prepare, or preserve a record" are added for clarity and to eliminate the need for the text of 49:322(g) (last sentence). The word "prepare" is substituted for "prepared, or compiled" as being more inclusive. The word "preserve" is substituted for "retained" for consistency in view of subchapter III of chapter 111 of the revised title. The word "record" is substituted for "accounts, records, and memoranda" for consistency with subchapter III of chapter 111 of the revised title. The words "under this subtitle about transportation subject to the jurisdiction of the Commission under subchapter II of chapter 105 of this title" are substituted for "as required by this chapter" for clarity. The word "agent" is substituted for "agent . . . or representative thereof" as being more inclusive. The words "specifically, completely, and truthfully" are substituted for "specific and full, true, and correct" for clarity. The word "lawfully" is omitted as surplus. The words "makes a false or incomplete entry" are substituted for "neglect or fail to make full, true, and correct entries" for clarity. The word "regulation" is substituted for "rules, regulations" for consistency when referring to the Commission. The words "be deemed guilty of a misdemeanor and upon conviction thereof be subject for each offense" are omitted as unnecessary in view of title 18.

In subsection (c), the words "Trial in a criminal action" are added for clarity.

Pub. L. 96–258

This amends section 11909(a) to correct a grammatical error.

Amendments

1994-Subsec. (b). Pub. L. 103–272 substituted "1966," for "1966,,".

1993-Subsec. (b). Pub. L. 103–180 inserted "or enter into or retain a written agreement under section 10702(c) of this title" after "record under this subtitle" in introductory provisions and "or willfully does not enter into or retain that agreement" after "make that report" in cl. (1).

1986-Subsec. (d). Pub. L. 99–521 inserted "household goods" before "freight forwarder" wherever appearing.

1984-Subsec. (b). Pub. L. 98–216 substituted "before October 15, 1966" for "prior to enactment of the Department of Transportation Act".

1983-Subsec. (b). Pub. L. 97–424 inserted ", or subject to the jurisdiction of the Commission prior to enactment of the Department of Transportation Act,".

1980-Subsec. (a). Pub. L. 96–258 substituted "mutilates" for "multilates".

Effective Date of 1986 Amendment

Amendment by Pub. L. 99–521 effective 60 days after Oct. 22, 1986, see section 15 of Pub. L. 99–521, set out as a note under section 10102 of this title.

Effective Date of 1980 Amendment

Amendment by Pub. L. 96–258 effective Oct. 17, 1978, see section 3(d) of Pub. L. 96–258, set out as a note under section 10525 of this title.

Section Referred to in Other Sections

This section is referred to in section 11348 of this title.